[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 1997 Edition]
[From the U.S. Government Printing Office]



          Energy




          10

[[Page i]]




          PARTS 0 TO 50

          Revised as of January 1, 1997
          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT

          AS OF JANUARY 1, 1997
          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration

          as a Special Edition of
          the Federal Register




[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1997



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 10:
    Chapter I--Nuclear Regulatory Commission..................       3
  Finding Aids:
    Material Approved for Incorporation by Reference..........     793
    Table of CFR Titles and Chapters..........................     797
    Alphabetical List of Agencies Appearing in the CFR........     813
    List of CFR Sections Affected.............................     823

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                                  ----------------------------------------------------------                    

  Cite this Code:  CFR                                                         
                                                                                                                
  To cite the regulations in this volume use title, part                       
  and section number. Thus, 10 CFR 0.735-1 refers to                          
  title 10, part 0, section 735-1.                                            
                                  ----------------------------------------------------------                    
                                                                                                                


[[Page v]]

                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 1997), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I), and Acts Requiring Publication 
in the Federal Register (Table II). A list of CFR titles, chapters, and 
parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.

[[Page vii]]

    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408.
SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO 
Customer Service call 202-512-1803.

                              Richard L. Claypoole,
                                    Director,
                          Office of the Federal Register.

January 1, 1997.



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                               THIS TITLE

    Title 10--Energy is composed of four volumes. The parts in these 
volumes are arranged in the following order: parts 0-50, 51-199, 200-499 
and part 500-end. The first and second volumes containing parts 0-199 
are comprised of chapter I-- Nuclear Regulatory Commission. The third 
and fourth volumes containing part 200-end are comprised of chapters II, 
III and X--Department of Energy, chapter XI--United States Enrichment 
Corporation, chapter XV--Office of the Federal Inspector for the Alaska 
Natural Gas Transportation System, and chapter XVII--Defense Nuclear 
Facilities Safety Board. The contents of these volumes represent all 
current regulations codified under this title of the CFR as of January 
1, 1997.

    For this volume, Brian Swidal was Chief Editor. The Code of Federal 
Regulations publication program is under the direction of Frances D. 
McDonald, assisted by Alomha S. Morris.

[[Page x]]



 
[[Page 1]]



                            TITLE 10--ENERGY




                   (This book contains parts 0 to 50)

  --------------------------------------------------------------------
                                                                    Part
Chapter I--Nuclear Regulatory Commission....................           0

[[Page 3]]



              CHAPTER I--NUCLEAR REGULATORY COMMISSION




Part                                                                Page
0               Conduct of employees........................           5
1               Statement of organization and general 
                    information.............................           6
2               Rules of practice for domestic licensing 
                    proceedings and issuance of orders......          18
4               Nondiscrimination in Federally assisted 
                    Commission programs.....................         138
7               Advisory committees.........................         169
8               Interpretations.............................         179
9               Public records..............................         185
10              Criteria and procedures for determining 
                    eligibility for access to restricted 
                    data or national security information or 
                    an employment clearance.................         214
11              Criteria and procedures for determining 
                    eligibility for access to or control 
                    over special nuclear material...........         227
12              Implementation of the Equal Access to 
                    Justice Act in agency proceedings.......         234
13              Program fraud civil remedies................         240
14              Administrative claims under Federal Tort 
                    Claims Act..............................         256
15              Debt collection procedures..................         262
16              Salary offset procedures for collecting 
                    debts owed by Federal employees to the 
                    Federal government......................         272
19              Notices, instructions and reports to 
                    workers: inspection and investigations..         276
20              Standards for protection against radiation..         283
21              Reporting of defects and noncompliance......         384
25              Access authorization for licensee personnel.         391
26              Fitness for duty programs...................         398
30              Rules of general applicability to domestic 
                    licensing of byproduct material.........         423
31              General domestic licenses for byproduct 
                    material................................         458
32              Specific domestic licenses to manufacture or 
                    transfer certain items containing 
                    byproduct material......................         465
33              Specific domestic licenses of broad scope 
                    for byproduct material..................         494

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34              Licenses for radiography and radiation 
                    safety requirements for radiographic 
                    operations..............................         498
35              Medical use of byproduct material...........         508
36              Licenses and radiation safety requirements 
                    for irradiators.........................         543
39              Licenses and radiation safety requirements 
                    for well logging........................         557
40              Domestic licensing of source material.......         568
50              Domestic licensing of production and 
                    utilization facilities..................         620

  Editorial Note: Chapter I--Nuclear Regulatory Commission is continued 
in the volume containing 10 CFR parts 51 to 199.

[[Page 5]]



PART 0--CONDUCT OF EMPLOYEES--Table of Contents




                           Subpart A--General

Sec.
0.735-1  Cross-reference to employee ethical conduct standards and 
          financial disclosure regulations.

              Subpart B--Conflict of Interest Restrictions

0.735-2  Exemptions for financial interests.

                          Subpart C--[Reserved]

   Subpart D--Restrictions Imposed by NRC Administrative Decision on 
                    Conduct of Employees--[Reserved]

    Authority: Secs. 25, 161, 68 Stat. 9925, 948, as amended (42 U.S.C. 
2035, 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); E.O. 
12674, 54 FR 15159, 3 CFR, 1989 Comp., p. 215, as modified by E.O. 
12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 306, 5 CFR 2635.105 and 
2635.402(d)(1). Section 0.735-2, also issued under 5 U.S.C. 552, 553.

    Source: 31 FR 4502, Mar. 17, 1966, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 0 appear at 56 FR 
29407, June 27, 1991.



                           Subpart A--General



Sec. 0.735-1  Cross-reference to employee ethical conduct standards and financial disclosure regulations.

    Employees of the Nuclear Regulatory Commission (NRC) are subject to 
the executive branch-wide Standards of Ethical Conduct at 5 CFR part 
2635, the NRC regulation at 5 CFR part 5801 which supplements the 
executive branch-wide standards, and the executive branch-wide financial 
disclosure regulations at 5 CFR part 2634.

[59 FR 17460, Apr. 13, 1994]



              Subpart B--Conflict of Interest Restrictions



Sec. 0.735-2  Exemptions for financial interests.

    (a) Exemption of remote or inconsequential financial interests. (1) 
In accordance with the provisions of 18 U.S.C. 208(b)(2), the NRC has 
exempted the following financial interests from 18 U.S.C. 208(a) upon 
the ground that such interests are too remote or too inconsequential to 
affect the integrity of its employees' services:
    (i) Financial interests in an enterprise in the form of shares in 
the ownership thereof, including preferred and common stocks whether 
voting or nonvoting, and warrants to purchase such shares;
    (ii) Financial interests in an enterprise in the form of bonds, 
notes, or other evidence of indebtedness;
    (iii) Investments in State or local government bonds and investments 
in shares of a widely held diversified mutual fund or regulated 
investment company, except holdings in mutual investment funds or 
regulated investment companies dealing primarily in atomic energy 
stocks; Provided, That in the case of paragraph (a)(1) (i) and (ii) of 
this section:
    (A) The total market value of the financial interests described in 
said subdivisions with respect to any individual enterprise does not 
exceed $1000; and
    (B) The holdings in any class of shares, or bonds, or other 
evidences of indebtedness, of the enterprise do not exceed 1 percent of 
the dollar value of the outstanding shares, or bonds or other evidences 
of indebtedness in said class.
    (2) Where a person covered by this exemption is a member of a group 
organized for the purpose of investing in equity or debt securities, the 
interest of such person in any enterprise in which the group holds 
securities shall be based upon said person's equity share of the 
holdings of the group in that enterprise.
    (3) For purposes of paragraph (a)(1) of this section, computations 
of dollar value of financial interests in corporations shall be by means 
of:
    (i) Market value in the case of stocks listed on national exchanges; 
or
    (ii) Over-the-counter market quotations as reported by the National 
Daily Quotation Service in the case of unlisted stocks; or
    (iii) By means of net book value (i.e. assets less liabilities) in 
the case of stocks not covered by the preceding two categories. With 
respect to debt securities, face value shall be used for valuation 
purposes.

[[Page 6]]

    (4) The dollar value and percentage of financial interests listed 
above in paragraph (a)(1) of this section shall be computed as of the 
date on which the employee first participated personally and 
substantially in any particular matter, within the meaning of 18 U.S.C. 
208(a), relating to the enterprise concerned. The dollar value and 
percentage so computed shall govern during the entire period that the 
employee participates in the particular matter unless, after the date of 
computation, the employee, or other person or organization referred to 
in paragraph (a) of this section acquires an additional interest in the 
same enterprise. In the event of such subsequent acquisition, the dollar 
value and percentage shall be recomputed as of the date of the 
subsequent acquisition. If, as a result of the subsequent acquisition, 
the dollar value and percentage computed exceeds the limitations 
described in paragraph (a)(1) of this section, the general exemption 
provided therein shall no longer be applicable and an ad hoc exemption 
must be sought in accordance with the provisions of 18 U.S.C. 208(b)(1).
    (b) Special exemption for special Government employees. Federal 
Personnel Manual Chapter 735, Appendix C provides that a special 
Government employee should in general be disqualified from participating 
as such in a matter of any type the outcome of which will have a direct 
and predictable effect upon the financial interests covered by 18 U.S.C. 
208. However, that chapter states that the power of exemption may be 
exercised in this situation ``if the special Government employee renders 
advice of a general nature from which no preference or advantage over 
others might be gained by any particular person or organization.'' It is 
the policy of the Nuclear Regulatory Commission in conformity with the 
foregoing to exercise the power of exemption pursuant to 18 U.S.C. 
208(b) in such situations.

[58 FR 29951, May 25, 1993. Redesignated and amended at 59 FR 17460, 
Apr. 13, 1994]



                          Subpart C--[Reserved]



   Subpart D--Restrictions Imposed by NRC Administrative Decision on 
                    Conduct of Employees--[Reserved]



PART 1--STATEMENT OF ORGANIZATION AND GENERAL INFORMATION--Table of Contents




                         Subpart A--Introduction

Sec.
1.1  Creation and authority.
1.3  Sources of additional information.
1.5  Location of principal offices and Regional Offices.

                         Subpart B--Headquarters

1.11  The Commission.

                            Inspector General

1.12  Office of the Inspector General.

                     Panels, Boards, and Committees

1.13  Advisory Committee on Reactor Safeguards.
1.15  Atomic Safety and Licensing Board Panel.
1.18  Advisory Committee on Nuclear Waste.
1.19  Other committees, boards, and panels.

                            Commission Staff

1.23  Office of the General Counsel.
1.24  Office of Commission Appellate Adjudication.
1.25  Office of the Secretary of the Commission.
1.26  [Reserved]
1.27  Office of Congressional Affairs.
1.28  Office of Public Affairs.
1.29  Office of International Programs.

                    Executive Director for Operations

1.31  Office of the Executive Director for Operations.

                              Staff Offices

1.32  Office of Enforcement.
1.33  Office of Administration.
1.34  Office of Information Resources Management.
1.35  Office for Analysis and Evaluation of Operational Data.
1.36  Office of Investigations.
1.37  Office of Small Business and Civil Rights.
1.38  Office of the Controller.
1.39  Office of Personnel.

[[Page 7]]

1.40  [Reserved]
1.41  Office of State Programs.

                             Program Offices

1.42  Office of Nuclear Material Safety and Safeguards.
1.43  Office of Nuclear Reactor Regulation.
1.45  Office of Nuclear Regulatory Research.
1.47  NRC Regional Offices.

                      Subpart C--NRC Seal and Flag

1.51  Description and custody of NRC seal.
1.53  Use of NRC seal or replicas.
1.55  Establishment of official NRC flag.
1.57  Use of NRC flag.
1.59  Report of violations.

    Authority: Sec. 23, 161, 68 Stat. 925, 948, as amended (42 U.S.C. 
2033, 2201); sec. 29, Pub. L. 85-256, 71 Stat. 579, Pub. L. 95-209, 91 
Stat. 1483 (42 U.S.C. 2039); sec. 191, Pub. L. 87-615, 76 Stat. 409 (42 
U.S.C. 2241); secs. 201, 203, 204, 205, 209, 88 Stat. 1242, 1244, 1245, 
1246, 1248, as amended (42 U.S.C. 5841, 5843, 5844, 5845, 5849); 5 
U.S.C. 552, 553; Reorganization Plan No. 1 of 1980, 45 FR 40561, June 
16, 1980.

    Source: 52 FR 31602, Aug. 21, 1987, unless otherwise noted.



                         Subpart A--Introduction



Sec. 1.1   Creation and authority.

    (a) The Nuclear Regulatory Commission was established by the Energy 
Reorganization Act of 1974, as amended, Pub. L. 93-438, 88 Stat. 1233 
(42 U.S.C. 5801 et seq.). This Act abolished the Atomic Energy 
Commission and, by section 201, transferred to the Nuclear Regulatory 
Commission all the licensing and related regulatory functions assigned 
to the Atomic Energy Commission by the Atomic Energy Act of 1954, as 
amended, Pub. L. 83-703, 68 Stat. 919 (42 U.S.C. 2011 et seq.). These 
functions included those of the Atomic Safety and Licensing Board Panel. 
The Energy Reorganization Act became effective January 19, 1975 (E.O. 
11834).
    (b) As used in this part:
    Commission means the five members of the Nuclear Regulatory 
Commission or a quorum thereof sitting as a body, as provided by section 
201 of the Energy Reorganization Act of 1974, as amended.
    NRC means the Nuclear Regulatory Commission, the agency established 
by title II of the Energy Reorganization Act of 1974, as amended, 
comprising the members of the Commission and all offices, employees, and 
representatives authorized to act in any case or matter.

[52 FR 31602, Aug. 21, 1987, as amended at 56 FR 29407, June 27, 1991]



Sec. 1.3  Sources of additional information.

    (a) A statement of the NRC's organization, policies, procedures, 
assignments of responsibility, and delegations of authority is in the 
Nuclear Regulatory Commission Manual and other elements of the NRC's 
Management Directives System, including local directives issued by 
Regional Offices. Letters/memoranda delegations of authority are also 
issued from time to time that have not yet been incorporated into the 
Manual, parts of which are republished periodically. Copies of the 
Manual and other delegations of authority are available for public 
inspection and copying for a fee at the NRC Public Document Room, 2120 L 
Street, NW., Washington, DC, and at each of NRC's Regional Offices. 
Information may also be obtained from the Office of Public Affairs or 
from Public Affairs Officers at the Regional Offices. In addition, ``NRC 
Functional Organization Charts'' (NUREG-0325) contains detailed 
descriptions of the functional responsibilities of NRC's offices. It is 
revised annually and is available for public inspection at the NRC 
Public Document Room or for purchase from the Superintendent of 
Documents, U.S. Government Printing Office, P.O. Box 37082, Washington, 
DC 20013-7082; or from the National Technical Information Service, 
Springfield, VA 22161.
    (b) Commission meetings are open to the public, as provided by the 
Government in the Sunshine Act, unless they fall within an exemption to 
the Act's openness requirement and the Commission also has determined 
that the public interest requires that those particular meetings be 
closed. Information concerning Commission meetings may be obtained from 
the Office of the Secretary.
    (c) Information regarding the availability of NRC records under the 
Freedom of Information Act and the Privacy Act of 1974 may be obtained 
from the Division of Freedom of Information

[[Page 8]]

and Publications Services, Office of Administration. NRC's regulations 
are published in the Federal Register and codified in title 10, chapter 
I, of the Code of Federal Regulations. They are also published in 
looseleaf form as ``NRC Rules and Regulations,'' and available on a 
subscription basis from the Superintendent of Documents, U.S. Government 
Printing Office, P.O. Box 37082, Washington, DC 20013-7082. Final 
opinions made in the adjudication of cases are published in ``Nuclear 
Regulatory Commission Issuances,'' and available on a subscription basis 
from the National Technical Information Service, 5285 Port Royal Road, 
Springfield, VA 22161.

[52 FR 31602, Aug. 21, 1987, as amended at 53 FR 43419, Oct. 27, 1988; 
53 FR 52993, Dec. 30, 1988; 54 FR 53313, Dec. 28, 1989; 57 FR 1639, Jan. 
15, 1992]



Sec. 1.5   Location of principal offices and Regional Offices.

    (a) The principal NRC offices are located in the Washington, DC, 
area. Facilities for the service of process and papers are maintained 
within the District of Columbia at 2120 L Street NW., and in the State 
of Maryland at 11555 Rockville Pike, Rockville, Maryland 20852-2738. The 
agency's official mailing address is U.S. Nuclear Regulatory Commission, 
Washington, DC 20555-0001. The locations of NRC offices in the 
Washington, DC area are as follows:
    (1) Gelman Building, 2120 L Street NW., Washington, DC 20037.
    (2) One White Flint North Building, 11555 Rockville Pike, Rockville, 
Maryland 20852-2738.
    (3) Two White Flint North Building, 11545 Rockville Pike, Rockville, 
Maryland 20852-2738.
    (b) The addresses of the NRC Regional Offices are as follows:
    (1) Region I, USNRC, 475 Allendale Road, King of Prussia, PA 19406-
1415.
    (2) Region II, USNRC, 101 Marietta Street, NW., Suite 2900, Atlanta, 
GA 30323-0199.
    (3) Region III, USNRC, 801 Warrenville Road, Lisle, IL 60532-4351.
    (4) Region IV, USNRC, 611 Ryan Plaza Drive, Suite 400, Arlington, TX 
76011-8064.
    (5) USNRC Region IV Walnut Creek Field Office, 1450 Maria Lane, 
Suite 300, Walnut Creek, CA 94596-5368.

[59 FR 63882, Dec. 12, 1994]



                         Subpart B--Headquarters



Sec. 1.11  The Commission.

    (a) The Nuclear Regulatory Commission, composed of five members, one 
of whom is designated by the President as Chairman, is established 
pursuant to section 201 of the Energy Reorganization Act of 1974, as 
amended. The Chairman is the principal executive officer of the 
Commission, and is responsible for the executive and administrative 
functions with respect to appointment and supervision of personnel, 
except as otherwise provided by the Energy Reorganization Act of 1974, 
as amended, and Reorganizaton Plan No. 1 of 1980 (45 FR 40561); 
distribution of business; use and expenditures of funds (except that the 
function of revising budget estimates and purposes is reserved to the 
Commission); and appointment, subject to approval of the Commission, of 
heads of major administrative units under the Commission. The Chairman 
is the official spokesman, as mandated by the Reorganization Plan No. 1 
of 1980. The Chairman has ultimate authority for all NRC functions 
pertaining to an emergency involving an NRC Licensee. The Chairman's 
actions are governed by the general policies of the Commission.
    (b) The Commission is responsible for licensing and regulating 
nuclear facilities and materials and for conducting research in support 
of the licensing and regulatory process, as mandated by the Atomic 
Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, 
as amended; and the Nuclear Nonproliferation Act of 1978; and in 
accordance with the National Environmental Policy Act of 1969, as 
amended, and other applicable statutes. These responsibilities include 
protecting public health and safety, protecting the environment, 
protecting and safeguarding nuclear materials and nuclear power plants 
in the interest of national security, and assuring conformity with 
antitrust laws. Agency functions are performed through standards setting

[[Page 9]]

and rulemaking; technical reviews and studies; conduct of public 
hearings; issuance of authorizations, permits, and licenses; inspection, 
investigation, and enforcement; evaluation of operating experience; and 
confirmatory research. The Commission is composed of five members, 
appointed by the President and confirmed by the Senate.
    (c) The following staff units and officials report directly to the 
Commission: Atomic Safety and Licensing Board Panel, Office of the 
General Counsel, Office of the Secretary, Office of Commission Appellate 
Adjudication, Office of International Programs, and other committees and 
boards that are authorized or established specifically by the Act. The 
Advisory Committee on Reactor Safeguards and the Advisory Committee on 
Nuclear Waste also report directly to the Commission.
    (d) The Offices of Congressional Affairs and Public Affairs report 
directly to the Chairman.

[52 FR 31602, Aug. 21, 1987, as amended at 57 FR 1639, Jan. 15, 1992; 59 
FR 63882, Dec. 12, 1994]

                            Inspector General



Sec. 1.12   Office of the Inspector General.

The Office of the Inspector General--
    (a) Develops policies and standards that govern NRC's financial and 
management audit program;
    (b) Plans, directs, and executes the long-range, comprehensive audit 
program;
    (c) Conducts and reports on investigations and inquiries, as 
necessary, to ascertain and verify the facts with regard to the 
integrity of all NRC programs and operations;
    (d) Investigates possible irregularities or alleged misconduct of 
NRC employees and contractors;
    (e) Refers suspected or alleged criminal violations concerning NRC 
employees or contractors to the Department of Justice;
    (f) Reviews existing and proposed legislation and regulations for 
their impact on economy and efficiency in the administration of NRC's 
programs and operations;
    (g) Keeps the Commission and the Congress fully and currently 
informed, by means of semiannual and other reports, about fraud, abuse, 
and other serious deficiencies in NRC's programs and operations; and
    (h) Maintains liaison with audit and inspector general organizations 
and other law enforcement agencies in regard to all matters relating to 
the promotion of economy and efficiency and the detection of fraud and 
abuse in programs and operations.

[54 FR 53313, Dec. 28, 1989]

                     Panels, Boards, and Committees



Sec. 1.13  Advisory Committee on Reactor Safeguards.

    The Advisory Committee on Reactor Safeguards (ACRS) was established 
by section 29 of the Atomic Energy Act of 1954, as amended. Consisting 
of a maximum of 15 members, it reviews and reports on safety studies and 
applications for construction permits and facility operating licenses; 
advises the Commission with regard to hazards of proposed or existing 
reactor facilities and the adequacy of proposed reactor safety 
standards; upon request of the Department of Energy (DOE), reviews and 
advises with regard to the hazards of DOE nuclear activities and 
facilities; reviews any generic issues or other matters referred to it 
by the Commission for advice. The Committee, on its own initiative, may 
conduct reviews of specific generic matters or nuclear facility safety-
related items. The ACRS conducts studies of reactor safety research and 
submits reports thereon to the U.S. Congress and the NRC as appropriate.



Sec. 1.15  Atomic Safety and Licensing Board Panel.

    The Atomic Safety and Licensing Board Panel, established pursuant to 
section 191 of the Atomic Energy Act of 1954, as amended, conducts 
hearings for the Commission and such other regulatory functions as the 
Commission authorizes. The Panel is comprised of any number of 
Administrative Judges (full-time and part-time), who may be lawyers, 
physicists, engineers, and environmental scientists; and Administrative 
Law Judges, who hear antitrust, civil penalty, and other cases and serve 
as Atomic Safety and Licensing Board Chairmen. The Chief Administrative

[[Page 10]]

Judge develops and applies procedures governing the activities of 
Boards, Administrative Judges, and Administrative Law Judges and makes 
appropriate recommendations to the Commission concerning the rules 
governing the conduct of hearings. The Panel conducts all licensing and 
other hearings as directed by the Commission primarily through 
individual Atomic Safety and Licensing Boards composed of one or three 
Administrative Judges. Those boards are appointed by either the 
Commission or the Chief Administrative Judge.



Sec. 1.18   Advisory Committee on Nuclear Waste.

    The Advisory Committee on Nuclear Waste (ACNW) provides advice to 
the Commission on all aspects of nuclear waste management, as 
appropriate, within the purview of NRC's regulatory responsibilities. 
The primary emphasis of the ACNW is disposal but will also include other 
aspects of nuclear waste management such as handling, processing, 
transportation, storage, and safeguarding of nuclear wastes including 
spent fuel, nuclear wastes mixed with other hazardous substances, and 
uranium mill tailings. In performing its work, the committee examines 
and reports on specific areas of concern referred to it by the 
Commission or designated representatives of the Commission, and 
undertakes studies and activities on its own initiative as appropriate 
to carry out its responsibilities. The committee interacts with 
representatives of NRC, other Federal agencies, state and local 
governments, Indian Tribes, and private organizations, as appropriate, 
to fulfill its responsibilities.

[54 FR 53314, Dec. 28, 1989]



Sec. 1.19  Other committees, boards, and panels.

    Under section 161a. of the Atomic Energy Act of 1954, as amended, 
the Commission may establish advisory bodies to make recommendations to 
it. Currently, four committees are in existence.
    (a) The Advisory Committee on Medical Uses of Isotopes (ACMUI) was 
established by the Atomic Energy Commission in July 1958. The ACMUI, 
composed of physicians and scientists, considers medical questions 
referred to it by the NRC staff and renders expert opinions regarding 
medical uses of radioisotopes. The ACMUI also advises the NRC staff, as 
requested, on matters of policy regarding licensing of medical uses of 
radioisotopes.
    (b) The Advisory Committee for the Decontamination of Three Mile 
Island, Unit 2, was established by the NRC in October 1980. Its purpose 
is to obtain input and views from the residents of the Three Mile Island 
area and afford Pennsylvania government officials an opportunity to 
participate in the Commission's decisional process regarding cleanup for 
Three Mile Island, Unit 2.
    (c) The Nuclear Safety Research Review Committee (NSRRC) was 
established by the NRC in February 1988 for the purpose of reporting to 
the Commission through the Director of the Office of Nuclear Regulatory 
Research on important management matters in the direction of the 
Commission's nuclear safety research program. The committee activities 
cover all aspects of nuclear safety research including, but not limited 
to, accident management, plant aging, human factors and system 
reliability, earth science, waste disposal and seismic and structural 
engineering. In performing its activities, the committee evaluates and 
reports on the conformance of the nuclear safety research program to the 
NRC philosophy of nuclear regulatory research. The committee conducts 
specialized studies when requested by the Commission or Director of the 
Office of Nuclear Regulatory Research. The committee interacts with the 
Office of Research management staff and selected contractors in private 
industry, at national laboratories and universities.
    (d) The Licensing Support System Advisory Review Panel (LSSARP) was 
established by the Commission on October 3, 1989, pursuant to 10 CFR 
2.1011(e) of the Commission's regulations. The LSSARP provides advice to 
the Commission on the design, development, and operation of the 
Licensing Support System (LSS), an electronic information management 
system for use in the Commission's high-level radioactive waste (HLW) 
licensing proceeding. Membership consists of those

[[Page 11]]

interests that will be affected by the use of the LSS, and selected 
Federal agencies with expertise in large-scale electronic information 
systems. The individual representatives of these interests and agencies 
possess expertise in management information science and in managing 
records of the Commission's licensing process for the HLW repository.

[52 FR 31602, Aug. 21, 1987, as amended at 54 FR 53314, Dec. 28, 1989]

                            Commission Staff



Sec. 1.23  Office of the General Counsel.

    The Office of the General Counsel, established pursuant to section 
25 of the Atomic Energy Act of 1954, as amended--
    (a) Directs matters of law and legal policy, providing opinions, 
advice, and assistance to the agency with respect to all of its 
activities;
    (b) Reviews and prepares appropriate draft Commission decisions on 
public petitions seeking direct Commission action and rulemaking 
proceedings involving hearings, monitors cases pending before presiding 
officers and reviews draft Commission decisions on Atomic Safety and 
Licensing Board decisions and rulings;
    (c) Provides interpretation of laws, regulations, and other sources 
of authority;
    (d) Reviews the legal form and content of proposed official actions;
    (e) Prepares or concurs in all contractual documents, interagency 
agreements, delegations of authority, regulations, orders, licenses, and 
other legal documents and prepares legal interpretations thereof;
    (f) Reviews and directs intellectual property (patent) work;
    (g) Represents and protects the interests of the NRC in legal 
matters and in court proceedings, and in relation to other government 
agencies, administrative bodies, committees of Congress, foreign 
governments, and members of the public; and
    (h) Represents the NRC staff as a party in NRC administrative 
hearings.

[52 FR 31602, Aug. 21, 1987, as amended at 56 FR 29407, June 27, 1991]



Sec. 1.24  Office of Commission Appellate Adjudication.

    The Office of Commission Appellate Adjudication--
    (a) Monitors cases pending before presiding officers;
    (b) Provides the Commission with an analysis of any adjudicatory 
matter requiring a Commission decision (e.g., petitions for review, 
certified questions, stay requests) including available options;
    (c) Drafts any necessary decisions pursuant to the Commission's 
guidance after presentation of options; and
    (d) Consults with the Office of the General Counsel in identifying 
the options to be presented to the Commission and in drafting the final 
decision to be presented to the Commission.

[56 FR 29407, June 27, 1991]



Sec. 1.25  Office of the Secretary of the Commission.

    The Office of the Secretary of the Commission--
    (a) Provides general management services to support the Commission 
and to implement Commission decisions; and advises and assists the 
Commission and staff on the planning, scheduling, and conduct of 
Commission business including preparation of internal procedures;
    (b) Prepares the Commission's meeting agenda;
    (c) Manages the Commission Staff Paper and COMSECY systems;
    (d) Receives, processes, and controls Commission mail, 
communications, and correspondence;
    (e) Maintains the Commission's official records and acts as Freedom 
of Information administrative coordinator for Commission records;
    (f) Codifies Commission decisions in memoranda directing staff 
action and monitors compliance;
    (g) Receives, processes, and controls motions and pleadings filed 
with the Commission; issues and serves adjudicatory orders on behalf of 
the Commission; receives and distributes public comments in rulemaking 
proceedings, issues proposed and final rules on behalf of the 
Commission; maintains the official adjudicatory and rulemaking

[[Page 12]]

dockets of the Commission; and exercises responsibilities delegated to 
the Secretary in 10 CFR 2.702 and 2.772;
    (h) Directs and administers the Headquarters NRC Public Document 
Room;
    (i) Administers the NRC Historical Program;
    (j) Integrates office automation initiatives into the Commission's 
administrative system;
    (k) Functions as the NRC Federal Advisory Committee Management 
Officer; and
    (l) Provides guidance and direction on the use of the NRC seal and 
flag.
Sec. 1.26  [Reserved]



Sec. 1.27  Office of Congressional Affairs.

    The Office of Congressional Affairs--
    (a) Advises the Chairman, the Commission, and NRC staff on all NRC 
relations with Congress and the views of Congress toward NRC policies, 
plans and activities;
    (b) Maintains liaison with Congressional committees and members of 
Congress on matters of interest to NRC;
    (c) Serves as primary contact point for all NRC communications with 
Congress;
    (d) Coordinates NRC internal activities with Congress;
    (e) Plans, develops, and manages NRC's legislative programs; and
    (f) Monitors legislative proposals, bills, and hearings.

[57 FR 1639, Jan. 15, 1992]



Sec. 1.28  Office of Public Affairs.

    The Office of Public Affairs--
    (a) Develops policies, programs, and procedures for the Chairman's 
approval for informing the public of NRC activities;
    (b) Prepares, clears, and disseminates information to the public and 
the news media concerning NRC policies, programs, and activities;
    (c) Keeps NRC management informed on media coverage of activities of 
interest to the agency;
    (d) Plans, directs, and coordinates the activities of public 
information staffs located at Regional Offices;
    (e) Conducts a cooperative program with schools; and
    (f) Carries out assigned activities in the area of consumer affairs.

[57 FR 1639, Jan. 15, 1992]



Sec. 1.29  Office of International Programs.

    The Office of International Programs--
    (a) Advises the Chairman, the Commission, and NRC staff on 
international issues;
    (b) Recommends policies concerning nuclear exports and imports, 
international safeguards, international physical security, 
nonproliferation matters, and international cooperation and assistance 
in nuclear safety and radiation protection;
    (c) Plans, develops, and manages international nuclear safety 
information exchange programs and coordinates international research 
agreements;
    (d) Obtains, evaluates, and uses pertinent information from other 
NRC and U.S. Government offices in processing nuclear export and import 
license applications;
    (e) Establishes and maintains working relationships with individual 
countries and international nuclear organizations, as well as other 
involved U.S. Government agencies; and
    (f) Assures that all international activities carried out by the 
Commission and staff are well coordinated internally and Government-wide 
and are consistent with NRC and U.S. policies.

[57 FR 1639, Jan. 15, 1992]

                    Executive Director for Operations



Sec. 1.31  Office of the Executive Director for Operations.

    (a) The Executive Director for Operations (EDO) reports for all 
matters to the Chairman, and is subject to the supervision and direction 
of the Chairman as provided in Reorganization Plan No. 1 of 1980.
    (b) The EDO supervises and coordinates policy development and 
operational activities in the following line offices: The Office of 
Nuclear Reactor Regulation, the Office of Nuclear Material Safety and 
Safeguards, the Office of Nuclear Regulatory Research, and

[[Page 13]]

the NRC Regional Offices; and the following staff offices: The Office of 
Enforcement, the Office of Administration, the Office of Information 
Resources Management, the Office of the Controller, the Office of 
Investigations, the Office for Analysis and Evaluation of Operational 
Data, the Office of Small Business and Civil Rights, the Office of 
Personnel, the Office of State Programs, and other organizational units 
as shall be assigned by the Commission. The EDO is also responsible for 
implementation of the Commission's policy directives pertaining to these 
offices.
    (c) The EDO exercises powers and functions delegated to the EDO 
under the Reorganization Plan No. 1 of 1980, this chapter, or otherwise 
by the Commission or Chairman, as appropriate. The EDO has the authority 
to perform any function that may be performed by an office director 
reporting to the EDO.
    (d) The EDO reviews compliance of the Licensing Support System (LSS) 
participants with the applicable LSS rules, including DOE compliance 
with the document submission requirements in 10 CFR 2.1003.

[54 FR 53314, Dec. 28, 1989, as amended at 59 FR 63882, Dec. 12, 1994]

                              Staff Offices



Sec. 1.32  Office of Enforcement.

    The Office of Enforcement--
    (a) Develops policies and programs for enforcement of NRC 
requirements;
    (b) Manages major enforcement actions; and
    (c) Assesses the effectiveness and uniformity of Regional 
enforcement actions.

[54 FR 53315, Dec. 28, 1989]



Sec. 1.33  Office of Administration.

    The Office of Administration--
    (a) Develops and implements agency-wide contracting policies and 
procedures;
    (b) Develops policies and procedures and manages the operation and 
maintenance of NRC offices, facilities, and equipment;
    (c) Plans, develops, establishes, and administers policies, 
standards, and procedures for the overall NRC security program;
    (d) Develops and implements policies and procedures for 
administering the Freedom of Information, Privacy, and Regulatory 
Flexibility Acts and the LPDR program, and for providing editorial and 
related publications services; and
    (e) Manages the production, printing, and copying of NUREGs and 
other official NRC publications and maintains NRC liaison with the Joint 
Committee on Printing.

[54 FR 53315, Dec. 28, 1989]



Sec. 1.34  Office of Information Resources Management.

    The Office of Information Resources Management--
    (a) Manages the centralized information resources of the agency in 
the areas of computer hardware and software, systems development, 
telecommunications, and information support services including document 
control and distribution, central files, records management and 
services, the Library, and graphics; and
    (b) Participates in the review of information resources management 
policies, practices, and procedures on an NRC-wide basis, and in 
consultation with cognizant officials, makes recommendations for 
appropriate improvements.
    (c) Provides oversight and quality assurance for the design and 
operation of the Licensing Support System (LSS) services and for the 
completeness and integrity of the LSS database, ensures that the LSS 
meets the requirements of 10 CFR Part 2, Subpart J, concerning the use 
of the LSS in the Commission's high-level waste licensing proceedings, 
and provides technical oversight of DOE in the design, development, and 
operation of the LSS.

[54 FR 53315, Dec. 28, 1989, as amended at 59 FR 63882, Dec. 12, 1994]



Sec. 1.35  Office for Analysis and Evaluation of Operational Data.

    The Office for Analysis and Evaluation of Operational Data--
    (a) Analyzes and evaluates operational safety data associated with 
NRC-licensed activities to identify safety issues that require NRC or 
industry action;

[[Page 14]]

    (b) Provides timely feedback of findings and evaluations to NRC 
staff, licensees, Congress, the public, and organizations, as 
appropriate;
    (c) Identifies NRC needs for operational data and related technical 
information and provides the NRC focal point for coordination of generic 
operational safety data and systems with the industry and other 
agencies;
    (d) Develops and manages the NRC program for response to incidents 
and emergencies, including the timely notification of events to NRR, 
NMSS, and the Regions, as appropriate;
    (e) Develops and provides appropriate technical training for NRC 
staff;
    (f) Develops and manages the agency program for reactor performance 
indicators;
    (g) Develops and directs the agency program for diagnostic 
evaluations and for investigation of significant operational incidents;
    (h) Manages and conducts the support functions for the Committee to 
Review Generic Requirements (CRGR) in a manner that is consistent with 
CRGR charter; and
    (i) Ensures the administrative processes and functions specified in 
the CRGR charter are implemented in a thorough and timely manner.



Sec. 1.36  Office of Investigations.

    The Office of Investigations (OI)--
    (a) Conducts investigations of licensees, applicants, their 
contractors or vendors, including the investigation of all allegations 
of wrongdoing by other than NRC employees and contractors;
    (b) Maintains current awareness of inquiries and inspections by 
other NRC offices to identify the need for formal investigations;
    (c) Makes appropriate referrals to the Department of Justice;
    (d) Maintains liaison with other agencies and organizations to 
ensure the timely exchange of information of mutual interest; and
    (e) Issues subpoenas where necessary or appropriate for the conduct 
of investigations.

[54 FR 53315, Dec. 28, 1989]



Sec. 1.37  Office of Small Business and Civil Rights.

    The Office of Small Business and Civil Rights--
    (a) Develops and implements an effective small and disadvantaged 
business program in accordance with the Small Business Act, as amended, 
and plans and implements NRC policies and programs relating to equal 
employment oppportunity and civil rights matters as required by the 
Equal Employment Opportunity Commission (EEOC) and the Office of 
Personnel Management (OPM);
    (b) Ensures that appropriate consideration is given to Labor Surplus 
Area firms and Women Business Enterprises, and conducts an outreach 
program aimed at contractors desiring to do business with NRC;
    (c) Maintains liaison with other Government agencies and trade 
associations;
    (d) Coordinates efforts with the Director, Division of Contracts, 
and Directors of other affected offices;
    (e) Develops and recommends for approval by the Executive Director 
for Operations, NRC policy providing for equal employment opportunity in 
all aspects of Federal personnel practice;
    (f) Develops, monitors, and evaluates the agency's equal employment 
opportunity efforts and affirmative action programs to ensure compliance 
with NRC policy;
    (g) Serves as the principal contact with local and national public 
and private organizations to facilitate the NRC equal opportunity 
program; and
    (h) Coordinates all efforts pertaining to small and disadvantaged 
business utilization and equal employment opportunity with Office 
Directors and Regional Administrators.

[52 FR 31602, Aug. 21, 1987, as amended at 59 FR 63882, Dec. 12, 1994]



Sec. 1.38  Office of the Controller.

    The Office of the Controller--
    (a) Prepares the agency's Five-Year Plan and budget;
    (b) Manages all accounting and financial systems management 
functions including payroll, travel, and license fees;

[[Page 15]]

    (c) Provides agency support for employee relocation services and 
internal control activities; and
    (d) Manages the agency's internal control program.


[54 FR 53315, Dec. 28, 1989]



Sec. 1.39  Office of Personnel.

    The Office of Personnel--
    (a) Plans and implements NRC policies, programs, and services to 
provide for the effective organization, utilization, and development of 
the agency's human resources;
    (b) Provides labor relations and personnel policy guidance and 
supporting services to NRC managers and employees;
    (c) Provides training, benefits administration, and counseling 
services for NRC employees;
    (d) Collects, analyzes, and provides data on the characteristics, 
allocation, utilization, and retention of NRC's workforce;
    (e) Provides staffing advice and services to NRC managers and 
employees; and
    (f) Provides executive resources management and organizational and 
managerial development services to the NRC.
Sec. 1.40  [Reserved]



Sec. 1.41  Office of State Programs.

    The Office of State Programs--
    (a) Plans and directs NRC's program of cooperation and liaison with 
States, local governments, interstate and Indian Tribe organizations; 
and coordinates liaison with other Federal Agencies;
    (b) Participates in formulation of policies involving NRC/State 
cooperation and liaison;
    (c) Develops and directs administrative and contractual programs for 
coordinating and integrating Federal and State regulatory activities;
    (d) Maintains liaison between NRC and State, interstate, regional, 
Indian Tribe, and quasi-governmental organizations on regulatory 
matters;
    (e) Promotes NRC visibility and performs general liaison with other 
Federal Agencies, and keeps NRC management informed of significant 
developments at other Federal Agencies which affect the NRC;
    (f) Monitors nuclear-related State legislative activities;
    (g) Directs regulatory activities of State Liaison and State 
Agreement Officers located in Regional Offices;
    (h) Participates in policy matters on State Public Utility 
Commissions (PUCs);
    (i) Administers the State Agreements program in a partnership 
arrangement with the States;
    (j) Develops staff policy and procedures and implementation of the 
State Agreements program under the provisions of section 274b of the 
Atomic Energy Act, as amended;
    (k) Provides oversight of program of periodic routine reviews of 
Agreement State programs to determine their adequacy and compatibility 
as required by section 274j of the Act and other periodic reviews that 
may be performed to maintain a current level of knowledge of the status 
of the Agreement State programs;
    (l) Provides training to the States as provided by section 274i of 
the Act and also to NRC staff and staff of the U.S. Navy and U.S. Air 
Force;
    (m) Provides technical assistance to Agreement States;
    (n) Maintains an exchange of information with the States;
    (o) Conducts negotiations with States expressing an interest in 
seeking a section 274b Agreement;
    (p) Supports, consistent with Commission directives, State efforts 
to improve regulatory control for radiation safety over radioactive 
materials not covered by the Act; and
    (q) Serves as the NRC liaison to the Conference of Radiation Control 
Program Directors, Inc. (CRCPD) and coordinates NRC technical support of 
CRCPD committees.

[57 FR 1639, Jan. 15, 1992, as amended at 59 FR 5519, Feb. 7, 1994]

                             Program Offices



Sec. 1.42  Office of Nuclear Material Safety and Safeguards.

    (a) The Office of Nuclear Material Safety and Safeguards is 
responsible for protecting the public health and

[[Page 16]]

safety, the common defense and security, and the environment by 
licensing, inspection, and environmental impact assessment for all 
nuclear facilities and activities, and for the import and export of 
special nuclear material.
    (b) The Office responsibilities include--
    (1) Development and implementation of NRC policy for the regulation 
of activities involving safety, quality, approval, and inspection of the 
use and handling of nuclear and other radioactive materials, such as 
uranium activities;
    (2) Fuel fabrication and fuel development;
    (3) Medical, industrial, academic, and commercial uses of 
radioactive isotopes;
    (4) Safeguards activities;
    (5) Transportation of nuclear materials, including certification of 
transport containers;
    (6) Out-of-reactor spent fuel storage;
    (7) Safe management and disposal of low-level and high-level 
radioactive wastes;
    (8) Planning and direction of program for financial assurance of 
NMSS licensees; and
    (9) Management of the decommissioning of facilities and sites when 
their licensed functions are over.
    (c) Safeguards responsibilities include--
    (1) Development of overall agency policy;
    (2) Monitoring and assessment of the threat environment, including 
liaison with intelligence agencies, as appropriate; and
    (3) Those licensing and review activities appropriate to deter and 
protect against threats of radiological sabotage and threats of theft or 
diversion of special nuclear material at fuel facilities and during 
transport.
    (d) The Office identifies and takes action to control safety and 
safeguards issues for activities under its responsibility, including 
consulting and coordinating with international, Federal, State, and 
local agencies, as appropriate.

[52 FR 31602, Aug. 21, 1987. Redesignated at 57 FR 1639, Jan. 15, 1992]



Sec. 1.43  Office of Nuclear Reactor Regulation.

    The Office of Nuclear Reactor Regulation--
    (a) Implements regulations and develops and implements policies, 
programs, and procedures for all aspects of licensing, inspection, and 
safeguarding of--
    (1) Manufacturing, production, and utilization facilities, except 
for those concerning fuel reprocessing plants and isotopic enrichment 
plants;
    (2) Receipt, possession, and ownership of source, byproduct, and 
special nuclear material used or produced at facilities licensed under 
10 CFR Part 50;
    (3) Operators of such facilities;
    (4) Emergency preparedness at such facilities; and
    (5) Contractors and suppliers of such facilities.
    (b) Identifies and takes action regarding conditions and licensee 
performance that may adversely affect public health and safety, the 
environment, or the safeguarding of nuclear reactor facilities;
    (c) Assesses and recommends or takes action regarding incidents or 
accidents;
    (d) Provides special assistance as required in matters involving 
reactor facilities exempt from licensing;
    (e) Provides guidance and implementation direction to Regional 
Offices on reactor licensing, inspection, and safeguards programs 
assigned to the Region, and appraises Regional program performance in 
terms of effectiveness and uniformity;
    (f) Performs other functions required for implementation of the 
reactor licensing, inspection, and safeguards programs;
    (g) Performs management of the NRC allegation program; and
    (h) Performs review and evaluation related to regulated facilities 
insurance, indemnity, and antitrust matters.



Sec. 1.45  Office of Nuclear Regulatory Research.

    The Office of Nuclear Regulatory Research--
    (a) Plans, recommends, and implements programs of nuclear regulatory

[[Page 17]]

research, standards development, and resolution of generic safety issues 
for nuclear power plants and other facilities regulated by the NRC;
    (b) Develops and promulgates all technical regulations;
    (c) Coordinates research activities within and outside the agency 
including appointment of staff to committees and conferences; and
    (d) Coordinates NRC participation in international standards-related 
activities and national volunteer standards efforts, including 
appointment of staff to committees.



Sec. 1.47  NRC Regional Offices.

    Each Regional Administrator executes established NRC policies and 
assigned programs relating to inspection, enforcement, licensing, State 
agreements, State liaison, and emergency response within Regional 
boundaries set out in Sec. 1.5(b) of this part.



                      Subpart C--NRC Seal and Flag



Sec. 1.51  Description and custody of NRC seal.

    (a) Pursuant to section 201(a) of the Energy Reorganization Act of 
1974, the Nuclear Regulatory Commission, has adopted an official seal. 
Its description is as follows: An American bald eagle (similar to that 
on the Great Seal of the United States of America) of brown and tan with 
claws and beak of yellow, behind a shield of red, white, and blue, 
clutching a cluster of thirteen arrows in its left claw and a green 
olive branch in its right claw, positioned on a field of white, with the 
words ``United States Nuclear Regulatory Commission'' in dark blue 
encircling the eagle. The eagle represents the United States of America 
and its interests.
    (b) The Official Seal of the Nuclear Regulatory Commission is 
illustrated as follows:
[GRAPHIC] [TIFF OMITTED] TC02OC91.055

    (c) The Secretary of the Commission is responsible for custody of 
the impression seals and of replica (plaque) seals.



Sec. 1.53  Use of NRC seal or replicas.

    (a) The use of the seal or replicas is restricted to the following:
    (1) NRC letterhead stationery;
    (2) NRC award certificates and medals;
    (3) Security credentials and employee identification cards;
    (4) NRC documents, including agreements with States, interagency or 
governmental agreements, foreign patent applications, certifications, 
special reports to the President and Congress and, at the discretion of 
the Secretary of the Commission, such other documents as the Secretary 
finds appropriate;
    (5) Plaques--the design of the seal may be incorporated in plaques 
for display at NRC facilities in locations such as auditoriums, 
presentation rooms, lobbies, offices of senior officials, on the fronts 
of buildings, and other places designated by the Secretary;
    (6) The NRC flag (which incorporates the design of the seal);
    (7) Official films prepared by or for the NRC, if deemed appropriate 
by the Director of Governmental and Public Affairs;
    (8) Official NRC publications that represent an achievement or 
mission of

[[Page 18]]

NRC as a whole, or that are cosponsored by NRC and other Government 
departments or agencies; and
    (9) Any other uses as the Secretary of the Commission finds 
appropriate.
    (b) Any person who uses the official seal in a manner other than as 
permitted by this section shall be subject to the provisions of 18 
U.S.C. 1017, which provides penalties for the fraudulent or wrongful use 
of an official seal, and to other provisions of law as applicable.



Sec. 1.55  Establishment of official NRC flag.

    The official flag is based on the design of the NRC seal. It is 50 
inches by 66 inches in size with a 38-inch diameter seal incorporated in 
the center of a dark blue field with a gold fringe.



Sec. 1.57  Use of NRC flag.

    (a) The use of the flag is restricted to the following:
    (1) On or in front of NRC installations;
    (2) At NRC ceremonies;
    (3) At conferences involving official NRC participation (including 
permanent display in NRC conference rooms);
    (4) At Governmental or public appearances of NRC executives;
    (5) In private offices of senior officials; or
    (6) As the Secretary of the Commission otherwise authorizes.
    (b) The NRC flag must only be displayed together with the U.S. flag.

When they are both displayed on a speaker's platform, the U.S. flag must 
occupy the position of honor and be placed at the speaker's right as he 
or she faces the audience, and the NRC flag must be placed at the 
speaker's left.



Sec. 1.59  Report of violations.

    In order to ensure adherence to the authorized uses of the NRC seal 
and flag as provided in this subpart, a report of each suspected 
violation of this subpart, or any questionable use of the NRC seal or 
flag, should be submitted to the Secretary of the Commission.



PART 2--RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS AND ISSUANCE OF ORDERS--Table of Contents




Sec.
2.1  Scope.
2.2  Subparts.
2.3  Resolution of conflict.
2.4  Definitions.
2.8  Information collection requirements: OMB approval.

Subpart A--Procedure for Issuance, Amendment, Transfer, or Renewal of a 
                                 License

2.100  Scope of subpart.
2.101  Filing of application.
2.102  Administrative review of application.
2.103  Action on applications for byproduct, source, special nuclear 
          material, and operator licenses.

                  Hearing on Application--How Initiated

2.104  Notice of hearing.
2.105  Notice of proposed action.
2.106  Notice of issuance.
2.107  Withdrawal of application.
2.108  Denial of application for failure to supply information.
2.109  Effect of timely renewal application.
2.110  Filing and administrative action on submittals for design review 
          or early review of site suitability issues.
2.111  Prohibition of sex discrimination.

    Subpart B--Procedure for Imposing Requirements by Order, or for 
 Modification, Suspension, or Revocation of a License, or for Imposing 
                             Civil Penalties

2.200  Scope of subpart.
2.201  Notice of violation.
2.202  Orders.
2.203  Settlement and compromise.
2.204  Demand for information.
2.205  Civil penalties.
2.206  Requests for action under this subpart.

                          Subpart C--[Reserved]

   Subpart D--Additional Procedures Applicable to Proceedings for the 
  Issuance of Licenses To Construct or Operate Nuclear Power Plants of 
                   Duplicate Design at Multiple Sites

2.400  Scope of subpart.
2.401  Notice of hearing on applications pursuant to appendix N of part 
          50 for construction permits.
2.402  Separate hearings on separate issues; consolidation of 
          proceedings.

[[Page 19]]

2.403  Notice of proposed action on applications for operating licenses 
          pursuant to appendix N of part 50.
2.404  Hearings on applications for operating licenses pursuant to 
          appendix N of part 50.
2.405  Initial decisions in consolidated hearings.
2.406  Finality of decisions on separate issues.
2.407  Applicability of other sections.

   Subpart E--Additional Procedures Applicable to Proceedings for the 
    Issuance of Licenses To Manufacture Nuclear Power Reactors To Be 
Operated at Sites Not Identified in the License Application and Related 
                          Licensing Proceedings

2.500  Scope of subpart.
2.501  Notice of hearing on application pursuant to appendix M of part 
          50 for a license to manufacture nuclear power reactors.
2.502  Notice of hearing on application for a permit to construct a 
          nuclear power reactor manufactured pursuant to a Commission 
          license issued pursuant to appendix M of part 50 of this 
          chapter at the site at which the reactor is to be operated.
2.503  Finality of decision on separate issues.
2.504  Applicability of other sections.

 Subpart F--Additional Procedures Applicable to Early Partial Decisions 
   on Site Suitability Issues in Connection With an Application for a 
           Permit To Construct Certain Utilization Facilities

2.600  Scope of subpart.
2.601  Applicability of other sections.
2.602  Filing fees.
2.603  Acceptance and docketing of application for early review of site 
          suitability issues.
2.604  Notice of hearing on application for early review of site 
          suitability issues.
2.605  Additional considerations.
2.606  Partial decisions on site suitability issues.

                Subpart G--Rules of General Applicability

2.700  Scope of subpart.
2.700a  Exceptions.
2.701  Filing of documents.
2.702  Docket.
2.703  Notice of hearing.
2.704  Designation of presiding officer, disqualification, 
          unavailability.
2.705  Answer.
2.706  Reply.
2.707  Default.
2.708  Formal requirements for documents.
2.709  Acceptance for filing.
2.710  Computation of time.
2.711  Extension and reduction of time limits.
2.712  Service of papers, methods, proof.
2.713  Appearance and practice before the Commission in adjudicatory 
          proceedings.
2.714  Intervention.
2.714a  Petitions for review of certain rulings on petitions for leave 
          to intervene and/or requests for hearing.
2.715  Participation by a person not a party.
2.715a  Consolidation of parties in construction permit or operating 
          license proceedings.
2.716  Consolidation of proceedings.
2.717  Commencement and termination of jurisdiction of presiding 
          officer.
2.718  Power of presiding officer.
2.719  [Reserved]
2.720  Subpoenas.
2.721  Atomic safety and licensing boards.
2.722  Special assistants to the presiding officer.

                                 Motions

2.730  Motions.
2.731  Order of procedure.
2.732  Burden of proof.
2.733  Examination by experts.
2.734  Motions to reopen.

 Depositions and Written Interrogatories; Discovery; Admission; Evidence

2.740  General provisions governing discovery.
2.740a  Depositions upon oral examination and upon written 
          interrogatories.
2.740b  Interrogatories to parties.
2.741  Production of documents and things and entry upon land for 
          inspection and other purposes.
2.742  Admissions.
2.743  Evidence.
2.744  Production of NRC records and documents.

                    Summary Disposition on Pleadings

2.749  Authority of presiding officer to dispose of certain issues on 
          the pleadings.

                                Hearings

2.750  Official reporter; transcript.
2.751  Hearings to be public.
2.751a  Special prehearing conference in construction permit and 
          operating license proceedings.
2.752  Prehearing conference.
2.753  Stipulations.
2.754  Proposed findings and conclusions.
2.755  Oral argument before presiding officer.
2.756  Informal procedures.
2.757  Authority of presiding officer to regulate procedure in a 
          hearing.
2.758  Consideration of Commission rules and regulations in adjudicatory 
          proceedings.

[[Page 20]]

2.759  Settlement in initial licensing proceedings.

                 Initial Decision and Commission Review

2.760  Initial decision and its effect.
2.760a  Initial decision in contested proceedings on applications for 
          facility operating licenses.
2.761  Expedited decisional procedure.
2.761a  Separate hearings and decisions.
2.763  Oral argument.
2.764  Immediate effectiveness of initial decision directing issuance or 
          amendment of construction permit or operating license.
2.765  Immediate effectiveness of initial decision directing issuance or 
          amendment of licenses under part 61 of this chapter.

                             Final Decision

2.770  Final decision.
2.771  Petition for reconsideration.
2.772  Authority of the Secretary to rule on procedural matters.

                        Restricted Communications

2.780  Ex parte communications.
2.781  Separation of functions.
2.786  Review of decisions and actions of a presiding officer.
2.788  Stays of decisions of presiding officers pending review.

                    Availability of Official Records

2.790  Public inspections, exemptions, requests for withholding.

                          Subpart H--Rulemaking

2.800  Scope of rulemaking.
2.801  Initiation of rulemaking.
2.802  Petition for rulemaking.
2.803  Determination of petition.
2.804  Notice of proposed rulemaking.
2.805  Participation by interested persons.
2.806  Commission action.
2.807  Effective date.
2.808  Authority of the Secretary to rule on procedural matters.
2.809  Participation by the Advisory Committee on Reactor Safeguards.
2.810  NRC size standards.

  Subpart I--Special Procedures Applicable to Adjudicatory Proceedings 
     Involving Restricted Data and/or National Security Information

2.900  Purpose.
2.901  Scope.
2.902  Definitions.
2.903  Protection of restricted data and national security information.
2.904  Classification assistance.
2.905  Access to restricted data and national security information for 
          parties; security clearances.
2.906  Obligation of parties to avoid introduction of restricted data or 
          national security information.
2.907  Notice of intent to introduce restricted data or national 
          security information.
2.908  Contents of notice of intent to introduce restricted data or 
          other national security information.
2.909  Rearrangement or suspension of proceedings.
2.910  Unclassified statements required.
2.911  Admissibility of restricted data or other national security 
          information.
2.912  Weight to be attached to classified evidence.
2.913  Review of Restricted Data or other National Security Information 
          received in evidence.

  Subpart J--Procedures Applicable to Proceedings for the Issuance of 
 Licenses for the Receipt of High-Level Radioactive Waste at a Geologic 
                               Repository

2.1000  Scope of subpart.
2.1001  Definitions.
2.1002  High-level waste Licensing Support System.
2.1003  Submission of material to the LSS.
2.1004  Amendments and additions.
2.1005  Exclusions.
2.1006  Privilege.
2.1007  Access.
2.1008  Potential parties.
2.1009  Procedures.
2.1010  Pre-License Application Presiding Officer.
2.1011  LSS management and administration.
2.1012  Compliance.
2.1013  Use of LSS during adjudicatory proceeding.
2.1014  Intervention.
2.1015  Appeals.
2.1016  Motions.
2.1017  Computation of time.
2.1018  Discovery.
2.1019  Depositions.
2.1020  Entry upon land for inspection.
2.1021  First prehearing conference.
2.1022   Second prehearing conference.
2.1023  Immediate effectiveness.
2.1025  Authority of the Presiding Officer to dispose of certain issues 
          on the pleadings.
2.1026  Schedule.
2.1027  Sua Sponte.

[[Page 21]]

Subpart K--Hybrid Hearing Procedures for Expansion of Spent Nuclear Fuel 
           Storage Capacity at Civilian Nuclear Power Reactors

2.1101  Purpose.
2.1103  Scope.
2.1105  Definitions.
2.1107  Notice of proposed action.
2.1109  Requests for oral argument.
2.1111  Discovery.
2.1113  Oral argument.
2.1115  Designation of issues for adjudicatory hearing.
2.1117  Applicability of other sections.

 Subpart L--Informal Hearing Procedures for Adjudications in Materials 
                   and Operator Licensing Proceedings

2.1201  Scope of subpart.
2.1203  Docket; filing; service.
2.1205  Request for a hearing; petition for leave to intervene.
2.1207  Designation of presiding officer.
2.1209  Power of presiding officer.
2.1211  Participation by a person not a party.
2.1213  Role of the NRC staff.
2.1215  Appearance and practice.

                                Hearings

2.1231  Hearing file; prohibition on discovery.
2.1233  Written presentations; written questions.
2.1235  Oral presentations; oral questions.
2.1237  Motions; burden of proof.
2.1239  Consideration of Commission rules and regulations in informal 
          adjudications.
2.1241  Settlement of proceedings.

         Initial Decision, Commission Review, and Final Decision

2.1251  Initial decision and its effect.
2.1253  Petitions for review of initial decisions.
2.1259  Final decision; petition for reconsideration.
2.1261  Authority of the Secretary to rule on procedural matters.
2.1263  Stays of NRC staff licensing actions or of decisions of a 
          presiding officer, or the Commission, pending hearing or 
          review.

Appendix A to Part 2--Statement of General Policy and Procedure: Conduct 
          of Proceedings for the Issuance of Construction Permits and 
          Operating Licenses for Production and Utilization Facilities 
          for Which a Hearing is Required Under Section 189a of the 
          Atomic Energy Act of 1954, as Amended
Appendix B to Part 2--[Reserved]
Appendix C to Part 2--[Reserved]
Appendix D to Part 2--Schedule for the Proceeding on Application for a 
          License to Receive and Possess High-Level Radioactive Waste at 
          a Geologic Repository Operations Area

    Authority: Secs. 161, 181, 68 Stat. 948, 953, as amended (42 U.S.C. 
2201, 2231); sec. 191, as amended, Pub. L. 87-615, 76 Stat. 409 (42 
U.S.C. 2241); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); 5 
U.S.C. 552.
    Section 2.101 also issued under secs. 53, 62, 63, 81, 103, 104, 105, 
68 Stat. 930, 932, 933, 935, 936, 937, 938, as amended (42 U.S.C. 2073, 
2092, 2093, 2111, 2133, 2134, 2135); sec. 114(f), Pub. L. 97-425, 96 
Stat. 2213, as amended (42 U.S.C. 10134(f)); sec. 102, Pub. L. 91-190, 
83 Stat. 853, as amended (42 U.S.C. 4332); sec. 301, 88 Stat. 1248 (42 
U.S.C. 5871). Sections 2.102, 2.103, 2.104, 2.105, 2.721 also issued 
under secs. 102, 103, 104, 105, 183, 189, 68 Stat. 936, 937, 938, 954, 
955, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2233, 2239). Section 
2.105 also issued under Pub. L. 97-415, 96 Stat. 2073 (42 U.S.C. 2239). 
Sections 2.200-2.206 also issued under secs. 161 b, i, o, 182, 186, 234, 
68 Stat. 948-951, 955, 83 Stat. 444, as amended (42 U.S.C. 2201 (b), 
(i), (o), 2236, 2282); sec. 206, 88 Stat. 1246 (42 U.S.C. 5846). Section 
2.205(j) also issued under Pub. L. 101-410, 104 Stat. 890, as amended by 
section 31001(s), Pub. L. 104-134, 110 Stat. 1321-373 (28 U.S.C. 2461 
note). Sections 2.600-2.606 also issued under sec. 102, Pub. L. 91-190, 
83 Stat. 853, as amended (42 U.S.C. 4332). Sections 2.700a, 2.719 also 
issued under 5 U.S.C. 554. Sections 2.754, 2.760, 2.770, 2.780 also 
issued under 5 U.S.C. 557. Section 2.764 also issued under secs. 135, 
141, Pub. L. 97-425, 96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). 
Section 2.790 also issued under sec. 103, 68 Stat. 936, as amended (42 
U.S.C. 2133) and 5 U.S.C. 552. Sections 2.800 and 2.808 also issued 
under 5 U.S.C. 553. Section 2.809 also issued under 5 U.S.C. 553 and 
sec. 29, Pub. L. 85-256, 71 Stat. 579, as amended (42 U.S.C. 2039). 
Subpart K also issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239); 
sec. 134, Pub. L. 97-425, 96 Stat. 2230 (42 U.S.C. 10154). Subpart L 
also issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239). Appendix A 
also issued under sec. 6, Pub. L. 91-560, 84 Stat. 1473 (42 U.S.C. 
2135). Appendix B also issued under sec. 10, Pub. L. 99-240, 99 Stat. 
1842 (42 U.S.C. 2021b et seq.).

    Source: 27 FR 377, Jan. 13, 1962, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 2 appear at 56 FR 
29411, June 27, 1991.



Sec. 2.1  Scope.

    This part governs the conduct of all proceedings, other than export 
and import licensing proceedings described in part 110, under the Atomic 
Energy Act of 1954, as amended, and the Energy Reorganization Act of 
1974, for--

[[Page 22]]

    (a) Granting, suspending, revoking, amending, or taking other action 
with respect to any license, construction permit, or application to 
transfer a license;
    (b) Issuing orders and demands for information to persons subject to 
the Commission's jurisdiction, including licensees and persons not 
licensed by the Commission;
    (c) Imposing civil penalties under section 234 of the Act; and
    (d) Public rulemaking.

[56 FR 40684, Aug. 15, 1991]



Sec. 2.2   Subparts.

    Each subpart other than subpart G sets forth special rules 
applicable to the type of proceeding described in the first section of 
that subpart. Subpart G sets forth general rules applicable to all types 
of proceedings except rule making, and should be read in conjunction 
with the subpart governing a particular proceeding. Subpart I sets forth 
special procedures to be followed in proceedings in order to safeguard 
and prevent disclosure of Restricted Data.



Sec. 2.3   Resolution of conflict.

    In any conflict between a general rule in subpart G of this part and 
a special rule in another subpart or other part of this chapter 
applicable to a particular type of proceeding, the special rule governs.

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 10152, Sept. 17, 1963]



Sec. 2.4  Definitions.

    As used in this part,
    ACRS means the Advisory Committee on Reactor Safeguards established 
by the Act.
    Act means the Atomic Energy Act of 1954, as amended (68 Stat. 919).
    Adjudication means the process for the formulation of an order for 
the final disposition of the whole or any part of any proceeding subject 
to this part, other than rule making.
    Administrative Law Judge means an individual appointed pursuant to 
section 11 of the Administrative Procedure Act to conduct proceedings 
subject to this part.
    Commission means the Commission of five members or a quorum thereof 
sitting as a body, as provided by section 201 of the Energy 
Reorganization Act of 1974 (88 Stat. 1242), or any officer to whom has 
been delegated authority pursuant to section 161n of the Act.
    Commission adjudicatory employee means--
    (1) The Commissioners and members of their personal staffs;
    (2) The employees of the Office of Commission Appellate 
Adjudication;
    (3) The members of the Atomic Safety and Licensing Board Panel and 
staff assistants to the Panel;
    (4) A presiding officer appointed under Sec. 2.704, including an 
administrative law judge, and staff assistants to a presiding officer;
    (5) Special assistants (as defined in Sec. 2.772);
    (6) The General Counsel, the Solicitor, the Deputy General Counsel 
for Licensing and Regulation, and employees of the Office of the General 
Counsel under the supervision of the Solicitor or the Deputy General 
Counsel for Licensing and Regulation;
    (7) The Secretary and employees of the Office of the Secretary; and
    (8) Any other Commission officer or employee who is appointed by the 
Commission, the Secretary, or the General Counsel to participate or 
advise in the Commission's consideration of an initial or final decision 
in a proceeding. Any other Commission officer or employee who, as 
permitted by Sec. 2.781, participates or advises in the Commission's 
consideration of an initial or final decision in a proceeding must be 
appointed as a Commission adjudicatory employee under this paragraph and 
the parties to the proceeding must be given written notice of the 
appointment.
    Contested proceeding means (1) a proceeding in which there is a 
controversy between the staff of the Commission and the applicant for a 
license concerning the issuance of the license or any of the terms or 
conditions thereof or (2) a proceeding in which a petition for leave to 
intervene in opposition to an application for a license has been granted 
or is pending before the Commission.
    Department means the Department of Energy established by the 
Department of Energy Organization Act (Pub. L. 95-

[[Page 23]]

91, 91 Stat. 565 42 U.S.C. 7101 et seq.) to the extent that the 
Department, or its duly authorized representatives, exercises functions 
formerly vested in the U.S. Atomic Energy Commission, its Chairman, 
members, officers and components and transferred to the U.S. Energy 
Research and Development Administration and to the Administrator thereof 
pursuant to sections 104 (b), (c) and (d) of the Energy Reorganization 
Act of 1974 (Pub. L. 93-438, 88 Stat. 1233 at 1237, 42 U.S.C. 5814) and 
retransferred to the Secretary of Energy pursuant to section 301(a) of 
the Department of Energy Organization Act (Pub. L. 95-91, 91 Stat. 565 
at 577-578, 42 U.S.C. 7151).
    Electric utility means any entity that generates or distributes 
electricity and which recovers the costs of this electricity, either 
directly or indirectly through rates established by the entity itself or 
by a separate regulatory authority. Investor-owned utilities including 
generation or distribution subsidiaries, public utility districts, 
municipalities, rural electric cooperatives, and State and Federal 
agencies, including associations of any of the foregoing, are included 
within the meaning of ``electric utility.''
    Ex parte communication means an oral or written communication not on 
the public record with respect to which reasonable prior notice to all 
parties is not given.
    Facility means a production facility or a utilization facility as 
defined in Sec. 50.2 of this chapter.
    Investigative or litigating function means--
    (1) Personal participation in planning, conducting, or supervising 
an investigation; or
    (2) Personal participation in planning, developing, or presenting, 
or in supervising the planning, development or presentation of 
testimony, argument, or strategy in a proceeding.
    License means a license, including a renewed license, or 
construction permit issued by the Commission.
    Licensee means a person who is authorized to conduct activities 
under a license, including a renewed license, or construction permit 
issued by the Commission.
    NRC personnel means:
    (1) NRC employees;
    (2) For the purpose of Secs. 2.720, 2.740, and 2.1018 only, persons 
acting in the capacity of consultants to the Commission, regardless of 
the form of the contractual arrangements under which such persons act as 
consultants to the Commission; and
    (3) Members of advisory boards, committees, and panels of the NRC; 
members of boards designated by the Commission to preside at 
adjudicatory proceedings; and officers or employees of Government 
agencies, including military personnel, assigned to duty at the NRC.
    NRC records and documents means any book, paper, map, photograph, 
brochure, punch card, magnetic tape, paper tape, sound recording, 
pamphlet, slide, motion picture, or other documentary material 
regardless of form or characteristics, made by, in the possession of, or 
under the control of the NRC pursuant to Federal law or in connection 
with the transaction of public business as evidence of NRC organization, 
functions, policies, decisions, procedures, operations, programs or 
other activities. ``NRC records and documents'' do not include objects 
or articles such as structures, furniture, tangible exhibits or models, 
or vehicles and equipment.
    Person means (1) any individual, corporation, partnership, firm, 
association, trust, estate, public or private institution, group, 
government agency other than the Commission or the Department, except 
that the Department shall be considered a person with respect to those 
facilities of the Department specified in section 202 of the Energy 
Reorganization Act of 1974 (88 Stat. 1244),\4\ any State or any 
political

[[Page 24]]

subdivision of, or any political entity within a State, any foreign 
government or nation or any political subdivision of any such government 
or nation, or other entity; and (2) any legal successor, representative, 
agent, or agency of the foregoing.
---------------------------------------------------------------------------

    \4\The Department facilities specified in section 202 are:
    (1) Demonstration Liquid Metal Fast Breeder reactors when operated 
as part of the power generation facilities of an electric utility 
system, or when operated in any other manner for the purpose of 
demonstrating the suitability for commercial application of such a 
reactor.
    (2) Other demonstration nuclear reactors, except those in existence 
on January 19, 1975, when operated as part of the power generation 
facilities of an electric utility system, or when operated in any other 
manner for the purpose of demonstrating the suitability for commercial 
application of such a reactor.
    (3) Facilities used primarily for the receipt and storage of high-
level radioactive wastes resulting from licensed activities.
    (4) Retrievable Surface Storage Facilities and other facilities 
authorized for the express purpose of subsequent long-term storage of 
high-level radioactive waste generated by the Administration, which are 
not used for, or are part of, research and development activities.
---------------------------------------------------------------------------

    Public Document Room means the place at 2120 L Street, NW., 
Washington, DC, at which public records of the Commission will 
ordinarily be made available for inspection.
    Secretary means the Secretary to the Commission.
    Except as redefined in this section, words and phrases which are 
defined in the Act and in this chapter have the same meaning when used 
in this part.

[27 FR 377, Jan. 13, 1962]

    Editorial Note: For Federal Register citations affecting Sec. 2.4, 
see the List of Sections Affected in the Finding Aids section of this 
volume.



Sec. 2.8  Information collection requirements: OMB approval.

    This part contains no information collection requirements and 
therefore is not subject to requirements of the Paperwork Reduction Act 
(44 U.S.C. 3501 et seq.).

[61 FR 43408, Aug. 22, 1996]



Subpart A--Procedure for Issuance, Amendment, Transfer, or Renewal of a 
                                 License



Sec. 2.100   Scope of subpart.

    This subpart prescribes the procedures for issuance of a license; 
amendment of a license at the request of the licensee; and transfer and 
renewal of a license.



Sec. 2.101   Filing of application.

    (a)(1) An application for a license or an amendment to a license 
shall be filed with the Director of Nuclear Reactor Regulation or 
Director of Nuclear Material Safety and Safeguards, as prescribed by the 
applicable provisions of this chapter. A prospective applicant may 
confer informally with the staff prior to the filing of an application.
    (2) Each application for a license for a facility or for receipt of 
waste radioactive material from other persons for the purpose of 
commercial disposal by the waste disposal licensee will be assigned a 
docket number. However, to allow a determination as to whether an 
application for a construction permit or operating license for a 
production or utilization facility is complete and acceptable for 
docketing, it will be initially treated as a tendered application after 
it is received and a copy of the tendered application will be available 
for public inspection in the Commission's Public Document Room, 2120 L 
Street, NW., Washington, DC. Generally, that determination will be made 
within a period of thirty (30) days. However, in selected construction 
permit applications, the Commission may decide to determine 
acceptability on the basis of the technical adequacy of the application 
as well as its completeness. In such cases, the Commission, pursuant to 
Sec. 2.104(a), will direct that the notice of hearing be issued as soon 
as practicable after the application has been tendered, and the 
determination of acceptability will generally be made within a period of 
sixty (60) days. For docketing and other requirements for applications 
pursuant to part 61 of this chapter, see paragraph (g) of this section.
    (3) If the Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, determines that 
a tendered application for a construction permit or operating license 
for a production or utilization facility, and/or any environmental 
report required pursuant to subpart A of part 51 of this chapter, or 
part thereof as provided in paragraphs (a)(5) or (a-1) of this section 
are complete and acceptable for docketing, a docket number will be 
assigned to the

[[Page 25]]

application or part thereof, and the applicant will be notified of the 
determination. With respect to the tendered application and/or 
environmental report or part thereof that is acceptable for docketing, 
the applicant will be requested to:
    (i) Submit to the Director of Nuclear Reactor Regulation or Director 
of Nuclear Material Safety and Safeguards, as appropriate, such 
additional copies as the regulations in part 50 and subpart A of part 51 
require;
    (ii) Serve a copy on the chief executive of the municipality in 
which the facility is to be located or, if the facility is not to be 
located within a municipality, on the chief executive of the county, and 
serve a notice of availability of the application or environmental 
report on the chief executives of the municipalities or counties which 
have been identified in the application or environmental report as the 
location of all or part of the alternative sites, containing the 
following information: Docket number of the application, a brief 
description of the proposed site and facility; the location of the site 
and facility as primarily proposed and alternatively listed; the name, 
address, and telephone number of the applicant's representative who may 
be contacted for further information; notification that a draft 
environmental impact statement will be issued by the Commission and will 
be made available upon request to the Commission; and notification that 
if a request is received from the appropriate chief executive, the 
applicant will transmit a copy of the application and environmental 
report, and any changes to such documents which affect the alternative 
site location, to the executive who makes the request. In complying with 
the requirements of this paragraph (a)(3)(ii) the applicant should not 
make public distribution of those parts of the application subject to 
Sec. 2.790(d). The applicant shall submit to the Director of Nuclear 
Reactor Regulation an affidavit that service of the notice of 
availability of the application or environmental report has been 
completed along with a list of names and addresses of those executives 
upon whom the notice was served; and
    (iii) Make direct distribution of additional copies to Federal, 
State, and local officials in accordance with the requirements of this 
chapter and written instructions furnished to the applicant by the 
Director of Nuclear Reactor Regulation or Director of Nuclear Material 
Safety and Safeguards, as appropriate. Such written instructions will be 
furnished as soon as practicable after all or any part of the 
application, or environmental report, is tendered. The copies submitted 
to the Director of Nuclear Reactor Regulation or Director of Nuclear 
Material Safety and Safeguards, as appropriate, and distributed by the 
applicant shall be completely assembled documents, identified by docket 
number. Subsequently distributed amendments to applications, however, 
may include revised pages to previous submittals and, in such cases, the 
recipients will be responsible for inserting the revised pages.
    (4) The tendered application for a construction permit or operating 
license for a production or utilization facility will be formally 
docketed upon receipt by the Director of Nuclear Reactor Regulation or 
Director of Nuclear Material Safety and Safeguards, as appropriate, of 
the required additional copies. Distribution of the additional copies 
shall be deemed to be complete as of the time the copies are deposited 
in the mail or with a carrier prepaid for delivery to the designated 
addresses. The date of docketing shall be the date when the required 
copies are received by the Director of Nuclear Reactor Regulation or 
Director of Nuclear Material Safety and Safeguards, as appropriate. 
Within ten (10) days after docketing the applicant shall submit to the 
Director of Nuclear Reactor Regulation or Director of Nuclear Material 
Safety and Safeguards, as appropriate, an affidavit that distribution of 
the additional copies to Federal, State, and local officials has been 
completed in accordance with requirements of this chapter and written 
instructions furnished to the applicant by the Director of Nuclear 
Reactor Regulation or Director of Nuclear Material Safety and 
Safeguards, as appropriate. Amendments to the application and 
environmental report shall be filed and

[[Page 26]]

distributed and an affidavit shall be furnished to the Director of 
Nuclear Reactor Regulation or Director of Nuclear Material Safety and 
Safeguards, as appropriate, in the same manner as for the initial 
application and environmental report. If it is determined that all or 
any part of the tendered application and/or environmental report is 
incomplete and therefore not acceptable for processing, the applicant 
will be informed of this determination, and the respects in which the 
document is deficient.
    (5) An applicant for a construction permit for a production or 
utilization facility which is subject to Sec. 51.20(b) of this chapter, 
and is of the type specified in Sec. 50.21(b) (2) or (3) or Sec. 50.22 
of this chapter or is a testing facility may submit the information 
required of applicants by part 50 of the chapter in three parts. One 
part shall be accompanied by the information required by Sec. 50.30(f) 
of this chapter, another part shall include any information required by 
Sec. 50.34(a) and, if applicable, Sec. 50.34a of this chapter and a 
third part shall include any information required by Sec. 50.33a. One 
part may precede or follow other parts by no longer than six (6) months 
except that the part including information required by Sec. 50.33a shall 
be submitted in accordance with time periods specified in Sec. 50.33a. 
If an applicant for a construction permit for a nuclear power reactor is 
exempted pursuant to Sec. 50.33a of this chapter from filing the 
information described by Sec. 50.33a of this chapter, such applicant 
shall file with the first part of its application an affidavit setting 
forth facts as to the electrical generating capacity of its system. If 
it is determined that any one of the parts as described above is 
incomplete and not acceptable for processing, the Director of Nuclear 
Reactor Regulation or Director of Nuclear Material Safety and 
Safeguards, as appropriate, will inform the applicant of this 
determination and the respects in which the document is deficient. Such 
a determination of completeness will generally be made within a period 
of thirty (30) days. Except for the part including information required 
by Sec. 50.33a, whichever part is filed first shall also include the fee 
required by Secs. 50.30(e) and 170.21 of this chapter and the 
information required by Secs. 50.33, 50.34((a)(1), and 50.37 of this 
chapter. The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, will accept for 
docketing an application for a construction permit for a production or 
utilization facility which is subject to Sec. 51.20(b) of this chapter, 
and is of the type specified in Sec. 50.21(b) (2) or (3) or Sec. 50.22 
of this chapter or is a testing facility where one part of the 
application as described above is complete and conforms to the 
requirements of part 50 of this chapter. Additional parts will be 
docketed upon a determination by the Director of Nuclear Reactor 
Regulation or Director of Nuclear Material Safety and Safeguards, as 
appropriate, that they are complete.
    (a-1) Early consideration of site suitability issues. An applicant 
for a construction permit for a utilization facility which is subject to 
Sec. 51.20(b) of this chapter and is of the type specified in 
Sec. 50.21(b) (2) or (3) or Sec. 50.22 of this chapter or is a testing 
facility, may request that the Commission conduct an early review and 
hearing and render an early partial decision in accordance with subpart 
F on issues of site suitability within the purview of the applicable 
provisions of parts 50, 51 and 100 of this chapter. In such cases, the 
applicant for the construction permit may submit the information 
required of applicants by the provisions of this chapter in three or (in 
the case of nuclear power reactors) four parts:
    (1) Part one shall include or be accompanied by any information 
required by Secs. 50.34(a)(1) and 50.30(f) of this chapter which relates 
to the issue(s) of site suitability for which an early review, hearing 
and partial decision are sought, except that information with respect to 
operation of the facility at the projected initial power level need not 
be supplied, and shall include the information required by Secs. 50.33 
(a) through (e) and 50.37 of this chapter. The information submitted 
shall also include: (i) Proposed findings on the issues of site 
suitability on which the applicant has requested review and a statement 
of the bases or the reasons

[[Page 27]]

for those findings, (ii) a range of postulated facility design and 
operation parameters that is sufficient to enable the Commission to 
perform the requested review of site suitability issues under the 
applicable provisions of parts 50, 51 and 100, and (iii) information 
concerning the applicant's site selection process and long-range plans 
for ultimate development of the site required by Sec. 2.603(b)(1).
    (2) Part two shall include or be accompanied by the remaining 
information required by Secs. 50.30(f), 50.33 and 50.34(a)(1) of this 
chapter.
    (3) Part three shall include the remaining information required by 
Secs. 50.34a and (in the case of a nuclear power reactor) 50.34(a) of 
this chapter.
    (4) The information required for part two or part three shall be 
submitted during the period the partial decision on part one is 
effective. Submittal of the information required for part three may 
precede by no more than six months or follow by no more than six months 
the submittal of the information required for part two.
    (5) Part four,\1\ which is only required when the application is for 
a construction permit for a nuclear power reactor, shall include any 
information required by Sec. 50.33a of this chapter and shall be filed 
in accordance with the time periods specified in Sec. 50.33a.
---------------------------------------------------------------------------

    \1\ For a construction permit application in four parts, part four 
shall be filed second in time since it must precede both parts two and 
three by a period of from 9 months to 3 years.
---------------------------------------------------------------------------

    (b) After the application has been docketed each applicant for a 
license for receipt of waste radioactive material from other persons for 
the purpose of commercial disposal by the waste disposal licensee except 
applicants under part 61 of this chapter, who must comply with paragraph 
(g) of this section, shall serve a copy of the application and 
environmental report, as appropriate, on the chief executive of the 
municipality in which the activity is to be conducted or, if the 
activity is not to be conducted within a municipality on the chief 
executive of the county, and serve a notice of availability of the 
application or environmental report on the chief executives of the 
municipalities or counties which have been identified in the application 
or environmental report as the location of all or part of the 
alternative sites, containing the following information: Docket number 
of the application; a brief description of the proposed site and 
facility; the location of the site and facility as primarily proposed 
and alternatively listed; the name, address, and telephone number of the 
applicant's representative who may be contacted for further information; 
notification that a draft environmental impact statement will be issued 
by the Commission and will be made available upon request to the 
Commission; and notification that if a request is received from the 
appropriate chief executive, the applicant will transmit a copy of the 
application and environmental report, and any changes to such documents 
which affect the alternative site location, to the executive who makes 
the request. In complying with the requirements of this paragraph (b) 
the applicant should not make public distribution of those parts of the 
application subject to Sec. 2.790(d). The applicant shall submit to the 
Director of Nuclear Material Safety and Safeguards an affidavit that 
service of the notice of availability of the application or 
environmental report has been completed along with a list of names and 
addresses of those executives upon whom the notice was served.
    (c) The notice published in the Federal Register announcing 
docketing of the antitrust information portion of an application for a 
facility construction permit under section 103 of the Act, except for 
those applications described in Secs. 2.101(e) and 2.102(d)(2), shall 
state that:
    (1) The portion of the application filed contains the information 
requested by the Attorney General for the purpose of an antitrust review 
of the application as set forth in appendix L to part 50 of this 
chapter;
    (2) Upon receipt and acceptance for docketing of the remaining 
portions of the application dealing with radiological health and safety 
and environmental matters, notice of receipt will be published in the 
Federal Register including an appropriate notice of hearing; and

[[Page 28]]

    (3) Any person who wishes to have his views on the antitrust matters 
of the application considered by the NRC and presented to the Attorney 
General for consideration should submit such views within sixty (60) 
days after publication of the notice announcing receipt and docketing of 
the antitrust information to the U.S. Nuclear Regulatory Commission, 
Washington, DC 20555, Attention: Chief, Policy Development and Technical 
Support Branch.
    (d) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, will give notice 
of the docketing of the public health and safety, common defense and 
security, and environmental parts of an application for a license for a 
facility or for receipt of waste radioactive material from other persons 
for the purpose of commercial disposal by the waste disposal licensee, 
except that for applications pursuant to part 61 of this chapter 
paragraph (g) of this section applies, to the Governor or other 
appropriate official of the State in which the facility is to be located 
or the activity is to be conducted and will cause to be published in the 
Federal Register a notice of docketing of the application which states 
the purpose of the application and specifies the location at which the 
proposed activity would be conducted.
    (e)(1) Upon receipt of the antitrust information responsive to 
Regulatory Guide 9.3 submitted in connection with an application for a 
facility operating license under section 103 of the Act, the Director of 
Nuclear Reactor Regulation or the Director of Nuclear Material Safety 
and Safeguards, as appropriate, shall publish in the Federal Register 
and in appropriate trade journals a ``Notice of Receipt of Operating 
License Antitrust Information.'' The notice shall invite persons to 
submit, within thirty (30) days after publication of the notice, 
comments or information concerning the antitrust aspects of the 
application to assist the Director in determining, pursuant to section 
105c of the Act, whether significant changes in the licensee's 
activities or proposed activities have occurred since the completion of 
the previous antitrust review in connection with the construction 
permit. The notice shall also state that persons who wish to have their 
views on the antitrust aspects of the application considered by the NRC 
and presented to the Attorney General for consideration should submit 
such views within thirty (30) days after publication of the notice to: 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, Attention: 
Chief, Policy Development and Technical Support Branch.
    (2) If the Director of Nuclear Reactor Regulation or the Director of 
Nuclear Material Safety and Safeguards, as appropriate, after reviewing 
any comments or information received in response to the published notice 
and any comments or information regarding the applicant received from 
the Attorney General, concludes that there have been no significant 
changes since the completion of the previous antitrust review in 
connection with the construction permit, a finding of no significant 
changes shall be published in the Federal Register, together with a 
notice stating that any request for reevaluation of such finding should 
be submitted within thirty (30) days of publication of the notice. If no 
requests for reevaluation are received within that time, the finding 
shall become the NRC's final determination. Requests for a reevaluation 
of the no significant changes determination may be accepted after the 
date when the Director's finding becomes final but before the issuance 
of the OL only if they contain new information, such as information 
about facts or events of antitrust significance that have occurred since 
that date, or information that could not reasonably have been submitted 
prior to that date.
    (3) If, as a result of a reevaluation of the finding described in 
paragraph (e)(2) of this section, it is determined that there have been 
no significant changes, the Director of Nuclear Reactor Regulation or 
the Director of Nuclear Material Safety and Safeguards, as appropriate, 
shall deny the request and shall publish a notice of finding of no 
significant changes in the Federal Register. The notice and finding 
become the final NRC decision thirty (30) days after being made and only 
in the event that the Commission has not exercised sua sponte review.

[[Page 29]]

    (4) If the Director of Nuclear Reactor Regulation or the Director of 
Nuclear Material Safety and Safeguards, as appropriate, concludes that 
significant changes have occurred since the completion of the antitrust 
review in connection with the construction permit, then the provisions 
of Sec. 2.102(d) apply.
    (f)(1) Each application for a license to receive and possess high-
level radioactive waste at a geologic repository operations area 
pursuant to part 60 of this chapter and any environmental impact 
statement required in connection therewith pursuant to subpart A of part 
51 of this chapter shall be processed in accordance with the provisions 
of this paragraph.
    (2) To allow a determination as to whether the application is 
complete and acceptable for docketing, it will be initially treated as a 
tendered document, and a copy will be available for public inspection in 
the Commission's Public Document Room. Twenty copies shall be filed to 
enable this determination to be made.
    (3) If the Director of Nuclear Material Safety and Safeguards 
determines that the tendered document is complete and acceptable for 
docketing, a docket number will be assigned and the applicant will be 
notified of the determination. If it is determined that all or any part 
of the tendered document is incomplete and therefore not acceptable for 
processing, the applicant will be informed of this determination and the 
respects in which the document is deficient.
    (4)  [Reserved]
    (5) If a tendered document is acceptable for docketing, the 
applicant will be requested to (i) submit to the Director of Nuclear 
Material Safety and Safeguards such additional copies of the application 
and environmental impact statement as the regulations in part 60 and 
subpart A of part 51 of this chapter require, (ii) serve a copy of such 
application and environmental impact statement on the chief executive of 
the municipality in which the geologic repository operations area is to 
be located, or if the geologic repository operations area is not to be 
located within a municipality, on the chief executive of the county (or 
to the Tribal organization, if it is to be located within an Indian 
reservation), and (iii) make direct distribution of additional copies to 
Federal, State, Indian Tribe, and local officials in accordance with the 
requirements of this chapter and written instructions from the Director 
of Nuclear Material Safety and Safeguards. All such copies shall be 
completely assembled documents, identified by docket number. 
Subsequently distributed amendments to the application, however, may 
include revised pages to previous submittals and, in such cases, the 
recipients will be responsible for inserting the revised pages.
    (6) The tendered document will be formally docketed upon receipt by 
the Director of Nuclear Material Safety and Safeguards of the required 
additional copies. The date of docketing shall be the date when the 
required copies are received by the Director of Nuclear Material Safety 
and Safeguards. Within ten (10) days after docketing, the applicant 
shall submit to the Director of Nuclear Material Safety and Safeguards a 
written statement that distribution of the additional copies to Federal, 
State, Indian Tribe, and local officials has been completed in 
accordance with requirements of this chapter and written instructions 
furnished to the applicant by the Director of Nuclear Material Safety 
and Safeguards. Distribution of the additional copies shall be deemed to 
be complete as of the time the copies are deposited in the mail or with 
a carrier prepaid for delivery to the designated addressees.
    (7) Amendments to the application and supplements to the 
environmental impact statement shall be filed and distributed and a 
written statement shall be furnished to the Director of Nuclear Material 
Safety and Safeguards in the same manner as for the initial application 
and environmental impact statement.
    (8) The Director of Nuclear Material Safety and Safeguards will 
cause to be published in the Federal Register a notice of docketing 
which identifies the State and location at which the proposed geologic 
repository operations area would be located and will

[[Page 30]]

give notice of docketing to the governor of that State. The notice of 
docketing will state that the Commission finds that a hearing is 
required in the public interest, prior to issuance of a construction 
authorization, and will recite the matters specified in Sec. 2.104(a) of 
this part.
    (g) Each application for a license to receive radioactive waste from 
other persons for disposal under part 61 of this chapter and the 
accompanying environmental report shall be processed in accordance with 
the provisions of this paragraph.
    (1) To allow a determination as to whether the application or 
environmental report is complete and acceptable for docketing, it will 
be initially treated as a tendered document, and a copy will be 
available for public inspection in the Commission's Public Document 
Room, 2120 L Street, NW., Washington, DC. One original and two copies 
shall be filed to enable this determination to be made.
    (i) Upon receipt of a tendered application, the Commission will 
publish in the Federal Register  notice of the filed application and 
will notify the governors, legislatures and other appropriate State, 
county, and municipal officials and tribal governing bodies of the 
States and areas containing or potentially affected by the activities at 
the proposed site and the alternative sites. The Commission will inform 
these officials that the Commission staff will be available for 
consultation pursuant to Sec. 61.71 of this chapter. The Federal 
Register notice will note the opportunity for interested persons to 
submit views and comments on the tendered application for consideration 
by the Commission and applicant. The Commission will also notify the 
U.S. Bureau of Indian Affairs when tribal governing bodies are notified.
    (ii) The Commission will also post a public notice in a newspaper or 
newspapers of general circulation in the affected States and areas 
summarizing information contained in the applicant's tendered 
application and noting the opportunity to submit views and comments.
    (iii) When the Director of Nuclear Material Safety and Safeguards 
determines that the tendered document is complete and acceptable for 
docketing, a docket number will be assigned and the applicant will be 
notified of the determination. If it is determined that all or any part 
of the tendered document is incomplete and therefore not acceptable for 
processing, the applicant will be informed of this determination and the 
aspects in which the document is deficient.
    (2) With respect to any tendered document that is acceptable for 
docketing, the applicant will be requested to (i) submit to the Director 
of Nuclear Material Safety and Safeguards such additional copies as the 
regulations in part 61 and subpart A of part 51 of this chapter require, 
(ii) serve a copy on the chief executive of the municipality in which 
the waste is to be disposed of or, if the waste is not to be disposed of 
within a municipality, serve a copy on the chief executive of the county 
in which the waste is to be disposed of, (iii) make direct distribution 
of additional copies to Federal, State, Indian Tribe, and local 
officials in accordance with the requirements of this chapter and 
written instructions from the Director of Nuclear Material Safety and 
Safeguards, and (iv) serve a notice of availability of the application 
and environmental report on the chief executives or governing bodies of 
the municipalities or counties which have been identified in the 
application and environmental report as the location of all or part of 
the alternative sites if copies are not distributed under paragraph 
(g)(2)(iii) of this section to the executives or bodies. All distributed 
copies shall be completely assembled documents identified by docket 
number. Subsequently distributed amendments, however, may include 
revised pages to previous submittals and, in such cases, the recipients 
will be responsible for inserting the revised pages. In complying with 
the requirements of paragraph (g) of this section the applicant shall 
not make public distribution of those parts of the application subject 
to Sec. 2.790(d).
    (3) The tendered document will be formally docketed upon receipt by 
the Director of Nuclear Material Safety and Safeguards of the required 
additional copies. Distribution of the additional copies shall be deemed 
to be

[[Page 31]]

complete as of the time the copies are deposited in the mail or with a 
carrier prepaid for delivery to the designated addressees. The date of 
docketing shall be the date when the required copies are received by the 
Director of Nuclear Material Safety and Safeguards. Within ten (10) days 
after docketing, the applicant shall submit to the Director of Nuclear 
Material Safety and Safeguards a written statement that distribution of 
the additional copies to Federal, State, Indian Tribe, and local 
officials has been completed in accordance with requirements of this 
section and written instructions furnished to the applicant by the 
Director of Nuclear Material Safety and Safeguards.
    (4) Amendments to the application and environmental report shall be 
filed and distributed and a written statement shall be furnished to the 
Director of Nuclear Material Safety and Safeguards in the same manner as 
for the initial application and environmental report.
    (5) The Director of Nuclear Material Safety and Safeguards will 
cause to be published in the Federal Register a notice of docketing 
which identifies the State and location of the proposed waste disposal 
facility and will give notice of docketing to the governor of that State 
and other officials listed in paragraph (g)(3) of this section and, in a 
reasonable period thereafter, publish in the Federal Register a notice 
pursuant to Sec. 2.105 offering opportunity to request a hearing to the 
applicant and other affected persons.

[41 FR 15833, Apr. 15, 1976; 41 FR 16793, Apr. 22, 1976, as amended at 
42 FR 22885, May 5, 1977; 43 FR 46293, Oct. 6, 1978; 44 FR 60716, Oct. 
22, 1979; 46 FR 13976, Feb. 25, 1981; 47 FR 9985, Mar. 9, 1982; 47 FR 
57477, Dec. 27, 1982; 49 FR 9399, Mar. 12, 1984; 52 FR 31608, Aug. 21, 
1987; 53 FR 43419, Oct. 27, 1988; 54 FR 27869, July 3, 1989]



Sec. 2.102   Administrative review of application.

    (a) During review of an application by the staff, an applicant may 
be required to supply additional information. The staff may request any 
one party to the proceeding to confer with the staff informally. In the 
case of a docketed application for a construction permit or an operating 
license for a facility, the staff shall establish a schedule for its 
review of the application, specifying the key intermediate steps from 
the time of docketing until the completion of its review.
    (b) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, will refer the 
docketed application to the ACRS as required by law and in such 
additional cases as he or the Commission may determine to be 
appropriate. The ACRS will render to the Commission one or more reports 
as required by law or as requested by the Commission.
    (c) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, will make each 
report of the ACRS a part of the record of the docketed application, and 
transmit copies to the appropriate State and local officials.
    (d)(1) Except as provided in paragraph (d)(2) of this section, the 
Director of Nuclear Reactor Regulation or Director of Nuclear Material 
Safety and Safeguards, as appropriate, will refer and transmit a copy of 
each docketed application for a construction permit or an operating 
license for a utilization or production facility under section 103 of 
the Act to the Attorney General as required by section 105c of the Act.
    (2) The requirements of paragraph (d)(1) of this section do not 
apply to an application for an operating license for a production or 
utilization facility under section 103 of the Act for which the 
construction permit was also issued under section 103, unless the 
Director of Nuclear Reactor Regulation or the Director of Nuclear 
Material Safety and Safeguards, as appropriate, determines, after 
consultation with the Attorney General and in accordance with 
Sec. 2.101(e), that such review is advisable on the ground that 
significant changes in the licensee's activities or proposed activities 
have occurred subsequent to the previous review of the Attorney General 
and the Commission under section 105c of the Act in connection with the 
construction permit.

[[Page 32]]

    (3) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, will cause the 
Attorney General's advice received pursuant to paragraph (d)(1) of this 
section to be published in the Federal Register promptly upon receipt, 
and will make such advice a part of the record in any proceeding on 
antitrust matters conducted in accordance with subsection 105c(5) and 
section 189a of the Act. The Director of Nuclear Reactor Regulation or 
Director of Nuclear Material Safety and Safeguards, as appropriate, will 
also cause to be published in the Federal Register a notice that the 
Attorney General has not rendered any such advice. Any notice published 
in the Federal Register pursuant to this subparagraph will also include 
a notice of hearing, if appropriate, or will state that any person whose 
interest may be affected by the proceeding may, pursuant to and in 
accordance with Sec. 2.714, file a petition for leave to intervene and 
request a hearing on the antitrust aspects of the application. The 
notice will state that petitions for leave to intervene and requests for 
hearing shall be filed within 30 days after publication of the notice.

[27 FR 377, Jan. 13, 1962, as amended at 36 FR 13270, July 17, 1971; 37 
FR 15130, July 28, 1972; 47 FR 9986, Mar. 9, 1982]



Sec. 2.103  Action on applications for byproduct, source, special nuclear material, and operator licenses.

    (a) If the Director of Nuclear Reactor Regulation or the Director of 
Nuclear Material Safety and Safeguards, as appropriate, finds that an 
application for a byproduct, source, special nuclear material, or 
operator license complies with the requirements of the Act, the Energy 
Reorganization Act, and this chapter, he will issue a license. If the 
license is for a facility, or for receipt of waste radioactive material 
from other persons for the purpose of commercial disposal by the waste 
disposal licensee, or if it is to receive and possess high-level 
radioactive waste at a geologic repository operations area pursuant to 
part 60 of this chapter, the Director of Nuclear Reactor Regulation or 
the Director of Nuclear Material Safety and Safeguards, as appropriate, 
will inform the State, tribal and local officials specified in 
Sec. 2.104(e) of the issuance of the license. For notice of issuance 
requirements for licenses issued pursuant to part 61 of this chapter, 
see Sec. 2.106(d) of this part.
    (b) If the Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, finds that an 
application does not comply with the requirements of the Act and this 
chapter he may issue a notice of proposed denial or a notice of denial 
of the application and inform the applicant in writing of:
    (1) The nature of any deficiencies or the reason for the proposed 
denial or the denial, and
    (2) The right of the applicant to demand a hearing within twenty 
(20) days from the date of the notice or such longer period as may be 
specified in the notice.

[28 FR 10152, Sept. 17, 1963, as amended at 47 FR 57478, Dec. 27, 1982]

                  Hearing on Application--How Initiated



Sec. 2.104   Notice of hearing.

    (a) In the case of an application on which a hearing is required by 
the Act or this chapter, or in which the Commission finds that a hearing 
is required in the public interest, the Secretary will issue a notice of 
hearing to be published in the Federal Register as required by law at 
least fifteen (15) days, and in the case of an application concerning a 
construction permit for a facility of the type described in 
Sec. 50.21(b) or Sec. 50.22 of this chapter or a testing facility, at 
least thirty (30) days, prior to the date set for hearing in the 
notice.\1\

[[Page 33]]

In addition, in the case of an application for a construction permit for 
a facility of the type described in Sec. 50.22 of this chapter, or a 
testing facility, the notice (other than a notice pursuant to paragraph 
(d) of this section) shall be issued as soon as practicable after the 
application has been docketed: Provided, That if the Commission, 
pursuant to Sec. 2.101(a)(2), decides to determine the acceptability of 
the application on the basis of its technical adequacy as well as 
completeness, the notice shall be issued as soon as practicable after 
the application has been tendered. The notice will state:
---------------------------------------------------------------------------

    \1\ If the notice of hearing concerning an application for a 
construction permit for a facility of the type described in 
Sec. 50.21(b) or Sec. 50.22 of this chapter or a testing facility does 
not specify the time and place of initial hearing, a subsequent notice 
will be published in the Federal Register which will provide at least 
thirty (30) days notice of the time and place of that hearing. After 
this notice is given the presiding officer may reschedule the 
commencement of the initial hearing for a later date or reconvene a 
recessed hearing without again providing thirty (30) days notice.
---------------------------------------------------------------------------

    (1) The time, place, and nature of the hearing and/or prehearing 
conference, if any;
    (2) The authority under which the hearing is to be held;
    (3) The matters of fact and law to be considered; and
    (4) The time within which answers to the notice shall be filed.
    (b) In the case of an application for a construction permit for a 
facility on which the Act requires a hearing, the notice of hearing 
will, except as provided in paragraph (d) of this section and unless the 
Commission determines otherwise, state, in implementation of paragraph 
(a)(3) of this section:
    (1) That, if the proceeding is a contested proceeding, the presiding 
officer will consider the following issues:\2\
---------------------------------------------------------------------------

    \2\ Issues (i) to (iv) are the issues pursuant to the Atomic Energy 
Act of 1954, as amended. Issue (v) is the issue pursuant to the National 
Environmental Policy Act of 1969.
---------------------------------------------------------------------------

    (i) Whether in accordance with the provisions of Sec. 50.35(a) of 
this chapter:
    (a) The applicant has described the proposed design of the facility, 
including, but not limited to, the principal architectural and 
engineering criteria for the design, and has identified the major 
features or components incorporated therein for the protection of the 
health and safety of the public;
    (b) Such further technical or design information as may be required 
to complete the safety analysis, and which can reasonably be left for 
later consideration will be supplied in the final safety analysis 
report;
    (c) Safety features or components, if any, which require research 
and development, have been described by the applicant and the applicant 
has identified, and there will be conducted, a research and development 
program reasonably designed to resolve any safety questions associated 
with such features or components; and
    (d) On the basis of the foregoing, there is reasonable assurance 
that (1) such safety questions will be satisfactorily resolved at or 
before the latest date stated in the application for completion of the 
proposed facility; and (2) taking into consideration the site criteria 
contained in part 100 of this chapter, the proposed facility can be 
constructed and operated at the proposed location without undue risk to 
the health and safety of the public;
    (ii) Whether the applicant is technically qualified to design and 
construct the proposed facility;
    (iii) Whether the applicant is financially qualified to design and 
construct the proposed facility;
    (iv) Whether the issuance of a permit for the construction of the 
facility will be inimical to the common defense and security or to the 
health and safety of the public;
    (v) If the application is for a construction permit for a nuclear 
power reactor, a testing facility, a fuel reprocessing plant, or other 
facility whose construction or operation has been determined by the 
Commission to have a significant impact on the environment, whether, in 
accordance with the requirements of subpart A of part 51 of this 
chapter, the construction permit should be issued as proposed.
    (2) That, if the proceeding is not a contested proceeding, the 
presiding officer will determine:
    (i) Without conducting a de novo evaluation of the application, 
whether the application and the record of the proceeding contain 
sufficient information, and the review of the application by the 
Commission's staff has been adequate to support affirmative findings on 
(b)(1) (i) through (iii) specified in this section and a negative 
finding on (b)(1)(iv) specified in this section proposed to be made and 
the issuance of the construction permit proposed by the Director of 
Nuclear Reactor Regulation or Director of Nuclear Material Safety and 
Safeguards, as appropriate, and

[[Page 34]]

    (ii) If the application is for a construction permit for a nuclear 
power reactor, a testing facility, a fuel processing plant, a uranium 
enrichment facility, or other facility whose construction or operation 
has been determined by the Commission to have a significant impact on 
the environment, whether the review conducted by the Commission pursuant 
to the National Environmental Policy Act (NEPA) has been adequate.
    (3) That, regardless of whether the proceeding is contested or 
uncontested, the presiding officer will, in accordance with subpart A of 
part 51 of this chapter.
    (i) Determine whether the requirements of section 102(2) (A), (C) 
and (E) of the National Environmental Policy Act and subpart A of part 
51 of this chapter have been complied with in the proceeding;
    (ii) Independently consider the final balance among conflicting 
factors contained in the record of the proceeding with a view to 
determining the appropriate action to be taken; and
    (iii) Determine whether the construction permit should be issued, 
denied, or appropriately conditioned to protect environmental values.
    (c) In the case of an application for an operating license in which 
a hearing will be held, the notice of hearing will, except as provided 
in paragraph (d) of this section and unless the Commission determines 
otherwise, state, in implementation of paragraph (a)(3) of this section, 
that the presiding officer will consider any matters in controversy 
among the parties and may, where he or she determines that a serious 
safety, environmental, or common defense and security matter has not 
been raised by the parties, consider such other matter within the 
purview of:
    (1) Whether there is reasonable assurance that construction of the 
facility will be substantially completed on a timely basis, in 
conformity with the construction permit and the application as amended, 
the provisions of the Act, and the regulations in this chapter;
    (2) Whether the facility will operate in conformity with the 
application as amended, the provisions of the Act, and the regulations 
in this chapter;
    (3) Whether there is reasonable assurance: (i) That the activities 
to be authorized by the operating license can be conducted without 
endangering the health and safety of the public, and (ii) that such 
activities will be conducted in compliance with the regulations in this 
chapter;
    (4) Whether the applicant is technically and financially qualified 
to engage in the activities to be authorized by the operating license in 
accordance with the regulations in this chapter, except that the issue 
of financial qualification shall not be considered by the presiding 
officer in an operating license hearing if the applicant is an electric 
utility seeking a license to operate a utilization facility of the type 
described in Sec. 50.21(b) or Sec. 50.22;
    (5) Whether the applicable provisions of part 140 of this chapter 
have been satisfied;
    (6) Whether issuance of the license will be inimical to the common 
defense and security or to the health and safety of the public; and
    (7) If the application is for an operating license for a nuclear 
power reactor, a testing facility, or a fuel reprocessing plant, or 
other facility whose operation has been determined by the Commission to 
have a significant impact on the environment, whether, in accordance 
with the requirements of subpart A of part 51 of this chapter, the 
operating license should be issued as proposed.\3\
---------------------------------------------------------------------------

    \3\ Issues (1) to (6) are the issues pursuant to the Atomic Energy 
Act of 1954, as amended. Issue (7) is the issue pursuant to the National 
Environmental Policy Act of 1969.
---------------------------------------------------------------------------

    (d) In an application for a construction permit or an operating 
license for a facility on which a hearing is required by the Act or this 
chapter, or in which the Commission finds that a hearing is required in 
the public interest to consider the antitrust aspects of the 
application, the notice of hearing will, unless the Commission 
determines otherwise, state:
    (1) A time of the hearing, which will be as soon as practicable 
after the receipt of the Attorney General's advice and compliance with 
sections 105 and 189a of the Act and this part; \4\
---------------------------------------------------------------------------

    \4\ As permitted by subsection 105c of the Act, with respect to 
proceedings in which an application for a construction permit was filed 
prior to December 19, 1970, and proceedings in which a written request 
for antitrust review of an application for an operating license to be 
issued under section 104b has been made by a person who intervened or 
sought by timely written notice to the Commission to intervene in the 
construction permit proceeding for the facility to obtain a 
determination of antitrust considerations or to advance a jurisdictional 
basis for such determination within 25 days after the date of 
publication in the Federal Register or notice of filing of the 
application for an operating license or December 19, 1970, whichever is 
later, the Commission may issue a construction permit or operating 
license which contains the conditions specified in Sec. 50.55b of this 
chapter before the antitrust aspects of the application are finally 
resolved.

---------------------------------------------------------------------------

[[Page 35]]

    (2) The presiding officer for the hearing who shall be either an 
administrative law judge or an atomic safety and licensing board 
established by the Commission or by the Chief Administrative Judge of 
the Atomic Safety and Licensing Board Panel;
    (3) That the presiding officer will consider and decide whether the 
activities under the proposed license would create or maintain a 
situation inconsistent with the antitrust laws described in section 105a 
of the Act; and
    (4) That matters of radiological health and safety and common 
defense and security, and matters raised under the National 
Environmental Policy Act of 1969, will be considered at another hearing 
if otherwise required or ordered to be held, for which a notice will be 
published pursuant to paragraphs (a) and (b) of this section, unless 
otherwise authorized by the Commission.
    (e) The Secretary will give timely notice of the hearing to all 
parties and to other persons, if any, entitled by law to notice. The 
Secretary will transmit a notice of hearing on an application for a 
license for a production or utilization facility, for a license for 
receipt of waste radioactive material from other persons for the purpose 
of commercial disposal by the waste disposal licensee, for a license 
under part 61 of this chapter, for a license to receive and possess 
high-level radioactive waste at a geologic repository operations area 
pursuant to part 60 of this chapter, and for a license under part 72 of 
this chapter to acquire, receive or possess spent fuel for the purpose 
of storage in an independent spent fuel storage installation (ISFSI) to 
the governor or other appropriate official of the State and to the chief 
executive of the municipality in which the facility is to be located or 
the activity is to be conducted or, if the facility is not to be located 
or the activity conducted within a municipality, to the chief executive 
of the county (or to the Tribal organization, if it is to be so located 
or conducted within an Indian reservation). The Secretary will transmit 
a notice of hearing on an application for a license under part 72 of 
this chapter to acquire, receive or possess spent fuel, high-level 
radioactive waste or radioactive material associated with high-level 
radioactive waste for the purpose of storage in a monitored retrievable 
storage installation (MRS) to the same persons who received the notice 
of docketing under Sec. 72.16(e) of this chapter.

[27 FR 377, Jan. 13, 1962]

    Editorial Note: For Federal Register citations affecting Sec. 2.104, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.



Sec. 2.105   Notice of proposed action.

    (a) If a hearing is not required by the Act or this chapter, and if 
the Commission has not found that a hearing is in the public interest, 
it will, prior to acting thereon, cause to be published in the Federal 
Register a notice of proposed action with respect to an application for:
    (1) A license for a facility;
    (2) A license for receipt of waste radioactive material from other 
persons for the purpose of commercial disposal by the waste disposal 
licensee. All licenses issued under part 61 of this chapter shall be so 
noticed;
    (3) An amendment of a license specified in paragraph (a) (1) or (2) 
of this section and which involves a significant hazards consideration;
    (4) An amendment to an operating license for a facility licensed 
under Sec. 50.21(b) or Sec. 50.22 of this chapter or for a testing 
facility, as follows:
    (i) If the Commission determines under Sec. 50.58 of this chapter 
that the amendment involves no significant hazards consideration, though 
it will provide notice of opportunity for a

[[Page 36]]

hearing pursuant to this section, it may make the amendment immediately 
effective and grant a hearing thereafter; or
    (ii) If the Commission determines under Secs. 50.58 and 50.91 of 
this chapter that an emergency situation exists or that exigent 
circumstances exist and that the amendment involves no significant 
hazards consideration, it will provide notice of opportunity for a 
hearing pursuant to Sec. 2.106 (if a hearing is requested, it will be 
held after issuance of the amendment);
    (5) A license to receive and possess high-level radioactive waste at 
a geologic repository operations area pursuant to part 60 of this 
chapter;
    (6) An amendment to a license specified in paragraph (a)(5) of this 
section, or an amendment to a construction authorization granted in 
proceedings on an application for such a license, when such an amendment 
would authorize actions which may significantly affect the health and 
safety of the public;
    (7) A license under part 72 of this chapter to acquire, receive or 
possess spent fuel for the purpose of storage in an independent spent 
fuel storage installation (ISFSI) or to acquire, receive or possess 
spent fuel, high-level radioactive waste or radioactive material 
associated with high-level radioactive waste for the purpose of storage 
in a monitored retrievable storage installation (MRS);
    (8) An amendment to a license specified in paragraph (a)(7) of this 
section when such an amendment presents a genuine issue as to whether 
the health and safety of the public will be significantly affected; or
    (9) Any other license or amendment as to which the Commission 
determines that an opportunity for a public hearing should be afforded;
    (10) In the case of an application for an operating license for a 
facility of a type described in Sec. 50.21(b) or Sec. 50.22 of this 
chapter or a testing facility, a notice of opportunity for hearing shall 
be issued as soon as practicable after the application has been 
docketed; or
    (11) In the case of an application for a license to receive and 
possess high-level radioactive waste at a geologic repository operations 
area, a notice of opportunity for hearing, as required by this 
paragraph, shall be published prior to Commission action authorizing 
receipt of such wastes; this requirement is in addition to the 
procedures set out in Secs. 2.101(f)(8) and 2.104 of this part, which 
provide for a hearing on the application prior to issuance of a 
construction authorization.
    (b) The notice of proposed action will set forth:
    (1) The nature of the action proposed;
    (2) The manner in which a copy of the safety analysis and of the 
ACRS report, if any, may be obtained or examined.
    (c) If an application for a license is complete enough to permit all 
evaluations, other than completion inspection, necessary for the 
issuance of a construction permit and operating license, the notice of 
proposed issuance of a construction permit may provide that on 
completion of construction and inspection the operating license will be 
issued without further prior notice.
    (d) The notice of proposed action will provide that, within thirty 
(30) days from the date of publication of the notice in the Federal 
Register, or such lesser period authorized by law as the Commission may 
specify:
    (1) The applicant may file a request for a hearing; and
    (2) Any person whose interest may be affected by the proceeding may 
file a request for a hearing or a petition for leave to intervene if a 
hearing has already been requested.
    (e)(1) If no request for a hearing or petition for leave to 
intervene is filed within the time prescribed in the notice, the 
Director of Nuclear Reactor Regulation or the Director of Nuclear 
Material Safety and Safeguards, as appropriate, may take the proposed 
action, inform the appropriate State and local officials, and publish in 
the Federal Register a notice of issuance of the license or other 
action.
    (2) If a request for a hearing or a petition for leave to intervene 
is filed within the time prescribed in the notice, the presiding officer 
who shall be an Atomic Safety and Licensing Board established by the 
Commission or by the Chief Administrative Judge of the Atomic Safety and 
Licensing Board Panel, will rule on the request and/or petition, and the 
Secretary or the presiding officer will issue a notice of

[[Page 37]]

hearing or an appropriate order. The presiding officer designated to 
rule on a request or petition concerning the antitrust aspects of an 
application may be either an Administrative Law Judge or an Atomic 
Safety and Licensing Board.
    (f) Applications for facility licenses under section 103 of the Act 
and for facility operating licenses under section 104b of the Act as to 
which any person intervened or sought by timely written notice to the 
Commission to intervene in the construction permit proceeding to obtain 
a determination of antitrust considerations or to advance a 
jurisdictional basis for such determination are also subject to the 
provisions of Secs. 2.101(b) and 2.102(d).

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 10152, Sept. 17, 1963; 31 
FR 12776, Sept. 30, 1966; 34 FR 9702, June 21, 1969; 34 FR 12255, July 
25, 1969; 35 FR 19658, Dec. 29, 1970; 36 FR 4686, Mar. 11, 1971; 37 FR 
15131, July 28, 1972; 37 FR 28711, Dec. 29, 1972; 38 FR 9585, Apr. 18, 
1973]

    Editorial Note: For additional Federal Register citations affecting 
Sec. 2.105, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



Sec. 2.106   Notice of issuance.

    (a) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, will cause to be 
published in the Federal Register notice of, and will inform the State 
and local officials specified in Sec. 2.104(e) of the issuance of:
    (1) A license or an amendment of a license for which a notice of 
proposed action has been previously published; and
    (2) An amendment of a license for a facility of the type described 
in Sec. 50.21(b) or Sec. 50.22 of this chapter, or a testing facility, 
whether or not a notice of proposed action has been previously 
published.
    (b) The notice of issuance will set forth:
    (1) The nature of the license or amendment;
    (2) The manner in which copies of the safety analysis, if any, may 
be obtained and examined; and
    (3) A finding that the application for the license or amendment 
complies with the requirements of the Act and this chapter.
    (c) The Director of Nuclear Material Safety and Safeguards will also 
cause to be published in the Federal Register notice of, and will inform 
the State, local, and Tribal officials specified in Sec. 2.104(e) of any 
action with respect to, an application for a license to receive and 
possess high-level radioactive waste at a geologic repository operations 
area pursuant to part 60 of this chapter, or for the amendment to such 
license for which a notice of proposed action has been previously 
published.
    (d) The Director of Nuclear Material Safety and Safeguards will also 
cause to be published in the Federal Register notice of, and will inform 
the State and local officials or tribal governing body specified in 
Sec. 2.104(e) of any licensing action with respect to a license to 
receive radioactive waste from other persons for disposal under part 61 
of this chapter or the amendment of such a license for which a notice of 
proposed action has been previously published.

[37 FR 15131, July 28, 1972, as amended at 38 FR 9586, Apr. 18, 1973; 46 
FR 13978, Feb. 25, 1981; 47 FR 57478, Dec. 27, 1982]



Sec. 2.107   Withdrawal of application.

    (a) The Commission may permit an applicant to withdraw an 
application prior to the issuance of a notice of hearing on such terms 
and conditions as it may prescribe, or may, on receiving a request for 
withdrawal of an application, deny the application or dismiss it with 
prejudice. Withdrawal of an application after the issuance of a notice 
of hearing shall be on such terms as the presiding officer may 
prescribe.
    (b) The withdrawal of an application does not authorize the removal 
of any document from the files of the Commission.
    (c) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, will cause to be 
published in the Federal Register a notice of the withdrawal of an 
application if notice of receipt of the application has been previously 
published.

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 10152, Sept. 17, 1963]

[[Page 38]]



Sec. 2.108   Denial of application for failure to supply information.

    (a) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, may deny an 
application if an applicant fails to respond to a request for additional 
information within thirty (30) days from the date of the request, or 
within such other time as may be specified.
    (b) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, will cause to be 
published in the Federal Register a notice of denial when notice of 
receipt of the application has previously been published, but not notice 
of hearing has yet been published. The notice of denial will provide 
that, within thirty (30) days after the date of publication in the 
Federal Register (1) the applicant may demand a hearing, and (2) any 
person whose interest may be affected by the proceeding may file a 
petition for leave to intervene.
    (c) When both a notice of receipt of the application and a notice of 
hearing have been published, the presiding officer, upon a motion made 
by the staff pursuant to Sec. 2.730, will rule whether an application 
should be denied by the Director of Nuclear Reactor Regulation or 
Director of Nuclear Material Safety and Safeguards, as appropriate, 
pursuant to paragraph (a).

[27 FR 377, Jan. 13, 1962, as amended at 39 FR 43195, Dec. 11, 1974]



Sec. 2.109   Effect of timely renewal application.

    (a) Except for the renewal of an operating license for a nuclear 
power plant under 10 CFR 50.21(b) or 50.22, if, at least 30 days prior 
to the expiration of an existing license authorizing any activity of a 
continuing nature, the licensee files an application for a renewal or 
for a new license for the activity so authorized, the existing license 
will not be deemed to have expired until the application has been 
finally determined.
    (b) If the licensee of a nuclear power plant licensed under 10 CFR 
50.21(b) or 50.22 files a sufficient application for renewal of an 
operating license at least 5 years prior to the expiration of the 
existing license, the existing license will not be deemed to have 
expired until the application has been finally determined.

[56 FR 64975, Dec. 13, 1991]



Sec. 2.110   Filing and administrative action on submittals for design review or early review of site suitability issues.

    (a)(1) A submittal pursuant to appendix O of part 52 of this chapter 
shall be subject to Secs. 2.101(a) and 2.790 to the same extent as if it 
were an application for a permit or license.
    (2) Except as specifically provided otherwise by the provisions of 
appendix Q to part 52 of this chapter, a submittal pursuant to appendix 
Q shall be subject to Sec. 2.101(a) (2) through (4) to the same extent 
as if it were an application for a permit or license.
    (b) Upon initiation of review by the staff of a submittal of a type 
described in paragraph (a)(1) of this section, the Director of Nuclear 
Reactor Regulation shall publish in the Federal Register a notice of 
receipt of the submittal, inviting comments from interested persons 
within 60 days of publication or such other time as may be specified, 
for consideration by the staff and ACRS in their review.
    (c) Upon completion of review by the staff and the ACRS of a 
submittal of the type described in paragraph (a)(1) of this section, the 
Director of Nuclear Reactor Regulation shall publish in the Federal 
Register a determination as to whether or not the design is acceptable, 
subject to such conditions as may be appropriate, and place in the 
Public Document Room an analysis of the design in the form of a report.

[40 FR 2976, Jan. 17, 1975, as amended at 42 FR 22885, May 5, 1977; 54 
FR 15398, Apr. 18, 1989]



Sec. 2.111   Prohibition of sex discrimination.

    No person shall on the ground of sex be excluded from participation 
in, be denied a license under, be denied the benefits of, or be 
subjected to discrimination under any program or activity

[[Page 39]]

carried on or receiving Federal assistance under the Act or the Energy 
Reorganization Act of 1974.

[40 FR 8777, Mar. 3, 1975]



    Subpart B--Procedure for Imposing Requirements by Order, or for 
 Modification, Suspension, or Revocation of a License, or for Imposing 
                             Civil Penalties



Sec. 2.200   Scope of subpart.

    (a) This subpart prescribes the procedure in cases initiated by the 
staff, or upon a request by any person, to impose requirements by order, 
or to modify, suspend, or revoke a license, or to take other action as 
may be proper, against any person subject to the jurisdiction of the 
Commission.
    (b) This subpart also prescribes the procedures in cases initiated 
by the staff to impose civil penalties pursuant to section 234 of the 
Act and section 206 of the Energy Reorganization Act of 1974.

[36 FR 16896, Aug. 26, 1971, as amended at 42 FR 28893, June 6, 1977; 48 
FR 44172, Sept. 28, 1983]



Sec. 2.201  Notice of violation.

    (a) In response to an alleged violation of any provision of the Act 
or this chapter or the conditions of a license or an order issued by the 
Commission, the Commission may serve on the licensee or other person 
subject to the jurisdiction of the Commission a written notice of 
violation; a separate notice may be omitted if an order pursuant to 
Sec. 2.202 or demand for information pursuant to Sec. 2.204 is issued 
that otherwise identifies the apparent violation. The notice of 
violation will concisely state the alleged violation and may require 
that the licensee or other person submit, within 20 days of the date of 
the notice or other specified time, a written explanation or statement 
in reply if the Commission believes that the licensee has not already 
addressed all the issues contained in the notice of violation, 
including:
    (1) Corrective steps which have been taken by the licensee or other 
person and the results achieved;
    (2) Corrective steps which will be taken; and
    (3) The date when full compliance will be achieved.
    (b) The notice may require the licensee or other person subject to 
the jurisdiction of the Commission to admit or deny the violation and to 
state the reasons for the violation, if admitted. It may provide that, 
if an adequate reply is not received within the time specified in the 
notice, the Commission may issue an order or a demand for information as 
to why the license should not be modified, suspended or revoked or why 
such other action as may be proper should not be taken.

[56 FR 40684, Aug. 15, 1991, as amended at 61 FR 43408, Aug. 22, 1996]



Sec. 2.202   Orders.

    (a) The Commission may institute a proceeding to modify, suspend, or 
revoke a license or to take such other action as may be proper by 
serving on the licensee or other person subject to the jurisdiction of 
the Commission an order that will:
    (1) Allege the violations with which the licensee or other person 
subject to the Commission's jurisdiction is charged, or the potentially 
hazardous conditions or other facts deemed to be sufficient ground for 
the proposed action, and specify the action proposed;
    (2) Provide that the licensee or other person must file a written 
answer to the order under oath or affirmation within twenty (20) days of 
its date, or such other time as may be specified in the order;
    (3) Inform the licensee or any other person adversely affected by 
the order of his or her right, within twenty (20) days of the date of 
the order, or such other time as may be specified in the order, to 
demand a hearing on all or part of the order, except in a case where the 
licensee or other person has consented in writing to the order;
    (4) Specify the issues for hearing; and
    (5) State the effective date of the order; if the Commission finds 
that the public health, safety, or interest so requires or that the 
violation or conduct causing the violation is willful, the order may 
provide, for stated reasons, that the proposed action be immediately 
effective pending further order.

[[Page 40]]

    (b) A licensee or other person to whom the Commission has issued an 
order under this section must respond to the order by filing a written 
answer under oath or affirmation. The answer shall specifically admit or 
deny each allegation or charge made in the order, and shall set forth 
the matters of fact and law on which the licensee or other person 
relies, and, if the order is not consented to, the reasons as to why the 
order should not have been issued. Except as provided in paragraph (d) 
of this section, the answer may demand a hearing.
    (c) If the answer demands a hearing, the Commission will issue an 
order designating the time and place of hearing.
    (1) If the answer demands a hearing with respect to an immediately 
effective order, the hearing will be conducted expeditiously, giving due 
consideration to the rights of the parties.
    (2) (i) The licensee or other person to whom the Commission has 
issued an immediately effective order may, in addition to demanding a 
hearing, at the time the answer is filed or sooner, move the presiding 
officer to set aside the immediate effectiveness of the order on the 
ground that the order, including the need for immediate effectiveness, 
is not based on adequate evidence but on mere suspicion, unfounded 
allegations, or error. The motion must state with particularity the 
reasons why the order is not based on adequate evidence and must be 
accompanied by affidavits or other evidence relied on. The NRC staff 
shall respond within (5) days of the receipt of the motion. The motion 
must be decided by the presiding officer expeditiously. During the 
pendency of the motion or at any other time, the presiding officer may 
not stay the immediate effectiveness of the order, either on its own 
motion, or upon motion of the licensee or other person. The presiding 
officer will uphold the immediate effectiveness of the order if it finds 
that there is adequate evidence to support immediate effectiveness. An 
order upholding immediate effectiveness will constitute the final agency 
action on immediate effectiveness. An order setting aside immediate 
effectiveness will be referred promptly to the Commission itself and 
will not be effective pending further order of the Commission.
    (ii) The presiding officer may, on motion by the staff or any other 
party to the proceeding, where good cause exists, delay the hearing on 
the immediately effective order at any time for such periods as are 
consistent with the due process rights of the licensee and other 
affected parties.
    (d) An answer may consent to the entry of an order in substantially 
the form proposed in the order with respect to all or some of the 
actions proposed in the order. The consent, in the answer or other 
written document, of the licensee or other person to whom the order has 
been issued to the entry of an order shall constitute a waiver by the 
licensee or other person of a hearing, findings of fact and conclusions 
of law, and of all right to seek Commission and judicial review or to 
contest the validity of the order in any forum as to those matters which 
have been consented to or agreed to or on which a hearing has not been 
requested. An order that has been consented to shall have the same force 
and effect as an order made after hearing by a presiding officer or the 
Commission, and shall be effective as provided in the order.
    (e) If the order involves the modification of a part 50 license and 
is a backfit, the requirements of Sec. 50.109 of this chapter shall be 
followed, unless the licensee has consented to the action required.

[56 FR 40684, Aug. 15, 1991, as amended at 57 FR 20198, May 12, 1992]



Sec. 2.203   Settlement and compromise.

    At any time after the issuance of an order designating the time and 
place of hearing in a proceeding to modify, suspend, or revoke a license 
or for other action, the staff and a licensee or other person may enter 
into a stipulation for the settlement of the proceeding or the 
compromise of a civil penalty. The stipulation or compromise shall be 
subject to approval by the designated presiding officer or, if none has 
been designated, by the Chief Administrative Law Judge, according due 
weight to the position of the staff. The presiding officer, or if none 
has been designated, the Chief Administrative Law Judge,

[[Page 41]]

may order such adjudication of the issues as he may deem to be required 
in the public interest to dispose of the proceeding. If approved, the 
terms of the settlement or compromise shall be embodied in a decision or 
order settling and discontinuing the proceeding.

[36 FR 16896, Aug. 26, 1971]



Sec. 2.204  Demand for information.

    (a) The Commission may issue to a licensee or other person subject 
to the jurisdiction of the Commission a demand for information for the 
purpose of determining whether an order under Sec. 2.202 should be 
issued, or whether other action should be taken, which demand will:
    (1) Allege the violations with which the licensee or other person is 
charged, or the potentially hazardous conditions or other facts deemed 
to be sufficient ground for issuing the demand; and
    (2) Provide that the licensee must, or the other person may, file a 
written answer to the demand for information under oath or affirmation 
within twenty (20) days of its date, or such other time as may be 
specified in the demand for information.
    (b) A licensee to whom the Commission has issued a demand for 
information under this section must respond to the demand by filing a 
written answer under oath or affirmation; any other person to whom the 
Commission has issued a demand for information may, in its discretion, 
respond to the demand by filing a written answer under oath or 
affirmation. The licensee's answer shall specifically admit or deny each 
allegation or charge made in the demand for information, and shall set 
forth the matters of fact and law on which the licensee relies. A person 
other than a licensee may answer as described above, or by setting forth 
its reasons why the demand should not have been issued and, if the 
requested information is not provided, the reasons why it is not 
provided.
    (c) Upon review of the answer filed pursuant to paragraph (a)(2) of 
this section, or if no answer is filed, the Commission may institute a 
proceeding pursuant to 10 CFR 2.202 to take such action as may be 
proper.
    (d) An answer may consent to the entry of an order pursuant to 
Sec. 2.202 in substantially the form proposed in the demand for 
information. Such consent shall constitute a waiver as provided in 
Sec. 2.202(d).

[56 FR 40685, Aug. 15, 1991]



Sec. 2.205   Civil penalties.

    (a) Before instituting any proceeding to impose a civil penalty 
under section 234 of the Act, the Deputy Executive Director for Nuclear 
Materials Safety, Safeguards, and Operations Support, or the Deputy's 
designee, as appropriate, shall serve a written notice of violation upon 
the person charged. This notice may be included in a notice issued 
pursuant to Sec. 2.201. The notice of violation shall specify the date 
or dates, facts, and the nature of the alleged act or omission with 
which the person is charged, and shall indentify specifically the 
particular provision or provisions of the law, rule, regulation, 
license, permit, or cease and desist order involved in the alleged 
violation and must state the amount of each proposed penalty. The notice 
of violation shall also advise the person charged that the civil penalty 
may be paid in the amount specified therein, or the proposed imposition 
of the civil penalty may be protested in its entirety or in part, by a 
written answer, either denying the violation or showing extenuating 
circumstances. The notice of violation shall advise the person charged 
that upon failure to pay a civil penalty subsequently determined by the 
Commission, if any, unless compromised, remitted, or mitigated, be 
collected by civil action, pursuant to section 234c of the Act.
    (b) Within twenty (20) days of the date of a notice of violation or 
other time specified in the notice, the person charged may either pay 
the penalty in the amount proposed or answer the notice of violation. 
The answer to the notice of violation shall state any facts, 
explanations, and arguments, denying the charges of violation, or 
demonstrating any extenuating circumstances, error in the notice of 
violation, or other reason why the penalty should not be imposed and may 
request remission or mitigation of the penalty.
    (c) If the person charged with violation fails to answer within the 
time

[[Page 42]]

specified in paragraph (b) of this section, an order may be issued 
imposing the civil penalty in the amount set forth in the notice of 
violation described in paragraph (a) of this section.
    (d) If the person charged with violation files an answer to the 
notice of violation, the Deputy Executive Director for Nuclear Materials 
Safety, Safeguards, and Operations Support, or the Deputy's designee, 
upon consideration of the answer, will issue an order dismissing the 
proceeding or imposing, mitigating, or remitting the civil penalty. The 
person charged may, within twenty (20) days of the date of the order or 
other time specified in the order, request a hearing.
    (e) If the person charged with violation requests a hearing, the 
Commission will issue an order designating the time and place of 
hearing.
    (f) If a hearing is held, an order will be issued after the hearing 
by the presiding officer or the Commission dismissing the proceeding or 
imposing, mitigating, or remitting the civil penalty.
    (g) The Deputy Executive Director for Nuclear Materials Safety, 
Safeguards, and Operations Support, or the Deputy's designee, as 
appropriate may compromise any civil penalty, subject to the provisions 
of Sec. 2.203.
    (h) If the civil penalty is not compromised, or is not remitted by 
the Deputy Executive Director for Nuclear Materials Safety, Safeguards, 
and Operations Support, or the Deputy's designee, as appropriate, the 
presiding officer, or the Commission, and if payment is not made within 
ten (10) days following either the service of the order described in 
paragraph (c) or (f) of this section, or the expiration of the time for 
requesting a hearing described in paragraph (d) of this section, the 
Deputy Executive Director for Nuclear Materials Safety, Safeguards, and 
Operations Support, or the Deputy's designee, as appropriate, may refer 
the matter to the Attorney General for collection.
    (i) Except when payment is made after compromise or mitigation by 
the Department of Justice or as ordered by a court of the United States, 
following reference of the matter to the Attorney General for 
collection, payment of civil penalties imposed under section 234 of the 
Act shall be made by check, draft, or money order payable to the 
Treasurer of the United States, and mailed to the Director, Office of 
Enforcement.
    (j) Amount. A civil monetary penalty imposed under Section 234 of 
the Atomic Energy Act of 1954, as amended, or any other statute within 
the jurisdiction of the Commission that provides for imposition of a 
civil penalty in an amount equal to the amount set forth in Section 234, 
may not exceed $110,000 for each violation. If any violation is a 
continuing one, each day of such violation shall constitute a separate 
violation for the purpose of computing the applicable civil penalty.

[36 FR 16896, Aug. 26, 1971, as amended at 52 FR 31608, Aug. 21, 1987; 
54 FR 53315, Dec. 28, 1989; 61 FR 53555, Oct. 11, 1996]



Sec. 2.206   Requests for action under this subpart.

    (a) Any person may file a request to institute a proceeding pursuant 
to Sec. 2.202 to modify, suspend, or revoke a license, or for such other 
action as may be proper. Such a request shall be addressed to the 
Executive Director for Operations and shall be filed either (1) by 
delivery to the Public Document Room at 2120 L Street, NW., Washington, 
DC, or (2) by mail or telegram addessed to the Executive Director for 
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555. 
The requests shall specify the action requested and set forth the facts 
that constitute the basis for the request. The Executive Director for 
Operations will refer the request to the Director of the NRC Office with 
responsibility for the subject matter of the request for appropriate 
action in accordance with paragraph (b) of this section.
    (b) Within a reasonable time after a request pursuant to paragraph 
(a) of this section has been received, the Director of the NRC office 
with responsibility for the subject matter of the request shall either 
institute the requested proceeding in accordance with this subpart or 
shall advise the person who made the request in writing that no 
proceeding will be instituted in whole or in part, with respect to the 
request, and the reasons for the decision.

[[Page 43]]

    (c)(1) Director's decisions under this section will be filed with 
the Office of the Secretary. Within twenty-five (25) days after the date 
of the Director's decision under this section that no proceeding will be 
instituted or other action taken in whole or in part, the Commission may 
on its own motion review that decision, in whole or in part, to 
determine if the Director has abused his discretion. This review power 
does not limit in any way either the Commission's supervisory power over 
delegated staff actions or the Commission's power to consult with the 
staff on a formal or informal basis regarding institution of proceedings 
under this section.
    (2) No petition or other request for Commission review of a 
Director's decision under this section will be entertained by the 
Commission.

[39 FR 12353, Apr. 5, 1974, as amended at 42 FR 36240, July 14, 1977; 45 
FR 73466, Nov. 5, 1980; 52 FR 31608, Aug. 21, 1987; 53 FR 43419, Oct. 
27, 1988]



                          Subpart C--[Reserved]



   Subpart D--Additional Procedures Applicable to Proceedings for the 
  Issuance of Licenses To Construct or Operate Nuclear Power Plants of 
                   Duplicate Design at Multiple Sites

    Source: 40 FR 2976, Jan. 17, 1975, unless otherwise noted.



Sec. 2.400   Scope of subpart.

    This subpart describes procedures applicable to licensing 
proceedings which involve the consideration in hearings of a number of 
applications, filed by one or more applicants pursuant to appendix N of 
part 52 of this chapter, for licenses to construct and operate nuclear 
power reactors of essentially the same design to be located at different 
sites.

[40 FR 2976, Jan. 17, 1975, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 2.401   Notice of hearing on applications pursuant to appendix N of part 52 for construction permits.

    (a) In the case of applications pursuant to appendix N of part 52 of 
this chapter for construction permits for nuclear power reactors of the 
type described in Sec. 50.22 of this chapter, the Secretary will issue 
notices of hearing pursuant to Sec. 2.104.
    (b) The notice of hearing will also state the time and place of the 
hearings on any separate phase of the proceeding.

[40 FR 2976, Jan. 17, 1975, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 2.402   Separate hearings on separate issues; consolidation of proceedings.

    (a) In the case of applications pursuant to appendix N of part 52 of 
this chapter for construction permits for nuclear power reactors of a 
type described in Sec. 50.22 of this chapter, the Commission or the 
presiding officer may order separate hearings on particular phases of 
the proceeding, such as matters related to the acceptability of the 
design of the reactor, in the context of the site parameters postulated 
for the design; environmental matters; or antitrust aspects of the 
application.
    (b) If a separate hearing is held on a particular phase of the 
proceeding, the Commission or presiding officers of each affected 
proceeding may, pursuant to Sec. 2.716, consolidate for hearing on that 
phase two or more proceedings to consider common issues relating to the 
applications involved in the proceedings, if it finds that such action 
will be conducive to the proper dispatch of its business and to the ends 
of justice. In fixing the place of any such consolidated hearing due 
regard will be given to the convenience and necessity of the parties, 
petitioners for leave to intervene or the attorneys or representatives 
of such persons, and the public interest.

[40 FR 2976, Jan. 17, 1975, as amended at 43 FR 17801, Apr. 26, 1978; 54 
FR 15398, Apr. 18, 1989]



Sec. 2.403   Notice of proposed action on applications for operating licenses pursuant to appendix N of part 52.

    In the case of applications pursuant to appendix N of part 52 of 
this chapter for operating licenses for nuclear power reactors, if the 
Commission has not found that a hearing is in the public interest, the 
Director of Nuclear Reactor

[[Page 44]]

Regulation will, prior to acting thereon, cause to be published in the 
Federal Register, pursuant to Sec. 2.105, a notice of proposed action 
with respect to each application as soon as practicable after the 
applications have been docketed.

[40 FR 2976, Jan. 17, 1975, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 2.404   Hearings on applications for operating licenses pursuant to appendix N of part 52.

    If a request for a hearing and/or petition for leave to intervene is 
filed within the time prescribed in the notice of proposed action on an 
application for an operating license pursuant to appendix N of part 52 
of this chapter with respect to a specific reactor(s) at a specific site 
and the Commission or an atomic safety and licensing board designated by 
the Commission or by the Chairman of the Atomic Safety and Licensing 
Board Panel has issued a notice of hearing or other appropriate order, 
the Commission or the atomic safety and licensing board may order 
separate hearings on particular phases of the proceeding and/or 
consolidate for hearing two or more proceedings in the manner described 
in Sec. 2.402.

[40 FR 2976, Jan. 17, 1975, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 2.405   Initial decisions in consolidated hearings.

    At the conclusion of any hearing held pursuant to this subpart, the 
presiding officer will render a partial initial decision which may be 
appealed pursuant to Sec. 2.762. No construction permit or full power 
operating license will be issued until an initial decision has been 
issued on all phases of the hearing and all issues under the Act and the 
National Environmental Policy Act of 1969 appropriate to the proceeding 
have been resolved.



Sec. 2.406   Finality of decisions on separate issues.

    Notwithstanding any other provision of this chapter, in a proceeding 
conducted pursuant to this subpart and appendix N of part 52 of this 
chapter, no matter which has been reserved for consideration in one 
phase of the hearing shall be considered at another phase of the hearing 
except on the basis of significant new information that substantially 
affects the conclusion(s) reached at the other phase or other good 
cause.

[40 FR 2976, Jan. 17, 1975, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 2.407   Applicability of other sections.

    The provisions of subparts A and G relating to construction permits 
and operating licenses apply, respectively, to construction permits and 
operating licenses subject to this subpart, except as qualified by the 
provisions of this subpart.




   Subpart E--Additional Procedures Applicable to Proceedings for the 
    Issuance of Licenses to Manufacture Nuclear Power Reactors To Be 
Operated at Sites Not Identified in the License Application and Related 
                          Licensing Proceedings

    Source: 38 FR 30252, Nov. 2, 1973, unless otherwise noted.



Sec. 2.500   Scope of subpart.

    This subpart prescribes procedures applicable to licensing 
proceedings which involve the consideration in separate hearings of an 
application for a license to manufacture nuclear power reactors pursuant 
to appendix M of part 52 of this chapter, and applications for 
construction permits and operating licenses for nuclear power reactors 
which have been the subject of such an application for a license to 
manufacture such facilities (manufacturing license).

[40 FR 2976, Jan. 17, 1975, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 2.501   Notice of hearing on application pursuant to appendix M of part 52 for a license to manufacture nuclear power reactors.

    (a) In the case of an application pursuant to appendix M of part 52 
of this chapter for a license to manufacture nuclear power reactors of 
the type described in Sec. 50.22 of this chapter to be operated at sites 
not identified in the license application, the Secretary will

[[Page 45]]

issue a notice of hearing to be published in the Federal Register at 
least thirty (30) days prior to the date set for hearing in the 
notice.1 The notice shall be issued as soon as practicable after 
the application has been docketed. The notice will state:
---------------------------------------------------------------------------

    1The thirty (30) day requirement of this paragraph is not 
applicable to a notice of the time and place of hearing published by the 
presiding officer after the notice of hearing described in this section 
has been published.
---------------------------------------------------------------------------

    (1) The time, place, and nature of the hearing and/or the prehearing 
conference;
    (2) The authority within which the hearing is to be held;
    (3) The matters of fact and law to be considered; and
    (4) The time within which answers to the notice shall be filed.
    (b) The issues stated in the notice of hearing pursuant to paragraph 
(a) of this section will not involve consideration of the particular 
sites at which any of the nuclear power reactors to be manufactured will 
be located and operated. Except as the Commission determines otherwise, 
the notice of hearing will state:
    (1) That, if the proceeding is a contested proceeding, the presiding 
officer will consider the following issues:2
---------------------------------------------------------------------------

    2Issues (i) and (vi) are the issues pursuant to the Atomic Energy 
Act of 1954, as amended. Issue (vii) is the issue pursuant to the 
National Environmental Policy Act of 1969.
---------------------------------------------------------------------------

    (i) Whether the applicant has described the proposed design of, and 
the site parameters postulated for, the reactor(s), including, but not 
limited to, the principal architectural and engineering criteria for the 
design, and has identified the major features or components incorporated 
therein for the protection of the health and safety of the public;
    (ii) Whether such further technical or design information as may be 
required to complete the design report and which can reasonably be left 
for later consideration, will be supplied in a supplement to the design 
report;
    (iii) Whether safety features or components, if any, which require 
research and development have been described by the applicant and the 
applicant has identified, and there will be conducted a research and 
development program reasonably designed to resolve any safety questions 
associated with such features or components;
    (iv) Whether on the basis of the foregoing, there is reasonable 
assurance that (A) such safety questions will be satisfactorily resolved 
before any of the proposed nuclear power reactors are removed from the 
manufacturing site, and (B) taking into consideration the site criteria 
contained in part 100 of this chapter, the proposed reactor(s) can be 
constructed and operated at sites having characteristics that fall 
within the site parameters postulated for the design of the reactor(s) 
without undue risk to the health and safety of the public;
    (v) Whether the applicant is technically and financially qualified 
to design and manufacture the proposed reactor(s);
    (vi) Whether the issuance of a license for manufacture of the 
reactor(s) will be inimical to the common defense and security or to the 
health and safety of the public; and
    (vii) Whether, in accordance with the requirements of subpart A of 
part 51 and appendix M of part 52 of this chapter, the license should be 
issued as proposed.
    (2) That, if the proceeding is not a contested proceeding, the 
presiding officer will determine (i) without conducting a de novo 
evaluation of the application, whether the application and the record of 
the proceeding contain sufficient information, and the review of the 
application by the Commission's staff has been adequate to support 
affirmative findings on paragraphs (b)(1) (i) through (v) of this 
section and a negative finding on paragraph (b)(1)(vi) of this section 
proposed to be made and the issuance of the license to manufacture 
proposed by the Director of Nuclear Reactor Regulation, and (ii) whether 
the review conducted by the Commission pursuant to the National 
Environmental Policy Act (NEPA) has been adequate.
    (3) That, regardless of whether the proceeding is contested or 
uncontested, the presiding officer will, in accordance with subpart A of 
part 51 and paragraph 3 of appendix M of part 52 of this chapter,

[[Page 46]]

    (i) Determine whether the requirements of section 102(2) (A), (C) 
and (E) of the National Environmental Policy Act and subpart A of part 
51 of this chapter have been complied with in the proceeding;
    (ii) Independently consider the final balance among conflicting 
factors contained in the record of the proceeding with a view to 
determining the appropriate action to be taken; and
    (iii) Determine whether the manufacturing license should be issued, 
denied or appropriately conditioned to protect environmental values.
    (c) The place of hearing on an application for a manufacturing 
license will be Washington, DC, or such other location as the Commission 
deems appropriate.

[38 FR 30252, Nov. 2, 1973, as amended at 39 FR 26279, July 18, 1974; 39 
FR 33202, Sept. 16, 1974; 49 FR 9401, Mar. 12, 1984; 54 FR 15398, Apr. 
18, 1989; 54 FR 52342, Dec. 21, 1989]




Sec. 2.502   Notice of hearing on application for a permit to construct a nuclear power reactor manufactured pursuant to a Commission license issued pursuant to 
          appendix M of part 52 of this chapter at the site at which the 
          reactor is to be operated.

    The issues stated for consideration in the notice of hearing on an 
application for a permit to construct a nuclear power reactor(s) which 
is the subject of an application for a manufacturing license pursuant to 
appendix M of part 52 of this chapter, will be those stated in 
Sec. 2.104(b) and, in addition, whether the site on which the facility 
is to be operated falls within the postulated site parameters specified 
in the relevant application for a manufacturing license.

[40 FR 2976, Jan. 17, 1975, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 2.503   Finality of decisions on separate issues.

    Notwithstanding any other provision of this chapter, no matter which 
has been resolved at an earlier stage of the licensing process which 
involves a manufacturing license, a permit to construct a reactor for 
which a manufacturing license is sought, a license to operate such a 
reactor, and any amendment to such permit or licenses shall be 
determined to be at issue in any subsequent state of the licensing 
process except on the basis of significant new information that 
substantially affects the conclusion(s) reached at the earlier stage or 
other good cause.



Sec. 2.504   Applicability of other sections.

    The provisions of subparts A and G relating to construction permits 
apply to manufacturing licenses subject to this subpart, with respect to 
matters of radiological health and safety, environmental protection, and 
the common defense and security, except that Sec. 2.104 (a) and (b) do 
not apply to manufacturing licenses. The provisions of subparts A and G 
relating to construction permits and operating licenses apply, 
respectively, to construction permits and operating licenses subject to 
this subpart, except as qualified by the provisions of this subpart.



 Subpart F--Additional Procedures Applicable to Early Partial Decisions 
   on Site Suitability Issues in Connection With an Application for a 
           Permit To Construct Certain Utilization Facilities

    Source: 42 FR 22885, May 5, 1977, unless otherwise noted.



Sec. 2.600  Scope of subpart.

    This subpart prescribes procedures applicable to licensing 
proceedings which involve an early submittal of site suitability 
information in accordance with Sec. 2.101(a-1), and a hearing and early 
partial decision on issues of site suitability, in connection with an 
application for a permit to construct a utilization facility which is 
subject to Sec. 51.20(b) of this chapter and is of the type specified in 
Sec. 50.21(b) (2) or (3) or Sec. 50.22 of this chapter or is a testing 
facility.

[49 FR 9401, Mar. 12, 1984]



Sec. 2.601  Applicability of other sections.

    The provisions of subparts A and G relating to applications for 
construction permits and proceedings thereon apply, respectively, to 
aplications and proceedings in accordance with this subpart, except as 
specifically provided

[[Page 47]]

otherwise by the provisions of this subpart.



Sec. 2.602  Filing fees.

    Each application which contains a request for early review of site 
suitability issues under the procedures of this subpart shall be 
accompanied by any fee required by Sec. 50.30(e) and part 170 of this 
chapter.



Sec. 2.603  Acceptance and docketing of application for early review of site suitability issues.

    (a) Each part of an application submitted in accordance with 
Sec. 2.101(a-1) of this part will be initially treated as a tendered 
application. If it is determined that any one of the parts as described 
in Sec. 2.101(a-1) is incomplete and not acceptable for processing, the 
Director of Nuclear Reactor Regulation will inform the applicant of this 
determination and the respects in which the document is deficient. Such 
a determination of completeness will generally be made within a period 
of thirty (30) days.
    (b)(1) The Director of Nuclear Reactor Regulation will accept for 
docketing an application for a construction permit for a utilization 
facility which is subject to Sec. 51.20(b) of this chapter and is of the 
type specified in Sec. 50.21(b) (2) or (3) or Sec. 50.22 or is a testing 
facility where part one of the application as described in Sec. 2.101(a-
1) is complete. Part one of any application will not be considered 
complete unless it contains proposed findings as required by 
Sec. 2.101(a-1)(1)(i) and unless it describes the applicant's site 
selection process, specifies the extent to which that process involves 
the consideration of alternative sites, explains the relationship 
between that process and the application for early review of site 
suitability issues, and briefly describes the applicant's long-range 
plans for ultimate development of the site. Upon assignment of a docket 
number, the procedures in Sec. 2.101(a) (3) and (4) relating to formal 
docketing and the submission and distribution of additional copies of 
the application shall be followed.
    (2) Additional parts of the application will be docketed upon a 
determination by the Director of Nuclear Reactor Regulation that they 
are complete.
    (c) If part one of the application is docketed, the Director of 
Nuclear Reactor Regulation will cause to be published in the Federal 
Register and send to the Governor or other appropriate official of the 
State in which the site is located, a notice of docketing of the 
application which states the purpose of the application, states the 
location of the proposed site, states that a notice of hearing will be 
published, requests comments within 120 days or such other time as may 
be specified on the initiation or outcome of an early site review from 
Federal, State, and local agencies and interested persons, and in the 
case of applications filed under section 103 of the Act, states that a 
person who wishes to have his views on the antitrust aspects of the 
application presented to the Attorney General for consideration shall 
submit such views in accordance with a subsequent notice that will be 
published in the Federal Register. In the case of a nuclear power 
reactor, such subsequent notice will be published following submission 
of the information required by Sec. 50.33a.

[42 FR 22885, May 5, 1977, as amended at 49 FR 9401, Mar. 12, 1984]



Sec. 2.604  Notice of hearing on application for early review of site suitability issues.

    (a) Where an applicant for a construction permit for a utilization 
facility subject to this subpart requests an early review and hearing 
and an early partial decision on issues of site suitability pursuant to 
Sec. 2.101(a-1), the provisions in the notice of hearing setting forth 
the matters of fact and law to be considered, as required by Sec. 2.104, 
shall be modified so as to relate only to the site suitability issue or 
issues under review.
    (b) After docketing of part two of the application, as provided in 
Secs. 2.101(a-1) and 2.603, a supplementary notice of hearing will be 
published pursuant to Sec. 2.104 with respect to the remaining 
unresolved issues in the proceeding within the scope of Sec. 2.104. Such 
supplementary notice of hearing will provide that any person whose 
interest may be

[[Page 48]]

affected by the proceeding and who desires to participate as a party in 
the resolution of the remaining issues shall file a petition for leave 
to intervene pursuant to Sec. 2.714 within the time prescribed in the 
notice. Such supplementary notice will also provide appropriate 
opportunities for participation by a representative of an interested 
state under Sec. 2.715(c) and for limited appearances pursuant to 
Sec. 2.715(a).
    (c) Any person who was permitted to intervene as a party pursuant to 
the initial notice of hearing on site suitability issues and who was not 
dismissed or did not withdraw as a party may continue to participate as 
a party to the proceeding with respect to the remaining unresolved 
issues, provided that within the time prescribed for filing of petitions 
for leave to intervene in the supplementary notice of hearing, he files 
a notice of his intent to continue as a party, along with a supporting 
affidavit identifying the specific aspect or aspects of the subject 
matter of the proceeding as to which he wishes to continue to 
participate as a party and setting forth with particularity the basis 
for his contentions with regard to each such aspect or aspects. A party 
who files a non-timely notice of intent to continue as a party may be 
dismissed from the proceeding, absent a determination that the party has 
made a substantial showing of good cause for failure to file on time, 
and with particular reference to the factors specified in Secs. 2.714(a) 
(1) through (4) and 2.714(d). The notice will be ruled upon by the 
Commission or atomic safety and licensing board designated to rule on 
petitions for leave to intervene.
    (d) To the maximum extent practicable, the membership of the atomic 
safety and licensing board designated to preside in the proceeding on 
the remaining unresolved issues pursuant to the supplemental notice of 
hearing will be the same as the membership designated to preside in the 
initial notice of hearing on site suitability issues.



Sec. 2.605  Additional considerations.

    (a) The Commission will not conduct more than one review of site 
suitability issues with regard to a particular site prior to filing and 
review of part two of the application described in Sec. 2.101(a-1) of 
this part.
    (b) The Commission, upon its own initiative, or upon the motion of 
any party to the proceeding filed at least sixty (60) days prior to the 
date of the commencement of the evidentiary hearing on site suitability 
issues, may decline to initiate an early hearing or render an early 
partial decision on any issue or issues of site suitability:
    (1) In cases where no partial decision on the relative merits of the 
proposed site and alternative sites under subpart A of part 51 is 
requested, upon determination that there is a reasonable likelihood that 
further review would identify one or more preferable alternative sites 
and the partial decision on one or more site suitability issues would 
lead to an irreversible and irretrievable commitment of resources prior 
to the submittal of the remainder of the information required by 
Sec. 50.30(f) of this chapter that would prejudice the later review and 
decision on such alternative sites; or
    (2) In cases where it appears that an early partial decision on any 
issue or issues of site suitability would not be in the public interest 
considering (i) the degree of likelihood that any early findings on 
those issues would retain their validity in later reviews, (ii) the 
objections, if any, of cognizant state or local government agencies to 
the conduct of an early review on those issues, and (iii) the possible 
effect on the public interest and the parties of having an early, if not 
necessarily conclusive, resolution of those issues.

[42 FR 22885, May 5, 1977, as amended at 49 FR 9401, Mar. 12, 1984]



Sec. 2.606  Partial decisions on site suitability issues.

    (a) The provisions of Secs. 2.754, 2.755, 2.760, 2.761, 2.762, 
2.763, and 2.764(a) shall apply to any partial initial decision rendered 
in accordance with this subpart. Section 2.764(b) shall not apply to any 
partial initial decision rendered in accordance with this subpart. No 
limited work authorization may be issued pursuant to Sec. 50.10(e) of 
part 50 of this chapter and no construction permit may be issued without 
completion of the full review required by section 102(2) of the National 
Environmental

[[Page 49]]

Policy Act of 1969, as amended, and subpart A of part 51 of this 
chapter. The authority of the Commission to review such a partial 
initial decision sua sponte, or to raise sua sponte an issue that has 
not been raised by the parties, will be exercised within the same time 
period as in the case of a full decision relating to the issuance of a 
construction permit.
    (b)(1) A partial decision on one or more site suitability issues 
pursuant to the applicable provisions of part 50, subpart A of part 51, 
and part 100 of this chapter issued in accordance with this subpart 
shall (i) clearly identify the site to which the partial decision 
applies and (ii) indicate to what extent additional information may be 
needed and additional review may be required to enable the Commission to 
determine in accordance with the provisions of the Act and the 
applicable provisions of the regulations in this chapter whether a 
construction permit for a facility to be located on the site identified 
in the partial decision should be issued or denied.
    (2) Following completion of Commission review of the partial initial 
decision of the Atomic Safety and Licensing Board, after hearing, on the 
site suitability issues, the partial decision shall remain in effect 
either for a period of five years or, where the applicant for the 
construction permit has made timely submittal of the information 
required to support the application as provided in Sec. 2.101(a-1), 
until the proceeding for a permit to construct a facility on the site 
identified in the partial decision has been concluded, 3 unless the 
Commission or Atomic Safety and Licensing Board, upon its own initiative 
or upon motion by a party to the proceeding, finds that there exists 
significant new information that substantially affects the earlier 
conclusions and reopens the hearing record on site suitability issues. 
Upon good cause shown, the Commission may extend the five year period 
during which a partial decision shall remain in effect for a reasonable 
period of time not to exceed one year.
---------------------------------------------------------------------------

    3 The partial decision on site suitability issues shall be 
incorporated in the decision regarding issuance of a construction permit 
to the extent that it serves as a basis for the decision on a specific 
site issue(s).

[42 FR 22885, May 5, 1977, as amended at 49 FR 9401, Mar. 12, 1984]



                Subpart G--Rules of General Applicability



Sec. 2.700  Scope of subpart.

    The general rules in this subpart govern procedure in all 
adjudications initiated by the issuance of an order pursuant to 
Sec. 2.202, an order pursuant to Sec. 2.205(e), a notice of hearing, a 
notice of proposed action issued pursuant to Sec. 2.105, or a notice 
issued pursuant to Sec. 2.102(d)(3). The procedures applicable to the 
proceeding on an application for a license to receive and possess high-
level radioactive waste at a geologic repository operations area are set 
forth in subpart J.

[56 FR 40685, Aug. 15, 1991]



Sec. 2.700a  Exceptions.

    (a) Consistent with 5 U.S.C. 554(a)(4) of the Administrative 
Procedure Act, the Commission may provide alternative procedures in 
adjudications to the extent that there is involved the conduct of 
military or foreign affairs functions.
    (b) This rule shall apply to proceedings in progress where hearings 
have already been requested or ordered as well as to future proceedings.

[47 FR 4493, Feb. 1, 1982]



Sec. 2.701   Filing of documents.

    (a) Documents shall be filed with the Commission in adjudications 
subject to this part either:
    (1) By delivery to the Public Document Room at 2120 L Street, NW., 
Washington, DC, or
    (2) by mail or telegram addressed to the Secretary, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, Attention: Chief, Docketing 
and Service Section.
    (b) All documents offered for filing shall be accompanied by proof 
of service upon all parties to the proceeding or their attorneys of 
record as required by law or by rule or order of the Commission. The 
staff of the Commission shall be deemed to be a party.

[[Page 50]]

    (c) Filing by mail or telegram will be deemed to be complete as of 
the time of deposit in the mail or with a telegraph company.

[27 FR 377, Jan. 13, 1962, as amended at 29 FR 12830, Sept. 11, 1964; 33 
FR 6708, May 2, 1968; 39 FR 35332, Oct. 1, 1974; 53 FR 43419, Oct. 27, 
1988]



Sec. 2.702  Docket.

    The Secretary shall maintain a docket for each proceeding subject to 
this part, commencing with the issuance of the initial notice of 
hearing, notice of consideration of issuance of facility operating 
license or other proposed action specified in Sec. 2.105, or order. The 
Secretary shall maintain all files and records, including the 
transcripts of testimony and exhibits and all papers, correspondence, 
decisions and orders filed or issued.

[57 FR 4153, Feb. 4, 1992]



Sec. 2.703   Notice of hearing.

    (a) In a proceeding in which the terms of a notice of hearing are 
not otherwise prescribed by this part, the order or notice of hearing 
will state:
    (1) The nature of the hearing, and its time and place, or a 
statement that the time and place will be fixed by subsequent order;
    (2) The legal authority and jurisdiction under which the hearing is 
to be held;
    (3) The matters of fact and law asserted or to be considered; and
    (4) The time within which an answer shall be filed.
    (b) The time and place of hearing will be fixed with due regard for 
the convenience of the parties or their representatives, the nature of 
the proceeding, and the public interest.



Sec. 2.704   Designation of presiding officer, disqualification, unavailability.

    (a) The Commission may provide in the notice of hearing that one or 
more members of the Commission, or an atomic safety and licensing board, 
or a named officer who has been delegated final authority in the matter, 
shall preside. If the Commission does not so provide, the Chairman of 
the Atomic Safety and Licensing Board Panel will issue an order 
designating an atomic safety and licensing board appointed pursuant to 
section 191 of the Atomic Energy Act of 1954, as amended, or, if the 
Commission has not provided for the hearing to be conducted by an atomic 
safety and licensing board, the Chief Administrative Law Judge will 
issue an order designating an administrative law judge appointed 
pursuant to section 3105 of title 5 of the United States Code.
    (b) If a designated presiding officer or a designated member of an 
atomic safety and licensing board deems himself disqualified to preside 
or to participate as a board member in the hearing, he shall withdraw by 
notice on the record and shall notify the Commission or the Chairman of 
the Atomic Safety and Licensing Board Panel, as appropriate, of his 
withdrawal.
    (c) If a party deems the presiding officer or a designated member of 
an atomic safety and licensing board to be disqualified, he may move 
that the presiding officer or the board member disqualify himself. The 
motion shall be supported by affidavits setting forth the alleged 
grounds for disqualification. If the presiding officer does not grant 
the motion or the board member does not disqualify himself, the motion 
shall be referred to the Commission which will determine the sufficiency 
of the grounds alleged.
    (d) If a presiding officer or a designated member of an atomic 
safety and licensing board becomes unavailable during the course of a 
hearing, the Commission or the Chairman of the Atomic Safety and 
Licensing Board Panel, as appropriate, will designate another presiding 
officer or atomic safety and licensing board member. If he becomes 
unavailable after the hearing has been concluded:
    (1)(i) The Commission may designate another presiding officer to 
make the decision; or
    (ii) The Chairman of the Atomic Safety and Licensing Board Panel or 
the Commission, as appropriate, may designate another atomic safety and 
licensing board member to participate in the decision;
    (2) The Commission may direct that the record be certified to it for 
decision; or

[[Page 51]]

    (3) The Commission may designate another presiding officer.
    (e) In the event of substitution of a presiding officer or a 
designated member of an atomic safety and licensing board for the one 
originally designated, any motion predicated upon the substitution shall 
be made within five (5) days thereafter.

[27 FR 377, Jan. 13, 1962, as amended at 31 FR 16310, Dec. 21, 1966; 35 
FR 11459, July 17, 1970; 35 FR 12649, Aug. 8, 1970; 40 FR 51996, Nov. 7, 
1975; 40 FR 53379, Nov. 18, 1975; 56 FR 29408, June 27, 1991]



Sec. 2.705   Answer.

    (a) Within twenty (20) days after service of the notice of hearing, 
or such other time as may be specified in the notice of hearing, a party 
may file an answer which shall concisely state:
    (1) The nature of his defense or other position;
    (2) The items of the specification of issues he controverts and 
those he does not controvert; and
    (3) Whether he proposes to appear and present evidence.
    (b) If facts are alleged in the specification of issues, the answer 
shall admit or deny specifically each material allegation of fact; or, 
where the party has no knowledge or information sufficient to form a 
belief, the answer may so state and the statement shall have the effect 
of a denial. Material allegations of fact not denied shall be deemed to 
be admitted. Matters alleged as affirmative defenses or positions shall 
be separately stated and identified and, in the absence of a reply, 
shall be deemed to be controverted.
    (c) If a party does not oppose an order or proposed action embodied 
in or accompanying the notice of hearing, or does not wish to appear and 
present evidence at the hearing, the answer shall so state. In lieu of 
appearing at the hearing, a party may request leave to file a statement 
under oath or affirmation of reasons why the proposed order or action 
should not be issued or should differ from that proposed. Such a 
statement, if accepted, will be accorded whatever weight is deemed 
proper.



Sec. 2.706   Reply.

    A party may file a reply to an answer within ten (10) days after it 
is served.

[27 FR 377, Jan. 13, 1962, as amended at 43 FR 17801, Apr. 26, 1978]



Sec. 2.707   Default.

    On failure of a party to file an answer or pleading within the time 
prescribed in this part or as specified in the notice of hearing or 
pleading; to appear at a hearing or prehearing conference, to comply 
with any prehearing order entered pursuant to Sec. 2.751a or Sec. 2.752, 
or to comply with any discovery order entered by the presiding officer 
pursuant to Sec. 2.740, the Commission or the presiding officer1 
may make such orders in regard to the failure as are just, including, 
among others, the following:
---------------------------------------------------------------------------

    1When a reference is made to the Commission or the presiding 
officer in this subpart and a presiding officer has been designated, the 
specified action will be taken by the presiding officer, unless 
otherwise provided.
---------------------------------------------------------------------------

    (a) Without further notice, find the facts as to the matters 
regarding which the order was made in accordance with the claim of the 
party obtaining the order, and enter such order as may be appropriate; 
or
    (b) Proceed without further notice to take proof on the issues 
specified.

[37 FR 15131, July 28, 1972]



Sec. 2.708   Formal requirements for documents.

    (a) Each document filed in an adjudication subject to this part to 
which a docket number has been assigned shall bear the docket number and 
title of the proceeding.
    (b) Each document shall be bound on the left side and typewritten, 
printed or otherwise reproduced in permanent form on good unglazed paper 
of standard letterhead size. Each page shall begin not less than one and 
one-quarter inches from the top, with side and bottom margins of not 
less than one and one-quarter inches. Text shall be double-spaced, 
except that quotations may be single-spaced and indented. The 
requirements of this paragraph do not apply to original documents or 
admissible copies offered as exhibits, or to specially prepared 
exhibits.

[[Page 52]]

    (c) The original of each document shall be signed in ink by the 
party or his authorized representative, or by an attorney having 
authority with respect to it. The capacity of the person signing, his 
address, and the date shall be stated. The signature of a person signing 
in a representative capacity is a representation that the document has 
been subscribed in the capacity specified with full authority, that he 
has read it and knows the contents, that to the best of his knowledge, 
information, and belief the statements made in it are true, and that it 
is not interposed for delay. If a document is not signed, or is signed 
with intent to defeat the purpose of this section, it may be stricken.
    (d) Except as otherwise provided by this part or by order, a 
pleading (or other document) other than correspondence shall be filed in 
an original and two conformed copies.
    (e) The first document filed by any person in a proceeding shall 
designate the name and address of a person on whom service may be made.
    (f) A document filed by telegraph need not comply with the formal 
requirements of paragraphs (b), (c), and (d) of this section if an 
original and copies otherwise complying with all of the requirements of 
this section are mailed within two (2) days thereafter to the Secretary, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, Attention: 
Chief, Docketing and Service Section.

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 10153, Sept. 17, 1963; 33 
FR 6708, May 5, 1968; 39 FR 35332, Oct. 1, 1974; 45 FR 49537, July 25, 
1980]



Sec. 2.709   Acceptance for filing.

    A document which fails to conform to the requirements of Sec. 2.708 
may be refused acceptance for filing and may be returned with an 
indication of the reason for nonacceptance. Any matter so tendered but 
not accepted for filing shall not be entered on the Commission's docket.



Sec. 2.710  Computation of time.

    In computing any period of time, the day of the act, event, or 
default after which the designated period of time begins to run is not 
included. The last day of the period so computed is included unless it 
is a Saturday, Sunday, or legal holiday at the place where the action or 
event is to occur, in which event the period runs until the end of the 
next day which is neither a Saturday, Sunday, nor holiday. Whenever a 
party has the right or is required to do some act within a prescribed 
period after the service of a notice or other paper upon him or her and 
the notice or paper is served upon by mail, five (5) days shall be added 
to the prescribed period. Only two (2) days shall be added when a 
document is served by express mail.

[46 FR 58281, Dec. 1, 1981]



Sec. 2.711   Extension and reduction of time limits.

    (a) Except as otherwise provided by law, whenever an act is required 
or allowed to be done at or within a specified time, the time fixed or 
the period of time prescribed may for good cause be extended or 
shortened by the Commission or the presiding officer, or by stipulation 
approved by the Commission or the presiding officer.
    (b) In any instance in which this part does not prescribe a time 
limit for an action to be taken in the proceeding, the Commission or the 
presiding officer may set a time limit for that action.

[37 FR 15131, July 28, 1972]



Sec. 2.712   Service of papers, methods, proof.

    (a) Service of papers by the Commission. Except for subpoenas, the 
Commission will serve all orders, decisions, notices, and other papers 
issued by it upon all parties.
    (b) Who may be served. Any paper required to be served upon a party 
shall be served upon him or upon the representative designated by him or 
by law to receive service of papers. When a party has appeared by 
attorney, service must be made upon the attorney of record.
    (c) How service may be made. Service may be made by personal 
delivery, by first class, certified or registered mail including air 
mail, by telegraph, or as otherwise authorized by law. Where there are 
numerous parties to a proceeding, the Commission may make

[[Page 53]]

special provision regarding the service of papers. The presiding officer 
may require service by express mail upon some or all parties and the 
presiding officer.
    (d) Service on the Secretary. (1) All pleadings must be served on 
the Secretary of the Commission in the same or equivalent manner, i.e., 
telefax, express mail, personal delivery, or courier, that they are 
served upon the adjudicatory tribunals and the parties to the 
proceedings so that the Secretary will receive the pleading at 
approximately the same time that it is received by the tribunal to which 
the pleading is directed.
    (2) When pleadings are personally delivered to tribunals while they 
are conducting proceedings outside the Washington, DC area, service on 
the Secretary may be accomplished by overnight mail.
    (3) Service of pre-filed testimony and demonstrative evidence (e.g., 
maps and other physical exhibits) on the Secretary may be made by first-
class mail in all cases.
    (4) The addresses for the Secretary are:
    (i) First class mail: Office of the Secretary, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, Attention: Docketing and 
Service Branch.
    (ii) Express mail: Office of the Secretary, Sixteenth Floor, One 
White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852, 
Attention: Docketing and Service Branch.
    (iii) Facsimile: (301) 415-1672; (301) 415-2275; and (301) 415-1977 
(verification).
    (e) When service complete. Service upon a party is complete:
    (1) By personal delivery, on handing the paper to the individual, or 
leaving it at his office with his clerk or other person in charge or, if 
there is no one in charge, leaving it in a conspicuous place therein or, 
if the office is closed or the person to be served has no office, 
leaving it at his usual place of residence with some person of suitable 
age and discretion then residing there;
    (2) By telegraph, when deposited with a telegraph company, properly 
addressed and with charges prepaid;
    (3) By mail, on deposit in the United States mail, properly stamped 
and addressed; or
    (4) When service cannot be effected in a manner provided by 
paragraphs (d) (1) to (3) inclusive of this section in any other manner 
authorized by law.
    (f) Proof of service. Proof of service, stating the name and address 
of the person on whom served and the manner and date of service, shall 
be shown for each document filed, and may be made by:
    (1) Written acknowledgment of the party served or his counsel;
    (2) The certificate of counsel if he has made the service; or
    (3) The affidavit of the person making the service.
    (g) Free copying and service. Except in an antitrust proceeding, in 
any adjudicatory proceeding on an application for a license or an 
amendment thereto, the Commission, upon request by a party other than 
the applicant, will copy and serve without cost to that party that 
party's testimony (including attachments), proposed findings of fact and 
conclusions of law, and responses to discovery requests. These documents 
should be filed with Docketing and Service not less than five days 
before they are due to be submitted to an adjudicatory board, unless the 
presiding officer provides otherwise. \1\
---------------------------------------------------------------------------

    1This paragraph is suspended until further action of the 
Commission. (See 46 FR 13681, Feb. 24, 1981)

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 10153, Sept. 17, 1963; 31 
FR 4390, Mar. 15, 1966; 45 FR 49537, July 25, 1980; 46 FR 13681, Feb. 
24, 1981; 46 FR 58281, Dec. 1, 1981; 54 FR 26731, June 26, 1989; 54 FR 
29008, July 11, 1989; 60 FR 24551, May 9, 1995]



Sec. 2.713  Appearance and practice before the Commission in adjudicatory proceedings.

    (a) Standards of practice. In the exercise of their functions under 
this subpart, the Commission, the Atomic Safety and Licensing Boards, 
and Administrative Law Judges function in a quasijudicial capacity. 
Accordingly, parties and their representatives in proceedings subject to 
this subpart are expected to conduct themselves with honor, dignity, and 
decorum as they should before a court of law.

[[Page 54]]

    (b) Representation. A person may appear in an adjudication on his or 
her own behalf or by an attorney-at-law. A partnership, corporation or 
unincorporated association may be represented by a duly authorized 
member or officer, or by an attorney-at-law. A party may be represented 
by an attorney-at-law provided the attorney is in good standing and has 
been admitted to practice before any Court of the United States, the 
District of Columbia, or the highest court of any State, territory, or 
possession of the United States. Any person appearing in a 
representative capacity shall file with the Commission a written notice 
of appearance which shall state his or her name, address, and telephone 
number; the name and address of the person on whose behalf he or she 
appears; and, in the case of an attorney-at-law, the basis of his or her 
eligibility as a representative or, in the case of another 
representative, the basis of his or her authority to act on behalf of 
the party.
    (c) Reprimand, censure or suspension from the proceeding. (1) A 
presiding officer or the Commission may, if necessary for the orderly 
conduct of a proceeding, reprimand, censure or suspend from 
participation in the particular proceeding pending before it any party 
or representative of a party who shall refuse to comply with its 
directions, or who shall be guilty of disorderly, disruptive, or 
contemptuous conduct.
    (2) A reprimand, a censure or a suspension which is ordered to run 
for one day or less shall be ordered with grounds stated on the record 
of the proceeding and shall advise the person disciplined of the right 
to appeal pursuant to paragraph (c)(3) of this section. A suspension 
which is ordered for a longer period shall be in writing, shall state 
the grounds on which it is based, and shall advise the person suspended 
of the right to appeal and to request a stay pursuant to paragraphs 
(c)(3) and (c)(4) of this section. A proceeding may be stayed for a 
reasonable time in order for an affected party to obtain other 
representation if this would be necessary to prevent injustice.
    (3) Anyone disciplined pursuant to this section may within ten (10) 
days after issuance of the order file an appeal with the Commission. The 
appeal shall be in writing and state concisely, with supporting 
argument, why the appellant believes the order was erroneous, either as 
a matter of fact or law. The Commission shall consider each appeal on 
the merits, including appeals in cases in which the suspension period 
has already run. If necessary for a full and fair consideration of the 
facts, the Commission may conduct further evidentiary hearings, or may 
refer the matter to another presiding officer for development of a 
record. In the latter event, unless the Commission provides specific 
directions to the presiding officer, that officer shall determine the 
procedure to be followed and who shall present evidence, subject to 
applicable provisions of law. Such hearing shall commence as soon as 
possible. In the case of an attorney, if no appeal is taken of a 
suspension, or, if the suspension is upheld at the conclusion of the 
appeal, the presiding officer, or the Commission, as appropriate, shall 
notify the state bar(s) to which the attorney is admitted. Such 
notification shall include copies of the order of suspension, and, if an 
appeal was taken, briefs of the parties, and the decision of the 
Commission.
    (4) A suspension exceeding 1 day shall not be effective for 72 hours 
from the date the suspension order is issued. Within this time a 
suspended individual may request a stay of the sanction from the 
appropriate reviewing tribunal pending appeal. No responses to the stay 
request from other parties will be entertained. If a timely stay request 
is filed, the suspension shall be stayed until the reviewing tribunal 
rules on the motion. The stay request shall be in writing and contain 
the information specified in Sec. 2.788(b) (1), (2) and (3) of this 
part. The Commission shall rule on the stay request within 10 days after 
the filing of the motion. The Commission shall consider the factors 
specified in Sec. 2.788(e) (1) and (2) of this part is determining 
whether to grant or deny a stay application.

[45 FR 69878, Oct. 22, 1980, as amended at 56 FR 29408, June 27, 1991]



Sec. 2.714   Intervention.

    (a)(1) Any person whose interest may be affected by a proceeding and 
who desires to participate as a party shall file

[[Page 55]]

a written petition for leave to intervene. In a proceeding noticed 
pursuant to Sec. 2.105, any person whose interest may be affected may 
also request a hearing. The petition and/or request shall be filed not 
later than the time specified in the notice of hearing, or as provided 
by the Commission, the presiding officer or the Atomic Safety and 
Licensing Board designated to rule on the petition and/or request, or as 
provided in Sec. 2.102(d)(3). Nontimely filings will not be entertained 
absent a determination by the Commission, the presiding officer or the 
Atomic Safety and Licensing Board designated to rule on the petition 
and/or request, that the petition and/or request should be granted based 
upon a balancing of the following factors in addition to those set out 
in paragraph (d)(1) of this section:
    (i) Good cause, if any, for failure to file on time.
    (ii) The availability of other means whereby the petitioner's 
interest will be protected.
    (iii) The extent to which the petitioner's participation may 
reasonably be expected to assist in developing a sound record.
    (iv) The extent to which the petitioner's interest will be 
represented by existing parties.
    (v) The extent to which the petitioner's participation will broaden 
the issues or delay the proceeding.
    (2) The petition shall set forth with particularity the interest of 
the petitioner in the proceeding, how that interest may be affected by 
the results of the proceeding, including the reasons why petitioner 
should be permitted to intervene, with particular reference to the 
factors in paragraph (d)(1) of this section, and the specific aspect or 
aspects of the subject matter of the proceeding as to which petitioner 
wishes to intervene.
    (3) Any person who has filed a petition for leave to intervene or 
who has been admitted as a party pursuant to this section may amend his 
petition for leave to intervene. A petition may be amended without prior 
approval of the presiding officer at any time up to fifteen (15) days 
prior to the holding of the special prehearing conference pursuant to 
Sec. 2.751a, or where no special prehearing conference is held, fifteen 
(15) days prior to the holding of the first prehearing conference. After 
this time a petition may be amended only with approval of the presiding 
officer, based on a balancing of the factors specified in paragraph 
(a)(1) of this section. Such an amended petition for leave to intervene 
must satisfy the requirements of this paragraph (a) of this section 
pertaining to specificity.
    (b)(1) Not later than fifteen (15) days prior to the holding of the 
special prehearing conference pursuant to Sec. 2.751a, or if no special 
prehearing conference is held, fifteen (15) days prior to the holding of 
the first prehearing conference, the petitioner shall file a supplement 
to his or her petition to intervene that must include a list of the 
contentions which petitioner seeks to have litigated in the hearing. A 
petitioner who fails to file a supplement that satisfies the 
requirements of paragraph (b)(2) of this section with respect to at 
least one contention will not be permitted to participate as a party. 
Additional time for filing the supplement may be granted based upon a 
balancing of the factors in paragraph (a)(1) of this section.
    (2) Each contention must consist of a specific statement of the 
issue of law or fact to be raised or controverted. In addition, the 
petitioner shall provide the following information with respect to each 
contention:
    (i) A brief explanation of the bases of the contention.
    (ii) A concise statement of the alleged facts or expert opinion 
which support the contention and on which the petitioner intends to rely 
in proving the contention at the hearing, together with references to 
those specific sources and documents of which the petitioner is aware 
and on which the petitioner intends to rely to establish those facts or 
expert opinion.
    (iii) Sufficient information (which may include information pursuant 
to paragraphs (b)(2)(i) and (ii) of this section) to show that a genuine 
dispute exists with the applicant on a material issue of law or fact. 
This showing must include references to the specific portions of the 
application (including the applicant's environmental report and

[[Page 56]]

safety report) that the petitioner disputes and the supporting reasons 
for each dispute, or, if the petitioner believes that the application 
fails to contain information on a relevant matter as required by law, 
the identification of each failure and the supporting reasons for the 
petitioner's belief. On issues arising under the National Environmental 
Policy Act, the petitioner shall file contentions based on the 
applicant's environmental report. The petitioner can amend those 
contentions or file new contentions if there are data or conclusions in 
the NRC draft or final environmental impact statement, environmental 
assessment, or any supplements relating thereto, that differ 
significantly from the data or conclusions in the applicant's document.
    (c) Any party to a proceeding may file an answer to a petition for 
leave to intervene or a supplement thereto within ten (10) days after 
service of the petition or supplement, with particular attention to the 
factors set forth in paragraph (d)(1) of this section. The staff may 
file such an answer within fifteen (15) days after service of the 
petition or supplement.
    (d) The Commission, the presiding officer, or the Atomic Safety and 
Licensing Board designated to rule on petitions to intervene and/or 
requests for hearing shall permit intervention, in any hearing on an 
application for a license to receive and possess high-level radioactive 
waste at a geologic repository operations area, by the State in which 
such area is located and by any affected Indian Tribe as defined in part 
60 of this chapter. In all other circumstances, such ruling body or 
officer shall, in ruling on--
    (1) A petition for leave to intervene or a request for a hearing, 
consider the following factors, among other things:
    (i) The nature of the petitioner's right under the Act to be made a 
party to the proceeding.
    (ii) The nature and extent of the petitioner's property, financial, 
or other interest in the proceeding.
    (iii) The possible effect of any order that may be entered in the 
proceeding on the petitioner's interest.
    (2) The admissibility of a contention, refuse to admit a contention 
if:
    (i) The contention and supporting material fail to satisfy the 
requirements of paragraph (b)(2) of this section; or
    (ii) The contention, if proven, would be of no consequence in the 
proceeding because it would not entitle petitioner to relief.
    (e) If the Commission or the presiding officer determines that any 
of the admitted contentions constitute pure issues of law, those 
contentions must be decided on the basis of briefs or oral argument 
according to a schedule determined by the Commission or presiding 
officer.
    (f) An order permitting intervention and/or directing a hearing may 
be conditioned on such terms as the Commission, presiding officer or the 
designated atomic safety and licensing board may direct in the interests 
of:
    (1) Restricting irrelevant, duplicative, or repetitive evidence and 
argument,
    (2) Having common interests represented by a spokesman, and
    (3) Retaining authority to determine priorities and control the 
compass of the hearing.
    (g) In any case in which, after consideration of the factors set 
forth in paragraph (d)(1) of this section, the Commission or the 
presiding officer finds that the petitioner's interest is limited to one 
or more of the issues involved in the proceeding, any order allowing 
intervention shall limit his participation accordingly.
    (h) A person permitted to intervene becomes a party to the 
proceeding, subject to any limitations imposed pursuant to paragraph (f) 
of this section.
    (i) Unless otherwise expressly provided in the order allowing 
intervention, the granting of a petition for leave to intervene does not 
change or enlarge the issues specified in the notice of hearing.
    (j) The provisions of this section do not apply to license 
applications docketed under subpart J of this part.

[37 FR 15132, July 28, 1972, as amended at 37 FR 28711, Dec. 29, 1972; 
39 FR 17972, May 22, 1974; 43 FR 17801, Apr. 26, 1978; 44 FR 4459, Jan. 
22, 1979; 51 FR 27162, July 30, 1986; 54 FR 14944, Apr. 14, 1989; 54 FR 
23740, June 2, 1989; 54 FR 33180, Aug. 11, 1989; 54 FR 39728, Sept. 28, 
1989]

[[Page 57]]



Sec. 2.714a  Petitions for review of certain rulings on petitions for leave to intervene and/or requests for hearing.

    (a) Notwithstanding the provisions of Sec. 2.730(f), an order of the 
presiding officer or the atomic safety and licensing board designated to 
rule on petitions for leave to intervene and/or requests for hearing may 
be appealed, in accordance with the provisions of this section, to the 
Commission within ten (10) days after service of the order. The appeal 
shall be asserted by the filing of a notice of appeal and accompanying 
supporting brief. Any other party may file a brief in support of or in 
opposition to the appeal within ten (10) days after service of the 
appeal. No other appeals from rulings on petitions and/or requests for 
hearing shall be allowed.
    (b) An order wholly denying a petition for leave to intervene and/or 
request for a hearing is appealable by the petitioner on the question 
whether the petition and/or hearing request should have been granted in 
whole or in part.
    (c) An order granting a petition for leave to intervene and/or 
request for a hearing is appealable by a party other than the petitioner 
on the question whether the petition and/or the request for a hearing 
should have been wholly denied.

[37 FR 28711, Dec. 29, 1972, as amended at 43 FR 17802, Apr. 26, 1978; 
56 FR 29408, June 27, 1991]



Sec. 2.715   Participation by a person not a party.

    (a) A person who is not a party may, in the discretion of the 
presiding officer, be permitted to make a limited appearance by making 
oral or written statement of his position on the issues at any session 
of the hearing or any prehearing conference within such limits and on 
such conditions as may be fixed by the presiding officer, but he may not 
otherwise participate in the proceeding.
    (b) The Secretary will give notice of a hearing to any person who 
requests it prior to the issuance of the notice of hearing, and will 
furnish a copy of the notice of hearing to any person who requests it 
thereafter. When a communication bears more than one signature, the 
Commission will give the notice to the person first signing unless the 
communication clearly indicates otherwise.
    (c) The presiding officer will afford representatives of an 
interested State, county, municipality, and/or agencies thereof, a 
reasonable opportunity to participate and to introduce evidence, 
interrogate witnesses, and advise the Commission without requiring the 
representative to take a position with respect to the issue. Such 
participants may also file proposed findings and exceptions pursuant to 
Secs. 2.754 and 2.762 and petitions for review by the Commission 
pursuant to Sec. 2.786. The presiding officer may require such 
representative to indicate with reasonable specificity, in advance of 
the hearing, the subject matters on which he desires to participate.
    (d) If a matter is taken up by the Commission pursuant to 
Sec. 2.786, a person who is not a party may, in the discretion of the 
Commission, respectively, be permitted to file a brief ``amicus 
curiae''. A person who is not a party and desires to file a brief must 
submit a motion for leave to do so which identifies the interest of the 
person and states the reasons why a brief is desirable. Except as 
otherwise provided by the Commission, such brief must be filed within 
the time allowed to the party whose position the brief will support. A 
motion of a person who is not a party to participate in oral argument 
before the Commission will be granted at the discretion of the 
Commission.

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 10153, Sept. 17, 1963; 43 
FR 17802, Apr. 26, 1978; 56 FR 29408, June 27, 1991]



Sec. 2.715a   Consolidation of parties in construction permit or operating license proceedings.

    On motion or on its or his own initiative, the Commission or the 
presiding officer may order any parties in a proceeding for the issuance 
of a construction permit or an operating license for a production or 
utilization facility who have substantially the same interest that may 
be affected by the proceeding and who raise substantially the same 
questions, to consolidate their presentation of evidence, cross-
examination, briefs, proposed findings of fact, and

[[Page 58]]

conclusions of law and argument. However, it may not order any 
consolidation that would prejudice the rights of any party. A 
consolidation under this section may be for all purposes of the 
proceeding, all of the issues of the proceeding, or with respect to any 
one or more issues thereof.

[37 FR 15132, July 28, 1972]



Sec. 2.716  Consolidation of proceedings.

    On motion and for good cause shown or on its own initiative, the 
Commission or the presiding officers of each affected proceeding may 
consolidate for hearing or for other purposes two or more proceedings, 
or may hold joint hearings with interested States and/or other federal 
agencies on matters of concurrent jurisdiction, if it is found that such 
action will be conducive to the proper dispatch of its business and to 
the ends of justice and will be conducted in accordance with the other 
provisions of this subpart.

[43 FR 17802, Apr. 26, 1978]



Sec. 2.717   Commencement and termination of jurisdiction of presiding officer.

    (a) Unless otherwise ordered by the Commission, the jurisdiction of 
the presiding officer designated to conduct a hearing over the 
proceeding, including motions and procedural matters, commences when the 
proceeding commences. If no presiding officer has been designated, the 
Chief Administrative Law Judge has such jurisdiction or, if he is 
unavailable, another administrative law judge has such jurisdiction. A 
proceeding is deemed to commence when a notice of hearing or a notice of 
proposed action pursuant to Sec. 2.105 is issued. When a notice of 
hearing provides that the presiding officer is to be an administrative 
law judge, the Chief Administrative Law Judge will designate by order 
the administrative law judge who is to preside. The presiding officer's 
jurisdiction in each proceeding will terminate upon the expiration of 
the period within which the Commission may direct that the record be 
certified to it for final decision, or when the Commission renders a 
final decision, or when the presiding officer shall have withdrawn 
himself from the case upon considering himself disqualified, whichever 
is earliest.
    (b) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, may issue an 
order and take any otherwise proper administrative action with respect 
to a licensee who is a party to a pending proceeding. Any order related 
to the subject matter of the pending proceeding may be modified by the 
presiding officer as appropriate for the purpose of the proceeding.

[28 FR 10153, Sept. 17, 1963; 31 FR 12776, Sept. 30, 1966, as amended at 
37 FR 28711, Dec. 29, 1972]



Sec. 2.718   Power of presiding officer.

    A presiding officer has the duty to conduct a fair and impartial 
hearing according to law, to take appropriate action to avoid delay, and 
to maintain order. He has all powers necessary to those ends, including 
the powers to:
    (a) Administer oaths and affirmations.
    (b) Issue subpoenas authorized by law.
    (c) Rule on offers of proof, and receive evidence.
    (d) Order depositions to be taken.
    (e) Regulate the course of the hearing and the conduct of the 
participants.
    (f) Dispose of procedural requests or similar matters.
    (g) Examine witnesses.
    (h) Hold conferences before or during the hearing for settlement, 
simplification of the issues, or any other proper purpose.
    (i) Certify questions to the Commission for its determination, 
either in his discretion or on direction of the Commission.
    (j) Reopen a proceeding for the reception of further evidence at any 
time prior to initial decision.
    (k) Appoint special assistants from the Atomic Safety and Licensing 
Board Panel pursuant to Sec. 2.722;
    (l) Issue initial decisions; and
    (m) Take any other action consistent with the Act, this chapter, and 
sections 551-558 of title 5 of the United States Code.

[27 FR 377, Jan. 13, 1962, as amended at 45 FR 62028, Sept. 18, 1980]

[[Page 59]]

Sec. 2.719  [Reserved]



Sec. 2.720   Subpoenas.

    (a) On application by any party, the designated presiding officer 
or, if he is not available, the Chairman of the Atomic Safety and 
Licensing Board Panel, the Chief Administrative Law Judge, or other 
designated officer will issue subpoenas requiring the attendance and 
testimony of witnesses or the production of evidence. The officer to 
whom application is made may require a showing of general relevance of 
the testimony or evidence sought, and may withhold the subpoena if such 
a showing is not made, but he shall not attempt to determine the 
admissibility of evidence.
    (b) Every subpoena will bear the name of the Commission, the name 
and office of the issuing officer and the title of the hearing, and will 
command the person to whom it is directed to attend and give testimony 
or produce specified documents or other things at a designated time and 
place. The subpoena will also advise of the quashing procedure provided 
in paragraph (f) of this section.
    (c) Unless the service of a subpoena is acknowledged on its face by 
the witness or is served by an officer or employee of the Commission, it 
shall be served by a person who is not a party to the hearing and is not 
less than eighteen (18) years of age. Service of a subpoena shall be 
made by delivery of a copy of the subpoena to the person named in it and 
tendering him the fees for one day's attendance and the mileage allowed 
by law. When the subpoena is issued on behalf of the Commission, fees 
and mileage need not be tendered, and the subpoena may be served by 
registered mail.
    (d) Witnesses summoned by subpoena shall be paid, by the party at 
whose instance they appear, the fees and mileage paid to witnesses in 
the district courts of the United States.
    (e) The person serving the subpoena shall make proof of service by 
filing the subpoena and affidavit or acknowledgment of service with the 
officer before whom the witness is required to testify or produce 
evidence or with the Secretary. Failure to make proof of service shall 
not affect the validity of the service.
    (f) On motion made promptly, and in any event at or before the time 
specified in the subpoena for compliance by the person to whom the 
subpoena is directed, and on notice to the party at whose instance the 
subpoena was issued, the presiding officer or, if he is unavailable, the 
Commission may: (1) Quash or modify the subpoena if it is unreasonable 
or requires evidence not relevant to any matter in issue, or (2) 
condition denial of the motion on just and reasonable terms.
    (g) On application and for good cause shown, the Commission will 
seek judicial enforcement of a subpoena issued to a party and which has 
not been quashed.
    (h)(1) The provisions of paragraphs (a) through (g) of this section 
are not applicable to the attendance and testimony of the Commissioners 
or NRC personnel, or to the production of records or documents in the 
custody thereof.
    (2)(i) In a proceeding in which the NRC is a party, the NRC staff 
will make available one or more witnesses designated by the Executive 
Director for Operations, for oral examination at the hearing or on 
deposition regarding any matter, not privileged, which is relevant to 
the issues in the proceeding. The attendance and testimony of the 
Commissioners and named NRC personnel at a hearing or on deposition may 
not be required by the presiding officer, by subpoena or otherwise: 
Provided, That the presiding officer may, upon a showing of exceptional 
circumstances, such as a case in which a particular named NRC employee 
has direct personal knowledge of a material fact not known to the 
witnesses made available by the Executive Director for Operations 
require the attendance and testimony of named NRC personnel.
    (ii) In addition, a party may file with the presiding officer 
written interrogatories to be answered by NRC personnel with knowledge 
of the facts designated by the Executive Director for

[[Page 60]]

Operations. Upon a finding by the presiding officer that answers to the 
interrogatories are necessary to a proper decision in the proceeding and 
that answers to the interrogatories are not reasonably obtainable from 
any other source, the presiding officer may require that the staff 
answer the interrogatories.
    (iii) No deposition of a particular named NRC employee or answer to 
interrogatories by NRC personnel pursuant to paragraphs (h)(2)(i) and 
(ii) of this section shall be required before the matters in controversy 
in the proceeding have been identified by order of the Commission or the 
presiding officer, pursuant to Sec. 2.751a, or after the beginning of 
the prehearing conference held pursuant to Sec. 2.752 except upon leave 
of the presiding officer for good cause shown.
    (iv) The provisions of Sec. 2.740 (c) and (e) shall apply to 
interrogatories served pursuant to this paragraph.
    (3) Records or documents in the custody of the Commissioners and NRC 
personnel are available for inspection and copying or photographing 
pursuant to Secs. 2.744 and 2.790.

[27 FR 377, Jan. 13, 1962, as amended at 31 FR 16310, Dec. 21, 1966; 35 
FR 19501, Dec. 23, 1970; 37 FR 15132, July 28, 1972; 40 FR 2973, Jan. 
17, 1975]



Sec. 2.721   Atomic safety and licensing boards.

    (a) The Commission or the Chairman of the Atomic Safety and 
Licensing Board Panel may from time to time establish one or more atomic 
safety and licensing boards, each comprised of three members, one of 
whom will be qualified in the conduct of administrative proceedings and 
two of whom shall have such technical or other qualifications as the 
Commission or the Chairman of the Atomic Safety and Licensing Board 
Panel deems appropriate to the issues to be decided, to preside in such 
proceedings for granting, suspending, revoking, or amending licenses or 
authorizations as the Commission may designate, and to perform such 
other adjudicatory functions as the Commission deems appropriate. The 
members of an atomic safety and licensing board shall be designated from 
the Atomic Safety and Licensing Board Panel established by the 
Commission.
    (b) The Commission or the Chairman of the Atomic Safety and 
Licensing Board Panel may designate an alternate qualified in the 
conduct of administrative proceedings, or an alternate having technical 
or other qualifications, or both, for an atomic safety and licensing 
board established pursuant to paragraph (a) of this section. If a member 
of a board becomes unavailable, the Commission or the Chairman of the 
Atomic Safety and Licensing Board Panel may constitute the alternate 
qualified in the conduct of administrative proceedings, or the alternate 
having technical or other qualifications, as appropriate, as a member of 
the board by notifying the alternate who will, as of the date of such 
notification, serve as member of the board. In the event that an 
alternate is unavailable or no alternates have been designated, and a 
member of a board becomes unavailable, the Commission or the Chairman of 
the Atomic Safety and Licensing Board Panel may appoint a member of the 
Atomic Safety and Licensing Board Panel who is qualified in the conduct 
of administrative proceedings or a member having technical or other 
qualifications, as appropriate, as a member of the atomic safety and 
licensing board by notifying the appointee who will, as of the date of 
such notification, serve as a member of the Board.
    (c) An atomic safety and licensing board shall have the duties and 
may exercise the powers of a presiding officer as granted by Sec. 2.718 
and otherwise in this part. At any time when such a board is in 
existence but is not actually in session, any powers which could be 
exercised by a presiding officer or by the Chief Administrative Law 
Judge may be exercised with respect to such a proceeding by the chairman 
of the board having jurisdiction over it. Two members of an atomic 
safety and licensing board constitute a quorum, if one of those members 
is the member

[[Page 61]]

qualified in the conduct of administrative proceedings.

[31 FR 12776, Sept. 30, 1966, as amended at 33 FR 8588, June 12, 1968; 
34 FR 13361, Aug. 19, 1969; 35 FR 11459, July 17, 1970; 35 FR 19658, 
Dec. 29, 1970; 37 FR 15132, July 28, 1972; 37 FR 28711, Dec. 29, 1972; 
40 FR 51996, Nov. 7, 1975; 48 FR 52285, Nov. 17, 1983; 56 FR 29408, June 
27, 1991]



Sec. 2.722  Special assistants to the presiding officer.

    (a) In consultation with the Panel Chairman, the presiding officer 
may, at his discretion, appoint from the Atomic Safety and Licensing 
Board Panel established by the Commission, personnel to assist the 
presiding officer in taking evidence and preparing a suitable record for 
review. Such appointment may occur at any appropriate time during the 
proceeding but shall, at the time of the appointment, be subject to the 
notice and disqualification provisions as described in Sec. 2.704. Such 
special assistants may function as:
    (1) Technical interrogators in their individual fields of expertise. 
Such interrogators shall be required to study the written testimony and 
sit with the presiding officer to hear the presentation and cross-
examination by the parties of all witnesses on the issues of the 
interrogators' expertise, taking a leading role in examining such 
witnesses to ensure that the record is as complete as possible;
    (2) Upon consent of all the parties, Special Masters to hear 
evidentiary presentations by the parties on specific technical matters, 
and, upon completion of the presentation of evidence, to prepare a 
report that would become part of the record. Special Masters may rule on 
evidentiary issues brought before them, in accordance with Secs. 2.743 
and 2.757. Appeals from such rulings may be taken to the presiding 
officer in accordance with procedures which shall be established in the 
presiding officer's order appointing the Special Master. Special 
Masters' reports are advisory only; the presiding officer shall retain 
final authority with respect to the issues heard by the Special Master; 
or
    (3) Alternate Atomic Safety and Licensing Board members to sit with 
the presiding officer, to participate in the evidentiary sessions on the 
issue for which the alternate members were designated by examining 
witnesses, and to advise the presiding officer of their conclusions 
through an on-the-record report. This report is advisory only; the 
presiding officer shall retain final authority on the issue for which 
the alternate member was designated.
    (4) Discovery Master to rule on the matters specified in 
Sec. 2.1018(a)(2) of this part.
    (b) The presiding officer may, as a matter of discretion, informally 
seek the assistance of Members of the Atomic Safety and Licensing Board 
Panel to brief the presiding officer on the general technical background 
of subjects involving complex issues which the presiding officer might 
otherwise have difficulty in quickly grasping. Such informal briefings 
shall take place prior to the hearing on the subject involved and shall 
supplement the reading and study undertaken by the presiding officer. 
They are not subject to the procedures described in Sec. 2.704.

[45 FR 62028, Sept. 18, 1980, as amended at 54 FR 14944, Apr. 14, 1989]

                                 Motions



Sec. 2.730   Motions.

    (a) Presentation and disposition. All motions shall be addressed to 
the Commission or, when a proceeding is pending before a presiding 
officer, to the presiding officer. All written motions shall be filed 
with the Secretary, and served on all parties to the proceeding.
    (b) Form and content. Unless made orally on the record during a 
hearing, or the presiding officer directs otherwise, a motion shall be 
in writing, shall state with particularity the grounds and the relief 
sought, and shall be accompanied by any affidavits or other evidence 
relied on, and, as appropriate, a proposed form of order.
    (c) Answers to motions. Within ten (10) days after service of a 
written motion, or such other period as the Secretary or the Assistant 
Secretary or presiding officer may prescribe, a party may file an answer 
in support of or in opposition to the motion, accompanied by affidavits 
or other evidence. However, the staff may file such an answer within 
fifteen (15) days after service of a

[[Page 62]]

written motion. The moving party shall have no right to reply, except as 
permitted by the presiding officer or the Secretary or the Assistant 
Secretary.
    (d) Oral arguments; briefs. No oral argument will be heard on a 
motion unless the presiding officer or the Commission directs otherwise. 
A written brief may be filed with a motion or an answer to a motion, 
stating the arguments and authorities relied on.
    (e) The Board may dispose of written motions either by written order 
or by ruling orally during the course of a prehearing conference or 
hearing. The Board should ensure that parties not present for the oral 
ruling are notified promptly of the order.
    (f) Interlocutory appeals to the Commission. No interlocutory appeal 
may be taken to the Commission from a ruling of the presiding officer. 
When in the judgment of the presiding officer prompt decision is 
necessary to prevent detriment to the public interest or unusual delay 
or expense, the presiding officer may refer the ruling promptly to the 
Commission, and notify the parties either by announcement on the record 
or by written notice if the hearing is not in session.
    (g) Effect of filing a motion or certification of question to the 
Commission. Unless otherwise ordered, neither the filing of a motion nor 
the certification of a question to the Commission shall stay the 
proceeding or extend the time for the performance of any act.
    (h) Where the motion in question is a motion to compel discovery 
under Sec. 2.720(h)(2) or Sec. 2.740(f), parties may file answers to the 
motion pursuant to paragraph (c) of this section. The presiding officer 
in his or her discretion, may order that the answer be given orally 
during a telephone conference or other prehearing conference, rather 
than in writing. If responses are given over the telephone the presiding 
officer shall issue a written order on the motion which summarizes the 
views presented by the parties. This does not preclude the presiding 
officer from issuing a prior oral ruling on the matter which is 
effective at the time of such ruling, provided that the terms of the 
ruling are incorporated in the subsequent written order.

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 10154, Sept. 17, 1963; 37 
FR 15132, July 28, 1972; 39 FR 24219, July 1, 1974; 43 FR 17802, Apr. 
26, 1978; 46 FR 30331, June 8, 1981; 46 FR 58281, Dec. 1, 1981]



Sec. 2.731   Order of procedure.

    The presiding officer or the Commission will designate the order of 
procedure at a hearing. The proponent of an order will ordinarily open 
and close.



Sec. 2.732   Burden of proof.

    Unless otherwise ordered by the presiding officer, the applicant or 
the proponent of an order has the burden of proof.



Sec. 2.733   Examination by experts.

    A party may request the presiding officer to permit a qualified 
individual who has scientific or technical training or experience to 
participate on behalf of that party in the examination and cross-
examination of expert witnesses. The presiding officer may permit such 
individual to participate on behalf of the party in the examination and 
cross-examination of expert witnesses, where it would serve the purpose 
of furthering the conduct of the proceeding, upon finding: (a) That the 
individual is qualified by scientific or technical training or 
experience to contribute to the development of an adequate decisional 
record in the proceeding by the conduct of such examination or cross-
examination, (b) that the individual has read any written testimony on 
which he intends to examine or cross-examine and any documents to be 
used or referred to in the course of the examination or cross-
examination, and (c) that the individual has prepared himself to conduct 
a meaningful and expeditious examination or cross-examination. 
Examination or cross-examination conducted pursuant to this section 
shall be limited to areas within the expertise of the individual 
conducting the examination or cross-examination. The party on behalf of 
whom such examination or cross-examination is

[[Page 63]]

conducted and his attorney shall be responsible for the conduct of 
examination or cross-examination by such individuals.

[37 FR 15132, July 28, 1972]



Sec. 2.734  Motions to reopen.

    (a) A motion to reopen a closed record to consider additional 
evidence will not be granted unless the following criteria are 
satisfied:
    (1) The motion must be timely, except that an exceptionally grave 
issue may be considered in the discretion of the presiding officer even 
if untimely presented.
    (2) The motion must address a significant safety or environmental 
issue.
    (3) The motion must demonstrate that a materially different result 
would be or would have been likely had the newly proffered evidence been 
considered initially.
    (b) The motion must be accompanied by one or more affidavits which 
set forth the factual and/or technical bases for the movant's claim that 
the criteria of paragraph (a) of this section have been satisfied. 
Affidavits must be given by competent individuals with knowledge of the 
facts alleged, or by experts in the disciplines appropriate to the 
issues raised. Evidence contained in affidavits must meet the 
admissibility standards set forth in Sec. 2.743(c). Each of the criteria 
must be separately addressed, with a specific explanation of why it has 
been met. Where multiple allegations are involved, the movant must 
identify with particularity each issue it seeks to litigate and specify 
the factual and/or technical bases which it believes support the claim 
that this issue meets the criteria in paragraph (a) of this section.
    (c) A motion predicated in whole or in part on the allegations of a 
confidential informant must identify to the presiding officer the source 
of the allegations and must request the issuance of an appropriate 
protective order.
    (d) A motion to reopen which relates to a contention not previously 
in controversy among the parties must also satisfy the requirements for 
nontimely contentions in Sec. 2.714(a)(1) (i) through (v).

[51 FR 19539, May 30, 1986; 51 FR 23523, June 30, 1986]

 Depositions and Written Interrogatories; Discovery; Admission; Evidence



Sec. 2.740   General provisions governing discovery.

    (a) Discovery methods. Parties may obtain discovery by one or more 
of the following methods: Depositions upon oral examination or written 
interrogatories (Sec. 2.740a); written interrogatories (Sec. 2.740b); 
production of documents or things or permission to enter upon land or 
other property, for inspection and other purposes (Sec. 2.741); and 
requests for admission (Sec. 2.742).
    (b) Scope of discovery. Unless otherwise limited by order of the 
presiding officer in accordance with this section, the scope of 
discovery is as follows:
    (1) In general. Parties may obtain discovery regarding any matter, 
not privileged, which is relevant to the subject matter involved in the 
proceeding, whether it relates to the claim or defense of any other 
party, including the existence, description, nature, custody, condition, 
and location of any books, documents, or other tangible things and the 
identity and location of persons having knowledge of any discoverable 
matter. Where any book, document or other tangible thing sought is 
reasonably available from another source, such as from the Commission's 
Public Document Room or local Public Document Room, a sufficient 
response to an interrogatory involving such materials would be the 
location, the title and a page reference to the relevant book, document 
or tangible thing. In a proceeding on an application for a construction 
permit or an operating license for a production or utilization facility, 
discovery shall begin only after the prehearing conference provided for 
in Sec. 2.751a and shall relate only to those matters in controversy 
which have been identified by the Commission or the presiding officer in 
the prehearing order entered at the conclusion of that prehearing 
conference. In such a proceeding, no discovery shall be had after

[[Page 64]]

the beginning of the prehearing conference held pursuant to Sec. 2.752 
except upon leave of the presiding officer upon good cause shown. It is 
not ground for objection that the information sought will be 
inadmissible at the hearing if the information sought appears reasonably 
calculated to lead to the discovery of admissible evidence.
    (2) Trial preparation materials. A party may obtain discovery of 
documents and tangible things otherwise discoverable under paragraph 
(b)(1) of this section and prepared in anticipation of or for the 
hearing by or for another party's representative (including his 
attorney, consultant, surety, indemnitor, insurer, or agent) only upon a 
showing that the party seeking discovery has substantial need of the 
materials in the preparation of this case and that he is unable without 
undue hardship to obtain the substantial equivalent of the materials by 
other means. In ordering discovery of such materials when the required 
showing has been made, the presiding officer shall protect against 
disclosure of the mental impressions, conclusions, opinions, or legal 
theories of an attorney or other representative of a party concerning 
the proceeding.
    (3) While interrogatories may seek to elicit factual information 
reasonably related to a party's position in the proceeding, including 
data used, assumptions made, and analyses performed by the party, such 
interrogatories may not be addressed to, or be construed to require: (A) 
Reasons for not using alternative data, assumptions, and analyses where 
the alternative data, assumptions, and analyses were not relied on in 
developing the party's position; or (B) Performance of additional 
research or analytical work beyond that which is needed to support the 
party's position on any particular matter.
    (c) Protective order. Upon motion by a party or the person from whom 
discovery is sought, and for good cause shown, the presiding officer may 
make any order which justice requires to protect a party or person from 
annoyance, embarrassment, oppression, or undue burden or expense, 
including one or more of the following: (1) That the discovery not be 
had; (2) that the discovery may be had only on specified terms and 
conditions, including a designation of the time or place; (3) that the 
discovery may be had only by a method of discovery other than that 
selected by the party seeking discovery; (4) that certain matters not be 
inquired into, or that the scope of discovery be limited to certain 
matters; (5) that discovery be conducted with no one present except 
persons designated by the presiding officer; (6) that, subject to the 
provisions of Secs. 2.744 and 2.790, a trade secret or other 
confidential research, development, or commercial information not be 
disclosed or be disclosed only in a designated way; (7) that studies and 
evaluations not be prepared. If the motion for a protective order is 
denied in whole or in part, the presiding officer may, on such terms and 
conditions as are just, order that any party or person provide or permit 
discovery.
    (d) Sequence and timing of discovery. Unless the presiding officer 
upon motion, for the convenience of parties and witnesses and in the 
interests of justice, orders otherwise, methods of discovery may be used 
in any sequence and the fact that a party is conducting discovery, 
whether by deposition or otherwise, shall not operate to delay any other 
party's discovery.
    (e) Supplementation of responses. A party who has responded to a 
request for discovery with a response that was complete when made is 
under no duty to supplement his response to include information 
thereafter acquired, except as follows:
    (1) A party is under a duty seasonably to supplement his response 
with respect to any question directly addressed to (i) the identity and 
location of persons having knowledge of discoverable matters, and (ii) 
the identity of each person expected to be called as an expert witness 
at the hearing, the subject matter on which he is expected to testify, 
and the substance of his testimony.
    (2) A party is under a duty seasonably to amend a prior response if 
he obtains information upon the basis of which (i) he knows that the 
response was incorrect when made, or (ii) he knows that the response 
though correct when made is no longer true and

[[Page 65]]

the circumstances are such that a failure to amend the response is in 
substance a knowing concealment.
    (3) A duty to supplement responses may be imposed by order of the 
presiding officer or agreement of the parties.
    (f) Motion to compel discovery. (1) If a deponent or party upon whom 
a request for production of documents or answers to interrogatories is 
served fails to respond or objects to the request, or any part thereof, 
or fails to permit inspection as requested, the deposing party or the 
party submitting the request may move the presiding officer, within ten 
(10) days after the date of the response or after failure of a party to 
respond to the request for an order compelling a response or inspection 
in accordance with the request. The motion shall set forth the nature of 
the questions or the request, the response or objection of the party 
upon whom the request was served, and arguments in support of the 
motion. For purposes of this paragraph, an evasive or incomplete answer 
or response shall be treated as a failure to answer or respond. Failure 
to answer or respond shall not be excused on the ground that the 
discovery sought is objectionable unless the person or party failing to 
answer or respond has applied for a protective order pursuant to 
paragraph (c) of this section.
    (2) In ruling on a motion made pursuant to this section, the 
presiding officer may make such a protective order as he is authorized 
to make on a motion made pursuant to paragraph (c) of this section.
    (3) This section does not preclude an independent request for 
issuance of a subpena directed to a person not a party for production of 
documents and things. This section does not apply to requests for the 
testimony or interrogatories of the regulatory staff pursuant to 
Sec. 2.720(h)(2) or production of NRC documents pursuant to Sec. 2.744 
or Sec. 2.790, except for paragraphs (c) and (e) of this section.

[37 FR 15133, July 28, 1972, as amended at 43 FR 17802, Apr. 26, 1978; 
54 FR 33181, Aug. 11, 1989]



Sec. 2.740a   Depositions upon oral examination and upon written interrogatories.

    (a) Any party desiring to take the testimony of any party or other 
person by deposition on oral examination or written interrogatories 
shall, without leave of the Commission or the presiding officer, give 
reasonable notice in writing to every other party, to the person to be 
examined and to the presiding officer of the proposed time and place of 
taking the deposition; the name and address of each person to be 
examined, if known, or if, the name is not known, a general description 
sufficient to identify him or the class or group to which he belongs; 
the matters upon which each person will be examined and the name or 
descriptive title and address of the officer before whom the deposition 
is to be taken.
    (b) [Reserved]
    (c) Within the United States, a deposition may be taken before any 
officer authorized to administer oaths by the laws of the United States 
or of the place where the examination is held. Outside of the United 
States, a deposition may be taken before a secretary of an embassy or 
legation, a consul general, vice consul or consular agent of the United 
States, or a person authorized to administer oaths designated by the 
Commission.
    (d) The deponent shall be sworn or shall affirm before any questions 
are put to him. Examination and cross-examination shall proceed as at a 
hearing. Each question propounded shall be recorded and the answer taken 
down in the words of the witness. Objections on questions of evidence 
shall be noted in short form without the arguments. The officer shall 
not decide on the competency, materiality, or relevancy of evidence but 
shall record the evidence subject to objection. Objections on questions 
of evidence not made before the officer shall not be deemed waived 
unless the ground of the objection is one which might have been obviated 
or removed if presented at that time.
    (e) When the testimony is fully transcribed, the deposition shall be 
submitted to the deponent for examination and signature unless he is ill 
or cannot be found or refuses to sign. The officer

[[Page 66]]

shall certify the deposition or, if the deposition is not signed by the 
deponent, shall certify the reasons for the failure to sign, and shall 
promptly forward the deposition by registered mail to the Commission.
    (f) Where the deposition is to be taken on written interrogatories, 
the party taking the deposition shall serve a copy of the 
interrogatories, showing each interrogatory separately and consecutively 
numbered, on every other party with a notice stating the name and 
address of the person who is to answer them, and the name, description, 
title, and address of the officer before whom they are to be taken. 
Within ten (10) days after service, any other party may serve cross-
interrogatories. The interrogatories, cross-interrogatories, and answers 
shall be recorded and signed, and the deposition certified, returned, 
and filed as in the case of a deposition on oral examination.
    (g) A deposition will not become a part of the record in the hearing 
unless received in evidence. If only part of a deposition is offered in 
evidence by a party, any other party may introduce any other parts. A 
party shall not be deemed to make a person his own witness for any 
purpose by taking his deposition.
    (h) A deponent whose deposition is taken and the officer taking a 
deposition shall be entitled to the same fees as are paid for like 
services in the district courts of the United States, to be paid by the 
party at whose instance the deposition is taken.
    (i) The witness may be accompanied, represented, and advised by 
legal counsel.
    (j) The provisions of paragraphs (a) through (i) of this section are 
not applicable to NRC personnel. Testimony of NRC personnel by oral 
examination and written interrogatories addressed to NRC personnel are 
subject to the provisions of Sec. 2.720(h).

[27 FR 377, Jan. 13, 1962, as amended at 35 FR 19501, Dec. 23, 1970. 
Redesignated at 37 FR 15133, July 28, 1972, and amended at 43 FR 17802, 
Apr. 26, 1978]



Sec. 2.740b   Interrogatories to parties.

    (a) Any party may serve upon any other party (other than the 
staff)4 written interrogatories to be answered in writing by the 
party served, or if the party served is a public or private corporation 
or a partnership or association, by any officer or agent, who shall 
furnish such information as is available to the party. A copy of the 
interrogatories, answers, and all related pleadings shall be filed with 
the Secretary of the Commission and shall be served on the presiding 
officer and upon all parties to the proceeding.
---------------------------------------------------------------------------

    4Interrogatories addressed to the staff are subject to 
Sec. 2.720(h)(2)(ii).
---------------------------------------------------------------------------

    (b) Each interrogatory shall be answered separately and fully in 
writing under oath or affirmation, unless it is objected to, in which 
event the reasons for objection shall be stated in lieu of an answer. 
The answers shall be signed by the person making them, and the 
objections by the attorney making them. The party upon whom the 
interrogatories were served shall serve a copy of the answers and 
objections upon all parties to the proceeding within 14 days after 
service of the interrogatories, or within such shorter or longer period 
as the presiding officer may allow. Answers may be used in the same 
manner as depositions (see Sec. 2.740a(g)).

[37 FR 15134, July 28, 1972]



Sec. 2.741   Production of documents and things and entry upon land for inspection and other purposes.

    (a) Request for discovery. Any party may serve on any other party a 
request to:
    (1) Produce and permit the party making the request, or a person 
acting on his behalf, to inspect and copy any designated documents, or 
to inspect and copy, test, or sample any tangible things which are 
within the scope of Sec. 2.740 and which are in the possession, custody, 
or control of the party upon whom the request is served; or
    (2) Permit entry upon designated land or other property in the 
possession or control of the party upon whom the request is served for 
the purpose of

[[Page 67]]

inspection and measuring, surveying, photographing, testing, or sampling 
the property or any designated object or operation thereon, within the 
scope of Sec. 2.740.
    (b) Service. The request may be served on any party without leave of 
the Commission or the presiding officer. Except as otherwise provided in 
Sec. 2.740, the request may be served after the proceeding is set for 
hearing.
    (c) Contents. The request shall set forth the items to be inspected 
either by individual item or by category, and describe each item and 
category with reasonable particularity. The request shall specify a 
reasonable time, place, and manner of making the inspection and 
performing the related acts.
    (d) Response. The party upon whom the request is served shall serve 
on the party submitting the request a written response within thirty 
(30) days after the service of the request. The response shall state, 
with respect to each item or category, that inspection and related 
activities will be permitted as requested, unless the request is 
objected to, in which case the reasons for objection shall be stated. If 
objection is made to part of an item or category, the part shall be 
specified.
    (e) NRC records and documents. The provisions of paragraphs (a) 
through (d) of this section do not apply to the production for 
inspection and copying or photographing of NRC records or documents. 
Production of such records or documents is subject to the provisions of 
Secs. 2.744 and 2.790.

[37 FR 15134, July 28, 1972]



Sec. 2.742   Admissions.

    (a) Apart from any admissions made during or as a result of a 
prehearing conference, at any time after his answer has been filed, a 
party may file a written request for the admission of the genuineness 
and authenticity of any relevant document described in or attached to 
the request, or for the admission of the truth of any specified relevant 
matter of fact. A copy of the document shall be delivered with the 
request unless a copy has already been furnished.
    (b) Each requested admission shall be deemed made unless, within a 
time designated by the presiding officer or the Commission, and not less 
than ten (10) days after service of the request or such further time as 
may be allowed on motion, the party to whom the request is directed 
serves on the requesting party either (1) a sworn statement denying 
specifically the relevant matters of which an admission is requested or 
setting forth in detail the reasons why he can neither truthfully admit 
nor deny them, or (2) written objections on the ground that some or all 
of the matters involved are privileged or irrelevant or that the request 
is otherwise improper in whole or in part. Answers on matters to which 
such objections are made may be deferred until the objections are 
determined. If written objections are made to only a part of a request, 
the remainder of the request shall be answered within the time 
designated.
    (c) Admissions obtained pursuant to the procedure in this section 
may be used in evidence to the same extent and subject to the same 
objections as other admissions.

[27 FR 377, Jan. 13, 1962, as amended at 37 FR 15134, July 28, 1972]



Sec. 2.743   Evidence.

    (a) General. Every party to a proceeding shall have the right to 
present such oral or documentary evidence and rebuttal evidence and to 
conduct, in accordance with an approved cross-examination plan that 
contains the information specified in paragraph (b)(2) of this section 
if so directed by the presiding officer, such cross-examination as may 
be required for full and true disclosure of the facts.
    (b)(1) Testimony and cross-examination. The parties shall submit 
direct testimony of witnesses in written form, unless otherwise ordered 
by the presiding officer on the basis of objections presented. In any 
proceeding in which advance written testimony is to be used, each party 
shall serve copies of its proposed written testimony on each other party 
at least fifteen (15) days in advance of the session of the hearing at 
which its testimony is to be presented. The presiding officer may permit 
the introduction of written testimony not so served, either with the 
consent of all parties present or after they have had a reasonable 
opportunity to examine

[[Page 68]]

it. Written testimony must be incorporated into the transcript of the 
record as if read or, in the discretion of the presiding officer, may be 
offered and admitted in evidence as an exhibit.
    (2) The presiding officer may require a party seeking an opportunity 
to cross-examine to request permission to do so in accordance with a 
schedule established by the presiding officer. A request to conduct 
cross-examination shall be accompanied by a cross-examination plan that 
contains the following information:
    (i) A brief description of the issue or issues on which cross-
examination will be conducted;
    (ii) The objective to be achieved by cross-examination; and
    (iii) The proposed line of questions that may logically lead to 
achieving the objective of the cross-examination.
The cross-examination plan may be submitted only to the presiding 
officer and must be kept by the presiding officer in confidence until 
issuance of the initial decision on the issue being litigated. The 
presiding officer shall then provide each cross-examination plan to the 
Commission's Secretary for inclusion in the official record of the 
proceeding.
    (3) Paragraphs (b)(1) and (2) of this section do not apply to 
proceedings under subpart B of this part for modification, suspension, 
or revocation of a license or to proceedings for imposition of a civil 
penalty.
    (c) Admissibility. Only relevant, material, and reliable evidence 
which is not unduly repetitious will be admitted. Immaterial or 
irrelevant parts of an admissible document will be segregated and 
excluded so far as is practicable.
    (d) Objections. An objection to evidence shall briefly state the 
grounds of objection. The transcript shall include the objection, the 
grounds, and the ruling. Exception to an adverse ruling is preserved 
without notation on the record.
    (e) Offer of proof. An offer of proof made in connection with an 
objection to a ruling of the presiding officer excluding or rejecting 
proffered oral testimony shall consist of a statement of the substance 
of the proffered evidence. If the excluded evidence is written, a copy 
shall be marked for identification. Rejected exhibits, adequately marked 
for identification, shall be retained in the record.
    (f) Exhibits. A written exhibit will not be received in evidence 
unless the original and two copies are offered and a copy is furnished 
to each party, or the parties have been previously furnished with copies 
or the presiding officer directs otherwise. The presiding officer may 
permit a party to replace with a true copy an original document admitted 
in evidence. Exhibits in the proceeding on an application for a license 
to receive and possess high-level radioactive waste at a geologic 
repository operations area are governed by Sec. 2.1013 of this part.
    (g) Proceedings involving applications. In any proceeding involving 
an application, there shall be offered in evidence by the staff any 
report submitted by the ACRS in the proceeding in compliance with 
section 182b. of the Act, any safety evaluation prepared by the staff 
and any environmental impact statement prepared by the Director of 
Nuclear Reactor Regulation or Director of Nuclear Material Safety and 
Safeguards, as appropriate, or his designee in the proceeding pursuant 
to subpart A of part 51 of this chapter.
    (h) Official record. An official record of a government agency or 
entry in an official record may be evidenced by an official publication 
or by a copy attested by the officer having legal custody of the record 
and accompanied by a certificate of his custody.
    (i) Official notice. (1) The Commission or the presiding officer may 
take official notice of any fact of which a court of the United States 
may take judicial notice or of any technical or scientific fact within 
the knowledge of the Commission as an expert body. Each fact officially 
noticed under this subparagraph shall be specified in the record with 
sufficient particularity to advise the parties of the matters which have 
been noticed or brought to the attention of the parties before final 
decision and each party adversely affected by the decision shall be 
given opportunity to controvert the fact.
    (2) If a decision is stated to rest in whole or in part on official 
notice of a fact which the parties have not had a prior opportunity to 
controvert, a

[[Page 69]]

party may controvert the fact by filing an appeal from an initial 
decision or a petition for reconsideration of a final decision clearly 
and concisely setting forth the information relied upon to show the 
contrary.

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 10154, Sept. 17, 1963; 31 
FR 4339, Mar. 12, 1966; 37 FR 15134, July 28, 1972; 43 FR 17802, Apr. 
26, 1978; 48 FR 52285, Nov. 17, 1983; 49 FR 9401, Mar. 12, 1984; 54 FR 
14944, Apr. 14, 1989; 54 FR 33181, Aug. 11, 1989]



Sec. 2.744   Production of NRC records and documents.

    (a) A request for the production of an NRC record or document not 
available pursuant to Sec. 2.790 by a party to an initial licensing 
proceeding may be served on the Executive Director for Operations, 
without leave of the Commission or the presiding officer. The request 
shall set forth the records or documents requested, either by individual 
item or by category, and shall describe each item or category with 
reasonable particularity and shall state why that record or document is 
relevant to the proceeding.
    (b) If the Executive Director for Operations objects to producing a 
requested record or document on the ground that (1) it is not relevant 
or (2) it is exempted from disclosure under Sec. 2.790 and the 
disclosure is not necessary to a proper decision in the proceeding or 
the document or the information therein is reasonably obtainable from 
another source, he shall so advise the requesting party.
    (c) If the Executive Director for Operations objects to producing a 
record or document, the requesting party may apply to the presiding 
officer, in writing, to compel production of that record or document. 
The application shall set forth the relevancy of the record or document 
to the issues in the proceeding. The application shall be processed as a 
motion in accordance with Sec. 2.730 (a) through (d). The record or 
document covered by the application shall be produced for the ``in 
camera'' inspection of the presiding officer, exclusively, if requested 
by the presiding officer and only to the extent necessary to determine:
    (1) The relevancy of that record or document;
    (2) Whether the document is exempt from disclosure under Sec. 2.790;
    (3) Whether the disclosure is necessary to a proper decision in the 
proceeding;
    (4) Whether the document or the information therein is reasonably 
obtainable from another source.
    (d) Upon a determination by the presiding officer that the 
requesting party has demonstrated the relevancy of the record or 
document and that its production is not exempt from disclosure under 
Sec. 2.790 or that, if exempt, its disclosure is necessary to a proper 
decision in the proceeding, and the document or the information therein 
is not reasonably obtainable from another source, he shall order the 
Executive Director for Operations, to produce the document.
    (e) In the case of requested documents and records (including 
Safeguards Information referred to in sections 147 and 181 of the Atomic 
Energy Act, as amended) exempt from disclosure under Sec. 2.790, but 
whose disclosure is found by the presiding officer to be necessary to a 
proper decision in the proceeding, any order to the Executive Director 
for Operations to produce the document or records (or any other order 
issued ordering production of the document or records) may contain such 
protective terms and conditions (including affidavits of non-disclosure) 
as may be necessary and appropriate to limit the disclosure to parties 
in the proceeding, to interested States and other governmental entities 
participating pursuant to Sec. 2.715(c), and to their qualified 
witnesses and counsel. When Safeguards Information protected from 
disclosure under section 147 of the Atomic Energy Act, as amended, is 
received and possessed by a party other than the Commission staff, it 
shall also be protected according to the requirements of Sec. 73.21 of 
this chapter. The presiding officer may also prescribe such additional 
procedures as will effectively safeguard and prevent disclosure of 
Safeguards Information to unauthorized persons with minimum impairment 
of the procedural rights which would be available if Safeguards 
Information were not involved. In addition to any other sanction that 
may be imposed by the presiding officer for

[[Page 70]]

violation of an order issued pursuant to this paragraph, violation of an 
order pertaining to the disclosure of Safeguards Information protected 
from disclosure under section 147 of the Atomic Energy Act, as amended, 
may be subject to a civil penalty imposed pursuant to Sec. 2.205. For 
the purpose of imposing the criminal penalties contained in section 223 
of the Atomic Energy Act, as amended, any order issued pursuant to this 
paragraph with respect to Safeguards Information shall be deemed an 
order issued under section 161b of the Atomic Energy Act.
    (f) A ruling by the presiding officer or the Commission for the 
production of a record or document will specify the time, place, and 
manner of production.
    (g) No request pursuant to this section shall be made or entertained 
before the matters in controversy have been identified by the Commission 
or the presiding officer, or after the beginning of the prehearing 
conference held pursuant to Sec. 2.752 except upon leave of the 
presiding officer for good cause shown.
    (h) The provisions of Sec. 2.740 (c) and (e) shall apply to 
production of NRC records and documents pursuant to this section.

[37 FR 15135, July 28, 1972, as amended at 40 FR 2973, Jan. 17, 1975; 46 
FR 51723, Oct. 22, 1981]

                    Summary Disposition on Pleadings



Sec. 2.749   Authority of presiding officer to dispose of certain issues on the pleadings.

    (a) Any party to a proceeding may move, with or without supporting 
affidavits, for a decision by the presiding officer in that party's 
favor as to all or any part of the matters involved in the proceeding. 
The moving party shall annex to the motion a separate, short, and 
concise statement of the material facts as to which the moving party 
contends that there is no genuine issue to be heard. Motions may be 
filed at any time. Any other party may serve an answer supporting or 
opposing the motion, with or without affidavits, within twenty (20) days 
after service of the motion. The party shall annex to any answer 
opposing the motion a separate, short, and concise statement of the 
material facts as to which it is contended there exists a genuine issue 
to be heard. All material facts set forth in the statement required to 
be served by the moving party will be deemed to be admitted unless 
controverted by the statement required to be served by the opposing 
party. The opposing party may, within ten (10) days after service, 
respond in writing to new facts and arguments presented in any statement 
filed in support of the motion. No further supporting statements or 
responses thereto may be entertained. The presiding officer may dismiss 
summarily or hold in abeyance motions filed shortly before the hearing 
commences or during the hearing if the other parties or the presiding 
officer would be required to divert substantial resources from the 
hearing in order to respond adequately to the motion and thereby extend 
the proceeding.
    (b) Affidavits shall set forth such facts as would be admissible in 
evidence and shall show affirmatively that the affiant is competent to 
testify to the matters stated therein. The presiding officer may permit 
affidavits to be supplemented or opposed by depositions, answers to 
interrogatories or further affidavits. When a motion for summary 
decision is made and supported as provided in this section, a party 
opposing the motion may not rest upon the mere allegations or denials of 
his answer; his answer by affidavits or as otherwise provided in this 
section must set forth specific facts showing that there is a genuine 
issue of fact. If no such answer is filed, the decision sought, if 
appropriate, shall be rendered.
    (c) Should it appear from the affidavits of a party opposing the 
motion that he cannot, for reasons stated, present by affidavit facts 
essential to justify his opposition, the presiding officer may refuse 
the application for summary decision or may order a continuance to 
permit affidavits to be obtained or make such other order as is 
appropriate and a determination to that effect shall be made a matter of 
record.
    (d) The presiding officer shall render the decision sought if the 
filings in the proceeding, depositions, answers to interrogatories, and 
admissions on file,

[[Page 71]]

together with the statements of the parties and the affidavits, if any, 
show that there is no genuine issue as to any material fact and that the 
moving party is entitled to a decision as a matter of law. However, in 
any proceeding involving a construction permit for a production or 
utilization facility, the procedure described in this section may be 
used only for the determination of specific subordinate issues and may 
not be used to determine the ultimate issue as to whether the permit 
shall be issued.

[37 FR 15135, July 28, 1972, as amended at 46 FR 30331, June 8, 1981; 54 
FR 33181, Aug. 11, 1989]

                                Hearings



Sec. 2.750   Official reporter; transcript.

    (a) A hearing will be reported under the supervision of the 
presiding officer, stenographically or by other means, by an official 
reporter who may be designated from time to time by the Commission or 
may be a regular employee of the Commission. The transcript prepared by 
the reporter shall be the sole official transcript of the proceeding. 
Except as limited pursuant to section 181 of the Act or order of the 
Commission, the transcript will be open for inspection at the Public 
Document Room. Copies of transcripts are available to parties and to the 
public from the official reporter on payment of the charges fixed 
therefor.
    (b) Transcript corrections. Corrections of the official transcript 
may be made only in the manner provided by this paragraph. Corrections 
ordered or approved by the presiding officer shall be included in the 
record as an appendix, and when so incorporated the Secretary shall make 
the necessary physical corrections in the official transcript so that it 
will incorporate the changes ordered. In making corrections there shall 
be no substitution of pages but, to the extent practicable, corrections 
shall be made by running a line through the matter to be changed without 
obliteration and writing the matter as changed immediately above. Where 
the correction consists of an insertion, it shall be added by rider or 
interlineation as near as possible to the text which is intended to 
precede and follow it.
    (c) Free transcript. Except in an antitrust proceeding, in any 
adjudicatory proceeding on an application for a license or an amendment 
thereto, the presiding officer may arrange for provision of one free 
transcript to a party, other than the applicant, upon request by that 
party. The transcript will be made available to a party at the same time 
and location as it is made available to the NRC staff. If a transcript 
is mailed to the staff, it will also be mailed to the requesting party. 
A presiding officer has the discretion to control the distribution of 
transcripts to parties.\1\
---------------------------------------------------------------------------

    1This paragraph is suspended until further action of the 
Commission. (See 46 FR 13681, Feb. 24, 1981)

[27 FR 377, Jan. 13, 1962, as amended at 45 FR 49537, July 25, 1980; 45 
FR 54725, Aug. 18, 1980; 46 FR 13681, Feb. 2, 1981]



Sec. 2.751   Hearings to be public.

    Except as may be requested pursuant to section 181 of the Act, all 
hearings will be public unless otherwise ordered by the Commission.



Sec. 2.751a   Special prehearing conference in construction permit and operating license proceedings.

    (a) In any proceeding involving an application for a construction 
permit or an operating license for a production or utilization facility, 
the Commission or the presiding officer will direct the parties and any 
petitioners for intervention, or their counsel, to appear at a specified 
time and place, within ninety (90) days after the notice of hearing is 
published, or such other time as the Commission or the presiding officer 
may deem appropriate, for a conference1a to:
---------------------------------------------------------------------------

    1aThis conference may be omitted in proceedings other than 
contested proceedings.
---------------------------------------------------------------------------

    (1) Permit identification of the key issues in the proceeding;
    (2) Take any steps necessary for further identification of the 
issues;
    (3) Consider all intervention petitions to allow the presiding 
officer to make such preliminary or final determination as to the 
parties to the proceeding, as may be appropriate; and

[[Page 72]]

    (4) Establish a schedule for further actions in the proceeding.
    (b) The presiding officer may order any further informal conferences 
among the parties, including telephone conferences, to the extent that 
he considers that such a conference would expedite the proceeding.
    (c) A prehearing conference held pursuant to this section may be 
stenographically reported.
    (d) The presiding officer shall enter an order which recites the 
action taken at the conference, the schedule for further actions in the 
proceeding, any agreements by the parties, and which identifies the key 
issues in the proceeding, makes a preliminary or final determination as 
to the parties in the proceeding, and provides for the submission of 
status reports on discovery. The order shall be served upon all parties 
to the proceeding. Objections to the order may be filed by a party 
within five (5) days after service of the order, except that the staff 
may file objections to such order within ten (10) days after service. 
Parties may not file replies to the objections unless the Board so 
directs. The filing of objections shall not stay the decision unless the 
presiding officer so orders. The board may revise the order in 
consideration of the objections presented and, as permitted by 
Sec. 2.718(i), may certify for determination to the Commission such 
matters raised in the objections as it deems appropriate. The order 
shall control the subsequent course of the proceeding unless modified 
for good cause.

[37 FR 15135, July 28, 1972, as amended at 43 FR 17802, Apr. 26, 1978; 
46 FR 30331, June 8, 1981]



Sec. 2.752   Prehearing conference.

    (a) The Commission or the presiding officer may, and in the case of 
a proceeding on an application for a construction permit or an operating 
license for a facility of a type described in Secs. 50.21(b) or 50.22 of 
this chapter or a testing facility, shall direct the parties or their 
counsel to appear at a specified time and place for a conference to 
consider:
    (1) Simplification, clarification, and specification of the issues;
    (2) The necessity or desirability of amending the pleadings;
    (3) The obtaining of stipulations and admissions of fact and of the 
contents and authenticity of documents to avoid unnecessary proof;
    (4) Identification of witnesses and the limitation of the number of 
expert witnesses, and other steps to expedite the presentation of 
evidence;
    (5) The setting of a hearing schedule; and
    (6) Such other matters as may aid in the orderly disposition of the 
proceeding.

A prehearing conference held under this section in a proceeding 
involving a construction permit or operating license shall be held 
within sixty (60) days after discovery has been completed,1 or such 
other time as the Commission or the presiding officer may specify.
---------------------------------------------------------------------------

    1Discovery, as used in this section, does not include the 
production of the ACRS report, the safety evaluation prepared by the 
regulatory staff, or any detailed statement on environmental 
considerations prepared by the Director of Nuclear Reactor Regulation or 
Director of Nuclear Material Safety and Safeguards, as appropriate or 
his designee in the proceeding pursuant to Part 51 of this chapter.
---------------------------------------------------------------------------

    (b) Prehearing conferences may be stenographically reported.
    (c) The presiding officer shall enter an order which recites the 
action taken at the conference, the amendments allowed to the pleadings 
and agreements by the parties, and which limits the issues or defines 
the matters in controversy to be determined in the proceeding. 
Objections to the order may be filed by a party within five (5) days 
after service of the order, except that the regulatory staff may file 
objections to such order within ten (10) days after service. Parties may 
not file replies to the objections unless the board so directs. The 
filing of objections shall not stay the decision unless the presiding 
officer so orders. The board may revise the order in the light of the 
objections presented and, as permitted by Sec. 2.718(i) may certify for 
determination to the Commission such matters raised in the objections as 
it deems appropriate. The order shall control the subsequent

[[Page 73]]

course of the proceeding unless modified for good cause.

[27 FR 377, Jan. 13, 1962, as amended at 37 FR 15136, July 28, 1972; 40 
FR 8777, Mar. 3, 1975; 46 FR 30331, June 8, 1981]



Sec. 2.753   Stipulations.

    Apart from any stipulations made during or as a result of a 
prehearing conference, the parties may stipulate in writing at any stage 
of the proceeding or orally during the hearing, any relevant fact or the 
contents or authenticity of any document. Such a stipulation may be 
received in evidence. The parties may also stipulate as to the procedure 
to be followed in the proceeding. Such stipulations may, on motion of 
all parties, be recognized by the presiding officer to govern the 
conduct of the proceeding.

[37 FR 15136, July 28, 1972]



Sec. 2.754  Proposed findings and conclusions.

    (a) Any party to a proceeding may, or if directed by the presiding 
officer shall, file proposed findings of fact and conclusions of law, 
briefs and a proposed form or order of decision within the time provided 
by the following subparagraphs, except as otherwise ordered by the 
presiding officer:
    (1) The party who has the burden of proof shall, within thirty (30) 
days after the record is closed, file proposed findings of fact and 
conclusions of law and briefs, and a proposed form of order or decision.
    (2) Other parties may file proposed findings, conclusions of law and 
briefs within forty (40) days after the record is closed. However, the 
staff may file such proposed findings, conclusions of law and briefs 
within fifty (50) days after the record is closed.
    (3) A party who has the burden of proof may reply within five (5) 
days after filing of proposed findings and conclusions of law and briefs 
by other parties.
    (b) Failure to file proposed findings of fact, conclusions of law or 
briefs when directed to do so may be deemed a default, and an order or 
initial decision may be entered accordingly.
    (c) Proposed findings of fact must be clearly and concisely set 
forth in numbered paragraphs and must be confined to the material issues 
of fact presented on the record, with exact citations to the transcript 
of record and exhibits in support of each proposed finding. Proposed 
conclusions of law must be set forth in numbered paragraphs as to all 
material issues of law or discretion presented on the record. An 
intervenor's proposed findings of fact and conclusions of law must be 
confined to issues which that party placed in controversy or sought to 
place in controversy in the proceeding.

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 10154, Sept. 17, 1963; 35 
FR 11459, July 17, 1970; 43 FR 17802, Apr. 26, 1978; 46 FR 30331, June 
8, 1981; 54 FR 33182, Aug. 11, 1989]



Sec. 2.755   Oral argument before presiding officer.

    When, in the opinion of the presiding officer, time permits and the 
nature of the proceeding and the public interest warrant, he may allow 
and fix a time for the presentation of oral argument. He will impose 
appropriate limits of time on the argument. The transcript of the 
argument shall be a part of the record.



Sec. 2.756   Informal procedures.

    The Commission encourages the use of informal procedures consistent 
with the Act, sections 551-558 of title 5 of the United States Code, and 
the regulations in this chapter, and with the orderly conduct of the 
proceeding and the necessity for preserving a suitable record for 
review.

[35 FR 11459, July 17, 1970]



Sec. 2.757   Authority of presiding officer to regulate procedure in a hearing.

    To prevent unnecessary delays or an unnecessarily large record, the 
presiding officer may:
    (a) Limit the number of witnesses whose testimony may be cumulative;
    (b) Strike argumentative, repetitious, cumulative, or irrelevant 
evidence;
    (c) Take necessary and proper measures to prevent argumentative, 
repetitious, or cumulative cross-examination; and
    (d) Impose such time limitations on arguments as he determines 
appropriate, having regard for the volume of

[[Page 74]]

the evidence and the importance and complexity of the issues involved.

[37 FR 15136, July 28, 1972]



Sec. 2.758   Consideration of Commission rules and regulations in adjudicatory proceedings.

    (a) Except as provided in paragraphs (b), (c), and (d) of this 
section, any rule or regulation of the Commission, or any provision 
thereof, issued in its program for the licensing of production and 
utilization facilities, source material, special nuclear material, or 
byproduct material is not subject to attack by way of discovery, proof, 
argument, or other means in any adjudicatory proceeding involving 
initial or renewal licensing subject to this subpart.
    (b) A party to an adjudicatory proceeding involving initial or 
renewal licensing subject to this subpart may petition that the 
application of a specified Commission rule or regulation or any 
provision thereof, of the type described in paragraph (a) of this 
section, be waived or an exception made for the particular proceeding. 
The sole ground for petition for waiver or exception shall be that 
special circumstances with respect to the subject matter of the 
particular proceeding are such that the application of the rule or 
regulation (or provision thereof) would not serve the purposes for which 
the rule or regulation was adopted. The petition shall be accompanied by 
an affidavit that identifies the specific aspect or aspects of the 
subject matter of the proceeding as to which the application of the rule 
or regulation (or provision thereof) would not serve the purposes for 
which the rule or regulation was adopted, and shall set forth with 
particularity the special circumstances alleged to justify the waiver or 
exception requested. Any other party may file a response thereto, by 
counter affidavit or otherwise.
    (c) If, on the basis of the petition, affidavit and any response 
thereto provided for in paragraph (b) of this section, the presiding 
officer determines that the petitioning party has not made a prima facie 
showing that the application of the specific Commission rule or 
regulation or provision thereof to a particular aspect or aspects of the 
subject matter of the proceeding would not serve the purposes for which 
the rule or regulation was adopted and that application of the rule or 
regulation should be waived or an exception granted, no evidence may be 
received on that matter and no discovery, cross-examination or argument 
directed to the matter will be permitted, and the presiding officer may 
not further consider the matter.
    (d) If, on the basis of the petition, affidavit and any response 
provided for in paragraph (b) of this section, the presiding officer 
determines that such a prima facie showing has been made, the presiding 
officer shall, before ruling thereon, certify directly to the 
Commission7 for determination the matter of whether the application 
of the Commission rule or regulation or provision thereof to a 
particular aspect or aspects of the subject matter of the proceeding, in 
the context of this section, should be waived or an exception made. The 
Commission may, among other things, on the basis of the petition, 
affidavits, and any response, determine whether the application of the 
specified rule or regulation (or provision thereof) should be waived or 
an exception be made, or the Commission may direct such further 
proceedings as it deems appropriate to aid its determination.
---------------------------------------------------------------------------

    7 The matter will be certified to the Commission 
notwithstanding the provisions of Sec. 2.785.
---------------------------------------------------------------------------

    (e) Whether or not the procedure in paragraph (b) of this section is 
available, a party to an initial or renewal licensing proceeding may 
file a petition for rulemaking pursuant to Sec. 2.802.

[37 FR 15136, July 28, 1972, as amended at 56 FR 64975, Dec. 13, 1991; 
60 FR 22491, May 8, 1995]



Sec. 2.759   Settlement in initial licensing proceedings.

    The Commission recognizes that the public interest may be served 
through settlement of particular issues in a proceeding or the entire 
proceeding. Therefore, to the extent that it is not inconsistent with 
hearing requirements in section 189 of the Act (42 U.S.C. 2239), the 
fair and reasonable settlement of contested initial licensing 
proceedings is encouraged. It is expected

[[Page 75]]

that the presiding officer and all of the parties to those proceedings 
will take appropriate steps to carry out this purpose.

[37 FR 15137, July 28, 1972]

                 Initial Decision and Commission Review



Sec. 2.760   Initial decision and its effect.

    (a) After hearing, the presiding officer will render an initial 
decision which will constitute the final action of the Commission forty 
(40) days after its date unless any party petitions for Commission 
review in accordance with Sec. 2.786 or the Commission takes review sua 
sponte or the decision is subject to the provisions of Sec. 2.764.
    (b) Where the public interest so requires, the Commission may direct 
that the presiding officer certify the record to it without an initial 
decision, and may:
    (1) Prepare its own decision which will become final unless the 
Commission grants a petition for reconsideration pursuant to Sec. 2.771; 
or
    (2) Omit an initial decision on a finding that due and timely 
execution of its functions imperatively and unavoidably so requires.
    (c) An initial decision will be in writing and will be based on the 
whole record and supported by reliable, probative, and substantial 
evidence. The initial decision will include:
    (1) Findings, conclusions and rulings, with the reasons or basis for 
them, on all material issues of fact, law, or discretion presented on 
the record;
    (2) All facts officially noticed and relied on in making the 
decision;
    (3) The appropriate ruling, order or denial of relief with the 
effective date;
    (4) The time within which a petition for review of the decision may 
be filed, the time within which answers in support of or in opposition 
to a petition for review filed by another party may be filed and, in the 
case of an initial decision which may become final in accordance with 
paragraph (a) of this section, the date when it may become final.

[27 FR 377, Jan. 13, 1962, as amended at 31 FR 4339, Mar. 12, 1966; 35 
FR 11459, July 17, 1970; 48 FR 52285, Nov. 17, 1983; 56 FR 29408, June 
27, 1991]



Sec. 2.760a   Initial decision in contested proceedings on applications for facility operating licenses.

    In any initial decision in a contested proceeding on an application 
for an operating license for a production or utilization facility, the 
presiding officer shall make findings of fact and conclusions of law on 
the matters put into controversy by the parties to the proceeding and on 
matters which have been determined to be the issues in the proceeding by 
the Commission or the presiding officer. Matters not put into 
controversy by the parties will be examined and decided by the presiding 
officer only where he or she determines that a serious safety, 
environmental, or common defense and security matter exists. Depending 
on the resolution of those matters, the Director of Nuclear Reactor 
Regulation or Director of Nuclear Material Safety and Safeguards, as 
appropriate, after making the requisite findings, will issue, deny, or 
appropriately condition the license.

[44 FR 67088, Nov. 23, 1979]



Sec. 2.761   Expedited decisional procedure.

    (a) The presiding officer may determine a proceeding by an order 
after the conclusion of a hearing without issuing an initial decision, 
when:
    (1) All parties stipulate that the initial decision may be omitted 
and waive their rights to file a petition for review, to request oral 
argument, and to seek judicial review;
    (2) No unresolved substantial issue of fact, law, or discretion 
remains, and the record clearly warrants granting the relief requested; 
and
    (3) The presiding officer finds that dispensing with the issuance of 
the initial decision is in the public interest.
    (b) An order entered pursuant to paragraph (a) of this section shall 
be subject to review by the Commission on its own motion within thirty 
(30) days after its date.
    (c) An initial decision may be made effective immediately, subject 
to review by the Commission on its own motion within thirty (30) days 
after its date, except as otherwise provided in this chapter, when:

[[Page 76]]

    (1) All parties stipulate that the initial decision may be made 
effective immediately and waive their rights to file a petition for 
review, to request oral argument, and to seek judicial review;
    (2) No unresolved substantial issue of fact, law, or discretion 
remains and the record clearly warrants granting the relief requested; 
and
    (3) The presiding officer finds that it is in the public interest to 
make the initial decision effective immediately.
    (d) The provisions of this section do not apply to an initial 
decision directing the issuance or amendment of a construction permit or 
construction authorization, or the issuance of an operating license or 
provisional operating authorization.

[27 FR 377, Jan. 13, 1962, as amended at 28 FR 7935, Aug. 3, 1963; 28 FR 
10154, Sept. 17, 1963; 35 FR 5318, Mar. 31, 1970; 48 FR 52285, Nov. 17, 
1983; 56 FR 29408, June 27, 1991]



Sec. 2.761a  Separate hearings and decisions.

    In a proceeding on an application for a construction permit for a 
utilization facility which is subject to Sec. 51.20(b) of this chapter, 
and is of the type specified in Sec. 51.21(b) (2) or (3) or Sec. 50.22 
of this chapter or is a testing facility, the presiding officer shall, 
unless the parties agree otherwise or the rights of any party would be 
prejudiced thereby, commence a hearing on issues covered by 
Sec. 50.10(e)(2)(ii) and subpart A of part 51 of this chapter as soon as 
practicable after issuance of the staff of its final environmental 
impact statement, but no later than thirty (30) days after issuance of 
such statement, and complete such a hearing and issue an initial 
decision on such matters. Pehearing procedures regarding issues covered 
by subpart A of part 51 and Sec. 51.10(e)(2)(ii) of this chapter, 
including any discovery and special prehearing conferences and 
prehearing conferences as provided in Secs. 2.740, 2.740a, 2.740b, 
2.741, 2.742, 2.751a, and 2.752, shall be scheduled accordingly. The 
provisions of Secs. 2.754, 2.755, 2.760, 2.762, 2.763, and 2.764(a) 
shall apply to any proceeding conducted and any initial decision 
rendered in accordance with this section. Section 2.764(b) shall not 
apply to any partial initial decision rendered in accordance with this 
section. This section shall not preclude separate hearings and decisions 
on other particular issues.

[49 FR 9402, Mar. 12, 1984]



Sec. 2.763  Oral argument.

    In its discretion the Commission may allow oral argument upon the 
request of a party made in a petition for review or brief on review, or 
upon its own initiative.

[56 FR 29408, June 27, 1991]



Sec. 2.764  Immediate effectiveness of initial decision directing issuance or amendment of construction permit or operating license.

    (a) Except as provided in paragraphs (c) through (f) of this 
section, or as otherwise ordered by the Commission in special 
circumstances, an initial decision directing the issuance or amendment 
of a construction permit, a construction authorization, an operating 
license, or a license under 10 CFR part 72 to store spent fuel in an 
independent spent fuel storage installation (ISFSI) at a reactor site 
shall be effective immediately upon issuance unless the presiding 
officer finds that good cause has been shown by a party why the initial 
decision should not become immediately effective, subject to review 
thereof and further decision by the Commission upon petition for review 
filed by any party pursuant to Sec. 2.786 or upon its own motion.
    (b) Except as provided in paragraphs (c) through (f) of this 
section, or as otherwise ordered by the Commission in special 
circumstances, the Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, notwithstanding 
the filing or granting of a petition for review, shall issue a 
construction permit, a construction authorization, an operating license, 
or a license under 10 CFR part 72 to store spent fuel in an independent 
spent fuel storage installation (ISFSI) at a reactor site, or amendments 
thereto, authorized by an initial decision, within ten (10) days from 
the date of issuance of the decision.
    (c) An initial decision directing the issuance of an initial license 
for the

[[Page 77]]

construction and operation of an independent spent fuel storage 
installation (ISFSI) located at a site other than a reactor site or a 
monitored retrievable storage installation (MRS) under 10 CFR part 72 
shall become effective only upon order of the Commission. The Director 
of Nuclear Material Safety and Safeguards shall not issue an initial 
license for the construction and operation of an independent spent fuel 
storage installation (ISFSI) located at a site other than a reactor site 
or a monitored retrievable storage installation (MRS) under 10 CFR part 
72 until expressly authorized to do so by the Commission.
    (d)  [Reserved]
    (e) Nuclear power reactor construction permits--(1) Atomic Safety 
and Licensing Boards.
    (i) Atomic Safety and Licensing Boards shall hear and decide all 
issues that come before them, indicating in their decisions the type of 
licensing action, if any, which their decision would authorize. The 
Boards' decisions concerning construction permits shall not become 
effective until the Commission actions outlined in paragraph (e)(2) of 
this section have taken place.
    (ii) In reaching their decisions the Boards should interpret 
existing regulations and regulatory policies with due consideration to 
the implications for those regulations and policies of the Three Mile 
Island accident. As provided in paragraph (e)(3) of this section, in 
addition to taking generic rulemaking actions, the Commission will be 
providing case-by-case guidance on changes in regulatory policies in 
conducting its reviews in adjudicatory proceedings. The Boards shall, in 
turn, apply these revised regulations and policies in cases then pending 
before them to the extent that they are applicable. The Commission 
expects the Licensing Boards to pay particular attention in their 
decisions to analyzing the evidence on those safety and environmental 
issues arising under applicable Commission regulations and policies 
which the Boards believe present serious, close questions and which the 
Boards believe may be crucial to whether a license should become 
effective before full appellate review is completed. Furthermore, the 
Boards should identify any apects of the case which in their judgment, 
present issues on which prompt Commission policy guidance is called for. 
The Boards may request the assistance of the parties in identifying such 
policy issues but, absent specific Commission directives, such policy 
issues shall not be the subject of discovery, examination, or cross-
examination.
    (2) Commission. Within sixty days of the service of any Licensing 
Board decision that would otherwise authorize issuance of a construction 
permit, the Commission will seek to issue a decision on any stay motions 
that are timely filed. Such motions shall be filed as provided by 10 CFR 
2.788. For the purpose of this policy, a ``stay'' motion is one that 
seeks to defer the effectiveness of a Licensing Board decision beyond 
the period necessary for the Commission action described herein. If no 
stay papers are filed, the Commission will, within the same time period 
(or earlier if possible), analyze the record and construction permit 
decision below on its own motion and will seek to issue a decision on 
whether a stay is warranted. It shall not, however, decide that a stay 
is warranted without giving the affected parties an opportunity to be 
heard. The initial decision will be considered stayed pending the 
Commission's decision. In deciding these stay questions, the Commission 
shall employ the procedures set out in 10 CFR 2.788.
    (f) Nuclear power reactor operating licenses--(1) Atomic Safety and 
Licensing Boards. (i) Atomic Safety and Licensing Boards shall hear and 
decide all issues that come before them, indicating in their decisions 
the type of licensing action, if any, which their decision would 
authorize. A Board's decision authorizing issuance of an operating 
license may not become effective insofar as it authorizes operating at 
greater than 5 percent of rated power until the Commission actions 
outlined below in paragraph (f)(2) of this section have taken place. 
Insofar as it authorizes operation up to 5 percent, the decision is 
effective and the Director shall issue the appropriate license in 
accordance with paragraph (b) of this section.

[[Page 78]]

    (ii) In reaching their decisions the Boards should interpret 
existing regulations and regulatory policies with due consideration to 
the implications for those regulations and policies of the Three Mile 
Island accident. In this regard it should be understood that as a result 
of analyses still under way the Commission may change its present 
regulations and regulatory policies in important respects and thus 
compliance with existing regulations may turn out to no longer warrant 
approval of a license application. As provided in paragraph (f)(2) of 
this section, in addition to taking generic rulemaking actions, the 
Commission will be providing case-by-case guidance on changes in 
regulatory policies in conducting its reviews in adjudicatory 
proceedings. The Boards shall, in turn, apply these revised regulations 
and policies in cases then pending before them to the extent that they 
are applicable. The Commission expects the Licensing Boards to pay 
particular attention in their decisions to analyzing the evidence on 
those safety and environmental issues arising under applicable 
Commission regulations and policies which the Boards believe present 
serious, close questions and which the Boards believe may be crucial to 
whether a license should become effective before full appellate review 
is completed. Furthermore, the Boards should identify any aspects of the 
case which in their judgment, present issues on which prompt Commission 
policy guidance is called for. The Boards may request the assistance of 
the parties in identifying such policy issues but, absent specific 
Commission directive, such policy issues shall not be the subject of 
discovery, examination, or cross-examination.
    (2) Commission. (i) Reserving the power to step in at an earlier 
time, the Commission will, upon receipt of the Licensing Board decision 
authorizing issuance of an operating license, other than a decision 
authorizing only fuel loading and low power (up to 5 percent of rated 
power) testing, review the matter on its own motion to determine whether 
to stay the effectiveness of the decision. An operating license decision 
will be stayed by the Commission, insofar as it authorizes other than 
fuel loading and low power testing, if it determines that it is in the 
public interest to do so, based on a consideration of the gravity of the 
substantive issue, the likelihood that it has been resolved incorrectly 
below, the degree to which correct resolution of the issue would be 
prejudiced by operation pending review, and other relevant public 
interest factors.
    (ii) For operating license decisions other than those authorizing 
only fuel loading and low power testing consistent with the target 
schedule set forth below, the parties may file brief comments with the 
Commission pointing out matters which, in their view, pertain to the 
immediate effectiveness issue. To be considered, such comments must be 
received within 10 days of the Board decision. However, the Commission 
may dispense with comments by so advising the parties. No extensive stay 
shall be issued without giving the affected parties an opportunity to be 
heard.
    (iii) The Commission intends to issue a stay decision within 30 days 
of receipt of the Licensing Board's decision. The Licensing Board's 
initial decision will be considered stayed pending the Commission's 
decision insofar as it may authorize operations other than fuel loading 
and low power (up to 5 percent of rated power) testing.
    (iv) In announcing a stay decision, the Commission may allow the 
proceeding to run its ordinary course or give instructions as to the 
future handling of the proceeding. Furthermore, the Commission may in a 
particular case determine that compliance with existing regulations and 
policies may no longer be sufficient to warrant approval of a license 
application and may alter those regulations and policies.
    (g) The Commission's effectiveness determination is entirely without 
prejudice to proceedings under Sec. 2.786 or Sec. 2.788.

[36 FR 828, Jan. 19, 1971, as amended at 45 FR 74711, Nov. 12, 1980; 46 
FR 13978, Feb. 25, 1981; 46 FR 28628, May 28, 1981; 46 FR 47765, Sept. 
30, 1981; 47 FR 2305, Jan. 15, 1982; 47 FR 40536, Sept. 15, 1982; 48 FR 
52286, Nov. 17, 1983; 54 FR 7757, Feb. 23, 1989; 54 FR 14944, Apr. 14, 
1989; 56 FR 29408, June 27, 1991; 60 FR 20886, Apr. 28, 1995]

[[Page 79]]



Sec. 2.765  Immediate effectiveness of initial decision directing issuance or amendment of licenses under part 61 of this chapter.

    An initial decision directing the issuance of a license under part 
61 of this chapter (relating to land disposal of radioactive waste) or 
any amendment to such a license authorizing actions which may 
significantly affect the health and safety of the public, will become 
effective only upon order of the Commission. The Director of Nuclear 
Material Safety and Safeguards may not issue a license under part 61 of 
this chapter, or any amendment to such a license which may significantly 
affect the health and safety of the public, until expressly authorized 
to do so by the Commission.

[47 FR 57478, Dec. 27, 1982]

                             Final Decision



Sec. 2.770  Final decision.

    (a) The Commission will ordinarily consider the whole record on 
review, but may limit the issues to be reviewed to those identified in 
an order taking review.
    (b) The Commission may adopt, modify, or set aside the findings, 
conclusions and order in the initial decision, and will state the basis 
of its action. The final decision will be in writing and will include:
    (1) A statement of findings and conclusions, with the basis for them 
on all material issues of fact, law or discretion presented;
    (2) All facts officially noticed;
    (3) The ruling on each material issue; and
    (4) The appropriate ruling, order, or denial of relief, with the 
effective date.

[27 FR 377, Jan. 13, 1962, as amended at 48 FR 52286, Nov. 17, 1983; 56 
FR 29409, June 27, 1991]



Sec. 2.771   Petition for reconsideration.

    (a) A petition for reconsideration of a final decision may be filed 
by a party within ten (10) days after the date of the decision.
    (b) The petition for reconsideration shall state specifically the 
respects in which the final decision is claimed to be erroneous, the 
grounds of the petition, and the relief sought. Within ten (10) days 
after a petition for reconsideration has been filed, any other party may 
file an answer in opposition to or in support of the petition. However, 
the staff may file such an answer within twelve (12) days after a 
petition for reconsideration has been filed.
    (c) Neither the filing nor the granting of the petition shall stay 
the decision unless the Commission orders otherwise.

[27 FR 377, Jan. 13, 1962, as amended at 31 FR 4340, Mar. 12, 1966; 43 
FR 17802, Apr. 26, 1978; 48 FR 52286, Nov. 17, 1983; 56 FR 29409, June 
27, 1991]



Sec. 2.772   Authority of the Secretary to rule on procedural matters.

    When briefs, motions or other papers listed herein are submitted to 
the Commission itself, as opposed to officers who have been delegated 
authority to act for the Commission, the Secretary or the Assistant 
Secretary are authorized to:
    (a) Prescribe schedules for the filing of briefs, motions, or other 
pleadings, where such schedules may differ from those elsewhere 
prescribed in these rules or where these rules do not prescribe a 
schedule;
    (b) Rule on motions for extensions of time;
    (c) Reject motions, briefs, pleadings, and other documents filed 
with the Commission later than the time prescribed by the Secretary or 
the Assistant Secretary or established by an order, rule, or regulation 
of the Commission unless good cause is shown for the late filing;
    (d) Prescribe all procedural arrangements relating to any oral 
argument to be held before the Commission;
    (e) Extend the time for the Commission to rule on a petition for 
review under 10 CFR 2.786(b);
    (f) Extend the time for the Commission to grant review on its own 
motion under 10 CFR 2.786(a);
    (g) Extend time for Commission review on its own motion of a 
Director's denial under 10 CFR 2.206(c);
    (h) Direct pleadings improperly filed before the Commission to the 
appropriate adjudicatory board for action;
    (i) Deny a request for hearings, where the request fails to comply 
with the Commission's pleading requirements

[[Page 80]]

set forth in this part, and fails to set forth an arguable basis for 
further proceedings;
    (j) Refer to the Atomic Safety and Licensing Board Panel or an 
Administrative Law Judge, as appropriate, requests for hearings not 
falling under Sec. 2.104 of this part, where the requester is entitled 
to further proceedings; and
    (k) Take action on minor procedural matters.

[39 FR 24219, July 1, 1974, as amended at 43 FR 22346, May 25, 1978; 46 
FR 34794, July 6, 1981; 47 FR 47803, Sept. 28, 1982]

                        Restricted Communications



Sec. 2.780  Ex parte communications.

    In any proceeding under this subpart--
    (a) Interested persons outside the agency may not make or knowingly 
cause to be made to any Commission adjudicatory employee, any ex parte 
communication relevant to the merits of the proceeding.
    (b) Commission adjudicatory employees may not request or entertain 
from any interested person outside the agency or make or knowingly cause 
to be made to any interested person outside the agency, and ex parte 
communication relevant to the merits of the proceeding.
    (c) Any Commission adjudicatory employee who receives, makes, or 
knowingly causes to be made a communication prohibited by this section 
shall ensure that it and any responses to the communication promptly are 
served on the parties and placed in the public record of the proceeding. 
In the case of oral communications, a written summary must be served and 
placed in the public record of the proceeding.
    (d) Upon receipt of a communication knowingly made or knowingly 
caused to be made by a party in violation of this section, the 
Commission or other adjudicatory employee presiding in a proceeding may, 
to the extent consistent with the interests of justice and the policy of 
the underlying statutes, require the party to show cause why its claim 
or interest in the proceeding should not be dismissed, denied, 
disregarded, or otherwise adversely affected on account of the 
violation.
    (e) (1) The prohibitions of this section apply--
    (i) When a notice of hearing or other comparable order is issued in 
accordance with Secs. 2.104(a), 2.105(e)(2), 2.202(c), 2.204, 2.205(e), 
or 2.703; or
    (ii) Whenever the interested person or Commission adjudicatory 
employee responsible for the communication has knowledge that a notice 
of hearing or other comparable order will be issued in accordance with 
Secs. 2.104(a), 2.105(e)(2), 2.202(c), 2.204, 2.205(e), or 2.703.
    (2) The prohibitions of this section cease to apply to ex parte 
communications relevant to the merits of a full or partial initial 
decision when, in accordance with Sec. 2.786, the time has expired for 
Commission review of the decision.
    (f) The prohibitions in this section do not apply to--
    (1) Requests for and the provision of status reports;
    (2) Communications specifically permitted by statute or regulation;
    (3) Communications made to or by Commission adjudicatory employees 
in the Office of the General Counsel regarding matters pending before a 
court or another agency; and
    (4) Communications regarding generic issues involving public health 
and safety or other statutory responsibilities of the agency (e.g., 
rulemakings, congressional hearings on legislation, budgetary planning) 
not associated with the resolution of any proceeding under this subpart 
pending before the NRC.

[53 FR 10365, Mar. 31, 1988, as amended at 56 FR 29409, June 27, 1991]



Sec. 2.781  Separation of functions.

    (a) In any proceeding under this subpart, any NRC officer or 
employee engaged in the performance of any investigative or litigating 
function in that proceeding or in a factually related proceeding may not 
participate in or advise a Commission adjudicatory employee about the 
initial or final decision on any disputed issue in that proceeding, 
except--
    (1) As witness or counsel in the proceeding;
    (2) Through a written communication served on all parties and made 
on the record of the proceeding; or

[[Page 81]]

    (3) Through an oral communication made both with reasonable prior 
notice to all parties and with reasonable opportunity for all parties to 
respond.
    (b) The prohibition in paragraph (a) of this section does not apply 
to--
    (1) Communications to or from any Commission adjudicatory employee 
regarding--
    (i) The status of a proceeding;
    (ii) Matters with regard to which the communications specifically 
are permitted by statute or regulation;
    (iii) Agency participation in matters pending before a court or 
another agency; or
    (iv) Generic issues involving public health and safety or other 
statutory responsibilities of the agency (e.g., rulemakings, 
congressional hearings on legislation, budgetary planning) not 
associated with the resolution of any proceeding under this subpart 
pending before the NRC.
    (2) Communications to or from Commissioners, members of their 
personal staffs, Commission adjudicatory employees in the Office of the 
General Counsel, and the Secretary and employees of the Office of the 
Secretary, regarding--
    (i) Initiation or direction of an investigation or initiation of an 
enforcement proceeding;
    (ii) Supervision of agency staff to ensure compliance with the 
general policies and procedures of the agency;
    (iii) Staff priorities and schedules or the allocation of agency 
resources; or
    (iv) General regulatory, scientific, or engineering principles that 
are useful for an understanding of the issues in a proceeding and are 
not contested in the proceeding.
    (3) None of the communications permitted by paragraph (b)(2) (i) 
through (iii) of this section is to be associated by the Commission 
adjudicatory employee or the NRC officer or employee performing 
investigative or litigating functions with the resolution of any 
proceeding under this subpart pending before the NRC.
    (c) Any Commission adjudicatory employee who receives a 
communication prohibited under paragraph (a) of this section shall 
ensure that it and any responses to the communication are placed in the 
public record of the proceeding and served on the parties. In the case 
of oral communications, a written summary must be served and placed in 
the public record of the proceeding.
    (d)(1) The prohibitions in this section apply--
    (i) When a notice of hearing or other comparable order is issued in 
accordance with Secs. 2.104(a), 2.105(e)(2), 2.202(c), 2.204, 2.205(e), 
or 2.703; or
    (ii) Whenever an NRC officer or employee who is or has reasonable 
cause to believe he or she will be engaged in the performance of an 
investigative or litigating function or a Commission adjudicatory 
employee has knowledge that a notice of hearing or other comparable 
order will be issued in accordance with Secs. 2.104(a), 2.105(e)(2), 
2.202(c), 2.204, 2.205(e), or 2.703.
    (2) The prohibitions of this section will cease to apply to the 
disputed issues pertinent to a full or partial initial decision when, in 
accordance with Sec. 2.786, the time has expired for Commission review 
of the decision.
    (e) Communications to, from, and between Commission adjudicatory 
employees not prohibited by this section may not serve as a conduit for 
a communication that otherwise would be prohibited by this section or 
for an ex parte communication that otherwise would be prohibited by 
Sec. 2.780.
    (f) If an initial or final decision is stated to rest in whole or in 
part on fact or opinion obtained as a result of a communication 
authorized by this section, the substance of the communication must be 
specified in the record of the proceeding and every party must be 
afforded an opportunity to controvert the fact or opinion. If the 
parties have not had an opportunity to controvert the fact or opinion 
prior to the filing of the decision, a party may controvert the fact or 
opinion by filing a petition for review of an initial decision, or a 
petition for reconsideration of a final decision that clearly and 
concisely sets forth the information or argument relied on to show the 
contrary. If appropriate, a party may be afforded the opportunity for 
cross-examination or to present rebuttal evidence.

[53 FR 10366, Mar. 31, 1988, as amended at 56 FR 29409, June 27, 1991]

[[Page 82]]



Sec. 2.786  Review of decisions and actions of a presiding officer.

    (a) Within forty (40) days after the date of a decision or action by 
a presiding officer, or within thirty (30) days after a petition for 
review of the decision or action has been filed under paragraph (b) of 
this section, whichever is greater, the Commission may review the 
decision or action on its own motion, unless the Commission, in its 
discretion, extends the time for its review.
    (b)(1) Within fifteen (15) days after service of a full or partial 
initial decision by a presiding officer, and within fifteen (15) days 
after service of any other decision or action by a presiding officer 
with respect to which a petition for review is authorized by this part, 
a party may file a petition for review with the Commission on the 
grounds specified in paragraph (b)(4) of this section. The filing of a 
petition for review is mandatory for a party to exhaust its 
administrative remedies before seeking judicial review.
    (2) A petition for review under this paragraph must be no longer 
than ten (10) pages, and must contain the following:
    (i) A concise summary of the decision or action of which review is 
sought;
    (ii) A statement (including record citation) where the matters of 
fact or law raised in the petition for review were previously raised 
before the presiding officer and, if they were not why they could not 
have been raised;
    (iii) A concise statement why in the petitioner's view the decision 
or action is erroneous; and
    (iv) A concise statement why Commission review should be exercised.
    (3) Any other party to the proceeding may, within ten (10) days 
after service of a petition for review, file an answer supporting or 
opposing Commission review. This answer must be no longer than ten (10) 
pages and should concisely address the matters in paragraph (b)(2) of 
this section to the extent appropriate. The petitioning party shall have 
no right to reply, except as permitted by the Commission.
    (4) The petition for review may be granted in the discretion of the 
Commission, giving due weight to the existence of a substantial question 
with respect to the following considerations:
    (i) A finding of material fact is clearly erroneous or in conflict 
with a finding as to the same fact in a different proceeding;
    (ii) A necessary legal conclusion is without governing precedent or 
is a departure from or contrary to established law;
    (iii) A substantial and important question of law, policy or 
discretion has been raised;
    (iv) The conduct of the proceeding involved a prejudicial procedural 
error; or
    (v) Any other consideration which the Commission may deem to be in 
the public interest.
    (5) A petition for review will not be granted to the extent that it 
relies on matters that could have been but were not raised before the 
presiding officer. A matter raised sua sponte by a presiding officer has 
been raised before the presiding officer for the purpose of this 
section.
    (6) A petition for review will not be granted as to issues raised 
before the presiding officer on a pending motion for reconsideration.
    (c) If within thirty (30) days after the filing of a petition for 
review the Commission does not grant the petition, in whole or in part, 
the petition shall be deemed denied, unless the Commission in its 
discretion extends the time for its consideration of the petition and 
any answers thereto.
    (d) If a petition for review is granted, the Commission will issue 
an order specifying the issues to be reviewed and designating the 
parties to the review proceeding and direct that appropriate briefs be 
filed, oral argument be held, or both.
    (e) Petitions for reconsideration of Commission decisions granting 
or denying review in whole or in part will not be entertained. A 
petition for reconsideration of a Commission decision after review may 
be filed within ten (10) days, but is not necessary for exhaustion of 
administrative remedies. However, if a petition for reconsideration is 
filed, the Commission decision is not final until the petition is 
decided.

[[Page 83]]

    (f) Neither the filing nor the granting of a petition for review 
will stay the effect of the decision or action of the presiding officer, 
unless otherwise ordered by the Commission.
    (g) Certified questions and referred rulings. A question certified 
to the Commission under Sec. 2.718(i) or a ruling referred under 
Sec. 2.730(f) must meet one of the alternative standards in this 
subsection to merit Commission review. A certified question or referred 
ruling will be reviewed if it either--
    (1) Threatens the party adversely affected by it with immediate and 
serious irreparable impact which, as a practical matter, could not be 
alleviated through a petition for review of the presiding officer's 
final decision; or
    (2) Affects the basic structure of the proceeding in a pervasive or 
unusual manner.

[56 FR 29409, June 27, 1991]



Sec. 2.788  Stays of decisions of presiding officers pending review.

    (a) Within ten (10) days after service of a decision or action of a 
presiding officer any party to the proceeding may file an application 
for a stay of the effectiveness of the decision or action pending filing 
of and a decision on a petition for review. This application may be 
filed with the Commission or the presiding officer, but not both at the 
same time.
    (b) An application for a stay must be no longer than ten (10) pages, 
exclusive of affidavits, and must contain the following:
    (1) A concise summary of the decision or action which is requested 
to be stayed;
    (2) A concise statement of the grounds for stay, with reference to 
the factors specified in paragraph (e) of this section; and
    (3) To the extent that an application for a stay relies on facts 
subject to dispute, appropriate references to the record or affidavits 
by knowledgeable persons.
    (c) Service of an application for a stay on the other parties shall 
be by the same method, e.g., telecopier message, mail, as the method for 
filing the application with the Commission or the presiding officer.
    (d) Within ten (10) days after service of an application for a stay 
under this section, any party may file an answer supporting or opposing 
the granting of a stay. This answer must be no longer than ten (10) 
pages, exclusive of affidavits, and should concisely address the matters 
in paragraph (b) of this section to the extent appropriate. No further 
replies to answers will be entertained. Filing of and service of an 
answer on the other parties must be by the same method, e.g., telecopier 
message, mail, as the method for filing the application for the stay.
    (e) In determining whether to grant or deny an application for a 
stay, the Commission or presiding officer will consider:
    (1) Whether the moving party has made a strong showing that it is 
likely to prevail on the merits;
    (2) Whether the party will be irreparably injured unless a stay is 
granted;
    (3) Whether the granting of a stay would harm other parties; and
    (4) Where the public interest lies.
    (f) In extraordinary cases, where prompt application is made under 
this section, the Commission or presiding officer may grant a temporary 
stay to preserve the status quo without waiting for filing of any 
answer. The application may be made orally provided the application is 
promptly confirmed by telecopier message. Any party applying under this 
paragraph shall make all reasonable efforts to inform the other parties 
of the application, orally if made orally.

[56 FR 29410, June 27, 1991]

                    Availability of Official Records



Sec. 2.790   Public inspections, exemptions, requests for withholding.

    (a) Subject to the provisions of paragraphs (b), (d), and (e) of 
this section, final NRC records and documents,8 including but not 
limited to correspondence to and from the NRC regarding the issuance, 
denial, amendment, transfer, renewal, modification, suspension, 
revocation, or violation of a license, permit, or order, or regarding a 
rule making proceeding subject to this

[[Page 84]]

part shall not, in the absence of a compelling reason for nondisclosure 
after a balancing of the interests of the person or agency urging 
nondisclosure and the public interest in disclosure, be exempt from 
disclosure and will be made available for inspection and copying in the 
NRC Public Document Room, except for matters that are:
---------------------------------------------------------------------------

    8 Such records and documents do not include handwritten notes 
and drafts.
---------------------------------------------------------------------------

    (1)(i) Specifically authorized under criteria established by an 
Executive order to be kept secret in the interest of national defense or 
foreign policy and (ii) are in fact properly classified pursuant to such 
Executive order;
    (2) Related solely to the internal personnel rules and practices of 
the Commission;
    (3) Specifically exempted from disclosure by statute (other than 5 
U.S.C.) 552(b), provided that such statute (i) requires that the matters 
be withheld from the public in such a manner as to leave no discretion 
on the issue, or (ii) establishes particular criteria for withholding or 
refers to particular types or matters to be withheld.
    (4) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (5) Interagency or intraagency memorandums or letters which would 
not be available by law to a party other than an agency in litigation 
with the Commission;
    (6) Personnel and medical files and similar files, the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information.
    (i) Could reasonably be expected to interfere with enforcement 
proceedings;
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local, or foreign agency or 
authority, or any private institution which furnished information on a 
confidential basis, and, in the case of a record or information compiled 
by a criminal law enforcement authority in the course of a criminal 
investigation, or by an agency conducting a lawful national security 
intelligence investigation, information furnished by a confidential 
source;
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual;
    (8) Contained in or related to examination, operating, or condition 
reports prepared by, on behalf of, or for the use of an agency 
responsible for the regulation or supervision of financial institutions; 
or
    (9) Geological and geophysical information and data, including maps, 
concerning wells.
    (b)(1) A person who proposes that a document or a part be withheld 
in whole or part from public disclosure on the ground that it contains 
trade secrets or privileged or confidential commercial or financial 
information shall submit an application for withholding accompanied by 
an affidavit which:
    (i) Identifies the document or part sought to be withheld and the 
position of the person making the affidavit, and
    (ii) Contains a full statement of the reasons on the basis of which 
it is claimed that the information should be withheld from public 
disclosure. Such statement shall address with specificity the 
considerations listed in paragraph (b)(4) of this section. In the case 
of an affidavit submitted by a company, the affidavit shall be executed 
by an officer or upper-level management official who has been 
specifically delegated the function of reviewing the information sought 
to be withheld and authorized to apply for its withholding on behalf of 
the company. The affidavit shall be executed by the owner of the 
information, even though the information sought to be withheld is 
submitted to the Commission by another person. The application and 
affidavit shall be

[[Page 85]]

submitted at the time of filing the information sought to be withheld. 
The information sought to be withheld shall be incorporated, as far as 
possible, into a separate paper. The affiant may designate with 
appropriate markings information submitted in the affidavit as a trade 
secret or confidential or privileged commercial or financial information 
within the meaning of Sec. 9.17(a)(4) of this chapter and such 
information shall be subject to disclosure only in accordance with the 
provisions of Sec. 9.19 of this chapter.
    (2) A person who submits commercial or financial information 
believed to be privileged or confidential or a trade secret shall be on 
notice that it is the policy of the Commission to achieve an effective 
balance between legitimate concerns for protection of competitive 
positions and the right of the public to be fully apprised as to the 
basis for and effects of licensing or rule making actions, and that it 
is within the discretion of the Commission to withhold such information 
from public disclosure.
    (3) The Commission shall determine whether information sought to be 
withheld from public disclosure pursuant to this paragraph: (i) is a 
trade secret or confidential or privileged commercial or financial 
information; and (ii) if so, should be withheld from public disclosure.
    (4) In making the determination required by paragraph (b)(3)(i) of 
this section, the Commission will consider:
    (i) Whether the information has been held in confidence by its 
owner;
    (ii) Whether the information is of a type customarily held in 
confidence by its owner and whether there is a rational basis therefor;
    (iii) Whether the information was transmitted to and received by the 
Commission in confidence;
    (iv) Whether the information is available in public sources;
    (v) Whether public disclosure of the information sought to be 
withheld is likely to cause substantial harm to the competitive position 
of the owner of the information, taking into account the value of the 
information to the owner; the amount of effort or money, if any, 
expended by the owner in developing the information; and the ease or 
difficulty with which the information could be properly acquired or 
duplicated by others.
    (5) If the Commission determines, pursuant to paragraph (b)(4) of 
this section, that the record or document contains trade secrets or 
privileged or confidential commercial or financial information, the 
Commission will then determine (i) whether the right of the public to be 
fully apprised as to the bases for and effects of the proposed action 
outweighs the demonstrated concern for protection of a competitive 
position and (ii) whether the information should be withheld from public 
disclosure pursuant to this paragraph. If the record or document for 
which withholding is sought is deemed by the Commission to be irrelevant 
or unnecessary to the performance of its functions, it shall be returned 
to the applicant.
    (6) Withholding from public inspection shall not affect the right, 
if any, of persons properly and directly concerned to inspect the 
document. The Commission may require information claimed to be a trade 
secret or privileged or confidential commercial or financial information 
to be subject to inspection: (i) Under a protective agreement, by 
contractor personnel or government officials other than NRC officials; 
(ii) by the presiding officer in a proceeding; and (iii) under 
protective order, by parties to a proceeding, pending a decision of the 
Commission on the matter of whether the information should be made 
publicly available or when a decision has been made that the information 
should be withheld from public disclosure. In camera sessions of 
hearings may be held when the information sought to be withheld is 
produced or offered in evidence. If the Commission subsequently 
determines that the information should be disclosed, the information and 
the transcript of such in camera session will be made publicly 
available.
    (c) If a request for withholding pursuant to paragraph (b) of this 
section is denied, the Commission will notify an applicant for 
withholding of the denial with a statement of reasons. The notice of 
denial will specify a time, not less than thirty (30) days after the 
date of the notice, when the document will

[[Page 86]]

be placed in the Public Document Room. If, within the time specified in 
the notice, the applicant requests withdrawal of the document, the 
document will not be placed in the Public Document Room and will be 
returned to the applicant: Provided, That information submitted in a 
rule making proceeding which subsequently forms the basis for the final 
rule will not be withheld from public disclosure by the Commission and 
will not be returned to the applicant after denial of any application 
for withholding submitted in connection with that information. If a 
request for withholding pursuant to paragraph (b) of this section is 
granted, the Commission will notify the applicant of its determination 
to withhold the information from public disclosure.
    (d) The following information shall be deemed to be commercial or 
financial information within the meaning of Sec. 9.17(a)(4) of this 
chapter and shall be subject to disclosure only in accordance with the 
provisions of Sec. 9.19 of this chapter.
    (1) Correspondence and reports to or from the NRC which contain 
information or records concerning a licensee's or applicant's physical 
protection or material control and accounting program for special 
nuclear material not otherwise designated as Safeguards Information or 
classified as National Security Information or Restricted Data.
    (2) Information submitted in confidence to the Commission by a 
foreign source.
    (e) The presiding officer, if any, or the Commission may, with 
reference to the NRC records and documents made available pursuant to 
this section, issue orders consistent with the provisions of this 
section and Sec. 2.740(c).

[41 FR 11810, Mar. 22, 1976, as amended at 42 FR 12877, Mar. 7, 1977; 52 
FR 49355, Dec. 31, 1987; 53 FR 17688, May 18, 1988]



                          Subpart H--Rulemaking



Sec. 2.800   Scope of rulemaking.

    This subpart governs the issuance, amendment and repeal of 
regulations in which participation by interested persons is prescribed 
under section 553 of title 5 of the U.S. Code.

[35 FR 11459, July 17, 1970]



Sec. 2.801   Initiation of rulemaking.

    Rulemaking may be initiated by the Commission at its own instance, 
on the recommendation of another agency of the United States, or on the 
petition of any other interested person.



Sec. 2.802  Petition for rulemaking.

    (a) Any interested person may petition the Commission to issue, 
amend or rescind any regulation. The petition should be addressed to the 
Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Attention: Chief, Docketing and Service Branch.
    (b) A prospective petitioner may consult with the NRC before filing 
a petition for rulemaking by writing the Director, Freedom of 
Information and Publications Services, Office of Administration, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555, Attention: Chief, 
Rules Review and Directives Branch. A prospective petitioner may also 
telephone the Rules Review and Directives Branch on (301) 415-7158 or 
toll free on (800) 368-5642.
    (1) In any consultation prior to the filing of a petition for 
rulemaking, the assistance that may be provided by the NRC staff is 
limited to--
    (i) Describing the procedure and process for filing and responding 
to a petition for rulemaking;
    (ii) Clarifying an existing NRC regulation and the basis for the 
regulation; and
    (iii) Assisting the prospective petitioner to clarify a potential 
petition so that the Commission is able to understand the nature of the 
issues of concern to the petitioner.
    (2) In any consultation prior to the filing of a petition for 
rulemaking, in providing the assistance permitted in paragraph (b)(1) of 
this section, the NRC staff will not draft or develop text or 
alternative approaches to address matters in the prospective petition 
for rulemaking.
    (c) Each petition filed under this section shall:
    (1) Set forth a general solution to the problem or the substance or 
text of any proposed regulation or amendment, or specify the regulation 
which is to be revoked or amended;

[[Page 87]]

    (2) State clearly and concisely the petitioner's grounds for and 
interest in the action requested;
    (3) Include a statement in support of the petition which shall set 
forth the specific issues involved, the petitioner's views or arguments 
with respect to those issues, relevant technical, scientific or other 
data involved which is reasonably available to the petitioner, and such 
other pertinent information as the petitioner deems necessary to support 
the action sought. In support of its petition, petitioner should note 
any specific cases of which petitioner is aware where the current rule 
is unduly burdensome, deficient, or needs to be strengthened.
    (d) The petitioner may request the Commission to suspend all or any 
part of any licensing proceeding to which the petitioner is a party 
pending disposition of the petition for rulemaking.
    (e) If it is determined that the petition includes the information 
required by paragraph (c) of this section and is complete, the Director, 
Division of Freedom of Information and Publications Services, or 
designee, will assign a docket number to the petition, will cause the 
petition to be formally docketed, and will deposit a copy of the 
docketed petition in the Commission's Public Document Room. Public 
comment may be requested by publication of a notice of the docketing of 
the petition in the Federal Register, or, in appropriate cases, may be 
invited for the first time upon publication in the Federal Register of a 
proposed rule developed in response to the petition. Publication will be 
limited by the requirements of section 181 of the Atomic Energy Act of 
1954, as amended, and may be limited by order of the Commission.
    (f) If it is determined by the Executive Director for Operations 
that the petition does not include the information required by paragraph 
(c) of this section and is incomplete, the petitioner will be notified 
of that determination and the respects in which the petition is 
deficient and will be accorded an opportunity to submit additional data. 
Ordinarily this determination will be made within 30 days from the date 
of receipt of the petition by the Office of the Secretary of the 
Commission. If the petitioner does not submit additional data to correct 
the deficiency within 90 days from the date of notification to the 
petitioner that the petition is incomplete, the petition may be returned 
to the petitioner without prejudice to the right of the petitioner to 
file a new petition.
    (g) The Director, Division of Freedom of Information and 
Publications Services, Office of Administration, will prepare on a 
semiannual basis a summary of petitions for rulemaking before the 
Commission, including the status of each petition. A copy of the report 
will be available for public inspection and copying for a fee in the 
Commission's Public Document Room, 2120 L Street, NW., Washington, DC.

[44 FR 61322, Oct. 25, 1979, as amended at 46 FR 35487, July 9, 1981; 52 
FR 31609, Aug. 21, 1987; 53 FR 52993, Dec. 30, 1988; 54 FR 53315, Dec. 
28, 1989; 56 FR 10360, Mar. 12, 1991; 59 FR 44895, Aug. 31, 1994; 59 FR 
60552, Nov. 25, 1994]



Sec. 2.803   Determination of petition.

    No hearing will be held on the petition unless the Commission deems 
it advisable. If the Commission determines that sufficient reason 
exists, it will publish a notice of proposed rulemaking. In any other 
case, it will deny the petition and will notify the petitioner with a 
simple statement of the grounds of denial.



Sec. 2.804   Notice of proposed rulemaking.

    (a) Except as provided by paragraph (d) of this section, when the 
Commission proposes to adopt, amend, or repeal a regulation, it will 
cause to be published in the Federal Register a notice of proposed 
rulemaking, unless all persons subject to the notice are named and 
either are personally served or otherwise have actual notice in 
accordance with law.
    (b) The notice will include:
    (1) Either the terms or substance of the proposed rule, or a 
specification of the subjects and issues involved;
    (2) The manner and time within which interested members of the 
public may comment, and a statement that copies of comments may be 
examined in the Public Document Room;
    (3) The authority under which the regulation is proposed;

[[Page 88]]

    (4) The time, place, and nature of the public hearing, if any;
    (5) If a hearing is to be held, designation of the presiding officer 
and any special directions for the conduct of the hearing; and
    (6) Such explanatory statement as the Commission may consider 
appropriate.
    (c) The publication or service of notice will be made not less than 
fifteen (15) days prior to the time fixed for hearing, if any, unless 
the Commission for good cause stated in the notice provides otherwise.
    (d) The notice and comment provisions contained in paragraphs (a), 
(b), and (c) of this section will not be required to be applied--
    (1) To interpretative rules, general statements of policy, or rules 
of agency organization, procedure, or practice; or
    (2) When the Commission for good cause finds that notice and public 
comment are impracticable, unnecessary, or contrary to the public 
interest, and are not required by statute. This finding, and the reasons 
therefor, will be incorporated into any rule issued without notice and 
comment for good cause.
    (e) The Commission shall provide for a 30-day post-promulgation 
comment period for--
    (1) Any rule adopted without notice and comment under the good cause 
exception on paragraph (d)(2) of this section where the basis is that 
notice and comment is ``impracticable'' or ``contrary to the public 
interest.''
    (2) Any interpretative rule, or general statement of policy adopted 
without notice and comment under paragraph (d)(1) of this section, 
except for those cases for which the Commission finds that such 
procedures would serve no public interest, or would be so burdensome as 
to outweigh any foreseeable gain.
    (f) For any post-promulgation comments received under paragraph (e) 
of this section, the Commission shall publish a statement in the Federal 
Register containing an evaluation of the significant comments and any 
revisions of the rule or policy statement made as a result of the 
comments and their evaluation.

[27 FR 377, Jan. 13, 1962, as amended at 50 FR 13010, Apr. 2, 1985]



Sec. 2.805   Participation by interested persons.

    (a) In all rulemaking proceedings conducted under the provisions of 
Sec. 2.804(a), the Commission will afford interested persons an 
opportunity to participate through the submission of statements, 
information, opinions, and arguments in the manner stated in the notice. 
The Commission may grant additional reasonable opportunity for the 
submission of comments.
    (b) The Commission may hold informal hearings at which interested 
persons may be heard, adopting procedures which in its judgment will 
best serve the purpose of the hearing.

[27 FR 377, Jan. 13, 1962, as amended at 50 FR 13010, Apr. 2, 1985; 50 
FR 15865, Apr. 22, 1985]



Sec. 2.806   Commission action.

    The Commission will incorporate in the notice of adoption of a 
regulation a concise general statement of its basis and purpose, and 
will cause the notice and regulation to be published in the Federal 
Register or served upon affected persons.



Sec. 2.807   Effective date.

    The notice of adoption of a regulation will specify the effective 
date. Publication or service of the notice and regulation, other than 
one granting or recognizing exemptions or relieving from restrictions, 
will be made not less than thirty (30) days prior to the effective date 
unless the Commission directs otherwise on good cause found and 
published in the notice of rule making.



Sec. 2.808   Authority of the Secretary to rule on procedural matters.

    When briefs, motions or other papers listed herein are submitted to 
the Commission itself, as opposed to officers who have been delegated 
authority to act for the Commission, the Secretary or the Assistant 
Secretary are authorized to:

[[Page 89]]

    (a) Prescribe schedules for the filing of statements, information, 
briefs, motions, responses or other pleadings, where such schedules may 
differ from those elsewhere prescribed in these rules or where these 
rules do not prescribe a schedule;
    (b) Rule on motions for extensions of time;
    (c) Reject motions, briefs, pleadings, and other documents filed 
with the Commission later than the time prescribed by the Secretary or 
the Assistant Secretary or established by an order, rule, or regulation 
of the Commission unless good cause is shown for the late filing; and
    (d) Prescribe all procedural arrangements relating to any oral 
argument to be held before the Commission.

[39 FR 24219, July 1, 1974]



Sec. 2.809  Participation by the Advisory Committee on Reactor Safeguards.

    (a) In its advisory capacity to the Commission, the ACRS may 
recommend that the Commission initiate rulemaking in a particular area. 
The Commission will respond to such rulemaking recommendation in writing 
within 90 days, noting its intent to implement, study, or defer action 
on the recommendation. In the event the Commission decides not to accept 
or decides to defer action on the recommendation, it will give its 
reasons for doing so. Both the ACRS recommendation and the Commission's 
response will be placed in the NRC Public Document Room following 
transmittal of the Commission's response to the ACRS.
    (b) When a rule involving nuclear safety matters within the purview 
of the ACRS is under development by the NRC Staff, the Staff will ensure 
that the ACRS is given an opportunity to provide advice at appropriate 
stages and to identify issues to be considered during rulemaking 
hearings.

[46 FR 22358, Apr. 17, 1981]



Sec. 2.810  NRC size standards.

    The NRC shall use the size standards contained in this section to 
determine whether a licensee qualifies as a small entity in its 
regulatory programs.
    (a) A small business is a for-profit concern and is a--
    (1) Concern that provides a service or a concern not engaged in 
manufacturing with average gross receipts of $5 million or less over its 
last 3 completed fiscal years; or
    (2) Manufacturing concern with an average number of 500 or fewer 
employees based upon employment during each pay period for the preceding 
12 calendar months.
    (b) A small organization is a not-for-profit organization which is 
independently owned and operated and has annual gross receipts of $5 
million or less.
    (c) A small governmental jurisdiction is a government of a city, 
county, town, township, village, school district, or special district 
with a population of less than 50,000.
    (d) A small educational institution is one that is--
    (1) Supported by a qualifying small governmental jurisdiction; or
    (2) Not state or publicly supported and has 500 or fewer employees.
    (e) For the purposes of this section, the NRC shall use the Small 
Business Administration definition of receipts (13 CFR 121.402(b)(2)). A 
licensee who is a subsidiary of a large entity does not qualify as a 
small entity for purposes of this section.

[60 FR 18346, Apr. 11, 1995]



  Subpart I--Special Procedures Applicable to Adjudicatory Proceedings 
     Involving Restricted Data and/or National Security Information

    Source: 41 FR 53329, Dec. 6, 1976, unless otherwise noted.



Sec. 2.900   Purpose.

    This subpart is issued pursuant to section 181 of the Atomic Energy 
Act of 1954, as amended, and section 201 of the Energy Reorganization 
Act of 1974, as amended, to provide such procedures in proceedings 
subject to this part as will effectively safeguard and prevent 
disclosure of Restricted Data and National Security Information to 
unauthorized persons, with minimum impairment of procedural rights.

[[Page 90]]



Sec. 2.901   Scope.

    This subpart applies to all proceedings subject to subpart G.



Sec. 2.902   Definitions.

    As used in this subpart:
    (a) Government agency means any executive department, commission, 
independent establishment, corporation, wholly or partly owned by the 
United States of America, which is an instrumentality of the United 
States, or any board, bureau, division, service, office, officer, 
authority, administration, or other establishment in the executive 
branch of the Government.
    (b) Interested party means a party having an interest in the issue 
or issues to which particular Restricted Data or National Security 
Information is relevant. Normally the interest of a party in an issue 
may be determined by examination of the notice of hearing, the answers 
and replies.
    (c) The phrase introduced into a proceeding refers to the 
introduction or incorporation of testimony or documentary matter into 
any part of the official record of a proceeding subject to this part.
    (d) National Security Information means information that has been 
classified pursuant to Executive Order 12356.
    (e) Party, in the case of proceedings subject to this subpart 
includes a person admitted as a party pursuant to Sec. 2.714 or an 
interested State admitted pursuant to Sec. 2.715(c).

[41 FR 53329, Dec. 6, 1976, as amended at 47 FR 56314, Dec. 16, 1982]



Sec. 2.903   Protection of restricted data and national security information.

    Nothing in this subpart shall relieve any person from safeguarding 
Restricted Data or National Security Information in accordance with the 
applicable provisions of laws of the United States and rules, 
regulations or orders of any Government Agency.



Sec. 2.904   Classification assistance.

    On request of any party to a proceeding or of the presiding officer, 
the Commission will designate a representative to advise and assist the 
presiding officer and the parties with respect to security 
classification of information and the safeguards to be observed.



Sec. 2.905   Access to restricted data and national security information for parties; security clearances.

    (a) Access to restricted data and national security information 
introduced into proceedings. Except as provided in paragraph (h) of this 
section, restricted data or national security information introduced 
into a proceeding subject to this part will be made available to any 
interested party having the required security clearance; to counsel for 
an interested party provided the counsel has the required security 
clearance; and to such additional persons having the required security 
clearance as the Commission or the presiding officer determined are 
needed by such party for adequate preparation or presentation of his 
case. Where the interest of such party will not be prejudiced, the 
Commission or presiding officer may postpone action upon an application 
for access under this paragraph until after a notice of hearing, 
answers, and replies have been filed.
    (b) Access to Restricted Data or National Security Information not 
introduced into proceedings.
    (1) On application showing that access to Restricted Data or 
National Security Information may be required for the preparation of a 
party's case, and except as provided in paragraph (h) of this section, 
the Commission or the presiding officer will issue an order granting 
access to such Restricted Data or National Security Information to the 
party upon his obtaining the required security clearance, to counsel for 
the party upon their obtaining the required security clearance, and to 
such other individuals as may be needed by the party for the preparation 
and presentation of his case upon their obtaining the required 
clearance.
    (2) Where the interest of the party applying for access will not be 
prejudiced, the Commission or the presiding officer may postpone action 
on an application pursuant to this paragraph until after a notice of 
hearing, answers and replies have been filed.
    (c) The Commission will consider requests for appropriate security 
clearances in reasonable numbers pursuant

[[Page 91]]

to this section. A reasonable charge will be made by the Commission for 
costs of security clearance pursuant to this section.
    (d) The presiding officer may certify to the Commission for its 
consideration and determination any questions relating to access to 
Restricted Data or National Security Information arising under this 
section. Any party affected by a determination or order of the presiding 
officer under this section may appeal forthwith to the Commission from 
the determination or order. The filing by the staff of an appeal from an 
order of a presiding officer granting access to Restricted Data or 
National Security Information shall stay the order pending determination 
of the appeal by the Commission.
    (e) Application granting access to restricted data or national 
security information.
    (1) An application under this section for orders granting access to 
restricted data or national security information not received from 
another Government agency will normally be acted upon by the presiding 
officer, or if a proceeding is not before a presiding officer, by the 
Commission.
    (2) An application under this section for orders granting access to 
restricted data or national security information where the information 
has been received by the Commission from another Government agency will 
be acted upon by the Commission.
    (f) To the extent practicable, an application for an order granting 
access under this section shall describe the subjects of Restricted Data 
or National Security Information to which access is desired and the 
level of classification (confidential, secret or other) of the 
information; the reasons why access to the information is requested; the 
names of individuals for whom clearances are requested; and the reasons 
why security clearances are being requested for those individuals.
    (g) On the conclusion of a proceeding, the Commission will terminate 
all orders issued in the proceeding for access to Restricted Data or 
National Security Information and all security clearances granted 
pursuant to them; and may issue such orders requiring the disposal of 
classified matter received pursuant to them or requiring the observance 
of other procedures to safeguard such classified matter as it deems 
necessary to protect Restricted Data or National Security Information.
    (h) Refusal to grant access to restricted data or national security 
information.
    (1) The Commission will not grant access to restricted data or 
national security information unless it determines that the granting of 
access will not be inimical to the common defense and security.
    (2) Access to Restricted Data or National Security Information which 
has been received by the Commission from another Government agency will 
not be granted by the Commission if the originating agency determines in 
writing that access should not be granted. The Commission will consult 
the originating agency prior to granting access to such data or 
information received from another Government agency.



Sec. 2.906   Obligation of parties to avoid introduction of restricted data or national security information.

    It is the obligation of all parties in a proceeding subject to this 
part to avoid, where practicable, the introduction of Restricted Data or 
National Security Information into the proceeding. This obligation rests 
on each party whether or not all other parties have the required 
security clearance.



Sec. 2.907   Notice of intent to introduce restricted data or national security information.

    (a) If, at the time of publication of a notice of hearing, it 
appears to the staff that it will be impracticable for it to avoid the 
introduction of Restricted Data or National Security Information into 
the proceeding, it will file a notice of intent to introduce Restricted 
Data or National Security Information.
    (b) If, at the time of filing of an answer to the notice of hearing 
it appears to the party filing that it will be impracticable for the 
party to avoid the introduction of Restricted Data or National Security 
Information into the proceeding, the party shall state in the answer a 
notice of intent to introduce Restricted Data or National Security 
Information into the proceeding.

[[Page 92]]

    (c) If, at any later stage of a proceeding, it appears to any party 
that it will be impracticable to avoid the introduction of Restricted 
Data or National Security Information into the proceeding, the party 
shall give to the other parties prompt written notice of intent to 
introduce Restricted Data or National Security Information into the 
proceeding.
    (d) Restricted Data or National Security Information shall not be 
introduced into a proceeding after publication of a notice of hearing 
unless a notice of intent has been filed in accordance with Sec. 2.908, 
except as permitted in the discretion of the presiding officer when it 
is clear that no party or the public interest will be prejudiced.



Sec. 2.908   Contents of notice of intent to introduce restricted data or other national security information.

    (a) A party who intends to introduce Restricted Data or other 
National Security Information shall file a notice of intent with the 
Secretary. The notice shall be unclassified and, to the extent 
consistent with classification requirements, shall include the 
following:
    (1) The subject matter of the Restricted Data or other National 
Security Information which it is anticipated will be involved;
    (2) The highest level of classification of the information 
(confidential, secret, or other);
    (3) The stage of the proceeding at which he anticipates a need to 
introduce the information; and
    (4) The relevance and materiality of the information to the issues 
on the proceeding.
    (b) In the discretion of the presiding officer, such notice, when 
required by Sec. 2.907(c), may be given orally on the record.



Sec. 2.909   Rearrangement or suspension of proceedings.

    In any proceeding subject to this part where a party gives a notice 
of intent to introduce Restricted Data or other National Security 
Information, and the presiding officer determines that any other 
interested party does not have required security clearances, the 
presiding officer may in his discretion:
    (a) Rearrange the normal order of the proceeding in a manner which 
gives such interested parties an opportunity to obtain required security 
clearances with minimum delay in the conduct of the proceeding.
    (b) Suspend the proceeding or any portion of it until all interested 
parties have had opportunity to obtain required security clearances. No 
proceeding shall be suspended for such reasons for more than 100 days 
except with the consent of all parties or on a determination by the 
presiding officer that further suspension of the proceeding would not be 
contrary to the public interest.
    (c) Take such other action as he determines to be in the best 
interest of all parties and the public.



Sec. 2.910   Unclassified statements required.

    (a) Whenever Restricted Data or other National Security Information 
is introduced into a proceeding, the party offering it shall submit to 
the presiding officer and to all parties to the proceeding an 
unclassified statement setting forth the information in the classified 
matter as accurately and completely as possible.
    (b) In accordance with such procedures as may be agreed upon by the 
parties or prescribed by the presiding officer, and after notice to all 
parties and opportunity to be heard thereon, the presiding officer shall 
determine whether the unclassified statement or any portion of it, 
together with any appropriate modifications suggested by any party, may 
be substituted for the classified matter or any portion of it without 
prejudice to the interest of any party or to the public interest.
    (c) If the presiding officer determines that the unclassified 
statement, together with such unclassified modifications as he finds are 
necessary or appropriate to protect the interest of other parties and 
the public interest, adequately sets forth information in the classified 
matter which is relevant and material to the issues in the proceeding, 
he shall direct that the classified matter be excluded from the record 
of the proceeding. His determination will be considered by the

[[Page 93]]

Commission as a part of the decision in the event of review.
    (d) If the presiding officer determines that an unclassified 
statement does not adequately present the information contained in the 
classified matter which is relevant and material to the issues in the 
proceeding, he shall include his reasons in his determination. This 
determination shall be included as part of the record and will be 
considered by the Commission in the event of review of the 
determination.
    (e) The presiding officer may postpone all or part of the procedures 
established in this section until the reception of all other evidence 
has been completed. Service of the unclassified statement required in 
paragraph (a) of this section shall not be postponed if any party does 
not have access to Restricted Data or other National Security 
Information.



Sec. 2.911   Admissibility of restricted data or other national security information.

    A presiding officer shall not receive any Restricted Data or other 
National Security Information in evidence unless:
    (a) The relevance and materiality of the Restricted Data or other 
National Security Information to the issues in the preceeding, and its 
competence, are clearly established; and
    (b) The exclusion of the Restricted Data or other National Security 
Information would prejudice the interests of a party or the public 
interest.



Sec. 2.912   Weight to be attached to classified evidence.

    In considering the weight and effect of any Restricted Data or other 
National Security Information received in evidence to which an 
interested party has not had opportunity to receive access, the 
presiding officer and the Commission shall give to such evidence such 
weight as is appropriate under the circumstances, taking into 
consideration any lack of opportunity to rebut or impeach the evidence.



Sec. 2.913   Review of Restricted Data or other National Security Information received in evidence.

    At the close of the reception of evidence, the presiding officer 
shall review the record and shall direct that any Restricted Data or 
other National Security Information be expunged from the record where 
such expunction would not prejudice the interests of a party or the 
public interest. Such directions by the presiding officer will be 
considered by the Commission in the event of review of the 
determinations of the presiding officer.



  Subpart J--Procedures Applicable to Proceedings for the Issuance of 
 Licenses for the Receipt of High-Level Radioactive Waste at a Geologic 
                               Repository

    Source: 54 FR 14944, Apr. 14, 1989, unless otherwise noted.



Sec. 2.1000  Scope of subpart.

    The rules in this subpart govern the procedure for applications for 
a license to receive and possess high-level radioactive waste at a 
geologic repository operations area noticed pursuant to Sec. 2.101(f)(8) 
or Sec. 2.105(a)(5) of this part. The procedures in this subpart take 
precedence over the 10 CFR part 2, subpart G, rules of general 
applicability, except for the following provisions: Secs. 2.702, 2.703, 
2.704, 2.707, 2.709, 2.711, 2.713, 2.715, 2.715a, 2.717, 2.718, 2.720, 
2.721, 2.722, 2.732, 2.733, 2.734, 2.742, 2.743, 2.750, 2.751, 2.753, 
2.754, 2.755, 2.756, 2.757, 2.758, 2.759, 2.760, 2.761, 2.763, 2.770, 
2.771, 2.772, 2.780, 2.781, 2.786, 2.788, and 2.790.

[56 FR 29410, June 27, 1991]



Sec. 2.1001  Definitions.

    ASCII File means a computerized text file conforming to the American 
Standard Code for Information Interchange which represent characters and 
symbols.
    Bibliographic header means the minimum series of descriptive fields 
that a

[[Page 94]]

potential party, interested governmental participant, or party must 
submit with a document or other material. The bibliographic header 
fields are a subset of the fields in the full header.
    Circulated draft means a nonfinal document circulated for 
supervisory concurrence or signature in which the original author or 
others in the concurrence process have non-concurred. A ``circulated 
draft'' meeting the above criterion includes a draft of a document that 
eventually becomes a final document, and a draft of a document that does 
not become a final document due to either a decision not to finalize the 
document or the passage of a substantial period of time in which no 
action has been taken on the document.
    Document means any written, printed, recorded, magnetic, graphic 
matter, or other documentary material, regardless of form or 
characteristic.
    Documentary material means any material or other information that is 
relevant to, or likely to lead to the discovery of information that is 
relevant to, the licensing of the likely candidate site for a geologic 
repository. The scope of documentary material shall be guided by the 
topical guidelines in the applicable NRC Regulatory Guide.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Full header means the series of descriptive fields and subject terms 
given to a document or other material.
    Image means a visual likeness of a document, presented on a paper 
copy, microform, or a bit-map on optical or magnetic media.
    Interested governmental participant means any person admitted under 
Sec. 2.715(c) of this part to the proceeding on an application for a 
license to receive and possess high-level radioactive waste at a 
geologic repository operations area pursuant to part 60 of this chapter.
    LSS Administrator means the person within the U.S. Nuclear 
Regulatory Commission responsible for administration, management, and 
operation of the Licensing Support System. The LSS Administrator shall 
not be in any organizational unit that either represents the U.S. 
Nuclear Regulatory Commission staff as a party to the high-level waste 
licensing proceeding or is a part of the management chain reporting to 
the Director of the Office of Nuclear Material Safety and Safeguards. 
For purposes of this subpart the organizational unit within the NRC 
selected to be the LSS Administrator shall not be considered to be a 
party to the proceeding.
    Marginalia means handwritten, printed, or other types of notations 
added to a document excluding underlining and highlighting.
    NRC means the U.S. Nuclear Regulatory Commission or its duly 
authorized representatives.
    Party for the purpose of this subpart means the DOE, the NRC staff, 
the host State and any affected Indian Tribe in accordance with 
Sec. 60.63(a) of this chapter, and a person admitted under Sec. 2.1014 
of this subpart to the proceeding on an application for a license to 
receive and possess high-level radioactive waste at a geologic 
repository operations area pursuant to part 60 of this chapter; provided 
that a host State or affected Indian Tribe shall file a list of 
contentions in accordance with the provisions of Secs. 2.1014(a)(2) (ii) 
and (iii) of this subpart.
    Personal record means a document in the possession of an individual 
associated with a party, interested governmental participant, or 
potential party that was not required to be created or retained by the 
party, interested governmental participant, or potential party, and can 
be retained or discarded at the possessor's sole discretion, or 
documents of a personal nature that are not associated with any business 
of the party, interested governmental participant, or potential party.
    Potential party means any person who, during the period before the 
issuance of the first pre-hearing conference order under Sec. 2.1021(d) 
of this subpart, is granted access to the Licensing Support System and 
who consents to comply with the regulations set forth in subpart J of 
this part, including the authority of the Pre-License Application 
Presiding Officer designated pursuant to Sec. 2.1010 of this subpart.
    Pre-license application phase means the time period before the 
license application to receive and possess high-level radioactive waste 
at a geologic

[[Page 95]]

repository operations area is docketed under section 2.101(f)(3) of this 
part.
    Pre-License Application Presiding Officer means one or more members 
of the Commission, or an atomic safety and licensing board, or a named 
officer who has been delegated final authority in the pre-license 
application phase with jurisdiction specified at the time of 
designation.
    Preliminary draft means any nonfinal document that is not a 
circulated draft.
    Presiding Officer means one or more members of the Commission, or an 
atomic safety and licensing board, or a named officer who has been 
delegated final authority in the matter, designated in the notice of 
hearing to preside.
    Searchable full text means the electronic indexed entry of a 
document in ASCII into the Licensing Support System that allows the 
identification of specific words or groups of words within a text file.

[54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7795, Feb. 26, 1991]



Sec. 2.1002  High-level waste Licensing Support System.

    (a) The Licensing Support System is an electronic information 
management system containing the documentary material of the DOE and its 
contractors, and the documentary material of all other parties, 
interested governmental participants and potential parties and their 
contractors. Access to the Licensing Support System by the parties, 
interested governmental participants, and potential parties provides the 
document discovery in the proceeding. The Licensing Support System 
provides for the electronic transmission of filings by the parties 
during the high-level waste proceeding, and orders and decisions of the 
Commission and Commission adjudicatory boards related to the proceeding.
    (b) The Licensing Support System shall include documentary material 
not privileged under Sec. 2.1006 or excluded under Sec. 2.1005 of this 
subpart.
    (c) The participation of the host State in the Licensing Support 
System during the pre-license application phase shall not have any 
affect on the State's exercise of its disapproval rights under section 
116(b)(2) of the Nuclear Waste Policy Act, as amended, 42 U.S.C. 
10136(b)(2).
    (d) This subpart shall not affect any independent right of a 
potential party, interested governmental participant or party to receive 
information.



Sec. 2.1003  Submission of material to the LSS.

    (a) Subject to the exclusions in Sec. 2.1005 of this subpart and 
paragraphs (c) and (d) of this section, each potential party, interested 
governmental participant or party, with the exception of the DOE and the 
NRC, shall submit to the LSS Administrator--
    (1) Subject to paragraph (a)(3) of this section, an ASCII file, an 
image, and a bibliographic header, reasonably contemporaneous with its 
creation or acquisition, for all documentary material (including 
circulated drafts but excluding preliminary drafts) generated by, or at 
the direction of, or acquired by, a potential party, interested 
governmental participant, or party after the date on which such 
potential party, interested governmental participant or party is given 
access to the Licensing Support System.
    (2) An image, a bibliographic header, and, if available, an ASCII 
file, no later than six months before the license application is 
submitted under Sec. 60.22 of this chapter, for all documentary material 
(including circulated drafts but excluding preliminary drafts), 
generated by, or at the direction of, or acquired by, a potential party, 
interested governmental participant, or party, on or before the date on 
which such potential party, interested governmental participant, or 
party was given access to the Licensing Support System.
    (3) An image and bibliographic header for documentary material 
included under paragraphs (a)(1) of this section that were acquired from 
a person that is not a potential party, party, or interested 
governmental participant.
    (b) Subject to the exclusions in Sec. 2.1005 of this subpart, and 
subject to paragraphs (c) and (d) of this section, the DOE and the NRC 
shall submit to the LSS Administrator--

[[Page 96]]

    (1) An ASCII file, an image, and a bibliographic header, reasonably 
contemporaneous with its creation or acquisition, for all documentary 
material (including circulated drafts but excluding preliminary drafts) 
generated by, or at the direction of, or acquired by, the DOE or the NRC 
after the date on which the Licensing Support System is available for 
access.
    (2) An ASCII file, an image, and a bibliographic header no later 
than six months before the license application is submitted under 
Sec. 60.22 of this chapter for all documentary material (including 
circulated drafts but excluding preliminary drafts) generated by, or at 
the direction of, or acquired by, the DOE or the NRC on or before the 
date on which the Licensing Support System is available for access.
    (c)(1) Each potential party, interested governmental participant, or 
party shall submit, subject to the claims of privilege in Sec. 2.1006, 
an image and a bibliographic header, in a time frame to be established 
by the access protocols under Sec. 2.1011(d)(10) of this subpart, for 
all graphic oriented documentary material. Graphic-oriented documentary 
material includes, raw data, computer runs, computer programs and codes, 
field notes, laboratory notes, maps, diagrams and photographs which have 
been printed, scripted, hand written or otherwise displayed in any hard 
copy form and which, while capable of being captured in electronic image 
by a digital scanning device, may be captured and submitted to the LSS 
Administrator in any form of image. Text embedded within these documents 
need not be separately entered in searchable full text. Such graphic-
oriented documents may include: Calibration procedures, logs, 
guidelines, data and discrepancies; Gauge, meter and computer settings; 
Probe locations; Logging intervals and rates; Data logs in whatever form 
captured; Text data sheets; Equations and sampling rates; Sensor data 
and procedures; Data Descriptions; Field and laboratory notebooks; 
Analog computer, meter or other device print-outs; Digital computer 
print-outs; Photographs; Graphs, plots, strip charts, sketches; 
Descriptive material related to the information above.
    (2) Each potential party, interested governmental participant, or 
party, in a time frame to be established by the access protocols under 
Sec. 2.1011(d)(10) of this subpart, shall submit, subject to the claims 
of privilege in Sec. 2.1006, only a bibliographic header for each item 
of documentary material that is not suitable for entry into the 
Licensing Support System in image or searchable full text. The header 
shall include all required fields and shall sufficiently describe the 
information and references to related information and access protocols. 
Whenever any documentary material is transferred to some other media, a 
new header shall be supplied. Any documentary material for which a 
header only has been supplied to the system shall be made available to 
any other party, potential party or interested governmental participant 
through the access protocols determined by the LSS Administrator under 
Sec. 2.1011(d)(10) or through entry upon land for inspection and other 
purposes pursuant to Sec. 2.1020.
    (3) Whenever documentary material described in paragraphs (c)(1) or 
(c)(2) of this section has been collected or used in conjunction with 
other such information to analyze, critique, support or justify any 
particular technical or scientific conclusion, or relates to other 
documentary material as part of the same scope of technical work or 
investigation, then an appropriate bibliographic header shall be 
submitted for a table of contents describing that package of 
information, and documentary material contained within that package 
shall be named and identified.
    (d) Each potential party, interested governmental participant, or 
party shall submit a bibliographic header for each documentary 
material--
    (1) For which a claim of privilege is asserted; or
    (2) Which constitutes confidential financial or commercial 
information; or
    (3) Which constitutes safeguards information under Sec. 73.21 of 
this chapter.
    (e) In addition to the submission of documentary material under 
paragraphs (a) and (b) of this section, potential parties, interested 
governmental participants, or parties may request that another potential 
party's, interested governmental participant's,

[[Page 97]]

party's, or third party's documentary material be entered into the 
Licensing Support System in searchable full text if they or the other 
potential party, interested governmental participant, or party intend to 
rely on such documentary material during the licensing proceeding.
    (f) Submission of ASCII files, images, and bibliographic headers 
shall be in accordance with established criteria.
    (g) Basic licensing documents generated by DOE, such as the Site 
Characterization Plan, the Environmental Impact Statement, and the 
license application, or by NRC such as the Site Characterization 
Analysis, and the Safety Evaluation Report, shall be submitted to the 
LSS Administrator by the respective agency that generated the document.
    (h)(1) Docketing of the application for a license to receive and 
possess high-level radioactive waste at a geologic repository operations 
area shall not be permitted under Subpart J of this part unless the LSS 
Administrator has certified, at least six months in advance of the 
submission of the license application, that the DOE has substantially 
complied with its obligations under this section.
    (2)(i) The LSS Administrator shall evaluate the extent of the DOE's 
compliance with the provisions of this section at six month intervals 
beginning six months after his or her appointment under Sec. 2.1011 of 
this subpart.
    (ii) The LSS Administrator shall issue a written report of his or 
her evaluation of DOE compliance under paragraph (h)(1) of this section. 
The report shall include recommendations to the DOE on any actions 
necessary to achieve substantial compliance pursuant to paragraph (h)(1) 
of this section.
    (iii) The LSS administrator shall circulate each evaluation prepared 
pursuant to paragraph (h)(2)(i) of this section, and the written report 
prepared pursuant to paragraph (h)(2)(ii) of this section, to potential 
parties to the high level waste proceeding. Potential parties may submit 
comments on or objections to the evaluations prepared pursuant to 
paragraph (h)(2)(i) of this section or the report prepared pursuant to 
paragraph (h)(2)(ii) of this section, to the LSS Administrator within 30 
days of issuance of the evaluation or report. Comments or objections not 
filed within this time period are waived.
    (3)(i) In the event that the LSS Administrator does not certify 
substantial compliance under paragraph (h)(1) of this section, the 
proceeding on the application for a license to receive and possess high-
level radioactive waste at a geologic repository operations area shall 
be governed by subpart G of this part.
    (ii) If, subsequent to the submission of such application under 
subpart G of this part, the LSS Administrator issues the certification 
described in paragraph (h)(1) of this section, the Commission may, upon 
request by any party or interested governmental participant to the 
proceeding, specify the extent to which the provisions of subpart J of 
this part may be used in the proceeding.

[54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7795, Feb. 26, 1991]



Sec. 2.1004  Amendments and additions.

    (a) Within sixty days after a document has been entered into the 
Licensing Support System by the LSS Administrator during the pre-license 
application phase, and within five days after a document has been 
entered into the Licensing Support System by the LSS Administrator after 
the license application has been docketed, the submitter shall make 
reasonable efforts to verify that the document has been entered 
correctly, and shall notify the LSS Administrator of any errors in 
entry.
    (b) After the time period specified for verification in paragraph 
(a) of this section has expired, a submitter who desires to amend an 
incorrect document shall--
    (1) Submit the corrected version to the LSS Administrator for entry 
as a separate document; and
    (2) Submit a bibliographic header for the corrected version that 
identifies all revisions to the corrected version.
    (3) The LSS Administrator shall ensure that the bibliographic header 
for the original document specifies that a corrected version is also in 
the Licensing Support System.

[[Page 98]]

    (c)(1) A submitter shall submit any revised pages of a document in 
the Licensing Support System to the LSS Administrator for entry into the 
Licensing Support System as a separate document.
    (2) The LSS Administrator shall ensure that the bibliographic header 
for the original document specifies that revisions have been entered 
into the Licensing Support System.
    (d) Any document that has been incorrectly excluded from the 
Licensing Support System must be submitted to the LSS Administrator by 
the potential party, interested governmental participant, or party 
responsible for the submission of the document within two days after its 
exclusion has been identified unless some other time is approved by the 
Pre-License Application Presiding Officer or the Presiding Officer 
designated for the high-level waste proceeding; provided, however, that 
the time for submittal under this paragraph will be stayed pending 
Officer action on a motion to extend the time for submittal.

[54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7795, Feb. 26, 1991]



Sec. 2.1005  Exclusions.

    The following material is excluded from entry into the Licensing 
Support System, either through initial entry pursuant to Sec. 2.1003 of 
this subpart, or through derivative discovery pursuant to Sec. 2.1019(i) 
of this subpart--
    (a) Official notice materials;
    (b) Reference books and text books;
    (c) Material pertaining exclusively to administration, such as 
material related to budgets, financial management, personnel, office 
space, general distribution memoranda, or procurement, except for the 
scope of work on a procurement related to repository siting, 
construction, or operation, or to the transportation of spent nuclear 
fuel or high-level waste;
    (d) Press clippings and press releases;
    (e) Junk mail;
    (f) Preferences cited in contractor reports that are readily 
available;
    (g) Classified material subject to subpart I of this part.



Sec. 2.1006  Privilege.

    (a) Subject to the requirements in Sec. 2.1003(d) of this subpart, 
the traditional discovery privileges recognized in NRC adjudicatory 
proceedings and the exceptions from disclosure in Sec. 2.790 of this 
part may be asserted by potential parties, interested governmental 
participants, and parties. In addition to Federal agencies, the 
deliberative process privilege may also be asserted by State and local 
government entities and Indian Tribes.
    (b) Any document for which a claim of privilege is asserted, but is 
denied in whole or in part by the Pre-License Application Presiding 
Officer or the Presiding Officer, must be submitted by the party, 
interested governmental participant, or potential party that asserted 
the claim to--
    (1) The LSS Administrator for entry into the Licensing Support 
System into an open access file; or
    (2) To the LSS Administrator or to the Pre-License Application 
Presiding Officer or to the Presiding Officer, for entry into a 
Protective Order file, if the Pre-License Application Presiding Officer 
or the Presiding Officer so directs under Sec. 2.1010(b) or 
Sec. 2.1018(c) of this subpart.
    (c) Notwithstanding any availability of the deliberative process 
privilege under paragraph (a) of this section, circulated drafts not 
otherwise privileged shall be submitted for entry into the Licensing 
Support System pursuant to Secs. 2.1003(a) and 2.1003(b) of this 
subpart.

[54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7795, Feb. 26, 1991



Sec. 2.1007  Access.

    (a)(1) Terminals for access to full headers for all documents in the 
Licensing Support System during the pre-license application phase, and 
images of the non-privileged documents of DOE, shall be provided at the 
headquarters of DOE, and at all DOE Local Public Document Rooms 
established in the vicinity of the likely candidate site for a geologic 
repository.
    (2) Terminals for access to full headers for all documents in the 
Licensing Support System during the pre-license application phase, and 
images of the non-privielged documents of NRC, shall

[[Page 99]]

be provided at the headquarters Public Document Room of NRC, and at all 
NRC Local Public Document Rooms established in the vicinity of the 
likely candidate site for a geologic repository, and at the NRC Regional 
Offices, including the Uranium Recovery Field Office in Denver, 
Colorado.
    (3) The access terminals specified in paragraphs (a)(1) and (a)(2) 
of this section shall include terminals at Las Vegas, Nevada; Reno, 
Nevada; Carson City, Nevada; Nye County, Nevada; and Lincoln County, 
Nevada.
    (4) The headers specified in paragraphs (a)(1) and (a)(2) of this 
section shall be available at the same time that those headers are made 
available to the potential parties, parties, and interested governmental 
participants.
    (5) Public access to the searchable full text and images of all the 
documents in the Licensing Support System, not privileged under section 
2.1006, shall be provided by the LSS Administrator at all the locations 
specified in paragraphs (a)(1) and (a)(2) of this section after a notice 
of hearing has been issued pursuant to Sec. 2.101(f)(8) or 
Sec. 2.105(a)(5) on an application for a license to receive and possess 
high-level radioactive waste at a geologic repository operations area.
    (b) Public availability of paper copies of the records specified in 
paragraph (a) of this section, as well as duplication fees, and fee 
waiver for those records, will be governed by the Freedom of Information 
Act regulations of the respective agencies.
    (c) Access to the Licensing Support System for potential parties, 
interested governmental participants, and parties will be provided in 
the following manner--
    (1) Full text search capability through dial-up access from remote 
locations at the requestor's expense;
    (2) Image access at remote locations at the requestor's expense;
    (3) The capability to electronically request a paper copy of a 
document at the time of search;
    (4) Generic fee waiver for the paper copy requested under paragraph 
(c)(3) of this section for requestors who meet the criteria in Sec. 9.41 
of this chapter.
    (d) Documents submitted to the LSS Administrator for entry into the 
Licensing Support System shall not be considered as agency records of 
the LSS Administrator for purposes of the Freedom of Information Act 
(FOIA), 5 U.S.C. 552, and shall remain under the custody and control of 
the agency or organization that submitted the documents to the LSS 
Administrator. Requests for access pursuant to the FOIA to documents 
submitted by a Federal agency shall be transmitted to that Federal 
agency.



Sec. 2.1008  Potential parties.

    (a) A person may petition the Pre-License Application Presiding 
Officer designated pursuant to Sec. 2.1010 of this subpart for access to 
the Licensing Support System.
    (b) A petition must set forth with particularity the interest of the 
petitioner in gaining access to the Licensing Support System with 
particular reference to--
    (1) The factors set out in Sec. 2.1014(c) (1), (2), and (3) of this 
subpart as determined in reference to the topical guidelines in the 
applicable NRC Regulatory Guide; or
    (2) The criteria in Sec. 2.715(c) of this part as determined in 
reference to the topical guidelines in the applicable NRC Regulatory 
Guide.
    (c) The Pre-License Application Presiding Officer shall, in ruling 
on a petition for access, consider the factors set forth in paragraph 
(b) of this section.
    (d) Any person whose petition for access is approved pursuant to 
paragraph (c) of this section shall comply with the regulations set 
forth in this subpart, including Sec. 2.1003 and agree to comply with 
the orders of the Pre-License Application Presiding Officer designated 
pursuant to Sec. 2.1010 of this subpart.

[54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7795, Feb. 26, 1991]



Sec. 2.1009  Procedures.

    (a) Each potential party, interested governmental participant, or 
party shall--
    (1) Designate an official who will be responsible for administration 
of its Licensing Support System responsibilities;

[[Page 100]]

    (2) Establish procedures to implement the requirements in 
Sec. 2.1003 of this subpart;
    (3) Provide training to its staff on the procedures for 
implementation of Licensing Support System responsibilities;
    (4) Ensure that all documents carry the submitter's unique 
identification number;
    (5) Cooperate with the advisory review process established by the 
LSS Administrator pursuant to Sec. 2.1011(e) of this subpart.
    (b) The responsible official designated pursuant to paragraph (a)(1) 
of this section shall certify to the LSS Administrator, at six month 
intervals designated by the LSS Administrator, that the procedures 
specified in paragraph (a)(2) of this section have been implemented, and 
that to the best of his or her knowledge, the documentary material 
specified in Sec. 2.1003 of this subpart has been identified and 
submitted to the Licensing Support System.



Sec. 2.1010  Pre-License Application Presiding Officer.

    (a)(1) The Commission may designate one or more members of the 
Commission, or an atomic safety and licensing board, or a named officer 
who has been delegated final authority on the matter (Pre-License 
Application Presiding Officer) to rule on all petitions for access to 
the Licensing Support System submitted under Sec. 2.1008; disputes over 
the entry of documents during the pre-license application phase, 
including disputes relating to relevance and privilege; disputes 
relating to the LSS Administrator's decision on substantial compliance 
pursuant to Sec. 2.1003(h); discovery disputes; disputes relating to 
access to the Licensing Support System; disputes relating to the design 
and development of the Licensing Support System by DOE or the operation 
of the Licensing Support System by the LSS Administrator under 
Sec. 2.1011, including disputes relating to the implementation of the 
recommendations of the LSS Advisory Review Panel established under 
Sec. 2.1011(e).
    (2) The Pre-License Application Presiding Officer shall be 
designated six months before access to the Licensing Support System is 
scheduled to be available.
    (b) The Pre-License Application Presiding Officer shall rule on any 
claim of document withholding to determine--
    (1) Whether it is documentary material within the scope of this 
subpart;
    (2) Whether the material is excluded from entry into the Licensing 
Support System under Sec. 2.1005 of this subpart;
    (3) Whether the material is privileged or otherwise excepted from 
disclosure under section 2.1006 of this subpart;
    (4) If privileged, whether it is an absolute or qualified privilege;
    (5) If qualified, whether the document should be disclosed because 
it is necessary to a proper decision in the proceeding;
    (6) Whether the material should be disclosed under a protective 
order containing such protective terms and conditions (including 
affidavits of nondisclosure) as may be necessary and appropriate to 
limit the disclosure to potential participants, interested governmental 
participants and parties in the proceeding, or to their qualified 
witnesses and counsel. When Safeguards Information protected from 
disclosure under section 147 of the Atomic Energy Act, as amended, is 
received and possessed by a potential party, interested governmental 
participant, or party, other than the Commission staff, it shall also be 
protected according to the requirements of Sec. 73.21 of this chapter. 
The Pre-License Application Presiding Officer may also prescribe such 
additional procedures as will effectively safeguard and prevent 
disclosure of Safeguards Information to unauthorized persons with 
minimum impairment of the procedural rights which would be available if 
Safeguards Information were not involved. In addition to any other 
sanction that may be imposed by the Pre-License Application Presiding 
Officer for violation of an order pertaining to the disclosure of 
Safeguards Information protected from disclosure under section 147 of 
the Atomic Energy Act, as amended, may be subject to a civil penalty 
imposed pursuant to Sec. 2.205. For the purpose of imposing the criminal 
penalties contained in section 223 of the Atomic Energy Act, as amended, 
any order issued

[[Page 101]]

pursuant to this paragraph with respect to Safeguards Information shall 
be deemed an order issued under section 161b of the Atomic Energy Act.
    (c) Upon a final determination that the material is relevant, and 
not privileged, exempt from disclosure, or otherwise exempt from entry 
into the Licensing Support System under Sec. 2.1005 of this subpart, the 
potential party, interested governmental participant, or party who 
asserted the claim of withholding must submit the document to the LSS 
Administrator within two days for entry into the Licensing Support 
System.
    (d) The service of all pleadings, discovery requests and answers, 
orders, and decisions during the pre-license application phase shall be 
made according to the procedures specified in Sec. 2.1013(c) of this 
subpart.
    (e) The Pre-License Application Presiding Officer shall possess all 
the general powers specified in Secs. 2.721(d) and 2.718.
    (f) The Commission, in designating the Pre-License Application 
Presiding Officer in accordance with paragraphs (a) (1) and (2) of this 
section, shall specify the jurisdiction of the Officer.

[54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7796, Feb. 26, 1991]



Sec. 2.1011  LSS management and administration.

    (a) The Licensing Support System shall be administered by the LSS 
Administrator who will be designated within sixty days after the 
effective date of the rule.
    (b)(1) Consistent with the requirements in this subpart, and in 
consultation with the LSS Administrator, DOE shall be responsible for 
the design and development of the computer system necessary to implement 
the Licensing Support System, including the procurement of computer 
hardware and software, and, with the concurrence of the LSS 
Administrator, the follow-on redesign and procurement of equipment 
necessary to maintain the Licensing Support System.
    (2) With respect to the procurement undertaken pursuant to paragraph 
(b)(1) of this section, a representative of the LSS Administrator shall 
participate as a member of the Source Evaluation Panel for such 
procurement.
    (3) DOE shall implement consensus advice from the LSS Advisory 
Review Panel under paragraph (f)(1) of this section that is consistent 
with the requirements of this subpart.
    (c)(1) The Licensing Support System, described in Sec. 2.1002, shall 
not be part of any computer system that is controlled by any party, 
interested governmental participant, or potential party, including DOE 
and its contractors, or that is physically located on the premises of 
any party, interested governmental participant, or potential party, 
including DOE and that of its contractors.
    (2) Nothing in this subpart shall preclude DOE, NRC, or any other 
party, potential party, or interested governmental participant, from 
using the Licensing Support System computer facility for a records 
management system for documentary material independent of the Licensing 
Support System.
    (d) The LSS Administrator shall be responsible for the management 
and administration of the Licensing Support System, including the 
responsibility to--
    (1) Implement the consensus advice of the LSS Advisory Review Panel 
under paragraph (f) of this section that is consistent with the 
requirements of this subpart;
    (2) Provide the necessary personnel, materials, and services for 
operation and maintenance of the Licensing Support System;
    (3) Identify and recommend to DOE any redesign or procurement 
actions necessary to ensure that the design and operation of the 
Licensing Support System meets the objectives of this subpart;
    (4) Make a concurrence decision, within thirty days of a request 
from DOE, on any redesign and related procurement performed by DOE under 
paragraph (b) of this section;
    (5) Consult with DOE on the design and development of the Licensing 
Support System under paragraph (b) of this section;
    (6) Evaluate and certify compliance with the requirements of this 
subpart under Sec. 2.1003(h);

[[Page 102]]

    (7) Ensure LSS availability and the integrity of the LSS data base;
    (8) Receive and enter the documentary material specified in 
Sec. 2.1003 of this subpart into the Licensing Support System in the 
appropriate format;
    (9) Maintain security for the Licensing Support System data base, 
including assigning user password security codes;
    (10) Establish access protocols for raw data, field notes, and other 
items covered by Sec. 2.1003(c) of this subpart;
    (11) Maintain the thesaurus and authority tables for the Licensing 
Support System;
    (12) Establish and implement a training program for Licensing 
Support System users;
    (13) Provide support staff to assist users of the Licensing Support 
System;
    (14) Other duties as specified in this subpart or necessary for 
Licensing Support System operation and maintenance.
    (e)(1) The LSS Administrator shall establish an LSS Advisory Review 
Panel composed of the LSS Advisory Committee members identified in 
paragraph (e)(2) of this section who wish to serve within sixty days 
after designation of the LSS Administrator pursuant to paragraph (a) of 
this section. The LSS Administrator shall have the authority to appoint 
additional representatives to the Advisory Review Panel consistent with 
the requirements of the Federal Advisory Committee Act, 5 U.S.C. app. I, 
giving particular consideration to potential parties, parties, and 
interested governmental participants who were not members of the NRC HLW 
Licensing Support System Advisory Committee.
    (2) Pending the establishment of the LSS Advisory Review Panel under 
paragraph (e)(1) of this section, the NRC will establish a Licensing 
Support System Advisory Committee whose membership will initially 
include the State of Nevada, a coalition of affected units of local 
government in Nevada who were on the NRC High-Level Waste Licensing 
Support System Advisory Committee, DOE, NRC, the National Congress of 
American Indians, the coalition of national environmenal groups who were 
on the NRC High-Level Waste Licensing Support System Advisory Committee 
and such other members as the Commission may from time to time designate 
to perform the responsibilities in paragraph (f) of this section.
    (f)(1) The LSS Advisory Review Panel shall provide advice to--(i) 
DOE on the fundamental issues of the design and development of the 
computer system necessary to implement the Licensing Support System 
under paragraph (b) of this section; and
    (ii) The LSS Administrator on the operation and maintenance of the 
Licensing Support System under paragraph (d) of this section.
    (2) The responsibilities of the LSS Advisory Review Panel shall 
include advice on--(i) Format standards for the submission of 
documentary material to the Licensing Support System by the parties, 
interested governmental participants, or potential parties, such as 
ASCII files, bibliographic headers, and images;
    (ii) The procedures and standards for the electronic transmission of 
filings, orders, and decisions during both the pre-license application 
phase and the high-level waste licensing proceeding;
    (iii) Access protocols for raw data, field notes, and other items 
covered by Sec. 2.1003(c) of this subpart;
    (iv) A thesaurus and authority tables;
    (v) Reasonable requirements for headers, the control of duplication, 
retrieval, display, image delivery, query response, and ``user 
friendly'' design;
    (vi) Other duties as specified in this subpart or as directed by the 
LSS Administrator.

[54 FR 14944, Apr. 14, 1989, as amended at 55 FR 51401, Dec. 14, 1990]



Sec. 2.1012  Compliance.

    (a) In addition to the requirements of Sec. 2.101(f) of this part, 
the Director of the NRC Office of Nuclear Materials Safety and 
Safeguards may determine that the tendered application is not acceptable 
for docketing under this subpart, if the LSS Administrator has not 
issued the certification described in Sec. 2.1003(h)(1) of this part.
    (b)(1) A person, including a potential party granted access to the 
Licensing Support System under Sec. 2.1008 of this

[[Page 103]]

subpart, shall not be granted party status under Sec. 2.1014 of this 
part, or status as an interested governmental participant under 
Sec. 2.715(c) of this part, if it cannot demonstrate substantial and 
timely compliance with the requirements of Sec. 2.1003 of this subpart 
at the time it requests participation in the high-level waste licensing 
proceeding under either Sec. 2.1014 or Sec. 2.715(c) of this part.
    (2) A person denied party status or interested governmental 
participant status under paragraph (b)(1) of this section may request 
party status or interested governmental participant status upon a 
showing of subsequent compliance with the requirements of Sec. 2.1003 of 
this subpart. Admission of such a party or interested governmental 
participant under Sec. 2.1014 of this subpart or Sec. 2.715(c) of this 
part, respectively, shall be conditioned on accepting the status of the 
proceeding at the time of admission.
    (c) The Presiding Officer shall not make a finding of substantial 
and timely compliance pursuant to paragraph (b) of this section for any 
person who is not in compliance with all applicable orders of the Pre-
License Application Presiding Officer designated pursuant to 
Sec. 2.1010.
    (d) Access to the Licensing Support System may be suspended or 
terminated by the Pre-License Application Presiding Officer or the 
Presiding Officer for any potential party, interested governmental 
participant or party who is in noncompliance with any applicable order 
of the Pre-License Application Presiding Officer or the Presiding 
Officer or the requirements of this subpart.

[54 FR 14944, Apr. 14, 1991, as amended at 56 FR 7796, Feb. 26, 1991]



Sec. 2.1013  Use of LSS during the adjudicatory proceeding.

    (a)(1) Pursuant to Sec. 2.702, the Secretary of the NRC will 
maintain the official docket of the proceeding on the application for a 
license to receive and possess waste at a geologic repository operations 
area.
    (2) Commencing with the docketing of the license application to 
receive and possess high-level radioactive waste at a geologic 
repository operations area pursuant to part 60 of this chapter, the LSS 
Administrator shall establish a file within the Licensing Support System 
to contain the official record materials of the high-level radioactive 
waste licensing proceeding in searchable full text, or for material that 
is not suitable for entry in searchable full text, by header and image, 
as appropriate.
    (b) Absent good cause, all exhibits tendered during the hearing must 
have been entered into the Licensing Support System before the 
commencement of that portion of the hearing in which the exhibit will be 
offered. The official record file in the Licensing Support System will 
contain a list of all exhibits, showing where in the transcript each was 
marked for identification and where it was received into evidence or 
rejected. Transcripts will be entered into the Licensing Support System 
by the LSS Administrator on a daily basis in order to provide next-day 
availability at the hearing.
    (c)(1) All filings in the adjudicatory proceeding on the license 
application to receive and possess high-level radioactive waste at a 
geologic respository operations area pursuant to part 60 of this chapter 
shall be transmitted electronically by the submitter to the Presiding 
Officer, parties, the LSS Administrator, and the Secretary, according to 
established format requirements. Parties and interested governmental 
participants will be required to use a password security code for the 
electronic transmission of these documents.
    (2) Filings required to be served shall be served upon either the 
parties and interested governmental participants, or their designated 
representatives. When a party or interested governmental participant has 
appeared by attorney, service must be made upon the attorney of record.
    (3) Service upon a party or interested governmental participant is 
completed when the sender receives electronic acknowledgment (``delivery 
receipt'') that the electronic submission has been placed in the 
recipient's electronic mailbox.
    (4) Proof of service, stating the name and address of the person on 
whom served and the manner and date of

[[Page 104]]

service, shall be shown for each document filed, by--
    (i) Electronic acknowledgment (``delivery receipt''); or
    (ii) The affidavit of the person making the service; or
    (iii) The certificate of counsel.
    (5) One signed paper copy of each filing shall be served promptly on 
the Secretary by regular mail pursuant to the requirements of 
Secs. 2.708 and 2.701 of this part.
    (6) All Presiding Officer and Commission issuances and orders will 
be transmitted electronically to the parties, interested governmental 
participants, and the LSS Administration.
    (d) Online access to the Licensing Support System, including a 
Protective Order File if authorized by a Presiding Officer, shall be 
provided to the Presiding Officer, the representatives of the parties 
and interested governmental participants, and the witnesses while 
testifying, for use during the hearing. Use of paper copy and other 
images will also be permitted at the hearing.

[54 FR 14944, Apr. 14, 1991, as amended at 56 FR 7796, Feb. 26, 1991]



Sec. 2.1014  Intervention.

    (a)(1) Any person whose interest may be affected by a proceeding on 
the application for a license to receive and possess high-level 
radioactive waste at a geologic repository operations area pursuant to 
Part 60 of this chapter and who desires to participate as a party shall 
file a written petition for leave to intervene. In a proceeding noticed 
pursuant to Sec. 2.105 of this part, any person whose interest may be 
affected may also request a hearing. The petition and/or request, and 
any request to participate under Sec. 2.715(c) of this part, shall be 
filed within thirty days after the publication of the notice of hearing 
in the Federal Register. Nontimely filings will not be entertained 
absent a determination by the Commission, or the Presiding Officer 
designated to rule on the petition and/or request, that the petition 
and/or request should be granted based upon a balancing of the following 
factors, in addition to satisfying those set out in paragraphs (a)(2) 
and (c) of this section:
    (i) Good cause, if any, for failure to file on time;
    (ii) The availability of other means whereby the petitioner's 
interest will be protected;
    (iii) The extent to which the petitioner's participation may 
reasonably be expected to assist in developing a sound record;
    (iv) The extent to which the petitioner's interest will be 
represented by existing parties;
    (v) The extent to which the petitioner's participation will broaden 
the issues or delay the proceeding.
    (2) The petition shall set forth with particularity--
    (i) The interest of the petitioner in the proceeding, and how that 
interest may be affected by the results of the proceeding, including the 
reasons why petitioner should be permitted to intervene, with particular 
reference to the factors in paragraph (c) of this section;
    (ii) A list of the contentions that petitioner seeks to have 
litigated in the matter;
    (iii) With respect to each contention:
    (A) A specific statement of the issue of law or fact to be raised or 
controverted.
    (B) A brief explanation of the basis of the contention.
    (C) A concise statement of the alleged facts or expert opinion that 
support the contention and on which the petitioner intends to rely in 
proving the contention at the hearing, together with references to those 
specific sources and documents of which the petitioner is aware and on 
which the petitioner intends to rely to establish those facts or expert 
opinion.
    (D) Sufficient information to show that a genuine dispute exists 
with the applicant on a material issue of law or fact. This showing must 
include reference to the specific documentary material that provides a 
basis for the contention, or if the petitioner believes that any 
documentary material fails to contain information on a relevant matter 
as required by law, the identification of each failure and the 
supporting reasons for the petitioner's belief. In determining whether a 
genuine dispute exists on a material issue of law or fact, a dispositive 
factor shall be whether the contention, if proven,

[[Page 105]]

would be of no consequence in the proceeding because it would not 
entitle the petitioner to relief.
    (E) The specific regulatory or statutory requirement to which the 
contention is relevant.
    (3) Any petitioner who fails to satisfy paragraphs (a)(2) (ii) and 
(iii) of this section with respect to at least one contention shall not 
be permitted to participate as a party.
    (4) Any party may amend its contentions specified in paragraph 
(a)(2)(ii) of this section. The Presiding Officer shall rule on any 
petition to amend such contentions based on the balancing of the factors 
specified in paragraph (a)(1) of this section, and a showing that a 
significant safety or environmental issue is involved or that the 
amended contention raises a material issue related to the performance 
evaluation anticipated by Secs. 60.112 and 60.113 of this chapter.
    (b) Any party or interested governmental participant may file an 
answer to a petition for leave to intervene or a petition to amend 
contentions within twenty days after service of the petition.
    (c) Subject to paragraph (a)(3) of this section, the Commission, or 
the Presiding Officer designated to rule on petitions to intervene and/
or requests for hearing shall permit intervention, in any hearing on an 
application for a license to receive and possess high-level radioactive 
waste at a geologic repository operations area, by an affected unit of 
local government as defined in section 2(31) of the Nuclear Waste Policy 
Act of 1982, as amended, 42 U.S.C. 10101. In all other circumstances, 
the Commission or Presiding Officer shall, in ruling on a petition for 
leave to intervene, consider the following factors, among other things:
    (1) The nature of the petitioner's right under the Atomic Energy Act 
to be made a party to the proceeding;
    (2) The nature and extent of the petitioner's property, financial, 
or other interest in the proceeding;
    (3) The possible effect of any order that may be entered in the 
proceeding on the petitioner's interest;
    (4) The failure of the petitioner to participate as a potential 
party in the Licensing Support System.
    (5) In determining whether a genuine dispute exists on a material 
issue of law or fact, whether the contention, if proven, would be of no 
consequence in the proceeding because it would not entitle petitioner to 
relief.
    (d) An order permitting intervention and/or directing a hearing may 
be conditioned on such terms as the Commission, or the designated 
Presiding Officer may direct in the interests of:
    (1) Restricting irrelevant, duplicative, or repetitive evidence and 
argument,
    (2) Having common interests represented by a spokesman, and
    (3) Retaining authority to determine priorities and control the 
compass of the hearing.
    (e) In any case in which, after consideration of the factors set 
forth in paragraph (c) of this section, the Commission or the Presiding 
Officer finds that the petitioner's interest is limited to one or more 
of the issues involved in the proceeding, any order allowing 
intervention shall limit the petitioner's participation accordingly.
    (f) A person permitted to intervene becomes a party to the 
proceeding, subject to any limitations imposed pursuant to paragraph (e) 
of this section.
    (g) Unless otherwise expressly provided in the order allowing 
intervention, the granting of a petition for leave to intervene does not 
change or enlarge the issues specified in the notice of hearing.
    (h) If the Commission or the Presiding Officer determines that any 
of the admitted contentions constitute pure issues of law, those 
contentions must be decided on the basis of briefs or oral argument 
according to a schedule determined by the Commission or the Presiding 
Officer.

[54 FR 14944, Apr. 14, 1991, as amended at 56 FR 7796, Feb. 26, 1991]



Sec. 2.1015  Appeals.

    (a) No appeals from any Pre-License Application Presiding Officer or 
Presiding Officer order or decision issued under this subpart are 
permitted, except as prescribed in paragraphs (b), (c), and (d) of this 
section.
    (b) A notice of appeal from (1) a Pre-License Application Presiding 
Officer order issued pursuant to Sec. 2.1010, (2) a

[[Page 106]]

Presiding Officer First or Second Prehearing Conference Order issued 
pursuant to Sec. 2.1021 or Sec. 2.1022, (3) a Presiding Officer order 
granting or denying a motion for summary disposition issued in 
accordance with Sec. 2.1025 of this part, or (4) a Presiding Officer 
order granting or denying a petition to amend one or more contentions 
pursuant to Sec. 2.1014(a)(4), must be filed with the Commission no 
later than (10) days after service of the order. A supporting brief must 
accompany the notice of appeal. Any other party, interested governmental 
participant, or potential party may file a brief in opposition to the 
appeal no later than ten days after service of the appeal.
    (c) Appeals from a Presiding Officer initial decision or partial 
initial decision must be filed and briefed before the Commission in 
accordance with the following requirements.
    (1) Notice of appeal. Within ten (10) days after service of an 
initial decision, any party may take an appeal to the Commission by 
filing a notice of appeal. The notice shall specify:
    (i) The party taking the appeal; and
    (ii) The decision being appealed.
    (2) Filing appellant's brief. Each appellant shall file a brief 
supporting its position on appeal within thirty (30) days (40 days if 
Commission staff is the appellant) after the filing of notice required 
by paragraph (a) of this section.
    (3) Filing responsive brief. Any party who is not an appellant may 
file a brief in support of or in opposition to the appeal within thirty 
(30) days after the period has expired for the filing and service of the 
brief of all appellants. Commission staff may file a responsive brief 
within forty (40) days after the period has expired for the filing and 
service of the briefs of all appellants. A responding party shall file a 
single responsive brief regardless of the number of appellants' briefs 
filed.
    (4) Brief content. A brief in excess of ten (10) pages must contain 
a table of contents, with page references, and a table of cases 
(alphabetically arranged), statutes, regulations, and other authorities 
cited, with references to the pages of the brief where they are cited.
    (i) An appellant's brief must clearly identify the errors of fact or 
law that are the subject of the appeal. An intervenor-appellant's brief 
must be confined to issues which the intervenor-appellant placed in 
controversy or sought to place in controversy in the proceeding. For 
each issue appealed, the precise portion of the record relied upon in 
support of the assertion of error must also be provided.
    (ii) Each responsive brief must contain a reference to the precise 
portion of the record which supports each factual assertion made.
    (5) Brief length. A party shall not file a brief in excess of 
seventy (70) pages in length, exclusive of pages containing the table of 
contents, table of citations and any addendum containing statutes, 
rules, regulations, etc. A party may request an increase of this page 
limit for good cause. Such a request shall be made by motion submitted 
at least seven (7) days before the date upon which the brief is due for 
filing and shall specify the enlargement requested.
    (6) Certificate of service. All documents filed under this section 
must be accompanied by a certificate reflecting service upon all other 
parties to the proceeding.
    (7) Failure to comply. A brief which in form or content is not in 
substantial compliance with the provisions of this section may be 
stricken, either on motion of a party or by the Commission on its own 
initiative.
    (d) When, in the judgment of a Pre-License Application Presiding 
Officer or Presiding Officer, prompt appellate review of an order not 
immediately appealable under paragraph (b) of this section is necessary 
to prevent detriment to the public interest or unusual delay or expense, 
the Pre-License Application Presiding Officer or Presiding Officer may 
refer the ruling promptly to the Commission, and shall provide notice of 
this referral to the parties, interested governmental participants, or 
potential parties. The parties, interested governmental participants, or 
potential parties may also request that the Pre-License Application 
Presiding Officer or Presiding Officer certify, pursuant to 
Sec. 2.718(i) of this part, rulings not immediately appealable under 
paragraph (b) of this section.

[[Page 107]]

    (e) Unless otherwise ordered, the filing of an appeal, petition for 
review, referral, or request for certification of a ruling shall not 
stay the proceeding or extend the time for the performance of any act.

[56 FR 7797, Feb. 26, 1991, as amended at 56 FR 29410, June 27, 1991]



Sec. 2.1016  Motions.

    (a) All motions shall be addressed to the Commission or, when a 
proceeding is pending before a Presiding Officer, to the Presiding 
Officer. All motions, unless made orally on the record, shall be filed 
according to the provisions of Sec. 2.1013(c) of this subpart.
    (b) A motion shall state with particularity the grounds and the 
relief sought, and shall be accompanied by any affidavits or other 
evidence relied on, and, as appropriate, a proposed form of order.
    (c) Within ten days after service of a motion a party, potential 
party, or interested governmental participant may file an answer in 
support of or in opposition to the motion, accompanied by affidavits or 
other evidence. The moving party shall have no right to reply, except as 
permitted by the Presiding Officer or the Secretary or the Assistant 
Secretary.
    (d) The Presiding Officer may dispose of motions either by order or 
by ruling orally during the course of a prehearing conference or 
hearing.
    (e) Where the motion in question is a motion to compel discovery 
under Sec. 2.720(h)(2) of this part or Sec. 2.1018(f) of this subpart, 
parties, potential parties, and interested governmental participants may 
file answers to the motion pursuant to paragraph (c) of this section. 
The Presiding Officer in its discretion, may order that the answer be 
given orally during a telephone conference or other prehearing 
conference, rather than filed electronically. If responses are given 
over the telephone the Presiding Officer shall issue a written order on 
the motion which summarizes the views presented by the parties, 
potential parties, and interested governmental participants unless the 
conference has been transcribed. This does not preclude the Presiding 
Officer from issuing a prior oral ruling on the matter which is 
effective at the time of its issuance, provided that the terms of the 
ruling are incorporated in the subsequent written order.

[54 FR 14944, Apr. 14, 1991, as amended at 56 FR 7797, Feb. 26, 1991]



Sec. 2.1017  Computation of time.

    In computing any period of time, the day of the act, event, or 
default after which the designated period of time begins to run is not 
included. The last day of the period so computed is included unless it 
is a Saturday, Sunday, or legal holiday at the place where the action or 
event is to occur, in which event the period runs until the end of the 
next day which is neither a Saturday, Sunday, nor holiday. Whenever a 
party, potential party, or interested governmental participant, has the 
right or is required to do some act within a prescribed period after the 
service of a notice or other document upon it, one day shall be added to 
the prescribed period. If the Licensing Support System is unavailable 
for more than four access hours of any day that would be counted in the 
computation of time, that day will not be counted in the computation of 
time.



Sec. 2.1018  Discovery.

    (a)(1) Parties, potential parties, and interested governmental 
participants in the high-level waste licensing proceeding may obtain 
discovery by one or more of the following methods: Access to the 
documentary material in the Licensing Support System submitted pursuant 
to Sec. 2.1003 of this subpart; entry upon land for inspection, access 
to raw data, or other purposes pursuant to Sec. 2.1020 of this subpart; 
access to, or the production of, copies of documentary material for 
which bibliographic headers only have been submitted pursuant to 
Sec. 2.1003 (c) and (d) of this subpart; depositions upon oral 
examination pursuant to Sec. 2.1019 of this subpart; requests for 
admission pursuant to Sec. 2.742 of this subpart; informal requests for 
information not available in the Licensing Support System, such as the 
names of witnesses and the subjects they plan to address; and 
interrogatories and depositions upon written questions, as provided in 
paragraph (a)(2) of this section.

[[Page 108]]

    (2) Interrogatories and depositions upon written questions may be 
authorized by order of the discovery master appointed under paragraph 
(g) of this section, or if no discovery master has been appointed, by 
order of the Presiding Officer, in the event that the parties are 
unable, after informal good faith efforts, to resolve a dispute in a 
timely fashion concerning the production of information.
    (b)(1) Parties, potential parties, and interested governmental 
participants, pursuant to the methods set forth in paragraph (a) of this 
section, may obtain discovery regarding any matter, not privileged, 
which is relevant to the licensing of the likely candidate site for a 
geologic repository, whether it relates to the claim or defense of the 
person seeking discovery or to the claim or defense of any other person. 
Except for discovery pursuant to Secs. 2.1018(a)(2) and 2.1019 of this 
subpart, all other discovery shall begin during the pre-license 
application phase. Discovery pursuant to Secs. 2.1018(a)(2) and 2.1019 
of this subpart shall begin after the issuance of the first pre-hearing 
conference order under Sec. 2.1021 of this subpart, and shall be limited 
to the issues defined in that order or subsequent amendments to the 
order. It is not ground for objection that the information sought will 
be inadmissible at the hearing if the information sought appears 
reasonably calculated to lead to the discovery of admissible evidence.
    (2) A party, potential party, or interested governmental participant 
may obtain discovery of documentary material otherwise discoverable 
under paragraph (b)(1) of this section and prepared in anticipation of, 
or for the hearing by, or for another party's, potential party's, or 
interested governmental participant's representative (including its 
attorney, surety, indemnitor, insurer, or similar agent) only upon a 
showing that the party, potential party, or interested governmental 
participant seeking discovery has substantial need of the materials in 
the preparation of its case and that it is unable without undue hardship 
to obtain the substantial equivalent of the materials by other means. In 
ordering discovery of these materials when the required showing has been 
made, the Presiding Officer shall protect against disclosure of the 
mental impressions, conclusions, opinions, or legal theories of an 
attorney or other representative of a party, potential party, or 
interested governmental participant concerning the proceeding.
    (c) Upon motion by a party, potential party, interested governmental 
participant, or the person from whom discovery is sought, and for good 
cause shown, the Presiding Officer may make any order that justice 
requires to protect a party, potential party, interested governmental 
participant, or other person from annoyance, embarrassment, oppression, 
or undue burden, delay, or expense, including one or more of the 
following: (1) That the discovery not be had; (2) that the discovery may 
be had only on specified terms and conditions, including a designation 
of the time or place; (3) that the discovery may be had only by a method 
of discovery other than that selected by the party, potential party, or 
interested governmental participant seeking discovery; (4) that certain 
matters not be inquired into, or that the scope of discovery be limited 
to certain matters; (5) that discovery be conducted with no one present 
except persons designated by the Presiding Officer; (6) that, subject to 
the provisions of Sec. 2.790 of this part, a trade secret or other 
confidential research, development, or commercial information not be 
disclosed or be disclosed only in a designated way; (7) that studies and 
evaluations not be prepared. If the motion for a protective order is 
denied in whole or in part, the Presiding Officer may, on such terms and 
conditions as are just, order that any party, potential party, 
interested governmental participant or other person provide or permit 
discovery.
    (d) Except as provided in paragraph (b) of this section, and unless 
the Presiding Officer upon motion, for the convenience of parties, 
potential parties, interested governmental participants, and witnesses 
and in the interest of justice, orders otherwise, methods of discovery 
may be used in any sequence, and the fact that a party, potential party, 
or interested governmental participant is conducting discovery, whether 
by deposition or otherwise,

[[Page 109]]

shall not operate to delay any other party's, potential party's, or 
interested governmental participant's discovery.
    (e) A party, potential party, or interested governmental participant 
who has included all documentary material relevant to any discovery 
request in the Licensing Support System or who has responded to a 
request for discovery with a response that was complete when made is 
under no duty to supplement its response to include information 
thereafter acquired, except as follows:
    (1) To the extent that written interrogatories are authorized 
pursuant to paragraph (a)(2) of this section, a party or interested 
governmental participant is under a duty to seasonably supplement its 
response to any question directly addressed to (i) the identity and 
location of persons having knowledge of discoverable matters, and (ii) 
the identity of each person expected to be called as an expert witness 
at the hearing, the subject matter on which the witness is expected to 
testify, and the substance of the witness' testimony.
    (2) A party, potential party, or interested governmental participant 
is under a duty seasonably to amend a prior response if it obtains 
information upon the basis of which (i) it knows that the response was 
incorrect when made, or (ii) it knows that the response though correct 
when made is no longer true and the circumstances are such that a 
failure to amend the response is in substance a knowing concealment.
    (3) A duty to supplement responses may be imposed by order of the 
Presiding Officer or agreement of the parties, potential parties, and 
interested governmental participants.
    (f)(1) If a deponent of a party, potential party, or interested 
governmental participant upon whom a request for discovery is served 
fails to respond or objects to the request, or any part thereof, the 
party, potential party, or interested governmental participant 
submitting the request or taking the deposition may move the Presiding 
Officer, within five days after the date of the response or after 
failure to respond to the request, for an order compelling a response in 
accordance with the request. The motion shall set forth the nature of 
the questions or the request, the response or objection of the party, 
potential party, interested governmental participant, or other person 
upon whom the request was served, and arguments in support of the 
motion. For purposes of this paragraph, an evasive or incomplete answer 
or response shall be treated as a failure to answer or respond. Failure 
to answer or respond shall not be excused on the ground that the 
discovery sought is objectionable unless the person, party, potential 
party, or interested governmental participant failing to answer or 
respond has applied for a protective order pursuant to paragraph (c) of 
this section.
    (2) In ruling on a motion made pursuant to this section, the 
Presiding Officer may make such a protective order as it is authorized 
to make on a motion made pursuant to paragraph (c) of this section.
    (3) An independent request for issuance of a subpoena may be 
directed to a nonparty for production of documents. This section does 
not apply to requests for the testimony of the NRC regulatory staff 
pursuant to Sec. 2.720(h)(2)(i) of this part.
    (g) The Presiding Officer pursuant to Sec. 2.722 of this part may 
appoint a discovery master to resolve disputes between parties 
concerning informal requests for information as provided in paragraphs 
(a)(1) and (a)(2) of this section.

[54 FR 14944, Apr. 14, 1989, as amended at 56 FR 7797, Feb. 26, 1991]



Sec. 2.1019  Depositions.

    (a) Any party or interested governmental participant desiring to 
take the testimony of any person by deposition on oral examination 
shall, without leave of the Commission or the Presiding Officer, give 
reasonable notice in writing to every other party and interested 
governmental participant, to the person to be examined, and to the 
Presiding Officer of the proposed time and place of taking the 
deposition; the name and address of each person to be examined, if 
known, or if the name is not known, a general description sufficient to 
identify him or her or the class or group to which he or she belongs, 
the matters upon which each person

[[Page 110]]

will be examined and the name or descriptive title and address of the 
officer before whom the deposition is to be taken.
    (b) Within the United States, a deposition may be taken before any 
officer authorized to administer oaths by the laws of the United States 
or of the place where the examination is held. Outside of the United 
States, a deposition may be taken before a secretary of an embassy or 
legation, a consul general, vice consul or consular agent of the United 
States, or a person authorized to administer oaths designated by the 
Commission. Depositions may be conducted by telephone or by video 
teleconference at the option of the party or interested governmental 
participant taking the deposition.
    (c) The deponent shall be sworn or shall affirm before any questions 
are put to him or her. Examination and cross-examination shall proceed 
as at a hearing. Each question propounded shall be recorded and the 
answer taken down in the words of the witness. Objections on questions 
of evidence shall be noted in short form without the arguments. The 
officer shall not decide on the competency, materiality, or relevancy of 
evidence but shall record the evidence subject to objection. Objections 
on questions of evidence not made before the officer shall not be deemed 
waived unless the ground of the objection is one which might have been 
obviated or removed if presented at that time.
    (d) When the testimony is fully transcribed, the deposition shall be 
submitted to the deponent for examination and signature unless the 
deponent is ill or cannot be found or refuses to sign. The officer shall 
certify the deposition or, if the deposition is not signed by the 
deponent, shall certify the reasons for the failure to sign, and shall 
promptly transmit the deposition to the LSS Administrator for submission 
into the Licensing Support System.
    (e) Where the deposition is to be taken on written questions as 
authorized under Sec. 2.1018(a)(2) of this subpart, the party or 
interested governmental participant taking the deposition shall serve a 
copy of the questions, showing each question separately and 
consecutively numbered, on every other party and interested governmental 
participant with a notice stating the name and address of the person who 
is to answer them, and the name, description, title, and address of the 
officer before whom they are to be asked. Within ten days after service, 
any other party or interested governmental participant may serve cross-
questions. The questions, cross-questions, and answers shall be recorded 
and signed, and the deposition certified, returned, and transmitted to 
the LSS Administrator as in the case of a deposition on oral 
examination.
    (f) A deposition will not become a part of the evidentiary record in 
the hearing unless received in evidence. If only part of a deposition is 
offered in evidence by a party or interested governmental participant, 
any other party or interested governmental participant may introduce any 
other parts. A party or interested governmental participant shall not be 
deemed to make a person its own witness for any purpose by taking his or 
her deposition.
    (g) A deponent whose deposition is taken and the officer taking a 
deposition shall be entitled to the same fees as are paid for like 
services in the district courts of the United States, to be paid by the 
party or interested governmental participant at whose instance the 
deposition is taken.
    (h) The deponent may be accompanied, represented, and advised by 
legal counsel.
    (i)(1) After receiving written notice of the deposition under 
paragraph (a) or paragraph (e) of this section, and ten days before the 
scheduled date of the deposition, the deponent shall submit an index of 
all documents in his or her possession, relevant to the subject matter 
of the deposition, including the categories of documents set forth in 
paragraph (i)(2) of this section, to all parties and interested 
governmental participants. The index shall identify those records which 
have already been entered into the Licensing Support System. All 
documents that are not identical to documents already in the Licensing 
Support System, whether by reason of subsequent modification or by the 
addition of notations, shall be treated as separate documents.

[[Page 111]]

    (2) The following material is excluded from initial entry into the 
Licensing Support System, but is subject to derivative discovery under 
paragraph (i)(1) of this section--
    (i) Personal records;
    (ii) Travel vouchers;
    (iii) Speeches;
    (iv) Preliminary drafts;
    (v) Marginalia.
    (3) Subject to paragraph (i)(6) of this section, any party or 
interested governmental participant may request from the deponent a 
paper copy of any or all of the documents on the index that have not 
already been entered into the Licensing Support System.
    (4) Subject to paragraph (i)(6) of this section, the deponent shall 
bring a paper copy of all documents on the index that the deposing party 
or interested governmental participant requests that have not already 
been entered into the Licensing Support System to an oral deposition 
conducted pursuant to paragraph (a) of this section, or in the case of a 
deposition taken on written questions pursuant to paragraph (e) of this 
section, shall submit such documents with the certified deposition.
    (5) Subject to paragraph (i)(6) of this section, a party or 
interested governmental participant may request that any or all 
documents on the index that have not already been entered into the 
Licensing Support System, and on which it intends to rely at hearing, be 
entered into the LSS by the deponent.
    (6) The deposing party or interested governmental participant shall 
assume the responsibility for the obligations set forth in paragraphs 
(i)(1), (i)(3), (i)(4), and (i)(5) of this section when deposing someone 
other than a party or interested governmental participant.
    (j) In a proceeding in which the NRC is a party, the NRC staff will 
make available one or more witnesses designated by the Executive 
Director for Operations, for oral examination at the hearing or on 
deposition regarding any matter, not privileged, which is relevant to 
the issues in the proceeding. The attendance and testimony of the 
Commissioners and named NRC personnel at a hearing or on deposition may 
not be required by the Presiding Officer, by subpoena or otherwise: 
Provided, That the Presiding Officer may, upon a showing of exceptional 
circumstances, such as a case in which a particular named NRC employee 
has direct personal knowledge of a material fact not known to the 
witnesses made available by the Executive Director for Operations and 
the testimony sought is not reasonably obtainable from another source by 
any party, require the attendance and testimony of named NRC personnel.

[54 FR 14944, Apr. 14, 1991, as amended at 56 FR 7797, Feb. 26, 1991]



Sec. 2.1020  Entry upon land for inspection.

    (a) Any party, potential party, or interested governmental 
participant may serve on any other party, potential party, or interested 
governmental participant a request to permit entry upon designated land 
or other property in the possession or control of the party, potential 
party, or interested governmental participant upon whom the request is 
served for the purpose of access to raw data, inspection and measuring, 
surveying, photographing, testing, or sampling the property or any 
designated object or operation thereon, within the scope of Sec. 2.1018 
of this subpart.
    (b) The request may be served on any party, potential party, or 
interested governmental participant without leave of the Commission or 
the Presiding Officer.
    (c) The request shall describe with reasonable particularity the 
land or other property to be inspected either by individual item or by 
category. The request shall specify a reasonable time, place, and manner 
of making the inspection and performing the related acts.
    (d) The party, potential party, or interested governmental 
participant upon whom the request is served shall serve on the party, 
potential party, or interested governmental participant submitting the 
request a written response within ten days after the service of the 
request. The response shall state, with respect to each item or 
category, that inspection and related activities will be permitted as 
requested, unless the request is objected to, in which case the reasons 
for objection

[[Page 112]]

shall be stated. If objection is made to part of an item or category, 
the part shall be specified.

[54 FR 14944, Apr. 14, 1991, as amended at 56 FR 7797, Feb. 26, 1991]



Sec. 2.1021  First prehearing conference.

    (a) In any proceeding involving an application for a license to 
receive and possess high-level radioactive waste at a geologic 
repository operations area pursuant to part 60 of this chapter the 
Commission or the Presiding Officer will direct the parties, interested 
governmetal participants and any petitioners for intervention, or their 
counsel, to appear at a specified time and place, within seventy days 
after the notice of hearing is published, or such other time as the 
Commission or the Presiding Officer may deem appropriate, for a 
conference to:
    (1) Permit identification of the key issues in the proceeding;
    (2) Take any steps necessary for further identification of the 
issues;
    (3) Consider all intervention petitions to allow the Presiding 
Officer to make such preliminary or final determination as to the 
parties and interested governmental participants, as may be appropriate;
    (4) Establish a schedule for further actions in the proceeding; and
    (5) Establish a discovery schedule for the proceeding taking into 
account the objective of meeting the three year time schedule specified 
in section 114(d) of the Nuclear Waste Policy Act of 1982, as amended, 
42 U.S.C. 10134(d).
    (b) The Presiding Officer may order any further formal and informal 
conferences among the parties and interested governmental participants 
including teleconferences, to the extent that it considers that such a 
conference would expedite the proceeding.
    (c) A prehearing conference held pursuant to this section shall be 
stenographically reported.
    (d) The Presiding Officer shall enter an order which recites the 
action taken at the conference, the schedule for further actions in the 
proceeding, and any agreements by the parties, and which identifies the 
key issues in the proceeding, makes a preliminary or final determination 
as to the parties and interested governmental participants in the 
proceeding, and provides for the submission of status reports on 
discovery.

[54 FR 14944, Apr. 14, 1991, as amended at 56 FR 7797, Feb. 26, 1991]



Sec. 2.1022  Second prehearing conference.

    (a) The Commission or the Presiding Officer in a proceeding on an 
application for a license to receive and possess high-level radioactive 
waste at a geologic repository operations area shall direct the parties, 
interested governmental participants, or their counsel to appear at a 
specified time and place not later than thirty days after the Safety 
Evaluation Report is issued by the NRC staff for a conference to 
consider:
    (1) Any amended contentions submitted under Sec. 2.1014(a)(4) of 
this subpart;
    (2) Simplification, clarification, and specification of the issues;
    (3) The obtaining of stipulations and admissions of fact and of the 
contents and authenticity of documents to avoid unnecessary proof;
    (4) Identification of witnesses and the limitation of the number of 
expert witnesses, and other steps to expedite the presentation of 
evidence;
    (5) The setting of a hearing schedule;
    (6) Establishing a discovery schedule for the proceeding taking into 
account the objective of meeting the three year time schedule specified 
in section 114(d) of the Nuclear Waste Policy Act of 1982, as amended, 
42 U.S.C. 10134(d); and
    (7) Such other matters as may aid in the orderly disposition of the 
proceeding.
    (b) A prehearing conference held pursuant to this section shall be 
stenographically reported.
    (c) The Presiding Officer shall enter an order which recites the 
action taken at the conference and the agreements by the parties, limits 
the issues or defines the matters in controversy to be determined in the 
proceeding, sets a discovery schedule, and sets the hearing schedule.

[54 FR 14944, Apr. 14, 1991, as amended at 56 FR 7797, Feb. 26, 1991]

[[Page 113]]



Sec. 2.1023  Immediate effectiveness.

    (a) Pending review and final decision by the Commission, an initial 
decision resolving all issues before the Presiding Officer in favor of 
issuance or amendment of a construction authorization pursuant to 
Sec. 60.31 of this chapter or a license to receive and possess high-
level radioactive waste at a geologic repository operations area 
pursuant to Sec. 60.41 of this chapter, will be immediately effective 
upon issuance except--
    (1) As provided in any order issued in accordance with Sec. 2.788 of 
this part that stays the effectiveness of an initial decision; or
    (2) As otherwise provided by the Commission in special 
circumstances.
    (b) The Director of Nuclear Material Safety and Safeguards, 
notwithstanding the filing or pendency of an appeal or a petition for 
review pursuant to Sec. 2.1015 of this subpart, promptly shall issue a 
construction authorization or a license to receive and possess high-
level radioactive waste at a geologic respository operations area, or 
amendments thereto, following an initial decision resolving all issues 
before the Presiding Officer in favor of the licensing action, upon 
making the appropriate licensing findings, except--
    (1) As provided in paragraph (c) of this section; or
    (2) As provided in any order issued in accordance with Sec. 2.788 of 
this part that stays the effectiveness of an initial decision; or
    (3) As otherwise provided by the Commission in special 
circumstances.
    (c)(1) Before the Director of Nuclear Material Safety and Safeguards 
may issue a construction authorization or a license to receive and 
possess waste at a geologic repository operations area in accordance 
with paragraph (b) of this section, the Commission, in the exercise of 
its supervisory authority over agency proceedings, shall undertake and 
complete a supervisory examination of those issues contested in the 
proceeding before the Presiding Officer to consider whether there is any 
significant basis for doubting that the facility will be constructed or 
operated with adequate protection of the public health and safety, and 
whether the Commission should take action to suspend or to otherwise 
condition the effectiveness of a Presiding Officer decision that 
resolves contested issues in a proceeding in favor of issuing a 
construction authorization or a license to receive and possess high-
level radioactive waste at a geologic repository operations area. This 
supervisory examination is not part of the adjudicatory proceeding. The 
Commission shall notify the Director in writing when its supervisory 
examination conducted in accordance with this paragraph has been 
completed.
    (2) Before the Director of Nuclear Material Safety and Safeguards 
issues a construction authorization or a license to receive and possess 
high-level radioactive waste at a geologic repository operations area, 
the Commission shall review those issues that have not been contested in 
the proceeding before the Presiding Officer but about which the Director 
must make appropriate findings prior to the issuance of such a license. 
The Director shall issue a construction authorization or a license to 
receive and possess high-level radioactive waste at a geologic 
repository operations area only after written notification from the 
Commission of its completion of its review under this paragraph and of 
its determination that it is appropriate for the Director to issue such 
a construction authorization or license. This Commission review of 
uncontested issues is not part of the adjudicatory proceeding.
    (3) No suspension of the effectiveness of a Presiding Officer's 
initial decision or postponement of the Director's issuance of a 
construction authorization or license that results from a Commission 
supervisory examination of contested issues under paragraph (c)(1) of 
this section or a review of uncontested issues under paragraph (c)(2) of 
this section will be entered except in writing with a statement of the 
reasons. Such suspension or postponement will be limited to such period 
as is necessary for the Commission to resolve the matters at issue. If 
the supervisory examination results in a suspension of the effectiveness 
of the Presiding Officer's initial decision under paragraph (c)(1) of 
this section, the Commission will take review of the decision sua sponte 
and further proceedings relative to the

[[Page 114]]

contested matters at issue will be in accordance with procedures for 
participation by the DOE, the NRC staff, or other parties and interested 
governmental participants to the Presiding Officer proceeding 
established by the Commission in its written statement of reasons. If a 
postponement results from a review under paragraph (c)(2) of this 
section, comments on the uncontested matters at issue may be filed by 
the DOE within ten days of service of the Commission's written 
statement.

[54 FR 14944, Apr. 14, 1991, as amended at 56 FR 7797, Feb. 26, 1991]



Sec. 2.1025  Authority of the Presiding Officer to dispose of certain issues on the pleadings.

    (a) Any party may move, with or without supporting affidavits, for a 
decision by the Presiding Officer in that party's favor as to all or any 
part of the matters involved in the proceeding. The moving party shall 
annex to the motion a separate, short, and concise statement of the 
material facts as to which the moving party contends that there is no 
genuine issue to be heard. Motions may be filed at any time. Any other 
party may file an answer supporting or opposing the motion, with or 
without affidavits, within twenty (20) days after service of the motion. 
The party shall annex to any answer opposing the motion a separate, 
short, and concise, statement of the material facts as to which it is 
contended there exists a genuine issue to be heard. All material facts 
set forth in the statement to be filed by the moving party will be 
deemed to be admitted unless controverted by the statement required to 
be filed by the opposing party. The opposing party may, within ten (10) 
days after service, respond in writing to new facts and arguments 
presented in any statement filed in support of the motion. No further 
supporting statements or responses thereto may be entertained. The 
Presiding Officer may dismiss summarily or hold in abeyance motions 
filed shortly before the hearing commences or during the hearing if the 
other parties or the Presiding Officer would be required to divert 
substantial resources from the hearing in order to respond adequately to 
the motion.
    (b) Affidavits must set forth those facts that would be admissible 
in evidence and show affirmatively that the affiant is competent to 
testify to the matters stated therein. The Presiding Officer may permit 
affidavits to be supplemented or opposed by further affidavits. When a 
motion for summary disposition is made and supported as provided in this 
section, a party opposing the motion may not rest upon the mere 
allegations or denials of its answer; its answer by affidavits or as 
otherwise provided in this section must set forth specific facts showing 
that there is a genuine issue of fact. If no such answer is filed, the 
decision sought, if appropriate, must be rendered.
    (c) The Presiding Officer shall render the decision sought if the 
filings in the proceeding show that there is no genuine issue as to any 
material fact and that the moving party is entitled to a decision as a 
matter of law. However, in any proceeding involving a construction 
authorization for a geologic repository operations area, the procedure 
described in this section may be used only for the determination of 
specific subordinate issues and may not be used to determine the 
ultimate issue as to whether the authorization must be issued.

[56 FR 7798, Feb. 26, 1991]



Sec. 2.1026  Schedule.

    (a) Subject to paragraphs (b) and (c) of this section, the Presiding 
Officer shall adhere to the schedule set forth in appendix D of this 
part.
    (b)(1) Pursuant to Sec. 2.711, the Presiding Officer may approve 
extensions of no more than 15 days beyond any required time set forth in 
this subpart for a filing by a party to the proceeding. Except in the 
case of exceptional and unforseen circumstances, requests for extensions 
of more than 15 days must be filed no later than 5 days in advance of 
the required time set forth in this subpart for a filing by a party to 
the proceeding.
    (2) Extensions beyond 15 days must be referred to the Commission. If 
the Commission does not disapprove the extension within 10 days of 
receiving the request, the extension will be effective. If the 
Commission disapproves the

[[Page 115]]

extension, the date which was the subject of the extension request will 
be set for 5 days after the Commission's disapproval action.
    (c)(1) The Presiding Officer may delay the issuance of an order up 
to thirty days beyond the time set forth for the issuance in appendix D.
    (2) If the Presiding Officer anticipates that the issuance of an 
order will not occur until after the thirty day extension specified in 
paragraph (c)(1) of this section, the Presiding Officer shall notify the 
Commission at least ten days in advance of the scheduled date for the 
milestone and provide a justification for the delay.

[56 FR 7798, Feb. 26, 1991]



Sec. 2.1027  Sua Sponte.

    In any initial decision in a proceeding on an application to receive 
and possess waste at a geologic repository operations area, the 
Presiding Officer, other than the Commission, shall make findings of 
fact and conclusions of law on, and otherwise give consideration to, 
only those matters put into controversy by the parties and determined to 
be litigable issues in the proceeding.

[56 FR 7798, Feb. 26, 1991]



Subpart K--Hybrid Hearing Procedures for Expansion of Spent Nuclear Fuel 
           Storage Capacity at Civilian Nuclear Power Reactors

Source: 50 FR 41670, Oct. 15, 1985, unless otherwise noted.



Sec. 2.1101  Purpose.

    The regulations in this subpart establish hybrid hearing procedures, 
as authorized by section 134 of the Nuclear Waste Policy Act of 1982 (96 
Stat. 2230), to be used at the request of any party in certain contested 
proceedings on applications for a license or license amendment to expand 
the spent nuclear fuel storage capacity at the site of a civilian 
nuclear power plant. These procedures are intended to encourage and 
expedite onsite expansion of spent nuclear fuel storage capacity.



Sec. 2.1103  Scope.

    The procedures in this subpart apply to contested proceedings on 
applications filed after January 7, 1983, for a license or license 
amendment under Part 50 of this chapter, to expand the spent fuel 
storage capacity at the site of a civilian nuclear power plant, through 
the use of high density fuel storage racks, fuel rod compaction, the 
transshipment of spent nuclear fuel to another civilian nuclear power 
reactor within the same utility system, the construction of additional 
spent nuclear fuel pool capacity or dry storage capacity, or by other 
means. This subpart also applies to proceedings on applications for a 
license under part 72 of this chapter to store spent nuclear fuel in an 
independent spent fuel storage installation located at the site of a 
civilian nuclear power reactor. This subpart shall not apply to the 
first application for a license or license amendment to expand the spent 
fuel storage capacity at a particular site through the use of a new 
technology not previously approved by the Commission for use at any 
other nuclear power plant.



Sec. 2.1105  Definitions.

    As used in this part:
    (a) Civilian nuclear power reactor means a civilian nuclear power 
plant required to be licensed as a utilization facility under section 
103 or 104(b) of the Atomic Energy Act of 1954.
    (b) Spent nuclear fuel means fuel that has been withdrawn from a 
nuclear reactor following irradiation, the constituent elements of which 
have not been separated by reprocessing.



Sec. 2.1107  Notice of proposed action.

    In connection with each application filed after January 7, 1983, for 
a license or an amendment to a license to expand the spent nuclear fuel 
storage capacity at the site of a civilian nuclear power plant, for 
which the Commission has not found that a hearing is required in the 
public interest, for which an adjudicatory hearing has not yet been 
convened, and for which a notice of proposed action has not yet been 
published as of the effective date of this subpart, the Commission will, 
prior to acting thereon, cause to be published in the Federal Register a

[[Page 116]]

notice of proposed action in accordance with Sec. 2.105. The notice of 
proposed action will identify the availability of the hybrid hearing 
procedures in this subpart, specify that any party may invoke these 
procedures by filing a timely request for oral argument under 
Sec. 2.1109, and provide that if a request for oral argument is granted, 
any hearing held on the application shall be conducted in accordance 
with the procedures in this subpart.



Sec. 2.1109  Requests for oral argument.

    (a)(1) Within ten (10) days after an order granting a request for 
hearing or petition for leave to intervene, any party may invoke the 
hybrid hearing procedures in this subpart by requesting an oral 
argument. Requests for oral argument shall be in writing and shall be 
filed with the presiding officer. The presiding officer shall grant a 
timely request for oral argument.
    (2) The presiding officer may grant an untimely request for oral 
argument only upon a showing of good cause by the requesting party for 
failure to file on time and after providing the other parties an 
opportunity to respond to the untimely request.
    (b) The presiding officer shall issue a written order ruling on any 
requests for oral argument. If the presiding officer grants a request 
for oral argument, the order shall include a schedule for discovery and 
subsequent oral argument with respect to the admitted contentions.
    (c) If no party to the proceeding requests oral argument, or if all 
untimely requests for oral argument are denied, the presiding officer 
shall conduct the proceeding in accordance with subpart G of 10 CFR part 
2.



Sec. 2.1111  Discovery.

    Discovery shall begin and end at such times as the presiding officer 
shall order. It is expected that all discovery shall be completed within 
90 days. The presiding officer may extend the time for discovery upon 
good cause shown based on exceptional circumstances and after providing 
the other parties an opportunity to respond to the request.



Sec. 2.1113  Oral argument.

    (a) Fifteen (15) days prior to the date set for oral argument, each 
party, including the NRC staff, shall submit to the presiding officer a 
detailed written summary of all the facts, data, and arguments which are 
known to the party at such time and on which the party proposes to rely 
at the oral argument either to support or to refute the existence of a 
genuine and substantial dispute of fact. Each party shall also submit 
all supporting facts and data in the form of sworn written testimony or 
other sworn written submission. Each party's written summary and 
supporting information shall be simultaneously served on all other 
parties to the proceeding.
    (b) Only facts and data in the form of sworn written testimony or 
other sworn written submission may be relied on by the parties during 
oral argument, and the presiding officer shall consider those facts and 
data only if they are submitted in that form.



Sec. 2.1115  Designation of issues for adjudicatory hearing.

    (a) After due consideration of the oral presentation and the written 
facts and data submitted by the parties and relied on at the oral 
argument, the presiding officer shall promptly by written order:
    (1) Designate any disputed issues of fact, together with any 
remaining issues of law, for resolution in an adjudicatory hearing; and
    (2) Dispose of any issues of law or fact not designated for 
resolution in an adjudicatory hearing.

With regard to each issue designated for resolution in an adjudicatory 
hearing, the presiding officer shall identify the specific facts that 
are in genuine and substantial dispute, the reason why the decision of 
the Commission is likely to depend on the resolution of that dispute, 
and the reason why an adjudicatory hearing is likely to resolve the 
dispute. With regard to issues not designated for resolution in an 
adjudicatory hearing, the presiding officer shall include a brief 
statement of the reasons for the disposition. If the presiding officer 
finds that there are no disputed issues of fact or law requiring 
resolution in an adjudicatory hearing,

[[Page 117]]

the presiding officer shall also dismiss the proceeding.
    (b) No issue of law or fact shall be designated for resolution in an 
adjudicatory hearing unless the presiding officer determines that:
    (1) There is a genuine and substantial dispute of fact which can 
only be resolved with sufficient accuracy by the introduction of 
evidence in an adjudicatory hearing; and
    (2) The decision of the Commission is likely to depend in whole or 
in part on the resolution of that dispute.
    (c) In making a determination under paragraph (b) of this section, 
the presiding officer shall not consider:
    (1) Any issue relating to the design, construction, or operation of 
any civilian nuclear power reactor already licensed to operate at the 
site, or any civilian nuclear power reactor for which a construction 
permit has been granted at the site, unless the presiding officer 
determines that any such issue substantially affects the design, 
construction, or operation of the facility or activity for which a 
license application, authorization, or amendment to expand the spent 
nuclear fuel storage capacity is being considered; or
    (2) Any siting or design issue fully considered and decided by the 
Commission in connection with the issuance of a construction permit or 
operating license for a civilian nuclear power reactor at that site, 
unless (i) such issue results from any revision of siting or design 
criteria by the Commission following such decision; and (ii) the 
presiding officer determines that such issue substantially affects the 
design, construction, or operation of the facility or activity for which 
a license application, authorization, or amendment to expand the spent 
nuclear fuel storage capacity is being considered.
    (d) The provisions of paragraph (c) of this section shall apply only 
with respect to licenses, authorizations, or amendments to licenses or 
authorizations applied for under the Atomic Energy Act of 1954, as 
amended, before December 31, 2005.
    (e) Unless the presiding officer disposes of all issues and 
dismisses the proceeding, appeals from the presiding officer's order 
disposing of issues and designating one or more issues for resolution in 
an adjudicatory hearing are interlocutory and must await the end of the 
proceeding.

[50 FR 41671, Oct. 15, 1985; 50 FR 45398, Oct. 31, 1985]



Sec. 2.1117  Applicability of other sections.

    In proceedings subject to this subpart, the provisions of subparts A 
and G of 10 CFR part 2 are also applicable, except where inconsistent 
with the provisions of this subpart.



 Subpart L--Informal Hearing Procedures for Adjudications in Materials 
                   and Operator Licensing Proceedings

    Source: 54 FR 8276, Feb. 28, 1989, unless otherwise noted.



Sec. 2.1201  Scope of subpart.

    (a) The general rules of this subpart govern procedure in any 
adjudication initiated by a request for a hearing in a proceeding for--
    (1) The grant, transfer, renewal, or licensee-initiated amendment of 
a materials license subject to parts 30, 32 through 35, 39, 40, or 70 of 
this chapter; or
    (2) The grant, renewal, or licensee-initiated amendment of an 
operator or senior operator license subject to part 55 of this chapter.
    (3) The amendment of a Part 50 license following permanent removal 
of fuel from the Part 50 facility to an authorized facility for 
licensees that have previously made declarations related to permanent 
cessation of operations and permanent removal of fuel from the reactor 
in accordance with Sec. 50.82(a)(1). Subpart L hearings for the license 
termination plan amendment, if conducted, must be completed before 
license termination.
    (b) Any adjudication regarding, (1) a materials license subject to 
parts 30, 32 through 35, 39, 40, or 70, or an operator or senior 
operator license subject to part 55 that is initiated by a notice of 
hearing issued under Sec. 2.104, or (2) a notice of proposed action 
under Sec. 2.105, or a request for hearing under subpart B of 10 CFR 
part 2 on an order or a civil

[[Page 118]]

penalty, is to be conducted in accordance with the procedures set forth 
in subpart G of 10 CFR part 2.

[57 FR 4153, Feb. 4, 1992, as amended at 61 FR 39297, July 29, 1996]



Sec. 2.1203  Docket; filing; service.

    (a) The Secretary shall maintain a docket for each adjudication 
subject to this subpart, commencing with the filing of a request for a 
hearing. All papers, including any request for a hearing, petition for 
leave to intervene, correspondence, exhibits, decisions, and orders, 
submitted or issued in the proceeding; the hearing file compiled in 
accordance with Sec. 2.1231; and the transcripts of any oral 
presentations or oral questioning made in accordance with Sec. 2.1235 or 
in connection with any appeal under this subpart must be filed with the 
Office of the Secretary and must be included in the docket. The public 
availability of official records relating to the proceeding is governed 
by Sec. 2.790.
    (b) Documents are filed with the Office of the Secretary in 
adjudications subject to this subpart either--
    (1) By delivery to the Docketing and Service Branch of the Office of 
the Secretary at One White Flint North, 11555 Rockville Pike, Rockville, 
MD 20852; or
    (2) By mail or telegram addressed to the Secretary, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, Attention: Docketing and 
Service Branch.
    Filing by mail or telegram is complete as of the time of deposit in 
the mail or with the telegraph company. Filing by other means is 
complete as of the time of delivery to the Docketing and Service Branch 
of the Office of the Secretary.
    (c) Each document submitted for filing in an adjudication subject to 
this part, other than an exhibit, must be legibly typed, must bear the 
docket number and the title of the proceeding, and, if it is the first 
document filed by that participant, must designate the name and address 
of a person upon whom service can be made. The document also must be 
signed in accordance with Sec. 2.708(c). A document, other than 
correspondence, must be filed in an original and two conforming copies. 
Documents filed by telegram are governed by Sec. 2.708(f). A document 
that fails to conform to these requirements may be refused acceptance 
for filing and may be returned with an indication of the reason for 
nonacceptance. Any document tendered but not accepted for filing may not 
be entered in the docket.
    (d) Computation of time and extension and reduction of time limits 
is done in accordance with Secs. 2.710-2.711.
    (e) A request for a hearing or petition for leave to intervene must 
be served in accordance with Sec. 2.712 and Sec. 2.1205(f) and (R). All 
other documents issued by the presiding officer or the Commission or 
offered for filing are served in accordance with Sec. 2.712.

[54 FR 8276, Feb. 28, 1989, as amended at 61 FR 39297, July 29, 1996]



Sec. 2.1205  Request for a hearing; petition for leave to intervene.

    (a) Any person whose interest may be affected by a proceeding for 
the grant, transfer, renewal, or licensee-initiated amendment of a 
license subject to this subpart may file a request for a hearing.
    (b) An applicant for a license, a license amendment, a license 
transfer, or a license renewal who is issued a notice of proposed denial 
or a notice of denial and who desires a hearing shall file the request 
for the hearing within the time specified in Sec. 2.103 in all cases. An 
applicant may include in the request for hearing a request that the 
presiding officer recommend to the Commission that procedures other than 
those authorized under this subpart be used in the proceeding, provided 
that the applicant identifies the special factual circumstances or 
issues which support the use of other procedures.
    (c) For amendments of Part 50 licenses under Sec. 2.1201(a)(3), a 
notice of receipt of the application, with reference to the opportunity 
for a hearing under the procedures set forth in this subpart, must be 
published in the Federal Register at least 30 days prior to issuance of 
the requested amendment by the Commission.
    (d) A person, other than an applicant, shall file a request for a 
hearing within--
    (1) Thirty days of the agency's publication in the Federal Register 
of a

[[Page 119]]

notice referring or relating to an application or the licensing action 
requested by an application, which must include a reference to the 
opportunity for a hearing under the procedures set forth in this 
subpart. With respect to an amendment described in Sec. 2.1201(a)(3), 
other than the one to terminate the license, the Commission, prior to 
issuance of the requested amendment, will follow the procedures in 
Sec. 50.91 and Sec. 50.92(c) to the extent necessary to make a 
determination on whether the amendment involves a significant hazards 
consideration. If the Commission finds there are significant hazards 
considerations involved in the requested amendment, the amendment will 
not be issued until any hearings under this paragraph are completed.
    (2) If a Federal Register notice is not published in accordance with 
paragraph (d)(1), the earliest of--
    (i) Thirty days after the requester receives actual notice of a 
pending application, or
    (ii) Thirty days after the requester receives actual notice of an 
agency action granting an application in whole or in part, or
    (iii) One hundred and eighty days after agency action granting an 
application in whole or in part.
    (e) The request for a hearing filed by a person other than an 
applicant must describe in detail--
    (1) The interest of the requestor in the proceeding;
    (2) How the interests may be affected by the results of the 
proceeding, including the reasons why the requestor should be permitted 
a hearing, with particular reference to the factors set out in paragraph 
(h) of this section;
    (3) The requestor's areas of concern about the licensing activity 
that is the subject matter of the proceeding; and
    (4) The circumstances establishing that the request for a hearing is 
timely in accordance with paragraph (d) of this section.
    (f) Each request for a hearing must be served, by delivering it 
personally or by mail to--
    (1) The applicant (unless the requestor is the applicant); and
    (2) The NRC staff, by delivery to the Executive Director for 
Operations, One White Flint North, 11555 Rockville Pike, Rockville, MD 
20852, or by mail addressed to the Executive Director for Operations, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555.
    (g) Within ten (10) days of service of a request for a hearing filed 
under paragraph (c) of this section, the applicant may file an answer. 
The NRC staff, if it chooses or is ordered to participate as a party in 
accordance with Sec. 2.1213, may file an answer to a request for a 
hearing within ten (10) days of the designation of the presiding 
officer.
    (h) In ruling on a request for a hearing filed under paragraph (d) 
of this section, the presiding officer shall determine that the 
specified areas of concern are germane to the subject matter of the 
proceeding and that the petition is timely. The presiding officer also 
shall determine that the requestor meets the judicial standards for 
standing and shall consider, among other factors--
    (1) The nature of the requestor's right under the Act to be made a 
party to the proceeding;
    (2) The nature and extent of the requestor's property, financial, or 
other interest in the proceeding; and
    (3) The possible effect of any order that may be entered in the 
proceeding upon the requestor's interest.
    (i) If a hearing request filed under paragraph (b) of this section 
is granted, the applicant and the NRC staff shall be parties to the 
proceeding. If a hearing request filed under paragraph (c) or (d) of 
this section is granted, the requestor shall be a party to the 
proceeding along with the applicant and the NRC staff, if the NRC staff 
chooses or is ordered to participate as a party in accordance with 
Sec. 2.1213.
    (j) If a request for hearing is granted and a notice of the kind 
described in paragraph (d)(1) previously has not been published in the 
Federal Register, a notice of hearing must be published in the Federal 
Register stating--
    (1) The time, place, and nature of the hearing;
    (2) The authority under which the hearing is to be held;
    (3) The matters of fact and law to be considered;
    (4) The time within which any other person whose interest may be 
affected

[[Page 120]]

by the proceeding may petition for leave to intervene, as specified in 
paragraph (j) of this section; and
    (5) The time within which a request to participate under 
Sec. 2.1211(b) must be filed.
    (k) Any petition for leave to intervene must be filed within 30 days 
of the date of publication of the notice of hearing. The petition must 
set forth the information required under paragraph (e) of this section.
    (1) A petition for leave to intervene must be served upon the 
applicant. The petition also must be served upon the NRC staff--
    (i) By delivery to the Executive Director for Operations, One White 
Flint North, 11555 Rockville Pike, Rockville, MD 20852; or
    (ii) By mail addressed to the Executive Director for Operations, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555.
    (2) Within ten (10) days of service of a petition for leave to 
intervene, the applicant and the NRC staff, if the staff chooses or is 
ordered to participate as a party in accordance with Sec. 2.1213, may 
file an answer.
    (3) Thereafter, the petition for leave to intervene must be ruled 
upon by the presiding officer, taking into account the matters set forth 
in paragraph (h) of this section.
    (4) If the petition is granted, the petitioner becomes a party to 
the proceeding.
    (l)(1) A request for a hearing or a petition for leave to intervene 
found by the presiding officer to be untimely under paragraph (d) or (k) 
of this section will be entertained only upon determination by the 
Commission or the presiding officer that the requestor or petitioner has 
established that--
    (i) The delay in filing the request for a hearing or the petition 
for leave to intervene was excusable; and
    (ii) The grant of the request for a hearing or the petition for 
leave to intervene will not result in undue prejudice or undue injury to 
any other participant in the proceeding, including the applicant and the 
NRC staff, if the staff chooses or is ordered to participate as a party 
in accordance with Sec. 2.1213.
    (2) If the request for a hearing on the petition for leave to 
intervene is found to be untimely and the requestor or petitioner fails 
to establish that it otherwise should be entertained on the paragraph 
(l)(1) of this section, the request or petition will be treated as a 
petition under Sec. 2.206 and referred for appropriate disposition.
    (m) The filing or granting of a request for a hearing or petition 
for leave to intervene need not delay NRC staff action regarding an 
application for a licensing action covered by this subpart.
    (n) An order granting a request for a hearing or a petition for 
leave to intervene may condition or limit participation in the interest 
of avoiding repetitive factual presentations and argument.
    (o) If the presiding officer denies a request for a hearing or a 
petition for leave to intervene in its entirety, the action is 
appealable within ten (10) days of service of the order on the question 
whether the request for a hearing or the petition for leave to intervene 
should have been granted in whole or in part. If a request for a hearing 
or a petition for leave to intervene is granted, parties other than the 
requestor or petitioner may appeal that action within ten (10) days of 
service of the order on the question whether the request for a hearing 
or the petition for leave to intervene should have been denied in its 
entirety. An appeal may be taken by filing and serving upon all parties 
a statement that succinctly sets out, with supporting argument, the 
errors alleged. The appeal may be supported or opposed by any party by 
filing a counter-statement within fifteen (15) days of the service of 
the appeal brief.

[54 FR 8276, Feb. 28, 1989, as amended at 55 FR 36806, Sept. 7, 1990; 59 
FR 29189, June 6, 1994; 61 FR 39297, July 29, 1996]



Sec. 2.1207  Designation of presiding officer.

    (a) Unless otherwise ordered by the Commission or as provided in 
paragraph (b) of this section, within ten (10) days of receiving from 
the Office of the Secretary a request for a hearing relating to a 
licensing proceeding covered by this subpart, the Chairman of the

[[Page 121]]

Atomic Safety and Licensing Board Panel shall issue an order designating 
a single member of the panel to rule on the request for a hearing and, 
if necessary, to serve as the presiding officer to conduct the hearing.
    (b) For any request for hearing relating to an application under 10 
CFR part 70 to receive and store unirradiated fuel at the site of a 
production or utilization facility that also is the subject of a 
proceeding under subpart G of this part for the issuance of an operating 
license, within ten (10) days of receiving from the Office of the 
Secretary a request for a hearing the Chairman of the Atomic Safety and 
Licensing Board Panel shall issue an order designating a Licensing Board 
conducting the operating license proceeding to rule on the request for a 
hearing and, if necessary, to conduct the hearing in accordance with 
this subpart. Upon certification to the Commission by the Licensing 
Board designated to conduct the hearing that the matters presented for 
adjudication by the parties with respect to the part 70 application are 
substantially the same as those being heard in the pending proceeding 
under 10 CFR part 50, the Licensing Board may conduct the hearing in 
accordance with the procedures in subpart G.



Sec. 2.1209  Power of presiding officer.

    A presiding officer has the duty to conduct a fair and impartial 
hearing according to law, to take appropriate action to avoid delay, and 
to maintain order. The presiding officer has all powers necessary to 
those ends, including the power to--
    (a) Regulate the course of the hearing and the conduct of the 
participants;
    (b) Dispose of procedural requests or similar matters;
    (c) Hold conferences before or during the hearing for settlement, 
simplification of the issues, or any other proper purpose;
    (d) Certify questions to the Commission for determination, either in 
the presiding officer's discretion or on direction of the Commission;
    (e) Reopen a closed record for the reception of further information 
at any time prior to initial decision in accordance with Sec. 2.734;
    (f) Administer oaths and affirmations;
    (g) Issue initial decisions;
    (h) Issue subpoenas requiring the attendance and testimony of 
witnesses at the hearing or the production of documents for the hearing;
    (i) Receive written or oral evidence and take official notice of any 
fact in accordance with Sec. 2.743(i);
    (j) Appoint special assistants from the Atomic Safety and Licensing 
Board Panel in accordance with Sec. 2.722;
    (k) Recommend to the Commission that procedures other than those 
authorized under this subpart be used in a particular proceeding; and
    (l) Take any other action consistent with the Act and this chapter.

[54 FR 8276, Feb. 28, 1989, as amended at 56 FR 29411, June 27, 1991]



Sec. 2.1211  Participation by a person not a party.

    (a) The presiding officer may permit a person who is not a party to 
make a limited appearance in order to state his or her views on the 
issues. Limited appearances may be in writing or oral, at the discretion 
of the presiding officer, and are governed by rules adopted by the 
presiding officer. A limited appearance statement is not to be 
considered part of the decisional record under Sec. 2.1251(c).
    (b) Within 30 days of an order granting a request for a hearing made 
under Sec. 2.1205 (b)-(d) or, in instances when it is published, within 
30 days of notice of hearing issued under Sec. 2.1205(j), the 
representative of the interested State, county, municipality, or an 
agency thereof, may request an opportunity to participate in a 
proceeding under this subpart. The request for an opportunity to 
participate must state with reasonable specificity the requestor's areas 
of concern about the licensing activity that is the subject matter of 
the proceeding. Upon receipt of a request that is filed in accordance 
with these time limits and that specifies the requestor's areas of 
concern, the presiding officer shall afford the representative a 
reasonable opportunity to make written and oral presentations in 
accordance with Secs. 2.1233 and 2.1235, without requiring the 
representative to

[[Page 122]]

take a position with respect to the issues. Participants under this 
subsection may notice an appeal of an initial decision in accordance 
with Sec. 2.1253 with respect to any issue on which they participate.

[54 FR 8276, Feb. 28, 1989, as amended at 61 FR 39298, July 29, 1996]



Sec. 2.1213  Role of the NRC staff.

    If a hearing request is filed under Sec. 2.1205(b), the NRC staff 
shall be a party to the proceeding. If a hearing request is filed under 
Sec. 2.1205 (c) or (d), within 10 days of the designation of a presiding 
officer pursuant to Sec. 2.1207, the NRC staff shall notify the 
presiding officer whether or not the staff desires to participate as a 
party to the adjudication. In addition, upon a determination by the 
presiding officer that the resolution of any issue in the proceeding 
would be aided materially by the staff's participation in the proceeding 
as a party, the presiding officer may order or permit the NRC staff to 
participate as a party with respect to that particular issue.

[61 FR 39298, July 29, 1996]



Sec. 2.1215  Appearance and practice.

    (a) An individual may appear in an adjudication under this subpart 
on his or her own behalf or by an attorney-at-law. Representation by an 
attorney-at-law is not necessary in order for an organization or a 
Sec. 2.1211(b) participant to appear in an adjudication conducted under 
this subpart. If the representative of an organization is not an 
attorney-at-law, he or she shall be a member or officer of the 
organization represented. Upon request of the presiding officer, an 
individual acting as a representative shall provide appropriate 
information establishing the basis of his or her authority to act in a 
representational capacity.
    (b) Any action to reprimand, censure, or suspend a party, a 
Sec. 2.1211(b) participant, or the representative of a party or a 
Sec. 2.1211(b) participant must be in accordance with the procedures in 
Sec. 2.713(c).

                                Hearings



Sec. 2.1231  Hearing file; prohibition on discovery.

    (a) Within thirty (30) days of the presiding officer's entry of an 
order granting a request for a hearing, the NRC staff shall file in the 
docket, present to the presiding officer, and make available to the 
applicant and any other party to the proceeding a hearing file. 
Thereafter, within ten (10) days of the date a petition for leave to 
intervene or a request to participate under Sec. 2.1211(b) is granted, 
the NRC staff shall make the hearing file available to the petitioner or 
the Sec. 2.1211(b) participant.
    (1) The hearing file must be made available to the applicant and any 
other party or Sec. 2.1211(b) participant to the proceeding either by--
    (i) Service in accordance with Sec. 2.1203(e); or
    (ii) Placing the file in an established local public document room 
in the vicinity of the principal location where nuclear material that is 
the subject of a proceeding under this subpart will be possessed, and 
informing the applicant, party, or Sec. 2.1211(b) participant in writing 
of its action and the location of the file. If an established local 
public document room does not exist, the NRC staff will arrange for the 
documents contained in the hearing file, along with any other material 
docketed in accordance with Sec. 2.1203, to be made available for public 
inspection and copying during the course of the adjudication in a 
library or other facility that is accessible to the general public 
during regular business hours and is in the vicinity of the principal 
location where the nuclear material that is the subject of the 
proceeding will be possessed.
    (2) The hearing file also must be made available for public 
inspection and copying during regular business hours at the NRC Public 
Document Room in Washington, DC.
    (b) The hearing file will consist of the application and any 
amendment thereto, any NRC environmental impact statement or assessment 
relating to the application, and any NRC report and any correspondence 
between the

[[Page 123]]

applicant and the NRC that is relevant to the application. Hearing file 
documents already in an established local public document room or the 
NRC Public Document Room when the hearing request is granted may be 
incorporated into the hearing file at those locations by a reference 
indicating where at those locations the documents can be found. The 
presiding officer shall rule upon any issue regarding the appropriate 
materials for the hearing file.
    (c) The NRC staff has a continuing duty to keep the hearing file up 
to date with respect to the materials set forth in paragraph (b) of this 
section and to provide those materials for the docket, the presiding 
officer, and the applicant or any party or Sec. 2.1211(b) participant in 
a manner consistent with the way the hearing file was made available 
initially under paragraph (a).
    (d) A party or Sec. 2.1211(b) participant may not seek discovery 
from any other party, Sec. 2.1211(b) participant, or the NRC or its 
personnel, whether by document production, deposition, interrogatories, 
or otherwise.



Sec. 2.1233  Written presentations; written questions.

    (a) After publication of a notice of hearing in accordance with 
Sec. 2.1205(i) and after the NRC staff has made the hearing file 
available in accordance with Sec. 2.1231, the parties and Sec. 2.1211(b) 
participants shall be afforded the opportunity to submit, under oath or 
affirmation, written presentations of their arguments and documentary 
data, informational material, and other supporting written evidence at 
the time or times and in the sequence the presiding officer establishes 
by appropriate order. The presiding officer also may, on his or her 
initiative, submit written questions to the parties to be answered in 
writing, under oath or affirmation, and supported by appropriate 
documentary data, informational material, or other written evidence.
    (b) In a hearing initiated under Sec. 2.1205(b), the initial written 
presentation of the applicant that is issued a notice of proposed denial 
or a notice of denial must describe in detail any deficiency or omission 
in the agency's denial or proposed denial of its application and what 
relief is sought with respect to each deficiency or omission.
    (c) In a hearing initiated under Sec. 2.1205(d), the initial written 
presentation of a party that requested a hearing or petitioned for leave 
to intervene must describe in detail any deficiency or omission in the 
license application, with references to any particular section or 
portion of the application considered deficient, give a detailed 
statement of reasons why any particular sections or portion is deficient 
or why an omission is material, and describe in detail what relief is 
sought with respect to each deficiency or omission.
    (d) A party or Sec. 2.1211(b) participant making an initial written 
presentation under this section shall submit with its presentation or 
identify by reference to a generally available publication or source, 
such as the hearing file, all documentary data, informational material, 
or other written evidence upon which it relies to support or illustrate 
each omission or deficiency complained of. Thereafter, additional 
documentary data, informational material, or other written evidence may 
be submitted or referenced by any party, other than the NRC staff, or by 
any Sec. 2.1211(b) participant in a written presentation or in response 
to a written question only as the presiding officer, in his or her 
discretion, permits.
    (e) Strict rules of evidence do not apply to written submissions 
under this section, but the presiding officer may, on motion or on the 
presiding officer's own initiative, strike any portion of a written 
presentation or a response to a written question that is cumulative, 
irrelevant, immaterial, or unreliable.

[54 FR 8276, Feb. 28, 1989, as amended at 61 FR 39298, July 29, 1996]



Sec. 2.1235  Oral presentations; oral questions.

    (a) Upon a determination that it is necessary to create an adequate 
record for decision, in his or her discretion the presiding officer may 
allow or require oral presentations by any party or Sec. 2.1211(b) 
participant, including testimony by witnesses. Oral presentations are 
subject to any appropriate time limits the presiding officer imposes. 
Responsibility for the conduct of the

[[Page 124]]

examination of any witness rests with the presiding officer who may 
allow a party or Sec. 2.1211(b) participant to propose questions for the 
presiding officer to pose to a witness.
    (b) Oral presentations and responses to oral questioning to be 
relied upon as oral evidence must be given under oath or affirmation. 
All oral presentations or oral questioning must be stenographically 
reported and, except as requested pursuant to section 181 of the Act, 
must be public unless otherwise ordered by the Commission.
    (c) Strict rules of evidence do not apply to oral submissions under 
this section, but the presiding officer may, on motion or on the 
presiding officer's own initiative, strike any portion of an oral 
presentation or a response to oral questioning that is cumulative, 
irrelevant, immaterial, or unreliable.

[54 FR 8279, Feb. 28, 1989; 54 FR 53035, Dec. 26, 1989]



Sec. 2.1237  Motions; burden of proof.

    (a) Motions presented in the proceeding must be presented and 
disposed of in accordance with Secs. 2.730 (a)-(g).
    (b) Unless otherwise ordered by the presiding officer, the applicant 
or the proponent of an order has the burden of proof.



Sec. 2.1239  Consideration of Commission rules and regulations in informal adjudications.

    (a) Except as provided in paragraph (b) of this section, any 
regulation of the Commission issued in its program for the licensing and 
regulation of production and utilization facilities, source material, 
special nuclear material, or byproduct material may not be challenged in 
any adjudication subject to this subpart.
    (b) A party to an adjudication subject to this subpart may petition 
that the application of a Commission regulation specified in paragraph 
(a) of this section be waived or an exception made for the particular 
proceeding. The sole ground for a request for waiver or exception must 
be that special circumstances exist so that application of the 
regulation to the subject matter of the proceeding would not serve the 
purposes for which the regulation was adopted. In the absence of a prima 
facie showing of special circumstances, the presiding officer may not 
further consider the matter. If the presiding officer determines that a 
prima facie showing has been made, he or she shall certify directly to 
the Commission itself for determination the matter of whether special 
circumstances support a waiver or an exception and whether a waiver or 
an exception should be granted. The Commission's determination shall be 
made after any further proceeding the Commission deems appropriate.



Sec. 2.1241  Settlement of proceedings.

    The fair and reasonable settlement of proceedings subject to this 
subpart is encouraged. A settlement must be approved by the presiding 
officer or the Commission as appropriate in order to be binding in the 
proceeding.

[56 FR 29411, June 27, 1991]

         Initial Decision, Commission Review, And Final Decision



Sec. 2.1251  Initial decision and its effect.

    (a) Unless the Commission directs that the record be certified to it 
in accordance with paragraph (b) of this section, the presiding officer 
shall render an initial decision after completion of an informal hearing 
under this subpart. That initial decision constitutes the final action 
of the Commission thirty (30) days after the date of issuance, unless 
any party petitions for Commission review in accordance with Sec. 2.786 
or the Commission takes review of the decision sua sponte.
    (b) The Commission may direct that the presiding officer certify the 
record to it without an initial decision and may omit an initial 
decision and prepare a final decision upon a finding that due and timely 
execution of its functions so requires.
    (c) An initial decision must be in writing and must be based only 
upon information in the record or facts officially noticed. The record 
must include all information submitted in the proceeding with respect to 
which all parties have been given reasonable prior notice and an 
opportunity to comment. The initial decision must include--
    (1) Findings, conclusions, and rulings, with the reasons or basis 
for

[[Page 125]]

them, on all material issues of fact, law, or discretion presented on 
the record;
    (2) The appropriate ruling, order, or denial of relief with its 
effective date; and
    (3) The time within which a petition for review may be filed, the 
time within which any answer to a petition for review may be filed, and 
the date when the decision becomes final in the absence of the 
Commission taking review of the decision.
    (d) Matters not put into controversy by the parties may not be 
examined and decided by the presiding officer. If the presiding officer 
believes that a serious safety, environmental, or common defense and 
security matter exists that has not been placed in controversy, the 
presiding officer shall advise the Commission promptly of the basis for 
that view, and the Commission may take appropriate action.
    (e) Pending review and final decision by the Commission, an initial 
decision resolving all issues before the presiding officer in favor of 
authorizing licensing action subject to this subpart is immediately 
effective upon issuance except--
    (1) As provided in any order issued in accordance with Sec. 2.1263 
that stays the effectiveness of an initial decision; or
    (2) As otherwise provided by the Commission in special 
circumstances.
    (f) Following an initial decision resolving all issues in favor of 
the licensing action as specified in paragraph (e) of this section, the 
Director of Nuclear Reactor Regulation or the Director of Nuclear 
Material Safety and Safeguards, as appropriate, notwithstanding the 
filing of a petition for review or pendency of any review taken by the 
Commission pursuant to Sec. 2.786, shall take the appropriate licensing 
action upon making the appropriate licensing findings promptly, except 
as may be provided pursuant to paragraph (e)(1) or (2) of this section.

[54 FR 8280, Feb. 28, 1989; 54 FR 53035, Dec. 26, 1989; 56 FR 29411, 
June 27, 1991]



Sec. 2.1253  Petitions for review of initial decisions.

    Parties and Sec. 2.1211(b) participants may petition for review of 
an initial decision under this subpart in accordance with the procedures 
set out in Secs. 2.786 and 2.763 or the Commission may review the 
decision on its own motion. Commission review will be conducted in 
accordance with those procedures the Commission deems appropriate. The 
filing of a petition for review is mandatory for a party to exhaust its 
administrative remedies before seeking judicial review.

[56 FR 29411, June 27, 1991]



Sec. 2.1259  Final decision; petition for reconsideration.

    (a) Commission action to render a final decision must be in 
accordance with Sec. 2.770.
    (b) The provisions of Sec. 2.771 govern the filing of petitions for 
reconsideration.



Sec. 2.1261  Authority of the Secretary to rule on procedural matters.

    The Secretary or the Assistant Secretary may rule on procedural 
matters relating to proceedings conducted by the Commission itself under 
this subpart to the same extent they can do so under Sec. 2.772 for 
proceedings under subpart G.



Sec. 2.1263  Stays of NRC staff licensing actions or of decisions of a presiding officer or the Commission pending hearing or review.

    Applications for a stay of any decision or action of the Commission, 
a presiding officer, or any action by the NRC staff in issuing a license 
in accordance with Sec. 2.1205(m) are governed by Sec. 2.788, except 
that any request for a stay of staff licensing action pending completion 
of an adjudication under this subpart must be filed at the time a 
request for a hearing or petition to intervene is filed or within 10 
days of the staff's action, whichever is later. A request for a stay of 
a staff licensing

[[Page 126]]

action must be filed with the adjudicatory decisionmaker before which 
the licensing proceeding is pending.

[61 FR 39298, July 29, 1996]

Appendix A to Part 2--Statement of General Policy and Procedure: Conduct 
 of Proceedings for the Issuance of Construction Permits and Operating 
 Licenses for Production and Utilization Facilities for Which a Hearing 
  is Required Under Section 189a of the Atomic Energy Act of 1954, as 
                                Amended*

    The following statement of general policy and procedure explains in 
detail the procedures which the Nuclear Regulatory Commission expects to 
be followed by atomic safety and licensing boards in the conduct of 
proceedings relating to the issuance of construction permits for nuclear 
power and test reactors and other production or utilization facilities 
for which a hearing is mandatory under section 189a of the Atomic Energy 
Act of 1954, as amended (the Act) and the Energy Reorganization Act of 
1974.\1\ The provisions are also applicable to proceedings for the 
issuance of operating licenses for such facilities, except as the 
context would otherwise indicate, or except as indicated in section 
VIII. Section VIII sets out the procedures specifically applicable to 
operating license proceedings. The Statement reflects the Commission's 
intent that such proceedings be conducted expeditiously and its concern 
that its procedures maintain sufficient flexibility to accommodate that 
objective. This position is founded upon the recognition that fairness 
to all the parties in such cases and the obligation of administrative 
agencies to conduct their functions with efficiency and economy, require 
that Commission adjudications be conducted without unnecessary delays. 
These factors take on added importance in nuclear power reactor 
licensing proceedings where the growing national need for electric power 
and the companion need for protecting the quality of the environment 
call for decision making which is both sound and timely. The Commission 
expects that its responsibilities under the Atomic Energy Act of 1954, 
the National Environmental Policy Act of 1969 and other applicable 
statutes, as set out in the statement which follows, will be carried out 
in a manner consistent with this position in the overall public 
interest.
---------------------------------------------------------------------------

    *In the event of any conflict between the provisions of this 
appendix and any section of this part, the section governs.
    \1\Except as the context may otherwise indicate, this statement is 
also generally applicable to licensing proceedings of the type described 
in the statement which may be conducted by a hearing examiner as the 
presiding officer.
---------------------------------------------------------------------------

    Atomic safety and licensing boards are appointed from time to time 
by the Commission or the Chairman of the Atomic Safety and Licensing 
Board Panel to conduct hearings in licensing cases under the authority 
of section 191 of the Act. Section 191 authorizes the Commission to 
establish one or more atomic safety and licensing boards to conduct 
public hearings and to make intermediate or final decisions in 
administrative proceedings relating to granting, suspending, revoking or 
amending licenses issued by the Commission. It requires that each board 
consist of one member who is qualified in the conduct of administrative 
proceedings and two members who have such technical or other 
qualifications as the Commission deems appropriate to the issues to be 
decided. Members of each board may be appointed by the Commission or by 
the Chairman of the Atomic Safety and Licensing Board Panel from a panel 
selected from private life, the staff of the Commission or other Federal 
agencies.
    An Atomic Safety and Licensing Board may at its discretion appoint 
special assistants to the Board from the membership of the Atomic Safety 
and Licensing Board Panel established by the Commission. These special 
assistants are to be employed to facilitate the hearing process and 
improve the quality of the record produced for review. The special 
assistants may serve as technical interrogators in their individual 
fields of expertise, alternate Atomic Safety and Licensing Board members 
to sit with the Board and participate in the evidentiary sessions on the 
issue for which the alternate members were designated, Special Masters 
to hear evidentiary presentations by the parties on specific technical 
matters upon the consent of all parties, or informal consultants to 
brief the board prior to the hearing on the general technical background 
of subjects involving complex issues. The term ``alternate board 
member'' as a ``special assistant'' within the meaning of 10 CFR 
2.722(a)(3) should not be confused with the use of the term 
``alternate'' in 10 CFR 2.721(b). In the latter situation the 
``alternate'' is a substitute for a member of a Board who becomes 
unavailable. As a special assistant, the ``alternate'' sits with the 
three-member Board and not instead of the Board or any of its members.

                         I. Preliminary Matters

    (a) A public hearing is announced by the issuance of a notice of 
hearing, published in the Federal Register as soon as practicable after 
the application has been docketed, signed by the Secretary of the 
Commission

[[Page 127]]

stating the nature of the hearing and the issues to be considered. The 
time and place of the first prehearing conference pursuant to 
Sec. 2.751a will ordinarily be stated in the notice of hearing. Unless 
the initial notice of hearing states the time and place of the hearing, 
and the Chairman and other members of the Atomic Safety and Licensing 
Board that will conduct the hearing, those matters will be the subject 
of further notice in the Federal Register after publication of the 
initial notice of hearing. It is the Commission's policy and practice to 
begin the evidentiary hearing in the vicinity of the site of the 
proposed facility. The notice of hearing also states the procedures 
whereby persons may seek to intervene or make a limited appearance and 
explains the differences between those forms of participation in the 
proceeding, and states the times and places of the availability, in an 
appropriate office near the site of the proposed facility, of the notice 
of hearing, an updated copy of the application, the report of the 
Advisory Committee on Reactor Safeguards (ACRS), the staff safety 
evaluation, the applicant's environmental report, the Commission's 
environmental impact statement, the proposed construction permit or 
operating license and the transcripts of the prehearing conference and 
the hearing.
    (b) In fixing the time and place of any conference, including 
prehearing conferences, or of any adjourned session of the evidentiary 
hearing, due regard shall be had for the convenience and necessity of 
the parties, petitioners for leave to intervene, or the representatives 
of such persons, as well as of the Board members, the nature of such 
conference or adjourned session, and the public interest. Adjourned 
sessions of hearings may be held in the Washington, DC area if all 
parties so stipulate. If the parties disagree, and any party considers 
that there are valid reasons for holding such session in the Washington, 
DC area, the matter should be referred to the Commission for resolution.
    (c)(1) The Commission or the Atomic Safety and Licensing Board may, 
consider on their own initiative, or a party may request the Commission 
or the board to consider, a particular issue or issues separately from, 
and prior to, other issues relating to the effect of the construction 
and/or operation of the facility upon the public health and safety, the 
common defense and security, and the environment or in regard to 
antitrust considerations. If the Commission or the Board determines that 
a separate hearing should be held, the notice of hearing or other 
appropriate notice will state the time and place of the separate hearing 
on such issue or issues. The board designated to conduct the hearing 
will issue an initial decision, if deemed appropriate, which will be 
dispositive of the issue(s) considered at the hearing, in the absence of 
an appeal or Commission review pursuant to Sec. 2.760, before the 
hearing on, and consideration of, the remaining issues in the 
proceeding.
    (2) In a proceeding relating to the issuance of a construction 
permit for a facility which is subject to the environmental impact 
statement requirements of section 102(2)(C) of the National 
Environmental Policy Act of 1969 and Subpart A of Part 51 of this 
chapter and which is a utilization facility for industrial or commercial 
purposes or is a testing facility, separate hearings may be held and 
decisions may be issued on National Environmental Policy Act and site 
suitability issues and other specified issues as provided by Subpart F 
and Sec. 2.761a.
    (d) Prior to a hearing, board members should review and become 
familiar with: The record of any relevant prior proceedings in the case, 
including initial decisions and Commission orders, the application, the 
ARCS report, the staff safety evaluation, the applicant's environmental 
report, the Commission's environmental impact statement, all other 
papers filed in the proceeding, the Commission's rules of practice, and 
other regulations or published statements of policy of the Commission as 
may be pertinent to the proceeding.
    (e) At any time when a board is in existence but is not actually in 
session, the chairman has all the powers of the board to take action on 
procedural matters. The chairman may have occasion, when the board is 
not in session, to dispose of preliminary procedural requests including, 
among other things, motions by parties relating to the conduct of the 
hearing. He may wish to discuss such requests with the other members of 
the board before ruling on them. No interlocutory appeal\2\ may be taken 
by a party as a matter of right from a ruling of the chairman or the 
board. The board should refer the challenged ruling to the Commission 
for a final decision if, in its judgment, a prompt decision is necessary 
to prevent detriment to the public interest or unusual delay or expense. 
This authority should be exercised sparingly, and only when deemed 
essential in fairness to the parties or the public.
---------------------------------------------------------------------------

    \2\An interlocutory appeal means an appeal to the Commission from a 
ruling made by the board during the time between the issuance of a 
notice of hearing and the issuance of the initial decision.
---------------------------------------------------------------------------

                       II. Prehearing Conferences

    (a) A special prehearing conference will be held, within ninety (90) 
days after the notice of hearing has been published, or such other time 
as the Commission or the Board may deem appropriate, in addition to the 
standard prehearing conference provided by Sec. 2.752. The special 
prehearing conference, authorized by Sec. 2.751a, should be used to 
permit

[[Page 128]]

identification of key issues; take steps necessary for further 
identification of the issues; consider all intervention petitions to 
allow preliminary or final determination as to the parties; and 
establish a schedule for further actions in the proceeding.
    (b) Within sixty (60) days after discovery has been completed,\3\ or 
such other time as the presiding officer or the Commission deems 
appropriate, a second prehearing conference--the prehearing conference 
provided by Sec. 2.752--is held to consider simplification, 
clarification, and specification of the issues; consider amendments to 
the pleadings; obtain stipulations and admissions of facts and of the 
contents and authenticity of documents to avoid unnecessary proof; 
identification of witnesses; the setting of a hearing schedule; and such 
other matters as may aid in the orderly disposition of the hearing.
---------------------------------------------------------------------------

    \3\ ``Discovery'', for this purpose, does not include production of 
the ACRS report, the staff's safety evaluation, or the detailed 
statement on environmental considerations prepared by the Director of 
Nuclear Reactor Regulation or Director of Nuclear Material Safety and 
Safeguards, as appropriate, or his designee.
---------------------------------------------------------------------------

    (c) A transcript of each prehearing conference will be prepared. The 
board will issue an order after the conclusion of the special prehearing 
conference which recites the action taken at the conference and 
agreements by the parties, identifies the key issues in controversy, 
makes a preliminary or final determination as to the parties, and 
provides for submission of status reports on discovery by the parties. 
The board will also issue an order after the conclusion of the second 
prehearing conference that specifies the issues in controversy in the 
proceeding. Each order shall be served upon all parties to the 
proceeding. Objections to such order may be filed by a party within five 
(5) days, or, in the case of the staff, within ten (10) days. The board 
may revise the order in the light of the objections presented and, as 
permitted by Sec. 2.718(i), may certify for determination to the 
Commission such matters raised in the objections as it deems 
appropriate. As specified in Sec. 2.752, the order shall control the 
subsequent course of the proceeding unless modified for good cause.
    (d) Prehearing conferences are open to the public except under 
exceptional circumstances involving such matters as classified 
information and certain privileged information not normally a part of 
the hearing record.
    (e) The applicant, the staff and other parties are required to 
provide each other and the board with copies of prepared testimony in 
advance of its being offered at the hearing. A schedule may be 
established at the second prehearing conference for exchange of prepared 
testimony. Prepared testimony is filed in the Commission's public 
document room and is available for public inspection. When the staff has 
reached its conclusions with respect to the application and prepared a 
safety evaluation, the safety evaluation will be made available--a point 
of time which may or may not be prior to the hearing.

                III. Intervention and Limited Appearances

    (a)(1) As required by Sec. 2.714, a person who wishes to intervene 
must set forth, in a petition for leave to intervene, his interest in 
the proceeding and how the interest may be affected by Commission 
action. Petitions for leave to intervene shall, as a basis for enabling 
the board or the Commission to determine how the petitioner's interest 
may be affected by the proceeding, set forth (i) the nature of his right 
under the Act to be made a party to the proceeding, (ii) the nature and 
extent of the interest that may be affected by the proceeding, and (iii) 
the effect of any order which may be entered in the proceeding on the 
petitioner's interest. The petition must identify the specific aspects 
as to which the petitioner wishes to intervene and set forth with 
particularity the facts pertaining to his interest. The petitioner must 
file a supplement to his petition containing his contention(s) and basis 
therefor not later than fifteen (15) days prior to the holding of the 
special prehearing conference pursuant to Sec. 2.751a. After 
consideration of any answers to the petition, the board will rule on the 
petition. If the board finds that the petitioner's interest is limited 
to one or more of the issues in the proceeding, the intervenor's 
participation will be limited to those issues.
    Petitions and supplements thereto which set forth contentions 
relating only to matters outside the jurisdiction of the Commission will 
be denied. In any event, the granting of a petition for leave to 
intervene does not operate to enlarge the issues, or become a basis for 
receipt of evidence, with respect to matters beyond the jurisdiction of 
the Commission.
    (2) Petitions for leave to intervene which are not filed within the 
time specified in the notice of hearing will not be granted unless the 
board determines that the petition should be granted based upon 
paragraph (a)(1) of this section and upon a balancing of (i) good cause, 
if any, for petitioner's failure to file on time, (ii) the availability 
of other means whereby the petitioner's interest will be protected, 
(iii) the extent to which petitioner's participation may reasonably be 
expected to assist in developing a sound record, (iv) the extent to 
which petitioner's interest will be represented by existing parties, and 
(v) the extent which the petitioner's participation will broaden the 
issues or delay the proceedings.

[[Page 129]]

    (3) Those permitted to intervene become parties to the proceeding, 
subject to any limitations in the order granting leave to intervene, and 
have all the rights of the applicant to participate fully in the conduct 
of the hearing, such as the examination and cross-examination of 
witnesses, with respect to their contentions related to the matters at 
issue in the proceeding.
    (4) If more than one person who has been granted leave to intervene 
has substantially the same kind of interest that may be affected by the 
proceeding, and raises the same basic questions, the board or the 
Commission may order those persons to consolidate their presentation of 
evidence, cross-examination, briefs, proposed findings of fact and 
conclusions of law and argument, unless such consolidation cannot be 
accomplished without prejudice to the rights of a party.
    (b) A person who does not wish to, or is not qualified to become a 
party may be permitted at the discretion of the board, to make a limited 
appearance pursuant to Sec. 2.715. Persons permitted to make limited 
appearances do not become parties, but should be permitted to make 
statements at such stage of the proceeding as the board may consider 
appropriate. A person making a limited appearance may only make an oral 
or written statement on the record, and may not participate in the 
proceeding in any other way. The board may wish to limit the length of 
oral statements. A member of the public does not have the right to 
participate unless he has been granted the right to intervene as a party 
or the right of limited appearance for the purpose of making a 
statement.

                              IV. Discovery

    (a) Once the key issues in controversy are identified in the special 
prehearing conference order (Sec. 2.751a.(d)), discovery may proceed and 
will be limited to those matters. In no event should the parties be 
permitted to use discovery procedures to conduct a ``fishing 
expedition'' or to delay the proceeding.
    (b) Under the Commission's rules of practice, discovery permitted by 
Secs. 2.720, 2.740, 2.740a, 2.740b, 2.741, 2.742, and 2.744 must be 
completed by the second prehearing conference, except upon leave for 
good case shown.
    (c) Depositions, interrogatories and document production between 
parties other than the staff are obtainable on notice or request to the 
other party and without leave of the Commission or the board, in line 
with the Federal Rules of Civil Procedure.
    (d) In general, staff documents that are relevant to a proceeding 
will be publicly available as a matter of course unless there is a 
compelling justification for their nondisclosure. Therefore, document 
discovery directed at the staff will be restricted, as provided in 
Sec. 2.744, since most staff documents will be publicly available and 
should reasonably disclose the basis for the staff's position. Formal 
discovery of documents against the staff will be limited to cases where 
it concerns a matter necessary to a proper decision in a case and the 
information sought is not obtainable elsewhere. Discovery as a 
legitimate means of obtaining information will not be inhibited, but in 
view of the comprehensive body of information routinely available 
without request, there should be minimum need to resort to time 
consuming discovery procedures. Discovery against the staff (and other 
NRC personnel, including consultants) by way of deposition is permitted 
upon a showing of exceptional circumstances. Interrogatories may be 
addressed to the staff where the information is necessary to proper 
decision in the case and not obtainable elsewhere.

                             V. The Hearing

    The board should use its powers under Secs. 2.718 and 2.757 to 
assure that the hearing is focused upon the matters in controversy among 
the parties and that the hearing process for the resolution of 
controverted matters is conducted as expeditiously as possible, 
consistent with the development of an adequate decisional record.
    The following procedures should be observed in the conduct of public 
hearings:
    (a) Preliminary:
    (1) A verbatim transcript will be made of the hearing.
    (2) The Chairman should convene the hearing by stating the title of 
the proceeding and describing its nature.
    (3) He should state the date, time, and place at which the 
prehearing conferences were held, and identify the persons participating 
in them. He should summarize the second prehearing conference order.
    (4) He should explain the procedures for the conduct of the hearing. 
He should request that counsel for the parties identify themselves on 
the record, and provide them with the opportunity to make opening 
statements of their respective positions.
    (5) He should describe, for the benefit of members of the public who 
may be present, the respective roles of the board, the ACRS and the 
staff, and the Commission procedures for review of the decision. He 
should also describe the continuing review and inspection surveillance 
conducted by the Commission after a construction permit or an operating 
license has been issued.
    (b)(1) The Chairman should call attention to the provisions of 
Sec. 2.715 for participation by limited appearance. He should briefly 
explain these provisions and the rights of persons who are permitted to 
make limited appearances.
    (2) The Chairman should inquire of those in attendance whether there 
are any who wish

[[Page 130]]

to participate in the hearing by limited appearance.
    (3) Should any person seek leave to intervene when the hearing has 
been convened, he must set forth, with particularity in a written 
petition, the reasons why it was not possible to file a petition within 
the time prescribed in the notice of hearing, as described in section 
III, to afford a basis for the board to determine whether or not good 
cause has been shown for the untimely filing. In granting a petition for 
leave to intervene which is not timely filed, the board will impose such 
conditions as are appropriate to minimize any delay in the proceeding.
    (4) A person making a limited appearance may want not only to state 
his position, but to raise questions which he would like to have 
answered. This should be permitted to the extent the questions are 
within the scope of the proceeding as defined by the issues set out in 
the notice of hearing, the prehearing conference order, and any later 
orders. Usually such persons should be asked to make their statements 
and raise their questions early in the proceeding so that the board will 
have an opportunity to be sure that relevant and meritorious questions 
are properly dealt with during the course of the hearing.
    (5) It is the Commission's view that the rules governing 
intervention and limited appearances are necessary in the interest of 
orderly proceedings. The Commission also believes that through these two 
methods of public participation all members of the public are assured of 
the right to participate by a method appropriate to their interest in 
the matter. This should be fully explained at the beginning of the 
hearing. In some cases the board may feel that it must deny an 
application to intervene but that it can still accommodate the desire of 
the person involved by allowing him to make a statement and raise 
questions under the limited appearance rule.
    (6) Boards have considerable discretion as to the manner in which 
they accommodate their conduct of the hearing to local public interest 
and the desires of local citizens to be heard. Particularly in cases 
where it is evident that there is local concern as to the safety of the 
proposed plant, boards should so conduct the hearing as to give 
appropriate opportunity for local citizens to express their views, while 
at the same time protecting the legal interests of all parties and the 
public interest in an orderly and efficient licensing process.
    (7) In some cases, argument and further hearing can add nothing to 
the filings of the parties. In those cases the board is authorized, 
pursuant to Sec. 2.749, on motion, to render a decision, if the filings 
in the proceeding and other materials show that there is no genuine 
issue as to any material fact. However, in proceedings involving 
construction permits, this procedure may be used only for determining 
subordinate issues and not the ultimate issue as to whether the 
construction permit should be issued.
    (c) Opening statements:
    (1) It is anticipated that the applicant, who has the burden of 
proof, will, at an appropriate time early in the proceeding, make an 
oral statement describing in terms that will be readily understood by 
the public, the principal safety and environmental considerations 
involved in carrying out the activity sought to be authorized.
    (2) Other parties to the proceeding may also make an oral opening 
statement describing their position on the proposed licensing action.
    (d) Evidence:
    (1) Pursuant to Sec. 2.732, the applicant has the burden of proof.
    (2) The parties are required to submit direct testimony in written 
form and serve copies of such prepared written testimony on all parties 
pursuant to the schedule established at the second prehearing 
conference--in any event, at least 15 days in advance of the session of 
the hearing at which such testimony is to be presented, as provided by 
Sec. 2.743(b), unless the board orders otherwise on the basis of 
objections presented. The staff's position is reflected primarily in the 
safety evaluation and final environmental impact statement. 
Consequently, the staff will not present its case until these documents 
are available. The use of such advance written testimony is expected to 
expedite the hearing process.
    (3) The testimony of all witnesses will be given under oath. These 
witnesses may be collectively sworn at the opening of the hearing or if 
additional witnesses are called upon to testify at a subsequent stage 
they may be sworn at the time of their appearance. There is ordinarily 
no need for oral recital of prepared testimony unless the Board 
considers that some useful purpose will be served.
    (4) The proceedings should be conducted as expeditiously as 
practicable, without impairing the development of a clear and adequate 
record. The order of presenting testimony may be freely varied in the 
conduct of the hearing. The Board may find it helpful to take expert 
testimony from witnesses on a roundtable basis after the receipt in 
evidence of prepared testimony.
    (5) To prevent unnecessary delays and an unnecessarily large record, 
the Board may, pursuant to Sec. 2.757, limit cumulative testimony, 
strike argumentative, repetitious, cumulative, or irrelevant evidence, 
take other necessary and proper steps to prevent argumentative, 
repetitious or cumulative cross examination, and impose appropriate time 
limitations on arguments.

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    (6) Documentary evidence may be offered in evidence as provided in 
Sec. 2.743. Such evidence offered during the course of the hearing 
should be described by counsel, and furnished to the reporter for 
marking. Documents offered for marking should be numbered in order of 
receipt. On identification of a document, it may be offered in evidence.
    (7) Objections may be made by counsel to any questions or any line 
of questioning, and to the admission of any document and should be ruled 
upon by the board. The board may admit the evidence, may sustain the 
objection, or may receive the evidence, reserving for later 
determination the question of admissibility. In passing on objections, 
the board, while not bound to view proferred evidence according to its 
admissibility under strict application of the rules of evidence in 
judicial proceedings, should exclude evidence that is irrelevant to 
issues in the case as defined in the notice of hearing or the prehearing 
conference order, or that pertains to matters outside the jurisdiction 
of the board or the Nuclear Regulatory Commission. Irrelevant material 
in prepared testimony submitted in advance under Sec. 2.743(b) may be 
subject to a motion to strike under the procedures provided in 
Sec. 2.730.
    (8) Use of scientifically or technically trained persons who are not 
attorneys to conduct direct or cross-examination on behalf of a party is 
provided for in Sec. 2.733. This procedure is a privilege, not a right, 
and may be granted to further the conduct of the hearing. Before 
permitting such a person to conduct examination of witnesses, the board 
must determine (i) that he has technical or scientific qualifications, 
(ii) that he has read the written testimony and any documents which are 
to be the subject of his examination, and (iii) that he has prepared 
himself to conduct a meaningful and expeditious examination. Permission 
to conduct examination will be limited to the areas in which the 
interrogator is shown to be qualified. The party on whose behalf the 
interrogator conducts the examination and his attorney are responsible 
for the interrogator's conduct of examination or cross-examination.
    (9) The extent to which challenges to NRC regulations can be made in 
a licensing proceeding is limited. A party may petition for waiver of or 
exception to the application of a specified NRC rule or regulation to an 
aspect of the subject matter of the proceeding. The party must file a 
petition and an affidavit that identifies the specific aspect of the 
subject matter of the proceeding as to which application of the rule or 
regulation would not serve the purpose for which the regulation was 
adopted and that sets forth with particularity the special circumstances 
alleged to justify a waiver or exception on that ground (Sec. 2.758). 
Upon a finding by the board, based on the petition and affidavits and 
any material submitted by other parties, that the party has not made a 
prima facie case, no evidence, discovery, or argument will be allowed on 
the matter. If the Board finds that such a showing has been made, it 
will certify the matter, without ruling, directly to the Commission for 
a determination as to whether the application of the regulation to a 
particular aspect of the subject matter of the proceeding should be 
waived or an exception made.
    (10) The Commission has recognized the public interest in achieving 
fair and reasonable settlement of contested proceedings (Sec. 2.759). 
Therefore, to the extent not inconsistent with the Act, fair and 
reasonable settlements are encouraged, either as to particular issues in 
a proceeding or the entire proceeding.
    (11) Unless testimony is being taken on a roundtable basis or there 
is some occasion for clarification of testimony as rendered, the board 
may wish to reserve its questions until the parties have completed 
questioning of the witnesses, since counsel for the respective parties 
will generally be prepared to develop the various lines of pertinent 
questions.
    (12) Conferences for the clarification of matters between the board 
and the parties, or the formulation of more meaningful questions, may be 
used to expedite the hearing and simplify the record. Informal 
conferences, including telephone conferences, should be encouraged to 
this end.
    (13) The board should ordinarily not adjourn the hearing once it has 
begun, except as the hearing may be divided into segments to permit 
consideration of discrete areas, such as (i) radiological health and 
safety or (ii) environmental impact. To the extent practicable, legal 
questions should be resolved prior to the hearing. If the board believes 
that additional information is required in the presentation of the case, 
it would be expected to request the applicant or other party to 
supplement the presentation. If a recess should prove necessary to 
obtain such additional evidence, the recess should ordinarily be 
postponed until available evidence has been received.
    (14) Many of the time limitations prescribed in Part 2 were set to 
allow the maximum time for the parties to the proceedings to perform 
various activities. Where the activities covered by the limitations can 
be performed in less time, the time limits may be reduced by order of 
the board, if appropriate, where such action would not prejudice a 
party. Similarly, in any case in which a time limit is not set by Part 
2, the board should impose reasonable time limits.
    (e) Record:
    (1) The transcript of testimony and the exhibits, together with all 
of the papers and requests filed in a proceeding, constitute the record 
for decision, except to the extent that official notice is taken.

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    (2) Generally speaking, a decision by a board must be made on the 
basis of evidence which is in the record of the proceeding. A board, 
however, is expected to use its expert knowledge and experience in 
evaluating and drawing conclusions from the evidence that is in the 
record. The board may also take account of and rely on certain facts 
which do not have to be ``proved'' since they are ``officially 
noticed''; these facts do not have to be ``proved'' since they are 
matters of common knowledge. Pursuant to Sec. 2.743(i) ``official 
notice'' may be taken of any fact of which judicial notice might be 
taken by the courts of the United States and of any technical or 
scientific fact within the knowledge of the Commission as an expert 
body. Each fact officially noticed must be specified in the record with 
sufficient particularity to advise the parties of the matters which have 
been noticed or brought to the attention of the parties before the final 
decision, and each party adversely affected by the decision must be 
afforded an opportunity to controvert the noticed fact. (For example, a 
board might take ``official notice'' of the fact that high level wastes 
are encountered mainly as liquid residue from fuel reprocessing plants.) 
Matters which are ``officially noticed'' by a board furnish the same 
basis for findings of fact as matters which have been placed in evidence 
and proved in the usual sense.
    (f) Participation by board members:
    (1) In contested proceedings, the board will determine controverted 
matters as well as decide whether the findings required by the Act and 
the Commission's regulations should be made and whether, in accordance 
with Subpart A of Part 51, the construction permit should be issued as 
proposed. Thus, in such proceedings, the board will determine the 
matters in controversy and may be called upon to make technical 
judgments of its own on those matters. As to matters pertaining to 
radiological health and safety which are not in controversy, boards are 
neither required nor expected to duplicate the review already performed 
by the staff and ACRS, and they are authorized to rely upon the 
testimony of the staff, the applicant, and the conclusions of the ACRS, 
which are not controverted by any party.
    (2) In an uncontested case, boards are neither required nor expected 
to duplicate the radiological safety review already performed by the 
staff and the ACRS and they are authorized to rely upon the testimony of 
the staff and the applicant, and the conclusions of the ACRS. The role 
of the board is not to conduct a de novo evaluation of the application, 
but rather to decide whether the application and the record of the 
proceeding contain sufficient information, and the review of the 
application by the Commission's staff, including the environmental 
review pursuant to the National Environmental Policy Act of 1969, has 
been adequate, to support the findings proposed to be made by the 
Director of Regulation and the issuance of the construction permit 
proposed by the Director of Regulation. In doing so, the board is 
expected to be mindful of the fact that it is the applicant, not the 
staff, who is the proponent of the construction permit and who has the 
burden of proof.
    (3) Whether the construction permit proceeding is contested or 
uncontested, the board will, as to environmental impact matters, (a) 
determine whether the requirements of section 102(2) (A), (C) and (E) of 
the National Environmental Policy Act of 1969 and Subpart A of Part 51 
of this chapter have been complied with; (b) independently consider the 
final balance among conflicting factors contained in the record, with a 
view to determining the appropriate action to be taken; and (c) 
determine whether the construction permit should be granted, denied, or 
appropriately conditioned to protect environmental values.
    (4) A question may be certified to the Commission for determination 
when a major or novel question of policy, law or procedure is involved 
which cannot be resolved except by the Commission and when the prompt 
and final decision of the question is important for the protection of 
the public interest or to avoid undue delay or serious prejudice to the 
interests of a party. For example, a board may find it appropriate to 
certify novel questions as to the regulatory jurisdiction of the 
Commission or the right of persons to intervene.
    (g) Close of hearing:
    (1) If, at the close of the hearing, the board should have 
uncertainties with respect to the matters in controversy because of a 
need for a clearer understanding of the evidence which has already been 
presented, it is expected that the board would normally invite further 
argument from the parties--oral or written or both--before issuing its 
initial decision. If the uncertainties arise from lack of sufficient 
information in the record, it is expected that the board would normally 
require further evidence to be submitted in writing with opportunity for 
the other parties to reply or reopen the hearing for the taking of 
further evidence, as appropriate. If either of such courses is followed, 
it is expected that the applicant would normally be afforded the 
opportunity to make the final submission.
    (2) A board should give each party the opportunity to make a brief 
closing statement.
    (3) A schedule should be set by the board and recorded, either in 
the transcript or by written order, of the dates upon which the parties 
are directed by the board to file proposed findings of fact and 
conclusions of law. In uncontested cases, the proposed findings will 
ordinarily be extremely brief. In contested proceedings, proposed 
findings of fact

[[Page 133]]

and conclusions of law submitted by the parties may be more detailed. 
While brevity in such submissions is encouraged, the proposed findings 
and conclusions should be such as to reflect the position of parties 
submitting them, and the technical and factual basis therefor.
    (4) The board should dispose of any additional procedural requests.
    (5) The chairman should formally close the hearing.

       VI. Posthearing Proceedings, Including the Initial Decision

    (a) A board, acting through the Chairman, should dispose of 
procedural requests made after the close of the hearing, including 
motions of the parties for correction of the transcript. Responses to 
requests and motions of the parties are made part of the record by 
issuance of written orders.
    (b) On receipt of proposed findings and conclusions from the 
parties, the board should prepare the initial decision. Under the 
Administrative Procedure Act and the Commission's regulations, the 
decision should include:
    (1) Findings, conclusions, and rulings, with the reasons or basis 
for them, on all material issues of fact, law, or discretion presented 
on the record;
    (2) All facts officially noticed and relied on, if any, in making 
the decision;
    (3) The appropriate ruling, order, or denial or relief, with the 
effective date and time within which a notice of appeal from the initial 
decision may be filed;
    (4) The time when the decision becomes final.
    (c) Issues to be decided by the board:
    (1) In a contested proceedings for the issuance of a construction 
permit, the board will determine the following issues:
    (i) Whether in accordance with the provisions of Sec. 50.35(a) of 
this chapter:
    (a) The applicant has described the proposed design of the facility, 
including, but not limited to, the principal architectural and 
engineering criteria for the design, and has identified the major 
features or components incorporated therein for the protection of the 
health and safety of the public;
    (b) Such further technical or design information as may be required 
to complete the safety analysis and which can reasonably be left for 
later consideration, will be supplied in the final safety analysis 
report;
    (c) Safety features or components, if any, which requires research 
and development have been described by the applicant and the applicant 
has identified, and there will be conducted, a research and development 
program reasonably designed to resolve any safety questions associated 
with such features and components; and
    (d) On the basis of the foregoing, there is reasonable assurance 
that
    (1) Such safety questions will be satisfactorily resolved at or 
before the latest date stated in the application for completion of 
construction of the proposed facility, and
    (2) Taking into consideration the site criteria contained in Part 
100 of this chapter, the proposed facility can be constructed and 
operated at the proposed location without undue risk to the health and 
safety of the public.
    (ii) Whether the applicant is technically qualified to design and 
construct the proposed facility;
    (iii) Whether the applicant is financially qualified to design and 
construct the proposed facility;
    (iv) Whether the issuance of a permit for the construction of the 
facility will be inimical to the common defense and security or to the 
health and safety of the public;
    (v) Whether, with respect to the requirements of section 102(2) (A), 
(C) and (E) of the National Environmental Policy Act, in accordance with 
Subpart A of Part 51 of this chapter, the construction permit should be 
issued as proposed.
    (2) In an uncontested proceeding for the issuance of a construction 
permit, the board will, without conducting a de novo evaluation of the 
application, determine:
    (i) Whether the application and the record of the proceeding contain 
sufficient information, and the review of the application by the 
Commission's staff has been adequate, to support the findings proposed 
to be made and required by the Act for the issuance of the construction 
permit proposed by the Director of Nuclear Reactor Regulation or 
Director of Nuclear Material Safety and Safeguards, as appropriate, and
    (ii) Whether the review conducted pursuant to the National 
Environmental Policy Act of 1969 has been adequate.
    (3) Regardless of whether the proceeding is contested or 
uncontested, the board will, in its initial decision, in accordance with 
Subpart A of Part 51 of this chapter:
    (i) Determine whether the requirements of section 102(2)(A), (C) and 
(E) of the National Environmental Policy Act and Subpart A of Part 51 of 
this chapter have been complied with in the proceeding;
    (ii) Independently consider the final balance among conflicting 
factors contained in the record of the proceeding with a view to 
determining the appropriate action to be taken; and
    (iii) Determine whether the construction permit should be issued, 
denied, or appropriately conditioned to protect environmental values.
    (d) It is expected that ordinarily a board will render its initial 
decision within 35 days after its receipt of proposed findings of fact 
and conclusions of law filed by the parties in

[[Page 134]]

a contested case and within 15 days after receipt of such proposed 
findings and conclusions in an uncontested case.
    (e) The initial decision will be transmitted to the Chief, Docketing 
and Service Section, Office of the Secretary, for issuance.
    (f) After the board's initial decision is issued, the entire record 
of the hearing, including the board's initial decision, will be sent to 
the Commission for review. In the course of this review, the Commission 
may allow the board's decision to become the final decision of the 
Commission, may modify a board decision, or may send the case back to 
the board for additional testimony on particular points or for further 
consideration of particular issues.

                              VII. General

    (a) Two members, being a majority of the board, constitute a quorum, 
if one of those members is the member qualified in the conduct of 
administrative proceedings. The vote of a majority controls in any 
decision by a board, including rulings during the course of a hearing as 
well as formal orders and the initial decision. A dissenting member is 
of course, free to express his dissent and the reasons for it in a 
separate opinion for the record.
    (b) The Commission or the Chairman of the Atomic Safety and 
Licensing Board Panel may designate a technically qualified alternate or 
an alternate qualified in the conduct of administrative proceedings, or 
both, for a board. The designation of an alternate is discretionary. 
Alternates may be designated where the Commission (or the Chairman of 
the Atomic Safety and Licensing Board Panel) in its judgment believes 
that a proceeding involves factors that warrant the continuing 
assignment and presence of an alternate. If any alternates are 
designated before the hearing, they will receive copies and become 
familiar with the application and other documents filed by the parties 
prior to the start of the hearing. It is expected that an alternate will 
be constituted or appointed by the Commission or the Chairman of the 
Atomic Safety and Licensing Board Panel as a member of the board in 
situations where a technically qualified member of the board, or the 
member qualified in the conduct of administrative proceedings, becomes 
unavailable.
    (c) Section 2.781 specifies when consultation between Commissioners 
or boards, on the one hand, and the staff, on the other hand, is 
permitted in licensing proceedings conducted under Subpart G. Section 
2.781 also permits a board, in the same type of proceeding, to consult 
with members of the panel from which the members of the board are drawn.

      VIII. Procedures Applicable to Operating License Proceedings

    (a) This section sets out certain differences in procedure from 
those described in sections I-VII above, which are required by the fact 
that the proceeding is for the issuance of an operating license rather 
than a construction permit. Otherwise, the provisions of sections I 
through VII of this statement of general policy also apply to an 
operating license proceeding, except as the context requires otherwise.
    (b) In an operating license proceeding the board will determine the 
matters in controversy among the parties, and where the board determines 
that a serious safety, environmental, or common defense and security 
matter was not raised by the parties, the board will determine such 
matter as being among the issues to be decided. Those issues will be 
specified in the notice of a hearing issued by the Commission, or in a 
prehearing conference order issued by the board in the exercise of its 
discretion during the hearing.
    The issues will be the matters in controversy among the parties or 
raised by the board within the purview of the following:
    (1) Whether there is reasonable assurance that construction of the 
facility will be substantially completed, on a timely basis, in 
conformity with the construction permit and the application as amended, 
the provisions of the Act, and the rules and regulations of the 
Commission;
    (2) Whether the facility will operate in conformity with the 
application as amended, the provisions of the Act, and the rules and 
regulations of the Commission;
    (3) Whether there is reasonable assurance (i) that the activities to 
be authorized by the operating license can be conducted without 
endangering the health and safety of the public, and (ii) that such 
activities will be conducted in compliance with the Commission's 
regulations;
    (4) Whether the applicant is technically and financially qualified 
to engage in the activities to be authorized by the operating license in 
accordance with the Commission's regulations, except that the issue of 
financial qualification shall not be considered by the board if the 
applicant is an electric utility seeking a license to operate a 
utilization facility of the type described in Sec. 50.21(b) or 
Sec. 50.22.
    (5) Whether the applicable provisions of 10 CFR Part 140 have been 
satisfied;
    (6) Whether issuance of the license will be inimical to the common 
defense and security or to the health and safety of the public; and
    (7) Whether, with respect to the requirements of section 102(2) (A), 
(C), and (E) of the National Environmental Policy Act, in accordance 
with Subpart A of Part 51, the operating license should be issued as 
proposed.

[[Page 135]]

    (c) The board, in operating license proceedings, will make findings 
on the matters in controversy among the parties and any matter not 
raised by the parties but examined by the board in its discretion in 
accordance with paragraph (b) of this section and Sec. 2.760a. Depending 
on the resolution of those matters, the Director of Regulation would 
issue, deny, or appropriately condition the operating license.
    (d) In operating license proceedings, the procedure for summary 
disposition of the proceeding on the pleadings described in Sec. 2.749 
may be used to determine the ultimate issue of whether the operating 
license should be issued.

 X. Proceedings for the Consideration of Antitrust Aspects of Facility 
                          License Applications

    (a) Under the Atomic Energy Act of 1954, as amended, the Commission 
is required, with respect to applications for construction permits or 
operating licenses for production and utilization facilities for 
industrial or commercial purposes licensed under section 103, which 
include power reactors subject to the mandatory hearing requirements of 
section 189a of the Act, to follow procedures for antitrust review in 
section 105c of the Act. This section outlines the procedures used by 
the Commission to implement that section.
    (b)(1) When the antitrust information portion of an application is 
received and docketed for a facility construction permit under section 
103 of the Act which is subject to antitrust review under section 105c, 
the notice of receipt of the antitrust information published in the 
Federal Register shall state that persons who wish to have their views 
on the antitrust aspects of the application considered by the NRC and 
presented to the Attorney General for consideration shall submit such 
views to the Commission within sixty (60) days after publication of the 
notice.
    (2) Upon receipt of the antitrust information responsive to 
Regulatory Guide 9.3 submitted in connection with an application for a 
facility operating license under section 103 of the Act, the Director of 
Nuclear Reactor Regulation or the Director of Nuclear Material Safety 
and Safeguards, as appropriate, shall publish in the Federal Register 
and in appropriate trade journals a ``Notice of Receipt of Operating 
License Antitrust Information.'' The notice shall invite persons to 
submit, within thirty (30) days after publication of the notice, 
comments or information concerning antitrust aspects of the application 
to assist the Director in determining, pursuant to section 105c of the 
Act, whether significant changes in the licensee's activities or 
proposed activities have occurred since completion of the previous 
antitrust review in connection with the construction permit application. 
The notice shall also state that persons who wish to have their views on 
the antitrust aspects of the application considered by the NRC and 
presented to the Attorney General for consideration should submit such 
views within thirty (30) days after publication of the notice to: U.S. 
Nuclear Regulatory Commission, Washington, DC 20555, Attention: Chief, 
Antitrust and Economic Analysis Branch.
    (3) If the Director of Nuclear Reactor Regulation or the Director of 
Nuclear Material Safety and Safeguards, as appropriate, after reviewing 
any comments or information received in response to the published notice 
and any comments or information regarding the applicant received from 
the Attorney General, concludes that there have been no significant 
changes since the completion of the previous antitrust review in 
connection with the construction permit, a finding of no significant 
changes shall be published in the Federal Register, together with a 
notice stating that any request for reevaluation of such finding should 
be submitted within thirty (30) days of publication of the notice. If no 
requests for reevaluation are received within that time, the finding 
shall become the NRC's final determination. Requests for a reevaluation 
of the no significant changes determination shall be accepted after the 
date when the Director's finding becomes final but before the issuance 
of the OL only if they contain new information, such as information 
about facts or events of antitrust significance that have occurred since 
that date, or information that could not reasonably have been submitted 
prior to that date.
    (4) If, as a result of the reevaluation of the finding described 
above, it is determined that there have been no significant changes, the 
Director of Nuclear Reactor Regulation or Director of Nuclear Material 
Safety and Safeguards, as appropriate, shall deny the request and shall 
publish a notice of finding of no significant changes in the Federal 
Register. The notice and finding become the final NRC decision thirty 
(30) days after being made and only in the event that the Commission has 
not exercised sua sponte review.
    (5) If the Director of Nuclear Reactor Regulation or the Director of 
Nuclear Material Safety and Safeguards, as appropriate, concludes that 
significant changes have occurred since the completion of the previous 
antitrust review in connection with the construction permit, then the 
provisions of Sec. 2.102(d) shall apply.
    (c)(1) Except as provided in paragraph (c)(2) below, the Director of 
Nuclear Reactor Regulation or the Director of Nuclear Material Safety 
and Safeguards, as appropriate, shall refer and transmit a copy of each 
application for a construction permit or an operating license for a 
utilization or production facility under section 103 of the Act, to the 
Attorney General as required by section 105c of the

[[Page 136]]

Act. Under that section, the Attorney General will, within a reasonable 
time, but in no event to exceed 180 days after receipt, render such 
advice to the Commission as is determined to be appropriate in regard to 
the finding to be made by the Commission as to whether the activities 
under the license would create or maintain a situation inconsistent with 
the antitrust laws specified in subsection 105a of the Act.
    (2) The review by the Attorney General described in paragraph (c)(1) 
above is not required for applications for operating licenses for 
production or utilization facilities under section 103 of the Act for 
which the construction permit was also issued under section 103, unless 
the Director of Nuclear Reactor Regulation or the Director of Nuclear 
Material Safety and Safeguards, as appropriate, determines, after 
consultation with the Attorney General and in accordance with 
Sec. 2.101(e), that such review is advisable on the ground that 
significant changes in the licensee's activities or proposed activities 
have occurred subsequent to the previous review by the Attorney General 
and by the Commission under section 105c of the Act in connection with 
the construction permit.
    (d) The Director of Nuclear Reactor Regulation or Director of 
Nuclear Material Safety and Safeguards, as appropriate, will publish the 
Attorney General's advice in the Federal Register promptly upon receipt, 
and will make such advice a part of the record in any proceeding on 
antitrust matters conducted in accordance with subsection 105c(5) and 
section 189a of the Act. The Director of Regulation will also publish in 
the Federal Register a notice that the Attorney General has not rendered 
any such advice. The notice published in the Federal Register will also 
include a notice of hearing, if appropriate, or, if the Attorney General 
has not recommended a hearing, will state that any person whose interest 
may be affected by the proceeding may, pursuant to and in accordance 
with Sec. 2.714, file a petition for leave to intervene and request a 
hearing on the antitrust aspects of the application. The notice will 
state that petitions for leave to intervene and requests for hearing 
shall be filed within 30 days after publication of the notice.
    (e) If a hearing on antitrust aspects of the application is 
requested, or is recommended by the Attorney General, it will generally 
be held separately from the hearing held on matters of radiological 
health and safety and common defense and security described in sections 
I-VIII of this appendix. The notice of hearing will fix a time for the 
hearing, which will be as soon as practicable after the receipt of the 
Attorney General's advice and compliance with section 189a of the Act 
and other provisions of this part. However, as permitted by subsection 
105c(8) of the Act, with respect to proceedings in which an application 
for a construction permit was filed prior to December 19, 1970, and 
proceedings in which a written request for antitrust review of an 
application for an operating license to be issued under section 104b has 
been made by a person who intervened or sought by timely written notice 
to the Commission to intervene in the construction permit proceeding for 
the facility to obtain a determination of antitrust consideration or to 
advance a jurisdictional basis for such determination within 25 days 
after the date of publication in the Federal Register of notice of 
filing of the application for an operating license or December 19, 1970, 
whichever is later, the Commission may issue a construction permit or 
operating license, provided that the permit or license so issued 
contains the condition specified in Sec. 50.55b of this chapter.
    (f) Hearings on antitrust aspects will be conducted by a presiding 
officer, either an Administrative Law Judge or an atomic safety and 
licensing board comprised of three members, one of whom will be 
qualified in the conduct of administrative proceedings and two of whom 
will have such technical or other qualifications as the Commission deems 
appropriate to the issues to be decided.
    (g) When the Attorney General has advised that there may be adverse 
antitrust aspects and recommends that a hearing be held, the Attorney 
General or his designee may participate as a party in the proceedings.
    (h) At the hearing, the presiding officer will give due 
consideration to the advice received from the Attorney General and to 
evidence pertaining to antitrust aspects received at the hearing.
    (i) The presiding officer will, in the initial decision, make a 
finding as to whether the activities under the proposed license would 
create or maintain a situation inconsistent with the antitrust laws as 
specified in section 105a of the Act. If the presiding officer finds 
that such a situation would be created or maintained, it will consider, 
in determining whether the permit or license should be issued or 
continued, such other factors as it deems necessary to protect the 
public interest, including the need for power in the affected area. The 
certainty of contravening the antitrust laws or the policies clearly 
underlying these laws is not intended to be implicit in this standard; 
nor is mere possibility of inconsistency. The finding will be based on 
reasonable probability of contravention of the antitrust laws or the 
policies clearly underlying these laws. The presiding officer will 
conclude whether, in its judgment, it is reasonably probable that the 
activities under the license would, when the license is issued or 
thereafter, be inconsistent with any of the antitrust laws or the 
policies clearly underlying these laws.

[[Page 137]]

    (j) On the basis of the findings in the proceeding on the antitrust 
aspect of the application, the presiding officer may (i) authorize the 
issuance of the permit or license after favorable consideration of 
matters of radiological health and safety and common defense and 
security, and matters raised under the National Environmental Policy Act 
of 1969, at the hearing described in sections I-VIII of this appendix; 
(ii) authorize the continuation of a permit or license already issued; 
(iii) direct the denial of the application for the permit or license, or 
the rescission of a permit or license already issued; or (iv) authorize 
the issuance of a permit or license subject to appropriate conditions, 
and subject to favorable consideration of matters of radiological health 
and safety and common defense matters raised under the National 
Environmental Policy Act of 1969 at the hearing described in sections I-
VIII of this appendix.

[31 FR 12777, Sept. 30, 1966]

    Editorial Note: For Federal Register citations affecting Appendix A, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.

                    Appendix B to Part 2--[Reserved]

                    Appendix C to Part 2--[Reserved]

Appendix D to Part 2--Schedule for the Proceeding on Application for a License To Receive and Possess High-Level
                           Radioactive Waste at a Geologic Repository Operations Area                           
----------------------------------------------------------------------------------------------------------------
            Day                              Regulation (10 CFR)                              Action            
----------------------------------------------------------------------------------------------------------------
0..........................  2.101(f)(8), 2,105(a)(5)...........................  Federal Register Notice of    
                                                                                   Hearing.                     
30.........................  2.1014(a)(1).......................................  Petition to intervene/request 
                                                                                   for hearing, w/contentions.  
                             2.715(c)...........................................  Petition for status as        
                                                                                   interested government        
                                                                                   participant & interested     
                                                                                   government participant       
                                                                                   petitions.                   
50.........................  2.1014(b)..........................................  Answers to intervention &     
                                                                                   interested government        
                                                                                   participant petitions.       
70.........................  2.1021.............................................  1st Prehearing Conference.    
100........................  ...................................................  1st Prehearing Conference     
                                                                                   Order; identifies            
                                                                                   participants in proceeding,  
                                                                                   admits contentions, and sets 
                                                                                   discovery and other          
                                                                                   schedules.                   
                             2.1018(b)(1), 2.1019...............................  Deposition discovery begins.  
110........................  2.1015(b)..........................................  Appeals from 1st Prehearing   
                                                                                   Conference Order, w/briefs.  
120........................  2.1015(b)..........................................  Briefs in opposition to       
                                                                                   appeals.                     
150........................  ...................................................  Commission order ruling on    
                                                                                   appeals from 1st Prehearing  
                                                                                   Conference Order.            
548........................  ...................................................  NRC staff issues SER.         
578........................  2.1022.............................................  2nd Prehearing Conference.    
608........................  ...................................................  2nd Prehearing Conference     
                                                                                   Order; finalizes issues for  
                                                                                   hearing and sets schedule for
                                                                                   prefiled testimony and       
                                                                                   hearing.                     
618........................  2.1015(b)..........................................  Appeals from 2nd Prehearing   
                                                                                   Conference Order, w/briefs.  
628........................  2.1015(b)..........................................  Briefs in opposition to       
                                                                                   appeals.                     
658........................  ...................................................  Commission order ruling on    
                                                                                   appeals from 2nd Prehearing  
                                                                                   Conference Order.            
660........................  ...................................................  Last practicable date for     
                                                                                   motions for summary          
                                                                                   disposition.                 
680........................  ...................................................  Replies to last practicable   
                                                                                   motions for summary          
                                                                                   disposition.                 
690........................  Supp. info.........................................  Discovery complete.           
700........................  ...................................................  Presiding Officer order on    
                                                                                   last practicable motions for 
                                                                                   summary disposition.         
710........................  2.1015(b)..........................................  Appeals from last practicable 
                                                                                   summary disposition order w/ 
                                                                                   briefs.                      
720........................  ...................................................  Evidentiary hearing begins.   
                             2.1015(b)..........................................  Briefs in opposition to       
                                                                                   appeals from last practicable
                                                                                   summary disposition orders.  
810........................  ...................................................  Evidentiary hearing ends.     
840........................  2.754(a)(1)........................................  Applicant's proposed findings.
850........................  2.754(a)(2)........................................  Other parties' (except NRC    
                                                                                   staff's) proposed findings.  
860........................  2.754(a)(2)........................................  NRC staff's proposed findings.
865........................  2.754(a)(3)........................................  Applicant's reply to proposed 
                                                                                   findings.                    
955........................  2.760..............................................  Initial Decision.             
965........................  2.788(a), 2.762(a), 2.1015(c)......................  Stay motions to Commission    
                                                                                   Notices of Appeals.          
975........................  2.788(d)...........................................  Replies to stay motions.      
995........................  ...................................................  Commission ruling on stay     
                                                                                   motion.                      
                             2.762(b)...........................................  Appellant's briefs.           
1005.......................  2.788(a)...........................................  Stay motions to Commission.   
1015.......................  2.788(d)...........................................  Replies to stay motions.      
1025.......................  2.762(c)...........................................  Appellee's brief.             
1035.......................  2.762(c)...........................................  NRC staff brief.              

[[Page 138]]

                                                                                                                
1055.......................  2.1023 Supp. Info..................................  Completion of NMSS and        
                                                                                   Commission supervisory       
                                                                                   review; Commission ruling on 
                                                                                   any stay motions; issuance of
                                                                                   construction authorization;  
                                                                                   NWPA 3-year period tolled.   
1065.......................  2.763..............................................  Oral argument on appeals.     
1125.......................  ...................................................  Commission decision.          
----------------------------------------------------------------------------------------------------------------


[56 FR 7798, Feb. 26, 1991; 56 FR 14151, Apr. 5, 1991]



PART 4--NONDISCRIMINATION IN FEDERALLY ASSISTED COMMISSION PROGRAMS--Table of Contents




                           General Provisions

Sec.
4.1  Purpose and scope.
4.2  Subparts.
4.3  Application of this part.
4.4  Definitions.
4.5  Communications and reports.
4.6  Maintenance of records.
4.8  Information collection requirements: OMB approval.

Subpart A--Regulations Implementing Title VI of the Civil Rights Act of 
       1964 and Title IV of the Energy Reorganization Act of 1974

                        Discrimination Prohibited

4.11  General prohibition.
4.12  Specific discriminatory actions prohibited.
4.13  Employment practices.
4.14  Medical emergencies.

                           Assurances Required

4.21  General requirements.
4.22  Continuing State programs.
4.24  Assurances from institutions.

                         Compliance Information

4.31  Cooperation and assistance.
4.32  Compliance reports.
4.33  Access to sources of information.
4.34  Information to beneficiaries and participants.

                        Conduct of Investigations

4.41  Periodic compliance reviews.
4.42  Complaints.
4.43  Investigations.
4.44  Resolution of matters.
4.45  Intimidatory or retaliatory acts prohibited.

                      Means of Effecting Compliance

4.46  Means available.
4.47  Noncompliance with Sec. 4.21.
4.48  Termination of or refusal to grant or to continue Federal 
          financial assistance.
4.49  Other means authorized by law.

                         Opportunity for Hearing

4.51  Notice of opportunity for hearing.

                          Hearings and Findings

4.61  Presiding officer.
4.62  Right to counsel.
4.63  Procedures, evidence, and record.
4.64  Consolidated or joint hearings.

                          Decisions and Notices

4.71  Initial decision or certification.
4.72  Exceptions and final decision.
4.73  Rulings required.
4.74  Content of orders.
4.75  Post termination proceedings.

                             Judicial Review

4.81  Judicial review.

           Effect on Other Regulations; Forms and Instructions

4.91  Effect on other regulations.
4.92  Forms and instructions.
4.93  Supervision and coordination.

 Subpart B--Regulations Implementing Section 504 of the Rehabilitation 
                         Act of 1973, as Amended

4.101  Definitions.

                        Discriminatory Practices

4.121  General prohibitions against discrimination.
4.122  General prohibitions against employment discrimination.
4.123  Reasonable accommodation.
4.124  Employment criteria.
4.125  Preemployment inquiries.
4.126  General requirement concerning program accessibility.
4.127  Existing facilities.
4.128  New construction.

[[Page 139]]

                               Enforcement

4.231  Responsibility of applicants and recipients.
4.232  Notice.
4.233  Enforcement procedures.

Subpart C--Regulations Implementing the Age Discrimination Act of 1975, 
                               as Amended

                                 General

4.301  Purpose and scope.
4.302  Application of this subpart.
4.303  Definitions.

              Standards for Determining Age Discrimination

4.311  Rules against age discrimination.
4.312  Definitions of ``normal operation'' and ``statutory objective''.
4.313  Exceptions to the rules against age discrimination. Normal 
          operation or statutory objective of any program or activity.
4.314  Exceptions to the rules against age discrimination. Reasonable 
          factors other than age.
4.315  Burden of proof.

                        Duties of NRC Recipients

4.321  Assurance of compliance.
4.322  Written notice, technical assistance, and educational materials.
4.324  Information requirements.

         Investigation, Conciliation, and Enforcement Procedures

4.331  Compliance reviews.
4.332  Complaints.
4.333  Mediation.
4.334  Investigation.
4.335  Prohibition against intimidation or retaliation.
4.336  Compliance procedure.
4.337  Hearings, descisions, post-termination proceedings.
4.338  Remedial and affirmative action by recipients.
4.339  Alternate funds disbursal procedure.
4.340  Exhaustion of administrative remedies.
4.341  Reports.

                          Subpart D--[Reserved]

Subpart E--Enforcement of Nondiscrimination on the Basis of Handicap in 
    Programs or Activities Conducted by the U.S. Nuclear Regulatory 
                               Commission

4.501  Purpose.
4.502  Application.
4.503  Definitions.
4.504--4.509  [Reserved]
4.510  Self-evaluation.
4.511  Notice.
4.512--4.529  [Reserved]
4.530  General prohibition against discrimination.
4.531--4.539  [Reserved]
4.540  Employment.
4.541--4.548  [Reserved]
4.549  Program accessibility: Discrimination prohibited.
4.550  Program accessibility: Existing facilities.
4.551  Program accessibility: New construction and alterations.
4.552--4.559  [Reserved]
4.560  Communications.
4.561--4.569  [Reserved]
4.570  Compliance procedures.
4.571--4.999  [Reserved]

Appendix A to Part 4--Federal Financial Assistance to Which This Part 
          Applies

    Authority: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); sec. 
274, 73 Stat. 688, as amended (42 U.S.C. 2021); sec. 201, 88 Stat. 1242, 
as amended (42 U.S.C. 5841).
    Subpart A also issued under secs. 602-605, Pub. L. 88-352, 78 Stat. 
252, 253 (42 U.S.C. 2000d-1-2000d-4); sec. 401, 88 Stat. 1254 (42 U.S.C. 
5891).
    Subpart B also issued under sec. 504, Pub. L. 93-112, 87 Stat. 394 
(29 U.S.C. 706); sec. 119, Pub. L. 95-602, 92 Stat. 2984 (29 U.S.C. 
794); sec. 122, Pub. L. 95-602, 92 Stat. 2984 (29 U.S.C. 706(6)).
    Subpart C also issued under Title III of Pub. L. 94-135, 89 Stat. 
728, as amended (42 U.S.C. 6101).
    Subpart E also issued under 29 U.S.C. 794.

    Source: 29 FR 19277, Dec. 31, 1964, unless otherwise noted.

                           General Provisions



Sec. 4.1  Purpose and scope.

    The regulations in this part implement:
    (a) The provisions of title VI of the Civil Rights Act of 1964, Pub. 
L. 88-352; (78 Stat. 241; 42 U.S.C. 2000a note), and title IV of the 
Energy Reorganization Act of 1974, Pub. L. 93-438, (88 Stat. 1233; 42 
U.S.C. 5801 note), which relate to nondiscrimination with respect to 
race, color, national origin or sex in any program or activity receiving 
Federal financial assistance from NRC;
    (b) The provisions of section 504 of the Rehabilitation Act of 1973, 
as amended, Pub. L. 93-112 (87 Stat. 355; 29 U.S.C. 701 note), Pub. L. 
95-602 (92 Stat. 2955; 29 U.S.C. 701 note), which relates to 
nondiscrimination with respect to

[[Page 140]]

the handicapped in any program or activity receiving Federal financial 
assistance; and
    (c) The provisions of the Age Discrimination Act of 1975, as amended 
Pub. L. 94-135 (89 Stat. 713; 42 U.S.C. 3001 note), Pub. L. 95-478 (92 
Stat. 1513; 42 U.S.C. 3001 note), which relates to nondiscrimination on 
the basis of age in any program or activity receiving Federal financial 
assistance.

[52 FR 25357, July 7, 1987]



Sec. 4.2  Subparts.

    Subpart A sets forth rules applicable to title VI of the Civil 
Rights Act of 1964 and title IV of the Energy Reorganization Act of 
1974. (The Acts are collectively referred to in subpart A as ``the 
Act''.) Subpart B sets forth rules applicable specifically to matters 
pertaining to section 504 of the Rehabilitation Act of 1973, as amended. 
Subpart C sets forth rules pertaining to the provisions of the Age 
Discrimination Act of 1975, as amended, Pub. L. 94-135 (89 Stat. 713; 42 
U.S.C. 3001 note), Pub. L. 95-478 (92 Stat. 1513; 42 U.S.C. 3001 note), 
which relates to nondiscrimination on the basis of age in any program or 
activity receiving Federal financial assistance.

[52 FR 25358, July 7, 1987]



Sec. 4.3  Application of this part.

    This part applies to any program for which Federal financial 
assistance is authorized under a law administered by NRC. The programs 
to which this part applies are listed in appendix A of this part; 
appendix A may be revised from time to time by notice published in the 
Federal Register. This part applies to money paid, property transferred, 
or other Federal assistance extended under any program or activity, by 
way of grant, entitlement, cooperative agreement, loan, contract, or 
other agreement by NRC, or an authorized contractor or subcontractor of 
NRC, the terms of which require compliance with this part. If any 
statutes implemented by this part are otherwise applicable, the failure 
to list a program in appendix A does not mean the program is not covered 
by this part. This part does not apply to--
    (a) Contracts of insurance or guaranty; or
    (b) Procurement contracts; or
    (c) Employment practices under any program or activity except as 
provided in Secs. 4.13, 4.122 and 4.302.

[52 FR 25358, July 7, 1987]



Sec. 4.4   Definitions.

    (a) Applicant means one who submits an application, request, or plan 
required to be approved by NRC, or by a primary recipient, as a 
condition to eligibility for Federal financial assistance; 
``application'' means such an application, request, or plan.
    (b) Commission means the Commission of five members or a quorum 
thereof sitting as a body; ``NRC'' means the Nuclear Regulatory 
Commission and its duly authorized representatives.
    (c) Facility includes all or any portion of structures, equipment, 
or other real or personal property or interests therein, and the 
provisions of facilities includes the construction, expansion, 
renovation, remodeling, alteration or acquisition of facilities.
    (d) Federal financial assistance means any grant, entitlement, loan, 
cooperative agreement, contract (other than a procurement contract or a 
contract of insurance or guaranty), or any other arrangement by which 
NRC provides or otherwise makes available assistance in the form of--
    (1) Funds;
    (2) Services of Federal personnel or other personnel at Federal 
expense; or
    (3) Real and personal property or any interest in or use of 
property, including--
    (i) Transfers or leases of property for less than fair market value 
or for reduced consideration;
    (ii) Proceeds from a subsequent transfer or lease of property if the 
Federal share of its fair market value is not returned to the Federal 
Government; and the
    (iii) Sale and lease of, and the permission to use (other than on 
casual or transient basis) Federal property or any interest in such 
property without consideration or at a nominal consideration, or at a 
consideration which is reduced for the purpose of assisting the

[[Page 141]]

recipient, or in recognition of the public interest to be served by such 
sale or lease to the recipient.
    (e) Administrative Law Judge means an individual appointed pursuant 
to section 11 of the Administrative Procedure Act to conduct proceedings 
subject to this part.
    (f) Primary recipient means any recipient which is authorized or 
required to extend Federal financial assistance to another recipient for 
the purpose of carrying out a program.
    (g) Program includes any program, project, or activity designated in 
appendix A of this part for the provision of services, financial aid, or 
other benefits to individuals (including education or training) whether 
provided through employees of the recipient or provided by others 
through contracts or other arrangements with the recipient, and 
including work opportunities and cash or loan or other assistance to 
individuals, or for the provision of facilities for furnishing services, 
financial aid or other benefits to individuals. The services, financial 
aid, or other benefits provided under a program receiving Federal 
financial assistance shall be deemed to include any services, financial 
aid, or other benefits provided with the aid of Federal financial 
assistance or with the aid of any non-Federal funds, property, or other 
resources required to be extended or made available for the program to 
meet matching requirements or other conditions which must be met in 
order to receive the Federal financial assistance, and to include any 
services, financial aid, or other benefits provided in or through a 
facility provided with the aid of Federal financial assistance or such 
non-Federal resources.
    (h) Recipient means any State, political subdivision of any State, 
or instrumentality of any State or political subdivision, any public or 
private agency, institution, or organization, or other entity, or any 
individual, in any State, to whom Federal financial assistance is 
extended, directly or through another recipient, for any program, 
including any successor, assignee, or transferee thereof, but such term 
does not include any ultimate beneficiary under any such program.
    (i) Responsible NRC official means the Director of the Office of 
Equal Employment Opportunity or any other officer to whom the Executive 
Director for Operations has delegated the authority to act.
    (j) United States means the States of the United States, the 
District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, 
Guam, Wake Island, and the territories and possessions of the United 
States, and the term ``State'' means any one of the foregoing.

[29 FR 19277, Dec. 31, 1964, as amended at 45 FR 14535, Mar. 6, 1980; 45 
FR 18905, Mar. 24, 1980. Redesignated and amended at 52 FR 25358, July 
7, 1987]



Sec. 4.5  Communications and reports.

    Except as otherwise indicated, all communications and reports 
relating to this part should be addressed to the U.S. Nuclear Regulatory 
Commission, Washington, DC 20555. Communications and reports may be 
delivered in person to the Commission's offices at 1717 H Street, NW., 
Washington, DC, or at 11555 Rockville Pike, Rockville, Maryland.

[53 FR 6138, Mar. 1, 1988]



Sec. 4.6  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. The record may also be stored in electronic media with 
the capability for producing legible, accurate, and complete records 
during the required retention period. Records such as letters, drawings, 
specifications, must include all pertinent information such as stamps, 
initials, and signatures. The licensee shall maintain adequate 
safeguards against tampering with and loss of records.

[53 FR 19244, May 27, 1988]

[[Page 142]]



Sec. 4.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0053.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 4.32, 4.34, 4.125, 4.127, 4.231, and 4.232.

[49 FR 19623, May 9, 1984]



Subpart A--Regulations Implementing Title VI of the Civil Rights Act of 
       1964 and Title IV of the Energy Reorganization Act of 1974

                        Discrimination Prohibited



Sec. 4.11   General prohibition.

    No person in the United States shall, on the ground of sex, race, 
color, or national origin, be excluded from participation in, be denied 
the benefits of, or be otherwise subjected to discrimination under any 
program to which this subpart applies.

[29 FR 19277, Dec. 31, 1964, as amended at 40 FR 8778, Mar. 3, 1975]



Sec. 4.12   Specific discriminatory actions prohibited.

    (a) A recipient under any program to which this subpart applies may 
not, directly or through contractual or other arrangements, on the 
ground of sex, race, color, or national origin:
    (1) Deny an individual any service, financial aid, or other benefit 
provided under the program;
    (2) Provide any service, financial aid, or other benefit to an 
individual which is different, or is provided in a different manner, 
from that provided to others under the program;
    (3) Subject an individual to segregation or separate treatment in 
any matter related to his receipt of any service, financial aid, or 
other benefit under the program;
    (4) Restrict an individual in any way in the enjoyment of any 
advantage or privilege enjoyed by others receiving any service, 
financial aid, or other benefit under the program;
    (5) Treat an individual differently from others in determining 
whether he satisfies any admission, enrollment, quota, eligibilty, 
membership or other requirement or condition which individuals must meet 
in order to be provided any service, financial aid, or other benefit 
provided under the program;
    (6) Deny an individual an opportunity to participate in the program 
through the provision of services or otherwise or afford him an 
opportunity to do so which is different from that afforded others under 
the program (including the opportunity to participate in the program as 
an employee but only to the extent set forth in Sec. 4.13).
    (b) A recipient in determining the types of services, financial aid, 
or other benefits, or facilities which will be provided under any such 
program, or the class of individuals to whom, or the situations in 
which, such services, financial aid, other benefits, or facilities will 
be provided under any such program, or the class of individuals to be 
afforded an opportunity to participate in any such program, may not, 
directly or through contractual or other arrangements, utilize criteria 
or methods of administration which have the effect of subjecting 
individuals to discrimination because of their sex, race, color, or 
national origin, or have the effect of defeating or substantially 
impairing accomplishment of the objectives of the program as respects 
individuals of a particular sex, race, color, or national origin.
    (c) In determining the site or location of facilities, a recipient 
or applicant may not make selections with the purpose or effect of 
excluding individuals from, denying them the benefits of, or subjecting 
them to discrimination under any program to which this subpart applies, 
on the grounds of sex, race, color, or national origin; or with the 
purpose or effect of defeating or substantially impairing the 
accomplishment of the objectives of the Act or this subpart.

[[Page 143]]

    (d) As used in this section the services, financial aid, or other 
benefits provided under a program receiving Federal financial assistance 
shall be deemed to include any services, financial aid, or other benefit 
provided in or through a facility provided with the aid of Federal 
financial assistance.
    (e) The enumeration of specific forms of prohibited discrimination 
in this section and Sec. 4.13 does not limit the generality of the 
prohibition in Sec. 4.11.
    (f) This subpart does not prohibit the consideration of sex, race, 
color, or national origin if the purpose and effect are to remove or 
overcome the consequences of practices or impediments which have 
restricted the availability of, or participation in, the program or 
activity receiving Federal financial assistance, on the grounds of sex, 
race, color or national origin. Where previous discriminatory practice 
or usage tends, on the grounds of sex, race, color, or national origin, 
to exclude individuals from participation in, to deny them the benefits 
of, or to subject them to discrimination under any program or activity 
to which this subpart applies, the applicant or recipient has an 
obligation to take reasonable action to remove or overcome the 
consequences of the prior discriminatory practice or usage, and to 
accomplish the purposes of the Act.

[29 FR 19277, Dec. 31, 1964, as amended at 38 FR 17927, July 5, 1973; 40 
FR 8778 Mar. 3, 1975]



Sec. 4.13   Employment practices.

    (a) Where a primary objective of a program of Federal financial 
assistance to which this subpart applies is to provide employment, a 
recipient may not, directly or through contractual or other 
arrangements, subject an individual to discrimination on the ground of 
sex, race, color, or national origin in its employment practices under 
such program (including recruitment or recruitment advertising, 
employment, layoff or termination, upgrading, demotion, or transfer, 
rates of pay or other forms of compensation, and use of facilities), 
including programs where a primary objective of the Federal financial 
assistance is (1) to assist such individuals through employment to meet 
expenses incident to the commencement or continuation of their education 
or training, or (2) to provide work experience which contributes to the 
education or training of such individuals. (Examples of such programs 
are nuclear training equipment grants, grants and loans of materials for 
training, and fellowship programs.) The requirements applicable to 
construction employment under any such program shall be those specified 
in or pursuant to part III of Executive Order 11246 or any Executive 
order which supersedes it.
    (b) Where a primary objective of the Federal financial assistance is 
not to provide employment, but discrimination on the grounds of sex, 
race, color, or national origin in the employment practices of the 
recipient or other persons subject to this subpart tends, on the grounds 
of sex, race, color, or national origin, to exclude individuals from 
participation in, to deny them the benefits of, or to subject them to 
discrimination under any program to which this subpart applies, the 
provisions of paragraph (a) of this section shall apply to the 
employment practices of the recipient or other persons subject to this 
subpart to the extent necessary to assure equality of opportunity to, 
and nondiscriminatory treatment of, beneficiaries.

[38 FR 17927, July 5, 1973, as amended at 40 FR 8778, Mar. 3, 1975]



Sec. 4.14   Medical emergencies.

    A recipient shall not be deemed to have failed to comply with 
Sec. 4.11 if immediate provision of a service or other benefit to an 
individual is necessary to prevent his death or serious impairment of 
his health, and such service or other benefit cannot be provided except 
by or through a medical institution which refuses or fails to comply 
with Sec. 4.11.

                           Assurances Required



Sec. 4.21   General requirements.

    (a) Every grant, loan or contract under a program to which this 
subpart applies, except a program to which Sec. 4.22 applies, shall, as 
a condition to its approval by NRC, or by the appropriate NRC contractor 
or subcontractor, and the extension of any Federal financial assistance 
pursuant thereto, contain or

[[Page 144]]

be accompanied by an assurance that the program will be conducted in 
compliance with all requirements imposed by or pursuant to this subpart. 
In the case of a grant, loan, or contract involving Federal financial 
assistance to provide real property or structures thereon, the assurance 
shall obligate the recipient, or, in the case of a subsequent transfer, 
the transferee, for the period during which the real property or 
structures are used for a purpose for which the Federal financial 
assistance is extended, or for another purpose involving the provision 
of similar services or benefits. In the case of personal property the 
assurance shall obligate the recipient for the period during which he 
retains ownership or possession of the property. In all other cases the 
assurance shall obligate the recipient for the period during which 
Federal financial assistance is extended pursuant to the grant, loan or 
contract. The Commission will specify the form of the foregoing 
assurances for each program and the extent to which like assurances will 
be required of subgrantees, contractors and subcontractors, successors 
in interest, and other participants in the program. Any such assurance 
shall include provisions which give the United States a right to seek 
its judicial enforcement.
    (b) In the case of real property, structures or improvements 
thereon, or interests therein, which was acquired with Federal financial 
assistance, or in the case where Federal financial assistance is 
provided in the form of a transfer of real property or interest therein 
from the Federal Government, the instrument effecting or recording the 
transfer shall contain a covenant running with the land assuring 
nondiscrimination for the period during which the real property is used 
for a purpose for which the Federal financial assistance is extended or 
for another purpose involving the provision of similar services or 
benefits. Where no transfer of property is involved, but property is 
improved with Federal financial assistance, the recipient shall agree to 
include such a covenant in any subsequent transfer of such property. 
Where the property is obtained from the Federal Government, such 
convenant may also include a condition coupled with a right to be 
reserved by the NRC to revert title to the property in the event of a 
breach of the covenant where, in the discretion of the NRC, such a 
condition and right of reverter is appropriate to the program and to the 
nature of the grant and the grantee. In such event if a transferee of 
real property proposes to mortgage or otherwise encumber the real 
property as security for financing construction of new, or improvement 
of existing, facilities on such property for the purposes for which the 
property was transferred, the NRC may agree, upon request of the 
transferee and if necessary to accomplish such financing, and upon such 
conditions as the NRC deems appropriate, to forbear the exercise of such 
right to revert title for so long as the lien of such mortgage or other 
encumbrance remains effective.
    (c) Transfers of surplus property are subject to regulations issued 
by the Administrator of General Services (41 CFR 101-6.2).

[29 FR 19277, Dec. 31, 1964, as amended at 38 FR 17927, July 5, 1973]



Sec. 4.22   Continuing State programs.

    Every application by a State or a State agency for continuing 
Federal financial assistance shall require the submission of and every 
grant, loan, or contract to or with a State or a State agency to carry 
out a program involving continuing Federal financial assistance to which 
this subpart applies, shall, as a condition to its approval and the 
extension of any Federal financial assistance pursuant to the grant, 
loan or contract, contain or be accompanied by, a statement that the 
program is (or, in the case of a new program, will be) conducted in 
compliance with all requirements imposed by or pursuant to this subpart, 
and shall provide or be accompanied by provisions for such methods of 
administration for the program as are found by the responsible NRC 
official to give reasonable assurance that the recipient and all other 
recipients of Federal financial assistance under such program will 
comply with all requirements imposed by or pursuant to this subpart.

[38 FR 17928, July 5, 1973]

[[Page 145]]



Sec. 4.24   Assurances from institutions.

    (a) In the case of a grant, loan or contract involving Federal 
financial assistance to an institution of higher education, the 
assurance required by Sec. 4.21 shall extend to admission practices and 
to all other practices relating to the treatment of students.
    (b) The assurance required with respect to an institution of higher 
education, hospital, or any other institution, insofar as the assurance 
relates to the institution's practices with respect to admission or 
other treatment of individuals as students, patients, or clients of the 
institution or to the opportunity to participate in the provision of 
services or other benefits to such individuals, shall be applicable to 
the entire institution unless the institution establishes, to the 
satisfaction of the responsible NRC official, that the institution's 
practices in designated parts or programs of the institution will in no 
way affect its practices in the program of the institution for which 
Federal financial assistance is sought, of the beneficiaries of or 
participants in such program. If in any such case the assistance sought 
is for the construction of a facility or part of a facility, the 
assurance shall in any event extend to the entire facility and to 
facilities operated in connection therewith.

                         Compliance Information



Sec. 4.31   Cooperation and assistance.

    The responsible NRC official shall to the fullest extent practicable 
seek the cooperation of recipients in obtaining compliance with this 
subpart and shall provide assistance and guidance to recipients to help 
them comply voluntarily with this subpart.



Sec. 4.32  Compliance reports.

    (a) Each recipient shall keep records and submit to the responsible 
NRC official, timely, complete, and accurate compliance reports at the 
times and in the form and containing the information that the 
responsible NRC official may determine to be necessary to enable the 
official to ascertain whether the recipient has complied or is complying 
with this subpart.
    (b) In the case of any program under which a primary recipient 
extends Federal financial assistance to any other recipient, the other 
recipient shall also submit necessary compliance reports to the primary 
recipient to enable the primary recipient to carry out its obligations 
under this subpart.
    (c) The primary recipient shall retain each record of information 
needed to complete a compliance report pursuant to paragraph (a) of this 
section for three years or as long as the primary recipient retains the 
status of primary recipient as defined in Sec. 4.4, whichever is 
shorter.

[53 FR 19244, May 27, 1988]



Sec. 4.33   Access to sources of information.

    Each recipient shall permit access by the responsible NRC official 
during normal business hours to such of its books, records, accounts, 
and other sources of information, and its facilities as may be pertinent 
to ascertain compliance with this subpart. Where any information 
required of a recipient is in the exclusive possession of any other 
agency, institution or person and that agency, institution or person 
shall fail or refuse to furnish this information, the recipient shall so 
certify in its report and shall set forth what efforts it has made to 
obtain the information.



Sec. 4.34   Information to beneficiaries and participants.

    Each recipient shall make available to participants, beneficiaries, 
and other interested persons such information regarding the provisions 
of this subpart and its applicability to the program under which the 
recipient receives Federal financial assistance, and make such 
information available to them in such manner, as the responsible NRC 
official finds necessary to apprise such persons of the protections 
against discrimination assured them by the Act and this subpart.

                        Conduct of Investigations



Sec. 4.41   Periodic compliance reviews.

    The responsible NRC official shall from time to time review the 
practices of recipients to determine whether they are complying with 
this subpart.

[[Page 146]]



Sec. 4.42   Complaints.

    Any person who believes himself or any specific class of individuals 
to be subjected to discrimination prohibited by this subpart may by 
himself or by a representative file with the responsible NRC official a 
written complaint. A complaint must be filed not later than ninety (90) 
days from the date of the alleged discrimination, unless the time for 
filing is extended by the responsible NRC official. A complaint shall be 
signed by the complainant or his representative.



Sec. 4.43   Investigations.

    The responsible NRC official will make a prompt investigation 
whenever a compliance review, report, complaint, or any other 
information indicates a possible failure to comply with this subpart. 
The investigation should include, where appropriate, a review of the 
pertinent practices and policies of the recipient, the circumstances 
under which the possible noncompliance with this subpart occurred, and 
other factors relevant to a determination as to whether the recipient 
has failed to comply with this subpart.



Sec. 4.44   Resolution of matters.

    (a) If an investigation pursuant to Sec. 4.43 indicates a failure to 
comply with this subpart, the responsible NRC official will so inform 
the recipient and the matter will be resolved by voluntary means 
whenever possible. If it has been determined that the matter cannot be 
resolved by voluntary means, action will be taken as provided for in 
Secs. 4.46 through 4.49.
    (b) If an investigation does not warrant action pursuant to 
paragraph (a) of this section, the responsible NRC official will so 
inform the recipient and the complainant, if any, in writing.



Sec. 4.45   Intimidatory or retaliatory acts prohibited.

    No recipient or other person shall intimidate, threaten, coerce, or 
discriminate against any individual for the purpose of interfering with 
any right or privilege secured by the Act or this subpart, or because he 
has made a complaint, testified, assisted, or participated in any manner 
in an investigation, proceeding, or hearing under this subpart. The 
identity of complainants shall be kept confidential, except to the 
extent necessary to carry out the purposes of this subpart including the 
conduct of any investigation, hearing, or judicial proceeding arising 
thereunder.

[29 FR 19277, Dec. 31, 1964, as amended at 40 FR 8778, Mar. 3, 1975]

                      Means of Effecting Compliance



Sec. 4.46   Means available.

    If there appears to be a failure or threatened failure to comply 
with any of the provisions of this subpart, and if the noncompliance or 
threatened concompliance cannot be corrected by informal means, 
compliance with this subpart may be effected by the suspension or 
termination of or refusal to grant or to continue Federal financial 
assistance or by any other means authorized by law. Such other means may 
include, but are not limited to: (a) A reference to the Department of 
Justice with a recommendation that appropriate proceedings be brought to 
enforce any rights of the United States under any law of the United 
States (including other titles of the Act), or any assurance or other 
contractual undertaking, and (b) any applicable proceeding under State 
or local law.



Sec. 4.47  Noncompliance with Sec. 4.21.

    If an applicant fails or refuses to furnish an assurance required 
under Sec. 4.21 or otherwise fails or refuses to comply with a 
requirement imposed by or pursuant to that section, Federal financial 
assistance may be refused in accordance with the procedures of 
Sec. 4.48.

[45 FR 14535, Mar. 6, 1980]



Sec. 4.48   Termination of or refusal to grant or to continue Federal financial assistance.

    No order suspending, terminating, or refusing to grant or continue 
Federal financial assistance shall become effective until: (a) The 
responsible NRC official has advised the applicant or recipient of his 
failure to comply and has determined that compliance cannot be secured 
by voluntary means, (b) there has been an express finding on the record, 
after opportunity for hearing,

[[Page 147]]

of a failure by the applicant or recipient to comply with the 
requirement imposed by or pursuant to this subpart, (c) the action has 
been approved by the Commission pursuant to Sec. 4.72, and (d) the 
expiration of thirty (30) days after the Commission has filed with the 
committee of the House and the committee of the Senate having 
legislative jurisdiction over the program involved, a full written 
report of the circumstances and the grounds for such action. Any action 
to suspend or terminate or to refuse to grant or to continue Federal 
financial assistance shall be limited to the particular political 
entity, or part thereof, or other applicant or recipient as to whom such 
finding has been made and shall be limited in its effect to the 
particular program, or part thereof, in which such noncompliance has 
been so found.



Sec. 4.49   Other means authorized by law.

    No action to effect compliance by any other means authorized by law 
shall be taken until: (a) The responsible NRC official has determined 
that compliance cannot be secured by voluntary means, (b) the recipient 
or other person has been notified of its failure to comply and of the 
action to be taken to effect compliance, and (c) the expiration of at 
least ten (10) days from the mailing of such notice to the recipient or 
other person. During this period of at least ten (10) days, additional 
efforts shall be made to persuade the recipient or other person to 
comply with this subpart and to take such corrective action as may be 
appropriate.

[38 FR 17928, July 5, 1973]

                         Opportunity for Hearing



Sec. 4.51   Notice of opportunity for hearing.

    (a) Whenever an opportunity for hearing is required by Sec. 4.48, 
the responsible NRC official shall serve on the applicant or recipient, 
by registered or certified mail, return receipt requested, a notice of 
opportunity for hearing which will:
    (1) Inform the applicant or recipient of his right within twenty 
(20) days of the date of the notice of opportunity for hearing, or such 
other period as may be specified in the notice, to request a hearing;
    (2) Set forth the alleged item or items of noncompliance with this 
subpart;
    (3) Specify the issues;
    (4) State that compliance with this subpart may be effected by an 
order providing for the termination of or refusal to grant or to 
continue assistance, as appropriate, under the program involved; and
    (5) Provide that the applicant or recipient may file a written 
answer to the notice of opportunity for hearing under oath or 
affirmation within twenty (20) days of its date, or such other period as 
may be specified in the notice.
    (b) The applicant or recipient may respond to a notice of 
opportunity for hearing by filing a written answer under oath or 
affirmation. The answer shall specifically admit or deny each 
allegation, or, where the applicant or recipient does not have knowledge 
or information sufficient to form a belief, the answer may so state and 
the statements shall have the effect of a denial. Allegations of fact 
not denied shall be deemed to be admitted. The answer shall separately 
state and identify matters alleged as affirmative defenses and may also 
set forth the matters of fact and law on which the applicant or 
recipient relies. The answer may request a hearing.
    (c) If the answer requests a hearing, the Commission will issue a 
notice of hearing specifying:
    (1) The time, place, and nature thereof;
    (2) The legal authority and jurisdiction under which the hearing is 
to be held; and
    (3) The matters of fact and law asserted or to be considered. The 
time and place of hearing will be fixed with due regard for the 
convenience and necessity of the parties or their representatives and 
for the public interest. An answer to a notice of hearing is not 
required.
    (d) An applicant or recipient may file an answer, and waive or fail 
to request a hearing, without waiving the requirement for findings of 
fact and conclusions of law or the right to seek Commission review in 
accordance with the

[[Page 148]]

provisions of Secs. 4.71 through 4.74. At the time an answer is filed 
the applicant or recipient may also submit written information or 
argument for the record if he does not request a hearing.
    (e) An answer or stipulation may consent to the entry of an order in 
substantially the form set forth in the notice of opportunity for 
hearing; such order may be entered by the responsible Commission 
official. The consent of the applicant or recipient to the entry of an 
order shall constitute a waiver by him of a right to: (1) A hearing 
under the Act and Sec. 4.48, (2) findings of fact and conclusions of 
law, and (3) seek Commission review.
    (f) The failure of an applicant or recipient to file an answer 
within the period prescribed, or, if he requests a hearing, his failure 
to appear therefor, shall constitute a waiver by him of a right to: (1) 
A hearing under the Act and Sec. 4.48, (2) conclusions of law, and (3) 
seek Commission review. In the event of such waiver, the responsible NRC 
official may find the facts on the basis of the record available and 
enter an order in substantially the form set forth in the notice of 
opportunity for hearing.
    (g) An order entered in accordance with paragraph (e) or (f) of this 
section shall constitute the final decision of the Commission, unless 
the Commission, on its own motion, within forty-five (45) days after 
entry of the order, issues its own decision, which shall then constitute 
the final decision of the Commission.
    (h) A copy of an order entered by the responsible NRC official shall 
be mailed to the applicant or recipient and to the complainant, if any.
    (i) Nothing in this section shall be deemed to place the burden of 
proof on the applicant or recipient.

[29 FR 19277, Dec. 31, 1964, as amended at 38 FR 17928, July 5, 1973; 40 
FR 8778, Mar. 3, 1975]

                          Hearings and Findings



Sec. 4.61   Presiding officer.

    One or more members of the Commission or one or more administrative 
law judges appointed pursuant to section 3105 of title 5 of the United 
States Code shall: (a) Preside at a hearing and (b) make findings of 
fact and conclusions of law if an applicant or recipient waives a 
hearing and submits written information or argument for the record in 
accordance with Sec. 4.51(d).

[35 FR 11459, July 17, 1970]



Sec. 4.62   Right to counsel.

    In all proceedings under Secs. 4.51-4.81, the applicant or recipient 
and the responsible NRC official shall have the right to be represented 
by counsel. A notice of appearance shall be filed by counsel prior to 
participation in any such proceedings.



Sec. 4.63   Procedures, evidence, and record.

    (a) The hearing, decision, and any administrative review thereof 
shall be conducted in conformity with 5 U.S.C. 554-557 (sections 5-8 of 
the Administrative Procedure Act), and in accordance with such 
procedures as are proper (and not inconsistent with Secs. 4.61 through 
4.64) relating to the conduct of the hearing, giving of notices 
subsequent to those provided for in Sec. 4.51, taking of testimony, 
exhibits, arguments and briefs, requests for finding, and other related 
matters. Both the responsible NRC official and the applicant or 
recipient shall be entitled to introduce all relevant evidence on the 
issues as stated in the notice of hearing or as determined by the 
presiding officer at the outset of or during the hearing.
    (b) Technical rules of evidence shall not apply to hearings 
conducted pursuant to this subpart, but rules or principles designed to 
assure production of the most credible evidence available and to subject 
testimony to test by cross-examination shall be applied where reasonably 
necessary by the presiding officer. The presiding officer may exclude 
irrelevant, immaterial, or unduly repetitious evidence. All documents 
and other evidence offered or taken for the record shall be open to 
examination by the parties and opportunity shall be given to refute 
facts and arguments advanced on either side of the issues. A transcript 
shall be made of the oral evidence except to the extent the substance 
thereof is stipulated for the record.
    (c) Each decision made after a hearing has been held shall be based 
on the hearing record, and written findings of

[[Page 149]]

fact and conclusions of law shall be made.
    (d) If an applicant or recipient waives a hearing and submits 
written information or argument for the record in accordance with 
Sec. 4.51(d), written findings of fact and conclusions of law shall be 
made.

[29 FR 19277, Dec. 31, 1964, as amended at 35 FR 11459, July 17, 1970; 
38 FR 17928, July 5, 1973]



Sec. 4.64   Consolidated or joint hearings.

    In cases in which the same or related facts are asserted to 
constitute noncompliance with this subpart with respect to two or more 
programs to which this subpart applies or noncompliance with this 
subpart and the regulations of one or more other Federal departments or 
agencies issued under title VI of the Civil Rights Act of 1964, the 
Commission may, by agreement with such other departments or agencies, 
where applicable, provide for the conduct of consolidated or joint 
hearings, and for the application to such hearings of rules of procedure 
not inconsistent with this subpart. Final decisions in such cases, 
insofar as programs subject to this subpart are concerned shall be made 
in accordance with Sec. 4.72.

[29 FR 19277, Dec. 31, 1964, as amended at 40 FR 8778, Mar. 3, 1975]

                           Decision and Notice



Sec. 4.71   Initial decision or certification.

    The officer designated:
    (a) To preside at a hearing, or,
    (b) To make findings of fact and conclusions of law if an applicant 
or recipient waives a hearing and submits written information or 
argument for the record in accordance with Sec. 4.51(d), shall render an 
initial decision on the record, or, if the Commission so directs, shall 
certify the entire record to the Commission for decision, together with 
a recommended decision on the record. A copy of such initial decision, 
or of such certification and recommended decision, shall be mailed to 
the applicant or recipient.



Sec. 4.72   Exceptions and final decision.

    (a) The applicant or recipient, within thirty (30) days of the 
mailing of an initial decision or a recommended decision, may file with 
the Commission his exceptions to such decision, with his reasons 
therefor.
    (b) In the absence of exceptions to an initial decision, the 
Commission may, on its own motion within forty-five (45) days after the 
mailing of such initial decision, serve on the applicant or recipient a 
notice that the Commission will review the decision.
    (c) Upon the filing of exceptions to an initial decision or of a 
notice of review, the Commission shall review such initial decision and 
issue its own decision on the record with its reasons therefor.
    (d) In the absence of either exceptions to an initial decision or of 
a notice of review, such initial decision shall constitute the final 
decision of the Commission.
    (e) Upon the filing of exceptions to a recommended decision, the 
Commission shall review such recommended decision and issue its own 
decision on the record with its reasons therefor.
    (f) In the absence of exceptions to a recommended decision, the 
Commission shall review such recommended decision and issue its own 
decision on the record with its reasons therefor.



Sec. 4.73   Rulings required.

    Each decision of a presiding officer or the Commission shall set 
forth the rulings on each finding, conclusion, or exception presented, 
and shall identify the requirement or requirements imposed by or 
pursuant to this subpart with which it is found that the applicant or 
recipient has failed to comply.



Sec. 4.74   Content of orders.

    The final decision may provide for suspension or termination of, or 
refusal to grant or continue Federal financial assistance, in whole or 
in part, under the program involved, and may contain such terms, 
conditions, and other provisions as are consistent with and will 
effectuate the purposes of the Act and this subpart, including 
provisions designed to assure that no Federal financial assistance will 
thereafter be extended under such program to the applicant or recipient 
determined by such

[[Page 150]]

decision to be in default in its performance of an assurance given by it 
pursuant to this subpart, or to have otherwise failed to comply with 
this subpart, unless and until it corrects its noncompliance and 
satisfies the NRC that it will fully comply with this subpart. A copy of 
the final decision shall be mailed to the applicant or recipient and the 
complainant, if any.



Sec. 4.75   Post termination proceedings.

    (a) An applicant or recipient adversely affected by an order issued 
under Sec. 4.74 shall be restored to full eligibility to receive Federal 
financial assistance if it satisfies the terms and conditions of that 
order for such eligibility or if it brings itself into compliance with 
this subpart and provides reasonable assurance that it will fully comply 
with this subpart.
    (b) Any applicant or recipient adversely affected by an order 
entered pursuant to Sec. 4.74 may at any time request the responsible 
NRC official to restore fully its eligibility to receive Federal 
financial assistance. Any such request shall be supported by information 
showing that the applicant or recipient has met the requirements of 
paragraph (a) of this section. If the responsible NRC official 
determines that those requirements have been satisfied, he shall restore 
such eligibility.
    (c) If the responsible NRC official denies any such request, the 
applicant or recipient may submit a request for a hearing in writing, 
specifying why it believes such official to have been in error. It shall 
thereupon be given an expeditious hearing, with the decision on the 
record, in accordance with rules of procedure issued by the responsible 
NRC official. The applicant or recipient will be restored to such 
eligibility if it proves at such a hearing that it satisfied the 
requirements of paragraph (a) of this section. While proceedings under 
this section are pending, the sanctions imposed by the order issued 
under Sec. 4.74 shall remain in effect.

[38 FR 17928, July 5, 1973, as amended at 40 FR 8778, Mar. 3, 1975]

                             Judicial Review



Sec. 4.81   Judicial review.

    Action taken pursuant to section 602 of the Civil Rights Act of 1964 
is subject to judicial review as provided in section 603 of that Act.

[40 FR 8778, Mar. 3, 1975]

           Effect on Other Regulations; Forms and Instructions



Sec. 4.91   Effect on other regulations.

    All regulations, orders, or like directions heretofore issued by any 
officer of the NRC which impose requirements designed to prohibit any 
discrimination against individuals on the grounds of sex, race, color, 
or national origin under any program to which this subpart applies, and 
which authorize the suspension or termination of or refusal to grant or 
to continue Federal financial assistance to any applicant for or 
recipient of such assistance under such program for failure to comply 
with such requirements, are hereby superseded to the extent that such 
discrimination is prohibited by this subpart, except that nothing in 
this subpart shall be deemed to relieve any person of any obligation 
assumed or imposed under any such superseded regulation, order, 
instruction, or like direction prior to the effective date of this 
subpart. Nothing in this subpart, however, shall be deemed to supersede 
any of the following (including future amendments thereof):
    (a) Executive Orders 10925, 11114, and 11246 and regulations issued 
thereunder, or
    (b) Executive Order 11063 and regulations issued thereunder and any 
other regulations or instructions insofar as such order, regulations or 
instructions prohibit discrimination on the grounds of sex, race, color, 
or national origin in any program or situation to which this subpart is 
inapplicable, or prohibit discrimination on any other ground.

[29 FR 19277, Dec. 31, 1964, as amended at 38 FR 17928, July 5, 1973; 40 
FR 8778, Mar. 3, 1975]

[[Page 151]]



Sec. 4.92   Forms and instructions.

    The responsible NRC official shall issue and promptly make available 
to interested persons forms and detailed instructions and procedures for 
effectuating this subpart as applied to programs to which this subpart 
applies and for which he is responsible.



Sec. 4.93   Supervision and coordination.

    The Commission may from time to time assign to officials of other 
departments or agencies of the Government, with the consent of the 
department or agency involved, responsibilities in connection with the 
effectuation of the purposes of title VI of the Civil Rights Act of 1964 
and this subpart, other than responsibility for final decision as 
provided in Sec. 4.72, including the achievement of effective 
coordination and maximum uniformity within the NRC and within the 
Executive Branch of the Government in the application of title VI of the 
Civil Rights Act and this subpart to similar programs and in similar 
situations. Any action taken, determination made, or requirement imposed 
by an official of another department or agency acting pursuant to an 
assignment of responsibility under this section shall have the same 
effect as though such action had been taken by the responsible NRC 
official.

[40 FR 8778, Mar. 3, 1975]



 Subpart B--Regulations Implementing Section 504 of the Rehabilitation 
                         Act of 1973, as amended

    Source: 45 FR 14535, Mar. 6, 1980, unless otherwise noted.



Sec. 4.101  Definitions.

    As used in this subpart:
    (a) Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment. Such term does not include any individual who is an 
alcoholic or drug abuser whose current use of alcohol or drugs prevents 
such individual from performing the duties of the job in question or 
whose employment, by reason of such current alcohol or drug abuse, would 
constitute a direct threat to property or the safety of others.
    (b) As used in paragraph (a) of this section, the phrase:
    (1) Physical or mental impairment means: (i) Any physiological 
disorder or condition, cosmetic disfigurement, or anatomical loss 
affecting one or more of the following body systems: Neurological; 
musculoskeletal; special sense organs; respiratory, including speech 
organs; cardiovascular; reproductive; digestive, genitourinary; hemic 
and lymphatic; skin; and endocrine; or (ii) any mental or psychological 
disorder, such as mental retardation, organic brain syndrome, emotional 
or mental illness, and specific learning disabilities. The term physical 
or mental impairment includes, but is not limited to, such diseases and 
conditions as orthopedic, visual, speech, and hearing impairments, 
cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, 
cancer, heart disease, diabetes, mental retardation, and emotional 
illness.
    (2) Major life activities means functions such as caring for one's 
self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means:
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by a recipient as 
constituting such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Does not have a physical or mental impairment but is treated 
by a recipient as having such an impairment.
    (c) Qualified handicapped person means: (1) With respect to 
employment, a handicapped person who, with reasonable accommodation, can 
perform essential functions of the job in

[[Page 152]]

question and (2) with respect to services, a handicapped person who 
meets the essential eligibility requirements for the receipt of such 
services.
    (d) Section 504 means section 504 of the Rehabilitation Act of 1973, 
Pub. L. 93-112, as amended by the Rehabilitation, Comprehensive 
Services, and Developmental Disabilities Amendments of 1978, Pub. L. 95-
602 (29 U.S.C. 794).

                        Discriminatory Practices



Sec. 4.121  General prohibitions against discrimination.

    (a) No qualified handicapped person, shall, on the basis of 
handicap, be excluded from participation in, be denied the benefits of, 
or otherwise be subject to discrimination under any program or activity 
that receives or benefits from Federal financial assistance.
    (b)(1) A recipient, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap:
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Aid or perpetuate discrimination against a qualified handicapped 
person by providing significant assistance to any agency, organization, 
or person that discriminates on the basis of handicap in providing any 
aid, benefit, or service to beneficiaries of the recipient's program;
    (vi) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vii) Otherwise limit a qualified handicapped person in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving the aid, benefit, or service.
    (2) A recipient may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) A recipient may not directly or through contractual or other 
arrangements, utilize criteria or methods of administration: (i) That 
have the effect of subjecting qualified handicapped persons to 
discrimination on the basis of handicap, (ii) that have the purpose or 
effect of defeating or substantially impairing accomplishment of the 
objectives of the recipient's program with respect to handicapped 
persons, or (iii) that perpetuate the discrimination of another 
recipient if both recipients are subject to common administrative 
control or are agencies of the same State.
    (4) A recipient may not, in determining the site or location of a 
facility, make selections: (i) That have the effect of excluding 
handicapped persons from, denying them the benefits of, or otherwise 
subjecting them to discrimination under any program or activity that 
receives or benefits from Federal financial assistance or (ii) that have 
the purpose or effect of defeating or substantially impairing the 
accomplishment of the objectives of the program or activity with respect 
to handicapped persons.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive Order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive Order to a different 
class of handicapped persons is not prohibited by this subpart.
    (d) Recipients shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.

[[Page 153]]

    (e) Recipients shall take appropriate steps to ensure that 
communications with their applicants, employees, and beneficiaries are 
available to persons with impaired vision and hearing.



Sec. 4.122  General prohibitions against employment discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be subjected to discrimination in employment under any program or 
activity that receives or benefits from Federal financial assistance.
    (b) A recipient shall make all decisions concerning employment under 
any program or activity to which this subpart applies in a manner which 
ensures that discrimination on the basis of handicap does not occur and 
may not limit, segregate, or classify applicants or employees in any way 
that adversely affects their opportunities or status because of 
handicap.
    (c) The prohibition against discrimination in employment applies to 
the following activities:
    (1) Recruitment, advertising, and the processing of applications for 
employment;
    (2) Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right of return from layoff, and 
rehiring;
    (3) Rates of pay or any other form of compensation and changes in 
compensation;
    (4) Job assignments, job classifications, organizational structures, 
position descriptions, lines of progression, and seniority lists;
    (5) Leaves of absence, sick leave, or any other leave;
    (6) Fringe benefits available by virtue of employment, whether or 
not administered by the recipient;
    (7) Selection and financial support for training, including 
apprenticeship, professional meetings, conferences, and other related 
activities and selection for leaves of absence to pursue training;
    (8) Employer sponsored activities, including social or recreational 
programs; and
    (9) Any other term, condition, or privilege of employment.
    (d) A recipient may not participate in a contractual or other 
relationship that has the effect of subjecting qualified handicapped 
applicants or employees to discrimination prohibited by this subpart. 
The relationships referred to in this paragraph include relationships 
with employment and referral agencies, with labor unions, with 
organizations providing or administering fringe benefits to employees of 
the recipient, and with organizations providing training and 
apprenticeship programs.



Sec. 4.123  Reasonable accommodation.

    (a) A recipient shall make reasonable accommodation to the known 
physical or mental limitations of an otherwise qualified handicapped 
applicant or employee unless the recipient can demonstrate that the 
accommodation would impose an undue hardship on the operation of its 
program.
    (b) Reasonable accommodation may include: (1) Making facilities used 
by employees readily accessible to and usable by handicapped persons, 
and (2) job restructuring, part-time or modified work schedules, 
acquisition or modification of equipment or devices, the provision of 
readers or interpreters, and other similar actions. This list is neither 
all-inclusive nor meant to suggest that an employer must follow all the 
actions listed.
    (c) In determining pursuant to paragraph (a) of this section whether 
an accommodation would impose an undue hardship on the operation of a 
recipient's program, factors to be considered include:
    (1) The overall size of the recipient's program with respect to 
number of employees, number and type of facilities, and size of budget;
    (2) The type of the recipient's operations, including the 
composition and structure of the recipient's workforce; and
    (3) The nature and cost of the accommodation needed.
    (d) A recipient may not deny any employment opportunity to a 
qualified handicapped employee or applicant if the basis for denial is 
the need to make reasonable accommodation to the physical or mental 
limitations of the employee or applicant.

[[Page 154]]



Sec. 4.124  Employment criteria.

    (a) A recipient may not make use of any employment test or other 
selection criterion that screens out or tends to screen out handicapped 
persons or any class of handicapped persons unless:
    (1) The test score or other selection criterion as used by the 
recipient is shown to be job-related for the position in question; and
    (2) Alternative job-related tests or criteria that do not screen out 
or tend to screen out as many handicapped persons are not available.
    (b) A recipient shall select and administer tests concerning 
employment so as best to ensure that, when administered to an applicant 
or employee who has a handicap that impairs sensory, manual, or speaking 
skills, the test results accurately reflect the applicant's or 
employee's job skills, aptitude, or whatever other factor the test 
purports to measure, rather than reflecting the applicant's or 
employee's impaired sensory, manual, or speaking skills (except where 
those skills are the factors that the test purports to measure).



Sec. 4.125  Preemployment inquiries.

    (a) Except as provided in paragraphs (b) and (c) of this section, a 
recipient may not conduct a preemployment medical examination or may not 
make preemployment inquiry of an applicant as to whether the applicant 
is a handicapped person or as to the nature of severity of a handicap. A 
recipient may, however, make preemployment inquiry into an applicant's 
ability to perform job-related functions.
    (b) When a recipient is taking remedial action to correct the 
effects of past discrimination, or when a recipient is taking voluntary 
action to overcome the effects of conditions that resulted in limited 
participation in its federally assisted program or activity, or when a 
recipient is taking affirmative action pursuant to section 503 of the 
Rehabilitation Act of 1973, the recipient may invite applicants for 
employment to indicate whether and to what extent they are handicapped: 
Provided, That:
    (1) The recipient makes clear to the applicant that the information 
requested is intended for use solely in connection with its remedial 
action obligations or its voluntary or affirmative action efforts; and
    (2) The recipient makes clear to the applicant that the information 
is being requested on a voluntary basis, that it will be kept 
confidential as provided in paragraph (d) of this section, that refusal 
to provide it will not subject the applicant to any adverse treatment, 
and that it will be used only in accordance with this subpart.
    (c) Nothing in this section shall prohibit a recipient from 
conditioning an offer of employment on the results of a medical 
examination conducted prior to the employee's entrance on duty: 
Provided, That:
    (1) All entering employees are subjected to such an examination 
regardless of handicap; and
    (2) The results of such an examination are used only in accordance 
with the requirements of this subpart.
    (d) Information obtained in accordance with this section as to the 
medical condition or history of the applicant must 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:
    (1) Supervisors and managers may be informed regarding restrictions 
on the work or duties that may be assigned to handicapped persons and 
regarding necessary accommodations;
    (2) First aid and safety personnel may be informed, where 
appropriate, if the condition associated with the handicap might require 
emergency treatment; and
    (3) Government officials investigating compliance with the 
Rehabilitation Act of 1973 shall be provided relevant information upon 
request.

[45 FR 14535, Mar. 6, 1980, as amended at 53 FR 19244, May 27, 1988]



Sec. 4.126  General requirement concerning program accessibility.

    No qualified handicapped person shall, because a recipient's 
facilities are inaccessible to or unusable by handicapped persons, be 
denied the

[[Page 155]]

benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity that receives 
or benefits from Federal financial assistance.



Sec. 4.127  Existing facilities.

    (a) Program accessibility. A recipient shall operate each program or 
activity so that the program or activity, when viewed in its entirety, 
is readily accessible to and usable by handicapped persons. This 
paragraph does not necessarily require a recipient to make each of its 
existing facilities or every part of an existing facility accessible to 
and usable by handicapped persons.
    (b) Methods. A recipient may comply with the requirements of 
paragraph (a) of this section through such means as redesign of 
equipment, reassignment of classes or other services to accessible 
buildings, assignment of aids to beneficiaries, home visits, delivery of 
health, welfare or other social services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities in 
conformance with the requirements of Sec. 4.128 or any other methods 
that result in making its program or activity accessible to and usable 
by handicapped persons. A recipient is not required to make structural 
changes in existing facilities where other methods are effective in 
achieving compliance with paragraph (a) of this section. In choosing 
among available methods for meeting the requirement of paragraph (a) of 
this section, a recipient shall give priority to those methods that 
offer programs and activities to handicapped persons in the most 
integrated setting appropriate.
    (c) Time period. A recipient shall comply with the requirement of 
paragraph (a) of this section within 60 days of the effective date of 
this subpart except that where structural changes in facilities are 
necessary, the changes are to be made within three years of the 
effective date of this subpart, but in any event, as expeditiously as 
possible.
    (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 handicapped 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:
    (1) Identify physical obstacles in the recipient's facilities that 
limit the accessibility and usability of its program or activity to 
handicapped persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible to and usable by handicapped persons;
    (3) Specify the schedule for taking the steps necessary to achieve 
full program accessibility and, if the time period or the transition 
plan is longer than 1 year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the person responsible for implementation of the plan.
    (e) Notice. The recipient shall adopt and implement procedures to 
ensure that interested persons, including persons with impaired vision 
or hearing, can obtain information concerning the existence and location 
of services, activities, and facilities that are accessible to, and 
usable by, handicapped persons.

[45 FR 14535, Mar. 6, 1980, as amended at 53 FR 19244, May 27, 1988]



Sec. 4.128  New construction.

    (a) Design, construction, and alteration. New facilities shall be 
designed and constructed to be readily accessible to and usable by 
handicapped persons. Alterations to existing facilities shall, to the 
maximum extent feasible, be designed and constructed to be readily 
accessible to and usable by handicapped persons.
    (b) Conformance with Uniform Federal Accessibility Standards. (1) 
Effective as of January 18, 1991, design, construction, or alteration of 
buildings in conformance with sections 3--8 of the Uniform Federal 
Accessibility Standards (USAF) (appendix A to 41 CFR subpart 101-19.6) 
shall be deemed to comply with the requirements of this section

[[Page 156]]

with respect to those buildings. Departures from particular technical 
and scoping requirements of UFAS by the use of other methods are 
permitted where substantially equivalent or greater access to and 
usability of the building is provided.
    (2) For purposes of this section, section 4.1.6(1)(g) of UFAS shall 
be interpreted to exempt from the requirements of UFAS only mechanical 
rooms and other spaces that, because of their intended use, will not 
require accessibility to the public or beneficiaries or result in the 
employment or residence therein of persons with physical handicaps.
    (3) This section does not require recipients to make building 
alterations that have little likelihood of being accomplished without 
removing or altering a load-bearing structural member.

[55 FR 52138, 52139, Dec. 19, 1990]

                               Enforcement



Sec. 4.231  Responsibility of applicants and recipients.

    (a) Assurances. An applicant for Federal financial assistance for a 
program or activity to which this subpart applies shall submit an 
assurance, on a form specified by the responsible NRC official, that the 
program will be operated in compliance with the subpart. An applicant 
may incorporate these assurances by reference in subsequent applications 
to the NRC.
    (b) Duration of obligation. The assurance will obligate the 
recipient for the period during which Federal financial assistance is 
extended.
    (c) Remedial action. (1) If the responsible NRC official finds that 
a recipient has discriminated against persons on the basis of handicap 
in violation of section 504 or this subpart, the recipient shall take 
such remedial action as the responsible NRC official deems necessary to 
overcome the effect of the discrimination.
    (2) Where a recipient is found to have discriminated against persons 
on the basis of handicap in violation of section 504 or this subpart and 
where another recipient exercises control over the recipient that has 
discriminated, the responsible NRC official, where appropriate, may 
require either or both recipients to take remedial action.
    (3) The responsible NRC official may, where necessary to overcome 
the effects of discrimination in violation of section 504 or this 
subpart, require a recipient to take remedial action: (i) With respect 
to handicapped persons who are no longer participants in the recipient's 
program but who were participants in the program when such 
discrimination occurred or (ii) with respect to handicapped persons who 
would have been participants in the program had the discrimination not 
occurred.
    (d) Voluntary action. A recipient may take steps, in addition to any 
action that is required by this subpart, to overcome the effects of 
conditions that resulted in limited participation in the recipient's 
program or activity by qualified handicapped persons.
    (e) Self-evaluation. (1) A recipient shall as soon as practicable:
    (i) Evaluate, with the assistance of interested persons, including 
handicapped persons or organizations representing handicapped persons, 
its current policies and practices and the effects thereof that do not 
or may not meet the requirements of this subpart;
    (ii) Modify, after consultation with interested persons, including 
handicapped persons or organizations representing handicapped persons, 
any policies and practices that do not meet the requirements of this 
subpart; and
    (iii) Take, after consultation with interested persons, including 
handicapped persons or organizations representing handicapped persons, 
appropriate remedial steps to eliminate the effects of any 
discrimination that resulted from adherence to those policies and 
practices.
    (2) A recipient shall, for at least three years following completion 
of the evaluation required under paragraph (e)(1) of this section, 
maintain on file, make available for public inspection, and provide to 
the responsible NRC official upon request: (i) A list of the interested 
persons consulted, (ii) a description of areas examined and any problems 
identified, and (iii) a description of any modifications made and of any 
remedial steps taken.

[[Page 157]]

    (f) Designation of responsible employee. A recipient shall designate 
at least one person to coordinate its efforts to comply with this 
subpart.



Sec. 4.232  Notice.

    (a) A recipient shall take appropriate initial and continuing steps 
to notify participants, beneficiaries, applicants, and employees, 
including those with impaired vision or hearing, and unions or 
professional organizations holding collective bargaining or professional 
agreements with the recipient that it does not discriminate on the basis 
of handicap in violation of section 504 and this subpart. The 
notification shall state, where appropriate, that the recipient does not 
discriminate in admission or access to, or treatment or employment in, 
its programs and activities. The notification shall also include an 
identification of the responsible employee designated pursuant to 
Sec. 4.231(f). A present recipient shall make the initial notification 
required by this paragraph within 90 days of the effective date of this 
subpart. Methods of initial and continuing notification may include the 
posting of notices, publication in newspapers and magazines, placement 
of notices in recipients' publications, and distribution of memoranda or 
other written communications.
    (b) If a recipient publishes or uses recruitment materials or 
publications containing general information that it makes available to 
participants, beneficiaries, applicants, or employees, if shall include 
in those materials or publications a statement of the policy described 
in paragraph (a) of this section. A recipient may meet the requirement 
of this paragraph either by including appropriate inserts in existing 
materials and publications or by revising and reprinting the materials 
and publications.



Sec. 4.233  Enforcement procedures.

    The enforcement and hearing procedures set forth in Secs. 4.41 
through 4.75 of subpart A with respect to discrimination based on sex, 
race, color or national origin shall be used for the enforcement of the 
regulations in subpart B with respect to discrimination based on 
handicap.



Subpart C--Regulations Implementing the Age Discrimination Act of 1975, 
                               as Amended

    Source: 52 FR 25358, July 7, 1987, unless otherwise noted.

                                 General



Sec. 4.301  Purpose and scope.

    The purpose of this subpart is to set forth NRC policies and 
procedures under the Age Discrimination Act of 1975 which prohibits 
discrimination on the basis of age in programs or activities receiving 
Federal financial assistance.



Sec. 4.302  Application of this subpart.

    (a) The Age Discrimination Act of 1975 and these regulations apply 
to any program or activity receiving Federal financial assistance from 
NRC.
    (b) The Age Discrimination Act of 1975 and these regulations do not 
apply to--
    (1) An age distinction contained in that part of a Federal, State, 
or local statute or ordinance adopted by an elected, general purpose 
legislative body that--
    (i) Provides any benefits or assistance to persons based on age; or
    (ii) Establishes criteria for participation in age-related terms; or
    (iii) Describes intended beneficiaries or target groups in age-
related terms.
    (2) Any employment practice of any employer, employment agency, 
labor organization, or any labor-management joint apprenticeship 
training program, except for any program or activity receiving Federal 
financial assistance for public service employment under the 
Comprehensive Employment and Training Act of 1974 (CETA) (29 U.S.C. 801 
et seq.).



Sec. 4.303  Definitions.

    As used in this subpart:
    (a) Act means the Age Discrimination Act of 1975, as amended, (title 
III of Pub. L. 94-135; 89 Stat. 713; 42 U.S.C. 3001 note).
    (b) Action means any act, activity, policy, rule, standard, or 
method of administration; or the use of any policy, rule, standard, or 
method of administration.

[[Page 158]]

    (c) Age means how old a person is, or the number of elapsed years 
from the date of a person's birth.
    (d) Age distinction means any action using age or an age-related 
term.
    (e) Age-related term means a word or words which necessarily imply a 
particular age or range of ages (for example, ``children,'' ``adult,'' 
``older persons,'' but not ``student'').
    (f) Subrecipient means any of the entities in the definition of 
``recipient'' to which a recipient extends or passes on Federal 
financial assistance. A subrecipient is generally regarded as a 
recipient of Federal financial assistance and has all the duties of a 
recipient in these regulations.

              Standards for Determining Age Discrimination



Sec. 4.311  Rules against age discrimination.

    The rules stated in this section are limited by the exceptions 
contained in Secs. 4.313 and 4.314 of this subpart.
    (a) General rule. No person in the United States shall, on the basis 
of age, be excluded from participation in, be denied the benefits of, or 
be subjected to discrimination under, any program or activity receiving 
Federal financial assistance.
    (b) Specific rules. A recipient may not, in any program or activity 
receiving Federal financial assistance, directly or through contractual, 
licensing, or other arrangements use age distinctions or take any other 
actions which have the effect, on the basis of age, of--
    (1) Excluding individuals from, denying them the benefits of, or 
subjecting them to discrimination under, a program or activity receiving 
Federal financial assistance, or
    (2) Denying or limiting individuals in their opportunity to 
participate in any program or activity receiving Federal financial 
assistance.
    (c) The specific forms of age discrimination listed in paragraph (b) 
of this section do not necessarily constitute a complete list.



Sec. 4.312  Definitions of ``normal operation'' and ``statutory objective''.

    For purposes of Secs. 4.313 and 4.314, the terms ``normal 
operation'' and ``statutory objective'' have the following meaning:
    (a) Normal operation means the operation of a program or activity 
without significant changes that would impair its ability to meet its 
objectives.
    (b) Statutory objective means any purposes of a program or activity 
expressly stated in any Federal statute State statute, or local statute 
or ordinance adopted by an elected general purpose legislative body.



Sec. 4.313  Exceptions to the rules against age discrimination. Normal operation or statutory objective of any program or activity.

    A recipient is permitted to take an action, otherwise prohibited by 
Sec. 4.311, if the action reasonably takes into account age as a factor 
necessary to the normal operation or the achievement of any statutory 
objective of a program of activity. An action reasonably takes into 
account age as a factor necessary to the normal operation or the 
achievement of any statutory objective of a program or activity, if--
    (a) Age is used as a measure or approximation of one or more other 
characteristics; and
    (b) The other characteristic(s) must be measured or approximated in 
order for the normal operation of the program or activity to continue, 
or to achieve any statutory objective of the program or activity; and
    (c) The other characteristic(s) can be reasonably measured or 
approximated by the use of age; and
    (d) The other characteristic(s) are impractical to measure directly 
on an individual basis.



Sec. 4.314  Exceptions to the rule against age discrimination. Reasonable factors other than age.

    A recipient is permitted to take an action otherwise prohibited by 
Sec. 4.311 which is based on a factor other than age, even though that 
action may have a disproportionate effect on persons of different ages. 
An action may be based on a factor other than age only if the factor 
bears a direct and substantial relationship to the normal operation of 
the program or activity or to the achievement of a statutory objective.

[[Page 159]]



Sec. 4.315  Burden of proof.

    The burden of proving that an age distinction or other action falls 
within the exceptions outlined in Secs. 4.313 and 4.314 is on the 
recipient of Federal financial assistance.

                        Duties of NRC Recipients



Sec. 4.321  Assurance of compliance.

    Each NRC recipient has primary responsibility to ensure that its 
programs and activities are in compliance with the Act and these 
regulations. Each recipient will sign an assurance of compliance that 
its programs and activities will be conducted in compliance with all the 
requirements imposed by the Act and these regulations. A recipient also 
has responsibility to maintain records, provide information, and to 
afford access to its records to NRC, to the extent required to determine 
whether it is in compliance with the Act and these regulations.



Sec. 4.322  Written notice, technical assistance, and educational materials.

    (a) NRC will provide written notice to each recipient of its 
obligations under the Act and these regulations, including its 
obligation under paragraph (b) of this section.
    (b) Where a recipient makes available Federal financial assistance 
from NRC to a subrecipient, the recipient shall provide the subrecipient 
written notice of the subrecipient's obligations under the Act and these 
regulations.
    (c) NRC will provide technical assistance, where necessary, to 
recipients to aid them in complying with the Act and these regulations.
    (d) NRC will make available educational materials which set forth 
the rights and obligations of recipients and beneficiaries under the Act 
and these regulations.



Sec. 4.324  Information requirements.

    Each recipient shall:
    (a) Make available upon request to NRC information necessary to 
determine whether the recipient is complying with the Act and these 
regulations.
    (b) Permit reasonable access by NRC to the recipient's books, 
records, accounts, facilities, and other sources of information to the 
extent necessary to determine whether the recipient is in compliance 
with the Act and these regulations.

         Investigation, Conciliation, and Enforcement Procedures



Sec. 4.331  Compliance reviews.

    (a) NRC may conduct compliance reviews and preaward reviews of 
recipients or use other similar procedures that will permit it to 
investigate and correct violations of the Act and these regulations. NRC 
may conduct these reviews even in absence of a complaint against a 
recipient. The review may be as comprehensive as necessary to determine 
whether a violation of these regulations has occurred.
    (b) If a compliance review or preaward review indicates a violation 
of the Act or these regulations, NRC will attempt to achieve voluntary 
compliance with the Act. If voluntary compliance cannot be achieved, NRC 
will arrange for enforcement as described in Sec. 4.336.



Sec. 4.332  Complaints.

    (a) Any person, individually or as a member of a class or on behalf 
of others, may file a complaint with NRC, alleging discrimination 
prohibited by the Act or these regulations based on an action occurring 
on or after July 1, 1979. A complainant shall file a complaint within 
180 days from the date the complainant first had knowledge of the 
alleged act of discrimination. However, for good cause shown, NRC may 
extend this time limit.
    (b) NRC will attempt to facilitate the filing of complaints wherever 
possible, including taking the following measures:
    (1) Accepting a complaint as sufficient for further processing 
that--
    (i) Is made in writing;
    (ii) Alleges a violation of the Act;
    (iii) Identifies the parties involved and the date the complainant 
first had knowledge of the alleged violation;
    (iv) Describes generally the action or practice complained of; and
    (v) Is signed by the complainant.
    (2) Freely permitting a complainant to add information to the 
complaint to meet the requirements of a sufficient complaint.

[[Page 160]]

    (3) Notifying the complainant and the recipient of their rights and 
obligations under the complaint procedure, including the right to have a 
representative at all stages of the complaint procedures.
    (4) Notifying the complainant and the recipient (or their 
representatives) of their right to contact NRC for information and 
assistance regarding the complaint resolution process.
    (c) Each recipient and complainant shall participate actively in 
efforts toward speedy resolution of the complaint.
    (d) NRC will return to the complainant any complaint outside the 
jurisdiction of these regulations, and will state the reason(s) why it 
is outside the jurisdiction of these regulations.



Sec. 4.333  Mediation.

    (a) Referral of complaints for mediation. NRC will refer to a 
mediation agency designated by the Secretary of the Department of Health 
and Human Services all complaints that--
    (1) Fall within the jurisdiction of the Act and these regulations; 
and
    (2) Contain all information necessary for further processing.
    (b) Both the complainant and the recipient shall participate in the 
mediation process to the extent necessary to reach an agreement or make 
an informed judgment that an agreement is not possible. There must be at 
least one meeting with the mediator before NRC will accept a judgment 
that an agreement is not possible. However, the recipient and the 
complainant need not meet with the mediator at the same time.
    (c) If the complainant and the recipient reach an agreement, the 
mediator shall prepare a written statement of the agreement and have the 
complainant and recipient sign it. The mediator shall send a copy of the 
agreement to NRC. NRC will take no further action on the complaint 
unless the complainant or recipient fails to comply with the agreement.
    (d) The mediator shall protect the confidentiality of all 
information obtained in the course of the mediation process. No mediator 
shall testify in any adjudicative proceeding, produce any document, or 
otherwise disclose any information obtained in the course of the 
mediation process without prior approval of the head of the agency 
appointing the mediator.
    (e) NRC will use the mediation process for a maximum of 60 days 
after receiving a complaint. Mediation ends if--
    (1) From the time NRC receives the complaint 60 days elapse; or
    (2) Prior to the end of that 60-day period, the mediator determines 
an agreement is reached; or
    (3) Prior to the end of that 60-day period, the mediator determines 
that an agreement cannot be reached.
    (f) The mediator shall return unresolved complaints to NRC.



Sec. 4.334  Investigation.

    (a) Informal investigation. (1) NRC will investigate complaints that 
are unresolved after mediation or are reopened because of a violation of 
a mediation agreement.
    (2) As part of the initial investigation, NRC will use informal 
fact-finding methods, including joint or separate discussions with the 
complaint and recipient to establish the facts and, if possible, settle 
the complaint on terms that are mutually agreeable to the parties. NRC 
may seek the assistance of any involved State program agency.
    (3) NRC will put any agreement in writing and have it signed by the 
parties and an authorized official at NRC.
    (4) The settlement shall not affect the operation of any other 
enforcement effort of NRC, including compliance reviews and 
investigation of other complaints which may involve the recipient.
    (5) Settlement of a complaint under this section will not constitute 
a finding of discrimination by the NRC against a recipient or an 
admission of discrimination by the recipient.
    (b) Formal investigation. If NRC cannot resolve the complaint 
through informal investigation, it will begin to develop formal findings 
through further investigation of the complaint. If the investigation 
indicates a violation of these regulations, NRC will attempt to obtain 
voluntary compliance. If NRC cannot obtain voluntary compliance, it

[[Page 161]]

will begin enforcement as described in Sec. 4.336.



Sec. 4.335  Prohibition against intimidation or retaliation.

    A recipient may not engage in acts of intimidation or retaliation 
against any person who--
    (a) Attempts to assert a right protected by the Act or these 
regulations; or
    (b) Cooperates in any mediation, investigation, hearing, or other 
part of NRC's investigation, conciliation, and enforcement process.



Sec. 4.336  Compliance procedure.

    (a) NRC may enforce the Act and these regulations through--
    (1) Termination of a recipient's Federal financial assistance from 
NRC under the program or activity involved where the recipient has 
violated the Act or these regulations. The determination of the 
recipient's violation may be made only after a recipient has had an 
opportunity for a hearing on the record before an administrative law 
judge. Therefore, cases that are settled in mediation, or prior to a 
hearing, will not involve termination of a recipient's Federal fiancial 
assistance from NRC.
    (2) Any other means authorized by law including but not limited to--
    (i) Referral to the Department of Justice for proceedings to enforce 
any rights of the United States or obligations of the recipients created 
by the Act or these regulations.
    (ii) Use of any requirement of or referral to any Federal, State, or 
local government agency that will have the effect of correcting a 
violation of the Act or these regulations.
    (b) NRC will limit any termination under Sec. 4.336(a)(1) to the 
particular recipient and particular program or activity NRC finds in 
violation of Act or these regulations. NRC will not base any part of a 
termination on a finding with respect to any program or activity of the 
recipient that does not receive Federal financial assistance from NRC.
    (c) NRC will take no action under paragraph (a) until--
    (1) The Commission, or designee, has advised the recipient of its 
failure to comply with the Act or these regulations and has determined 
that voluntary compliance cannot be obtained.
    (2) 30 days have elapsed after the Commission, or designee, has sent 
a written report of the circumstances and grounds of the action to the 
committees of the Congress having legislative jurisdiction over the 
Federal program or activity involved. A report will be filed whenever 
any action is taken under paragraph (a) of this section.
    (d) NRC also may defer granting new Federal financial assistance to 
a recipient when termination proceedings under Sec. 4.336(a)(1) are 
initiated.
    (1) New Federal financial assistance includes all assistance for 
which NRC requires an application or approval, including renewal or 
continuation of existing activities or authorization of new activities, 
during the deferral period. New Federal financial assistance does not 
include increases in funding as a result of change computation of 
formula awards or assistance approved prior to the beginning of 
termination proceedings under Sec. 4.336(a)(1).
    (2) NRC will not begin a deferral until the recipient has received a 
notice of an opportunity for a hearing under Sec. 4.336(a)(1). NRC will 
not continue a deferral for more than 60 days unless a hearing has begun 
within that time or the time for beginning the hearings has been 
extended by mutual consent of the recipient and NRC. NRC will not 
continue a deferral for more than 30 days after the close of the 
hearing, unless the hearing results in a finding against the recipient.



Sec. 4.337  Hearings, decisions, post-termination proceedings.

    Certain NRC procedural provisions applicable to title VI of the 
Civil Rights Act of 1964 apply to NRC enforcement of these regulations. 
They are Secs. 4.61 through 4.64 and Secs. 4.71 through 4.75.



Sec. 4.338  Remedial and affirmative action by recipients.

    (a) Where NRC finds a recipient has discriminated on the basis of 
age, the recipient shall take any remedial action that NRC may require 
to overcome the effects of the discrimination. If another recipient 
exercises control

[[Page 162]]

over the recipient that has discriminated, NRC may require both 
recipients to take remedial action.
    (b) Even in the absence of a finding of discrimination, a recipient 
may take affirmative action to overcome the effects of conditions that 
resulted in limited participation in the recipient's program or activity 
on the basis of age.
    (c) If a recipient, operating a program that serves the elderly or 
children in addition to persons of other ages, provides special benefits 
to the elderly or to children, the provision of those benefits shall be 
presumed to be voluntary affirmative action provided that it does not 
have the effect of excluding otherwise eligible persons from 
participation in the program.



Sec. 4.339  Alternate funds disbursal procedure.

    (a) When NRC withholds funds from a recipient under these 
regulations, the Commission, or designee, may disburse the withheld 
funds directly to an alternate recipient, any public or nonprofit 
private organization or agency, or State or political subdivision of the 
State.
    (b) Any alternative recipient will be required to demonstrate--
    (1) The ability to comply with these regulations; and
    (2) The ability to achieve the goals of the Federal statute 
authorizing the program or activity.



Sec. 4.340  Exhaustion of administrative remedies.

    (a) A complainant may file a civil action following the exhaustion 
of administrative remedies under the Act. Administrative remedies are 
exhausted if--
    (1) 180 days have elapsed since the complainant filed the complaint 
and NRC has made no finding with regard to the complaint; or
    (2) NRC issues any finding in favor of the recipient.
    (b) If NRC fails to make a finding within 180 days or issues a 
finding in favor of the recipient, NRC will--
    (1) Promptly advise the complainant; and
    (2) Advise the complainant of his or her right to bring a civil 
action under section 305(e) of the Act of injunctive relief that will 
effect the purposes of the Act; and
    (3) Inform the complainant that--
    (i) The complainant may bring a civil action only in a United States 
District Court for the district in which the recipient is found or 
transacts business;
    (ii) A complainant prevailing in a civil action has the right to be 
awarded the costs of the action, including reasonable attorney's fees, 
but that the complainant must demand these costs in the complaint;
    (iii) That before commencing the action, the complainant shall give 
30 days notice by registered mail to the Commission, the Secretary of 
the Department of Health and Human Services, the Attorney General of the 
United States, and the recipient;
    (iv) The notice must state the relief requested, the court in which 
the complainant is bringing the action, and whether or not attorney's 
fees are demanded in the event the complainant prevails; and
    (v) The complainant may not bring an action if the same alleged 
violation of the Act by the same recipient is the subject of pending 
action in any court of the United States.



Sec. 4.341  Reports.

    The NRC shall submit to the Secretary of Health and Human Services, 
not later than December 31 of each year, a report which--
    (a) Describes in detail the steps taken during the preceding fiscal 
year to carry out the Act; and
    (b) Contains data on the frequency, type, and resolution of 
complaints and on any compliance reviews, sufficient to permit analysis 
of the agency's progress in reducing age discrimination in programs 
receiving Federal financial assistance from NRC; and
    (c) Contains data directly relevant to the extent of any pattern or 
practice of age discrimination which NRC has identified in any programs 
receiving Federal financial assistance from NRC and to progress toward 
eliminating it; and
    (d) Contains evaluative or interpretative information which NRC 
determines is useful in analyzing agency

[[Page 163]]

progress in reducing age discrimination in programs receiving Federal 
financial assistance from NRC; and
    (e) Contains whatever other data the Secretary of HHS may require.



                          Subpart D--[Reserved]



Subpart E--Enforcement of Nondiscrimination on the Basis of Handicap in 
    Programs or Activities Conducted by the U.S. Nuclear Regulatory 
                               Commission

    Source: 51 FR 22888, 22896, June 23, 1986, unless otherwise noted.



Sec. 4.501  Purpose.

    This part effectuates section 119 of the Rehabilitation, 
Comprehensive Services, and Developmental Disabilities Amendments of 
1978, which amended section 504 of the Rehabilitation Act of 1973 to 
prohibit discrimination on the basis of handicap in programs or 
activities conducted by Executive agencies or the United States Postal 
Service.



Sec. 4.502  Application.

    This part applies to all programs or activities conducted by the 
agency.



Sec. 4.503  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term ``physical or mental 
impairment'' includes, but is not limited to, such diseases and 
conditions as orthopedic, visual, speech, and hearing impairments, 
cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, 
cancer, heart disease, diabetes, mental retardation, emotional illness, 
and drug addiction and alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been

[[Page 164]]

misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Qualified handicapped person means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, a handicapped person who is a member of 
a class of persons otherwise entitled by statute, regulation, or agency 
policy to receive education services from the agency.
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can achieve the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature;
    (3) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec. 4.540.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.
Secs. 4.504--4.509  [Reserved]



Sec. 4.510  Self-evaluation.

    (a) The agency shall, by August 24, 1987, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part, and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, until three years following the completion of 
the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified, and
    (2) A description of any modifications made.



Sec. 4.511  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the head of the agency

[[Page 165]]

finds necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and this regulation.
Secs. 4.512--4.529  [Reserved]



Sec. 4.530  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangments, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified handicapped persons to 
discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified handicapped persons to discrimination on 
the basis of handicap. However, the programs or activities of entities 
that are licensed or certified by the agency are not, themselves, 
covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.

[[Page 166]]

    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.
Secs. 4.531--4.539  [Reserved]



Sec. 4.540  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements, and procedures 
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613, shall apply to employment in federally conducted programs or 
activities.
Secs. 4.541--4.548  [Reserved]



Sec. 4.549  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 4.550, no qualified handicapped 
person shall, because the agency's facilities are inaccessible to or 
unusable by handicapped persons, be denied the benefits of, be excluded 
from participation in, or otherwise be subjected to discrimination under 
any program or activity conducted by the agency.



Sec. 4.550  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 4.550(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by handicapped persons. The agency is not 
required to make structural changes in existing facilities where other 
methods are effective in achieving compliance with this section. The 
agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
handicapped persons in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec. 4.550(a) in historic preservation programs, the agency shall give 
priority to methods

[[Page 167]]

that provide physical access to handicapped persons. In cases where a 
physical alteration to an historic property is not required because of 
Sec. 4.550(a)(2) or (a)(3), alternative methods of achieving program 
accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide handicapped persons into or through 
portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by October 21, 1986, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by August 22, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by February 23, 1987 a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec. 4.551  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handicapped persons. The definitions, requirements, and standards of the 
Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 
CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.
Secs. 4.552--4.559  [Reserved]



Sec. 4.560  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can

[[Page 168]]

demonstrate would result in a fundamental alteration in the nature of a 
program or activity or in undue financial and adminstrative burdens. In 
those circumstances where agency personnel believe that the proposed 
action would fundamentally alter the program or activity or would result 
in undue financial and administrative burdens, the agency has the burden 
of proving that compliance with Sec. 4.560 would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this section would 
result in such an alteration or such burdens, the agency shall take any 
other action that would not result in such an alteration or such burdens 
but would nevertheless ensure that, to the maximum extent possible, 
handicapped persons receive the benefits and services of the program or 
activity.
Secs. 4.561--4.569  [Reserved]



Sec. 4.570  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Civil Rights Program Manager, Office of Small and 
Disadvantaged Business Utilization/Civil Rights, shall be responsible 
for coordinating implementation of this section. Complaints may be sent 
to Nuclear Regulatory Commission, Washington, DC 20555.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 4.570(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making

[[Page 169]]

the final determination may not be delegated to another agency.

[51 FR 22888, 22896, June 23, 1986]
Secs. 4.571--4.999  [Reserved]

 Appendix A to Part 4--Federal Financial Assistance to Which This Part 
                               Applies\1\

    (a) Conferences on regulatory programs. Agreements for financial 
assistance to State officials, without full-cost recovery, for visits to 
NRC facilities and offices or to other locations to confer on regulatory 
programs and related matters.
---------------------------------------------------------------------------

    \1\ Categories of assistance may be added to Appendix A from time to 
time by notice published in the Federal Register. This part shall be 
deemed to apply to all grants, loans or contracts entered into under any 
such category of assistance on or after the effective date of the 
inclusion of the category of assistance in Appendix A.
---------------------------------------------------------------------------

    (b) Orientation and instruction. Agreements for assistance to State 
and local officials, without full-cost recovery, to receive orientation 
and on-the-job instruction at NRC facilities and offices.
    (c) Courses in fundamentals of radiation. Agreements for the conduct 
of courses for State and local employees, without full-cost recovery, in 
fundamentals of radiation and radiation protection.
    (d) Participation in meetings and conferences. Agreements for 
participation, without full-cost recovery, in meetings, conferences, 
workshops, and symposia to assist scientific, professional or 
educational institutions or groups.
    (e) Research Support. Agreements for the financial support of basic 
and applied scientific research and for the exchange of scientific 
information.

[29 FR 19277, Dec. 31, 1964, as amended at 38 FR 17929, July 5, 1973; 40 
FR 8778, Mar. 3, 1975; 45 FR 14539, Mar. 6, 1980; 52 FR 25361, July 7, 
1987]



PART 7--ADVISORY COMMITTEES--Table of Contents




Sec.
7.1  Policy.
7.2  Definitions.
7.3  Interpretations.
7.4  Establishment of advisory committees.
7.5  Review of establishment of advisory committees by GSA Secretariat; 
          Advisory committee charters.
7.6  Amendments to advisory committee charters.
7.7  Termination, renewal, and rechartering of advisory committees.
7.8  Charter filing requirements.
7.9  Public notice of advisory committee establishment, reestablishment, 
          or renewal.
7.10  The NRC Advisory Committee Management Officer.
7.11  The Designated Federal Officer.
7.12  Public participation in and public notice of advisory committee 
          meetings.
7.13  Minutes of advisory committee meetings.
7.14  Public information on advisory committees.
7.15  Procedures for closing an NRC advisory committee meeting.
7.16  Annual comprehensive review.
7.17  Reports required for advisory committees.
7.18  Compensation and expense reimbursement of advisory committee 
          members, staffs, and consultants.
7.19  Handicapped members of advisory committees.
7.20  Conflict of interest reviews of advisory committee members' 
          outside interests.
7.21  Costs of duplication of documents.
7.22  Fiscal and administrative responsibilities.
    Authority: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); sec. 
201, 88 Stat. 1242, as amended (42 U.S.C. 5841); Pub. L. 92-463, 86 
Stat. 770 (5 U.S.C. App.).

    Source: 54 FR 26948, June 27, 1989, unless otherwise noted.



Sec. 7.1  Policy.

    The regulations in this part define the policies and procedures to 
be followed by the Nuclear Regulatory Commission in the establishment, 
utilization, and termination of advisory committees. In general, it is 
the policy of the Commission that--
    (a) Except where there is express legal authority to the contrary, 
the function of NRC advisory committees shall be advisory only.
    (b) Each NRC advisory committee shall function in compliance with 
the Federal Advisory Commitee Act and this part.
    (c) The number of NRC advisory committees shall be kept to the 
minimum necessary, and the number of members of each NRC advisory 
committee shall be limited to the fewest necessary to accomplish 
committee objectives.
    (d) An NRC advisory committee shall be established only when 
establishment of the committee is required by law or when the Commission 
determines that the committee is essential to the conduct of NRC 
business. In making such a

[[Page 170]]

determination, the Commission shall consider whether committee 
deliberations will result in a significant contribution to the creation, 
amendment, or elimination of regulations, guidelines, or rules affecting 
NRC business; whether the information to be obtained is available 
through another source within the Federal Government; whether the 
committee will make recommendations resulting in significant 
improvements in service or reductions in cost; or whether the 
committee's recommendations will provide an important additional 
perspective or viewpoint relating to NRC's mission.
    (e) Except where otherwise required by law, an NRC advisory 
committee shall be terminated whenever the stated objectives of the 
committee have been accomplished, the subject matter or work of the 
committee has become obsolete, the committee's main functions have been 
assumed by another entity within the Federal Government, or the cost of 
operating the committee has become excessive in relation to the benefits 
accruing to the Federal Government from its activities.
    (f) NRC advisory committees shall be balanced in their membership in 
terms of the points of view represented and the functions to be 
performed.
    (g) The Congress shall be kept informed of the number, purpose, 
membership, activities, and cost of NRC advisory committees.
    (h) NRC advisory committee meetings shall be open to the public, 
except where closure is determined to be justified under Sec. 7.15.



Sec. 7.2  Definitions.

    As used in this part:
    (a) Act means the Federal Advisory Committee Act, as amended, 5 
U.S.C. App.
    (b) Administrator means the Administrator of General Services.
    (c)(1) Advisory committee means any committee, board, commission, 
council, conference, panel, task force, or similar group, or any 
subcommittee or other subgroup thereof, that is established by statute 
for the purpose of providing advice or recommendations on issues of 
policy to an official, branch, or agency of the Federal Government, or 
that is established or utilized by the President or any agency official 
to obtain advice or recommendations on issues or policies that fall 
within the scope of his or her responsibilities; except that the term 
``advisory committee'' shall not include the groups listed in paragraph 
(c)(3) of this section.
    (2) For purposes of the definition of ``advisory committee'' in 
paragraph (c)(1) of this section, a group shall be considered to be 
``utilized by the President or any agency official to obtain advice or 
recommendations on issues or policies that fall within the scope of his 
or her responsibilities'' if (i) the group is composed in whole or in 
part of other than full-time officers or employees of the Federal 
Government, (ii) the group has an established existence outside the 
agency seeking the advice, (iii) the group is a preferred source from 
which to obtain advice or recommendations on a specific issue or policy 
within the scope of the President's or agency official's 
responsibilities, and (iv) such advice or recommendations are obtained 
in the same manner as advice or recommendations obtained from 
established advisory committees.
    (3) The following advisory meetings or groups are not included in 
the definition of ``advisory committee'' in paragraph (c)(1) of this 
section:
    (i) Any group composed wholly of full-time officers or employees of 
the Federal Government;
    (ii) Any group specifically exempted from the Act or these 
regulations by an Act of Congress;
    (iii) Any local civic group whose primary function is that of 
rendering a public service with respect to a Federal program, or any 
State or local committee, council, board, commission, or similar group 
established to advise or make recommendations to any State or local 
government unit or an official thereof;
    (iv) Any group that performs primarily operational functions 
specifically provided by law, as opposed to advisory functions;
    (v) Any meeting initiated by the President or one or more Federal 
officials for the purpose of obtaining advice or recommendations from 
one individual;

[[Page 171]]

    (vi) Any meeting that is initiated by a Federal official and that is 
held with more than one individual for the purpose of obtaining the 
advice of individual attendees and not for the purpose of utilizing the 
group to obtain consensus advice or recommendations, except where the 
agency accepts the group's deliberations as a source of consensus advice 
or recommendations;
    (vii) Any meeting initiated by a group with the President or one or 
more Federal officials for the purpose of expressing the group's view, 
provided that the President or Federal official does not use the group 
recurrently as a preferred source of advice or recommendations;
    (viii) Any meeting of two or more advisory committee members 
convened solely to gather information or conduct research for a 
chartered advisory committee to analyze relevant issues and facts for a 
chartered advisory committee, or to draft proposed position papers for 
deliberation by a chartered advisory committee; and
    (ix) Any meeting with a group initiated by the President or by one 
or more Federal officials for the purpose of exchanging facts or 
information.
    (d) Agency means an agency of the Government of the United States as 
defined in 5 U.S.C. 551(1).
    (e) Commission means the Nuclear Regulatory Commission of five 
members, or a quorum thereof, sitting as a body, as provided by section 
201 of the Energy Reorganization Act of 1974, 42 U.S.C. 5841 (88 Stat. 
1242).
    (f) Committee member means an individual who is appointed to serve 
on an advisory committee and has the full right and obligation to 
participate in the activities of the committee, including voting on 
committee recommendations.
    (g) Designated Federal Official means a government employee 
appointed, pursuant to Sec. 7.11(a), to chair or attend each meeting of 
an NRC advisory committee to which he or she is assigned.
    (h) GSA means the General Services Administration.
    (i) NRC means the agency established by title II of the Energy 
Reorganization Act of 1974, 42 U.S.C. 5801 (88 Stat. 1233), and known as 
the Nuclear Regulatory Commission.
    (j) NRC Advisory Committee Management Officer means the individual 
appointed, pursuant to Sec. 7.10(a), to supervise and control the 
establishment and management of NRC advisory committees.
    (k) NRC Public Document Room means the Public Document Room 
maintained by the NRC at 2120 L Street, NW., Washington, DC.
    (l) Presidential advisory committee means an advisory committee that 
advises the President.
    (m) GSA Secretariat means the Committee Management Secretariat of 
the General Services Administration, which was established pursuant to 
the Act.
    (n) Staff member means any individual who serves in a support 
capacity to an advisory committee.



Sec. 7.3  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by an NRC 
officer or employee, other than a written interpretation by the General 
Counsel, shall be binding upon the Commission.



Sec. 7.4  Establishment of advisory committees.

    (a) An NRC advisory committee may be established under this part 
only if its establishment--
    (1) Is specifically directed or authorized by statute or by 
Executive Order of the President; or
    (2) Has been determined by the Commission to be in the public 
interest and essential to the performance of the duties imposed on the 
Commission by law.

The determination required by paragraph (a)(2) of this section shall be 
a matter of formal record, and shall include a statement of a clearly 
defined purpose for the advisory committee.



Sec. 7.5  Review of establishment of advisory committees by GSA Secretariat; Advisory committee charters.

    (a) Whenever the NRC proposes to establish or utilize an advisory 
committee, a letter requesting review of the proposal and transmitting a 
proposed charter for the committee shall be submitted to the GSA 
Secretariat by the

[[Page 172]]

Commission. The letter shall contain the following information:
    (1) An explanation of why the committee is essential to the conduct 
of NRC business and is in the public interest;
    (2) An explanation of why the committee's functions cannot be 
performed by NRC, another existing NRC advisory committee, or other 
means (such as a public hearing); and
    (3) A description of NRC's plan to attain balanced membership on the 
committee.

For purposes of attaining balance in an NRC advisory committee's 
membership, the Commission shall consider for membership interested 
persons and groups with professional, technical, or personal 
qualifications or experience to contribute to the functions and tasks to 
be performed.
    (b) Each proposed committee charter submitted for review pursuant to 
paragraph (a) of this section shall contain the following information:
    (1) The committee's official designation;
    (2) The committee's objectives and the scope of its activity;
    (3) The period of time necessary for the committee to carry out its 
purposes;
    (4) The NRC official to whom the committee will report;
    (5) The NRC office responsible for providing support for the 
committee;
    (6) A description of the duties for which the committee will be 
responsible, and if such duties are not solely advisory, a specification 
of the authority for the functions that are not advisory;
    (7) The estimated annual operating costs, in dollars and man-years, 
for the committee;
    (8) The estimated number and frequency of committee meetings; and
    (9) The committee's termination date, if less than two years from 
the date of the committee's establishment.

The date the charter is filed pursuant to Sec. 7.8 shall be added to the 
charter when such filing takes place.
    (c)(1) A subcommittee that does not function independently of its 
parent advisory committee shall be subject to the requirements of this 
part, except that it shall not be subject to the requirements of 
paragraphs (a) and (b) of this section. Such a subcommittee shall not, 
however, be subject to the requirements of this part with respect to any 
meeting of its members devoted solely to a function described in 
Sec. 7.2(c)(3)(viii).
    (2) The requirements of this part, including the requirements of 
paragraphs (a) and (b) of this section, shall apply to any subcommittee 
that functions independently of the parent advisory committee (such as 
by making recommendations directly to the agency rather than to the 
parent advisory committee), regardless of whether the subcommittee's 
members are drawn in whole or in part from the parent advisory 
committee.
    (d) After the GSA Secretariat has notified the Commission of the 
results of its review of a proposal to establish or utilize an NRC 
advisory committee, submitted pursuant to paragraph (a) of this section, 
the Commission shall notify the GSA Secretariat in writing whether the 
advisory committee is actually being established. Filing of the advisory 
committee charter pursuant to Sec. 7.8 shall be deemed to fulfill this 
notification requirement. If the advisory committee is not being 
established, the Commission shall so advise the GSA Secretariat in 
writing, stating whether NRC intends to take any further action with 
respect to the proposed advisory committee.
    (e) The date of filing of an advisory committee charter pursuant to 
Sec. 7.8 shall appear on the face of the charter and shall constitute 
the date of establishment, renewal, or reestablishment of the committee.



Sec. 7.6  Amendments to advisory committee charters.

    (a) Final authority for amending the charter of an NRC advisory 
committee established or utilized by the NRC is vested in the 
Commission.
    (b) Any proposed minor technical changes made to a current charter 
for an NRC advisory committee whose establishment is required or 
authorized by statute or by Executive Order of the President shall be 
coordinated with the General Counsel to ensure that they

[[Page 173]]

are consistent with the applicable statute or Executive Order. When the 
statute or Executive Order that directed or authorized the establishment 
of an advisory committee is amended to change the language that has been 
the basis for establishing the advisory committee, those sections of the 
current charter affected by the statute or Executive Order shall also be 
amended, and the amended charter shall be filed as specified in 
Sec. 7.8.
    (c)(1) The charter of an NRC advisory committee established under 
general agency authority may be amended when the Commission determines 
that the existing charter no longer reflects the objectives or functions 
of the committee. Such changes may be minor (such as revising the name 
of the advisory committee or modifying the estimated number or frequency 
of meetings), or they may be major (such as revising the objectives or 
composition of the committee). The procedures specified in paragraph (b) 
of this section shall be used in the case of charter amendments 
involving minor changes.
    (2) In the case of a major amendment to the charter of an advisory 
committee established under general agency authority, a letter 
requesting review of the proposed amendment and transmitting the 
proposed amended charter shall be submitted to the GSA Secretariat. The 
letter shall explain the purpose of the changes and why they are 
necessary.
    (3) A committee charter that has been amended pursuant to this 
paragraph is subject to the filing requirements set forth in Sec. 7.8.
    (4) Amendment of an existing advisory committee charter pursuant to 
this paragraph does not constitute renewal of the committee for purposes 
of Sec. 7.7.



Sec. 7.7  Termination, renewal, and rechartering of advisory committees.

    (a) Except as provided in paragraph (b)(1) of this section, each NRC 
advisory committee shall terminate two years after it is established, 
reestablished, or renewed, unless--
    (1) It has been terminated sooner;
    (2) It has been renewed or reestablished before the end of such 
period in accordance with the procedures set forth in paragraph (b) of 
this section; or
    (3) Its duration has been otherwise designated by law.
    The NRC Committee Management Officer shall notify the GSA 
Secretariat in writing of the effective date of termination of any 
advisory committee that has been terminated by the NRC.
    (b)(1) An NRC advisory committee that is established by statute 
shall require rechartering by the filing of a new charter every 2 years 
after the date of enactment of the statute establishing the committee. 
If a new charter is not filed, the committee is not terminated, but it 
may not meet or take any actions.
    (2) Any other NRC advisory committee may be renewed, provided that 
such renewal is carried out in compliance with the procedures set forth 
in Sec. 7.5 at least 30 and not more than 60 days before the committee 
would otherwise terminate; except that an advisory committee established 
by the President may be renewed by appropriate action of the President 
and the filing of a new charter. Renewal of an NRC advisory committee 
shall not be deemed to terminate the appointment of any committee member 
who was previously appointed to serve on the committee.



Sec. 7.8  Charter filing requirements.

    (a) Except as provided in paragraph (b) of this section, an NRC 
advisory committee may not operate, meet, or take any action unless a 
copy of the committee's charter has been filed with (1) the Committee on 
Environment and Public Works of the United States Senate, and the 
Committee on Interior and Insular Affairs and the Committee on Energy 
and Commerce of the United States House of Representatives; (2) the 
Library of Congress, Exchange and Gift Division, Federal Documents 
Section, Federal Advisory Committee Desk, Washington, DC 20540; and (3) 
the GSA Secretariat. The copy filed with the GSA Secretariat shall 
indicate the Congressional filing date.
    (b) When either the President or the Congress establishes an 
advisory committee that advises the President and for which NRC is 
responsible, the Commission shall--

[[Page 174]]

    (1) File the committee's charter with the GSA Secretariat;
    (2) File a copy of the committee's charter with the Library of 
Congress at the address listed in paragraph (a) of this section; and
    (3) If specifically directed by law, file with the Congressional 
Committees listed in paragraph (a) of this section a copy of the charter 
that shows its date of filing with the GSA Secretariat.
    (c) For purposes of the filing requirements established by this 
section, the filing date of an advisory committee charter shall be the 
date on which the charter, or a copy of the charter where appropriate, 
is offered for filing at the office in which it is required to be filed 
(in the case of hand delivery), or on which it is deposited in the mail 
(in the case of delivery by mail).
    (d) The charter filing requirements established by this section are 
subject to the public notice requirements of Sec. 7.9.



Sec. 7.9  Public notice of advisory committee establishment, reestablishment, or renewal.

    (a) After the Commission has received the GSA Secretariat's response 
to a request (in accordance with Sec. 7.5) for review of a proposal to 
establish, reestablish, renew, or utilize an NRC advisory committee, the 
Commission shall publish a notice in the Federal Register that the 
committee is being established, reestablished, renewed, or utilized. In 
the case of a new committee, the notice shall also describe the nature 
and purpose of the committee and shall include a statement that the 
committee is necessary and in the public interest. This notice 
requirement does not apply to any committee whose establishment is 
required by statute or which is established by Executive Order of the 
President.
    (b) Notices required to be published pursuant to paragraph (a) of 
this section shall be published at least 15 calendar days before the 
committee charter is filed pursuant to Sec. 7.8, except that the GSA 
Secretariat may approve less than 15 days for good cause shown. The 15-
day advance notice requirement does not apply to committee renewals, 
notices of which may be published concurrently with the filing of the 
charter.



Sec. 7.10  The NRC Advisory Committee Management Officer.

    (a) The Chairman of the Commission shall appoint an NRC Advisory 
Committee Management Officer to carry out the functions specified in 
paragraph (b) of this section.
    (b) The NRC Advisory Committee Management Officer shall--
    (1) Carry out all responsibilities relating to NRC advisory 
committees delegated to such officer by the Commission;
    (2) Ensure that administrative guidelines and management controls 
are issued that apply to all NRC advisory committees;
    (3) Exercise control and supervision over the establishment, 
procedures, and accomplishments of NRC advisory committees;
    (4) Assemble and maintain the reports, records, and other papers of 
any such committee during this existence;
    (5) Carry out, on behalf of NRC, the provisions of the Freedom of 
Information Act (5 U.S.C. 552) and NRC's Freedom of Information Act 
Regulations (10 CFR part 9, subpart A) with respect to such reports, 
records, and other papers;
    (6) Ensure that, subject to the Freedom of Information Act and NRC's 
Freedom of Information Act Regulations, copies of the records, reports, 
transcripts minutes, appendices, working papers, drafts, studies, 
agenda, or other documents which were made available to or prepared for 
or by each NRC advisory committee shall be available for public 
inspection and copying at the NRC Public Document Room until the 
advisory committee ceases to exist;
    (7) Ensure that, subject to the Freedom of Information Act and NRC's 
Freedom of Information Act Regulations, at least eight copies of each 
report made by each NRC advisory committee and, where appropriate, 
background papers prepared by consultants, shall be filed with the 
Library of Congress;
    (8) Ensure that NRC keeps such records as will fully disclose the 
disposition of any funds that may be at the disposal of NRC advisory 
committees and the nature and extent of their activities; and

[[Page 175]]

    (9) Ensure that NRC keeps such other records and provides such 
support services as are required by Sec. 7.22.
    (c) For purposes of paragraph (b) of this section, the term 
``records'' includes (but is not limited to):
    (1) A set of approved charters and membership lists for each NRC 
advisory committee;
    (2) Copies of NRC's portion of the President's annual report to the 
Congress on Federal advisory committees required by section 6(c) of the 
Act;
    (3) NRC guidelines on committee management operations and procedures 
as maintained and updated; and
    (4) NRC determinations to close advisory committee meetings made 
pursuant to Sec. 7.15.

[54 FR 26948, June 27, 1989; 54 FR 28554, July 6, 1989; 54 FR 31646, 
Aug. 1, 1989]



Sec. 7.11  The Designated Federal Officer.

    (a) The Chairman of the Commission shall appoint a Designated 
Federal Officer for each NRC advisory committee and its subcommittees. 
The individual holding this position must be employed by the Federal 
Government on either a full-time or a permanent part-time basis.
    (b) All meetings of an NRC advisory committee must be convened or 
approved by the committee's Designated Federal Officer, and the agenda 
for each committee meeting (except a meeting of a Presidential advisory 
committee) must be approved by that individual.
    (c) An NRC advisory committee may not hold a meeting in the absence 
of its Designated Federal Officer.
    (d) It shall also be the responsibility of the Designated Federal 
Officer to--
    (1) Attend all meetings of the committee for which he or she has 
been appointed;
    (2) Adjourn the meetings of the committee when such adjournment is 
in the public interest;
    (3) Chair the meetings of the committee when so directed by the 
Commission;
    (4) Ensure compliance with the requirements of Sec. 7.13 regarding 
minutes of meetings of the committee; and
    (5) Provide to the NRC Public Document Room copies of committee 
documents required to be maintained for public inspection and copying 
pursuant to Sec. 7.14(b).

[54 FR 26948, June 27, 1989; 54 FR 28554, July 6, 1989]



Sec. 7.12  Public participation in and public notice of advisory committee meetings.

    (a) Each meeting of an NRC advisory committee shall be held at a 
reasonable time and in a place reasonably accessible to the public. The 
size of the meeting room must be sufficient to accommodate advisory 
committee members, committee or agency staff, and interested members of 
the public; except that, the provisions of this paragraph shall not 
apply where an entire NRC advisory committee meeting has been closed 
pursuant to Sec. 7.15.
    (b) Any member of the public who wishes to do so shall be permitted 
to file a written statement with an NRC advisory committee regarding any 
matter discussed at a meeting of the committee. The committee chairman 
may also permit members of the public to speak at meetings of the 
committee in accordance with procedures established by the committee.
    (c) Except when the President or his designee determines in writing 
that no notice should be published for reasons of national security, at 
least 15 days prior to an NRC advisory committee meeting, a notice that 
includes the following information shall be published in the Federal 
Register:
    (1) The exact name of the advisory committee as chartered;
    (2) The time, date, place, and purpose of the meeting;
    (3) A summary of the agenda of the meeting; and
    (4) Whether all or part of the meeting is open to the public.

If any part of the meeting is closed, the notice shall provide the 
reasons for the closure, citing the specific matter that has been 
determined to justify the closure under Sec. 7.15.
    (d) In exceptional circumstances, less than 15 days notice of an 
advisory committee meeting may be given, provided that there is as much 
prior notice as possible and the reasons for the shorter time are 
included in the committee meeting notice published in the Federal 
Register.

[[Page 176]]

    (e) In addition to notice required by paragraph (c) of this section, 
the NRC may also use other forms of notice, such as public releases and 
notice by mail, to inform the public of advisory committee meetings. To 
that end, the Designated Federal Officer of each NRC advisory committee 
will, to the extent practicable, maintain lists of people and 
organizations interested in that advisory committee and notify them of 
meetings by mail.



Sec. 7.13  Minutes of advisory committee meetings.

    (a) Detailed minutes shall be kept of each NRC advisory committee 
meeting. The minutes shall include the following information:
    (1) The time, date, and place of the meeting;
    (2) A list of the attendees at the meeting who are advisory 
committee members or staff, agency employees, or members of the public 
who presented oral or written statements;
    (3) An estimate of the number of other members of the public who 
were present;
    (4) The extent of public participation; and
    (5) An accurate description of each matter discussed during the 
meeting and its resolution, if any, by the committee.
    (b) The minutes of an NRC advisory committee meeting shall include a 
copy of each report or other document received, issued, or approved by 
the committee in connection with the meeting. If it is impracticable to 
attach a document to the minutes, the minutes shall describe the 
document in sufficient detail to permit it to be identified readily.
    (c) The chairperson of an NRC advisory committee shall certify to 
the accuracy of the minutes of each of the committee's meetings. In the 
case of a subgroup of an advisory committee, the chairperson of the 
subgroup shall certify to the accuracy of the minutes.
    (d) A verbatim transcript of an advisory committee meeting may be 
substituted for minutes required by this section, providing that the use 
of such a transcript is in accordance with the requirements of 
paragraphs (a), (b), and (c) of this section.



Sec. 7.14  Public information on advisory committees.

    (a) The Nuclear Regulatory Commission shall maintain systematic 
information on the nature, functions, and operations of each NRC 
advisory committee. A complete set of the charters of NRC advisory 
committees and copies of the annual reports required by Sec. 7.17(a) 
shall be maintained for public inspection in the NRC Public Document 
Room.
    (b) Subject to the provisions of the Freedom of Information Act (5 
U.S.C. 552) and NRC's Freedom of Information Act Regulations (10 CFR 
part 9, subpart A), copies of NRC advisory committees' records, reports, 
transcripts, minutes, appendices, working papers, drafts, studies, 
agenda, and other documents shall be maintained for public inspection 
and copying in the NRC Public Document Room.



Sec. 7.15  Procedures for closing an NRC advisory committee meeting.

    (a) To close all or part of a meeting of an NRC advisory committee, 
the committee shall submit a written request for closure to the Chairman 
of the Commission, citing specific matter listed in the Government in 
the Sunshine Act (5 U.S.C. 552b), as implemented by 10 CFR 9.104, to 
justify the closure. The request shall provide the Chairman sufficient 
time for review in order to make a determination prior to publication of 
the meeting notice pursuant to Sec. 7.12.
    (b) The General Counsel shall review all requests to close meetings 
of NRC advisory committees.
    (c) If the Chairman of the Commission agrees that the request is 
consistent with the policies of this part, a determination shall be 
issued in writing that all or part of the meeting will be closed. The 
determination shall include a statement of the reasons for the closing.
    (d) Except when the President or his designee determines in writing 
that no notice should be published for reasons of national security, the 
Chairman of the Commission shall make a copy of the determination to 
close all or part of an NRC advisory committee meeting available to the 
public upon request, and shall state the reasons why all or

[[Page 177]]

part of the meeting is closed, citing the specific matter listed in the 
Government in the Sunshine Act (as implemented by 10 CFR 9.104) in the 
meeting notice published in the Federal Register pursuant to Sec. 7.12.
    (e) The Chairman of the Commission may delegate the Chairman's 
functions under paragraphs (c) and (d) of this section to such officer 
of the Commission as the Chairman considers appropriate. The General 
Counsel shall review any determination to close a meeting made by a 
delegate.



Sec. 7.16  Annual comprehensive review.

    (a) The Chairman of the Commission shall conduct an annual 
comprehensive review of the activities and responsibilities of each NRC 
advisory committee to determine whether the committee--
    (1) Is carrying out its purposes or, consistent with the provisions 
of applicable statutes, its responsibilities should be revised.
    (2) Should be merged with another advisory committee.
    (3) Should be terminated.
    (b) The comprehensive review required by paragraph (a) of this 
section shall include consideration of such information regarding the 
committee as is required for the Commission's annual report to the GSA 
Secretariat pursuant to Sec. 7.27(a) and such other information as may 
be requested from the Committee by the NRC Advisory Committee Management 
Officer. The results of such review shall be included in the annual 
report to the GSA Secretariat.
    (c) If, as a result of the review required by this section, the 
Commission determines that an advisory committee is no longer needed, 
the committee shall be terminated; except that in the case of an 
advisory committee established by an Act of Congress or the President, 
the committee's termination shall be recommended to the President or the 
Congress, as the case may be.



Sec. 7.17  Reports required for advisory committees.

    (a) The Commission shall furnish a report on the activities of NRC 
advisory committees annually to the Administrator and the GSA 
Secretariat. The report shall be on a fiscal year basis. It shall 
contain such information regarding NRC advisory committees as is 
required by section 6(c) of the Act for the President's annual report to 
the Congress and shall be consistent with instructions provided by the 
GSA Secretariat. A copy of the report shall be placed in the NRC Public 
Document Room.
    (b) Any NRC advisory committee holding closed meetings shall issue a 
report, at least annually, setting forth a summary of its activities 
consistent with the policy of the Government in the Sunshine Act (5 
U.S.C. 552b), as implemented by 10 CFR 9.104. A copy of the report shall 
be placed in the NRC Public Document Room.
    (c) Subject to the Freedom of Information Act (5 U.S.C. 552) and 
NRC's Freedom of Information Act Regulations (10 CFR part 9, subpart A), 
eight copies of each report made by an advisory committee, including any 
report on closed meetings pursuant to paragraph (b) of this section, 
and, where appropriate, background papers prepared by consultants, shall 
be filed for public inspection and use with the Library of Congress, 
Exchange and Gift Division, Federal Documents Section, Federal Advisory 
Committee Desk, Washington, DC 20540.



Sec. 7.18  Compensation and expense reimbursement of advisory committee members, staffs, and consultants.

    (a) Except where otherwise provided by law, the Commission may 
accept the gratuitous services of an NRC advisory committee member, 
staff member, or consultant who agrees in advance to serve without 
compensation.
    (b)(1) Subject to the provisions of paragraph (b)(2) of this 
section, if the Commission determines that compensation of a member of 
an NRC advisory committee is appropriate, the amount that will be paid 
shall be fixed by the Chairman of the Commission at a rate that is the 
daily equivalent of a rate of NRC's General Salary Schedule, unless the 
member is appointed as a consultant and compensated at a rate applicable 
to NRC consultants. (See NRC Manual for NRC's General Salary Schedule 
and rates applicable to NRC consultants.)

[[Page 178]]

    (2) In determining an appropriate rate of pay for a member of an NRC 
advisory committee, the Chairman of the Commission shall give 
consideration to the significance, scope, and technical complexity of 
the matters with which the advisory committee is concerned and the 
qualifications required of the committee member; provided that the 
Chairman may not set the rate of pay for an NRC advisory committee 
member higher than the daily equivalent of the maximum rate for a GG-15 
under NRC's General Salary Schedule, unless a higher rate is mandated by 
statute or the Commission itself has determined that a higher rate is 
justified and necessary. The Commission may not delegate the 
responsibility for making a determination that such a higher rate of pay 
is necessary and justified for an NRC advisory committee member, and 
such a determination must be reviewed annually.
    (3) An advisory committee member may not be paid at a rate higher 
than the daily equivalent of the maximum rate for a GG-18 under NRC's 
General Salary Schedule.
    (c)(1) Each NRC advisory committee staff member may be paid at a 
rate that is the daily equivalent of a rate of NRC's General Salary 
Schedule in which the staff member's position would appropriately be 
placed.
    (2) A staff member of an NRC advisory committee may not be paid at a 
rate higher than the daily equivalent of the maximum rate for a GG-15 
under NRC's General Salary Schedule, unless the Chairman of the 
Commission determines that the staff member's position would 
appropriately be placed at a grade higher than GG-15; provided that in 
establishing rates of compensation, the Chairman shall comply with any 
applicable statutes, regulations, Executive Orders, and administrative 
guidelines.
    (3) A determination to set the rate of pay of a staff position at a 
grade higher than GG-15 under the NRC's General Salary Schedule rate of 
pay shall be reviewed annually by the Chairman of the Commission.
    (4) A Federal employee may serve as a staff member of an NRC 
advisory committee only with the knowledge of the Designated Federal 
Officer for the committee and the approval of the employee's direct 
supervisor. A staff member who is not otherwise a Federal employee shall 
be appointed in accordance with applicable agency procedures, following 
consultation with the advisory committee.
    (d) The following factors shall be considered in determining an 
appropriate rate of pay for a consultant to an NRC advisory committee:
    (1) The qualifications required of the consultant, and
    (2) The significance, scope, and technical complexity of the work 
for which his services are required;

Provided that the rate of pay for an NRC advisory committee consultant 
may not be higher than the maximum rate of pay applicable to NRC 
consultants. In establishing such a rate of pay, NRC shall comply with 
any applicable statutes, regulations, Executive Orders, and 
administrative guidelines.
    (e) A member or staff member of an NRC advisory committee engaged in 
the performance of duties away from his or her home or regular place of 
business may be allowed travel expenses, including per diem in lieu of 
subsistence, as authorized by section 5703, title 5, United States Code, 
for persons employed intermittently in the Government service.
    (f) Nothing in this section shall--
    (1) Prevent any full-time Federal employee who provides services to 
an NRC advisory committee from receiving compensation at a rate at which 
he or she would otherwise be compensated as a full-time Federal 
employee.
    (2) Prevent any individual who provides services to an NRC advisory 
committee, and who immediately before providing such services was a 
full-time Federal employee, from receiving compensation at a rate at 
which he or she was compensated as a full-time Federal employee.
    (3) Affect a rate of pay or a limitation on a rate of pay that is 
specifically established by law or a rate of pay established under the 
NRC's General Salary Schedule and evaluation system (see NRC Manual).

[[Page 179]]



Sec. 7.19  Handicapped members of advisory committees.

    An NRC advisory committee member who is blind or deaf or otherwise 
handicapped may be provided services by a personal assistant for 
handicapped employees while performing advisory committee duties, if the 
member--
    (a) Qualifies as a handicapped individual as defined by section 501 
of the Rehabilitation Act of 1973 (29 U.S.C. 794); and
    (b) Does not otherwise qualify for assistance under 5 U.S.C. 3102 by 
reason of being an employee of NRC.



Sec. 7.20  Conflict of interest reviews of advisory committee members' outside interests.

    The Designated Federal Officer of each NRC advisory committee and 
the General Counsel shall review the interests and affiliations of each 
member of the Designated Federal Officer's advisory committee annually, 
and upon the commencement and termination of the member's appointment to 
the committee, for the purpose of ensuring that such appointment is 
consistent with the laws and regulations on conflict of interest 
applicable to that member.



Sec. 7.21   Cost of duplication of documents.

    Copies of the records, reports, transcripts, minutes, appendices, 
working papers, drafts, studies, agenda, or other documents that were 
made available to or prepared for or by an NRC advisory committee shall 
be made available to any person at the actual cost of duplication 
prescribed in part 9 of this chapter. (For availability of information 
on advisory committees, see Sec. 7.14.)



Sec. 7.22  Fiscal and administrative responsibilities.

    (a) The Controller shall keep such records as will fully disclose 
the disposition of any funds which may be at the disposal of NRC 
advisory committees.
    (b) The Office of Information Resources Management shall keep such 
records as will fully disclose the nature and extent of activities of 
NRC advisory committees.
    (c) NRC shall provide support services (including staff support and 
meeting space) for each advisory committee established by or reporting 
to it unless the establishing authority provides otherwise. Where any 
such advisory committee reports to another agency in addition to NRC, 
only one agency shall be responsible for support services at any one 
time, and the establishing authority shall designate the agency 
responsible for providing such services.



PART 8--INTERPRETATIONS--Table of Contents




Sec.
8.1  Interpretation of section 152 of the Atomic Energy Act of 1954; 
          opinion of the General Counsel.
8.2  Interpretation of Price-Anderson Act, section 170 of the Atomic 
          Energy Act of 1954.
8.3  [Reserved]
8.4  Interpretation by the General Counsel: AEC jurisdiction over 
          nuclear facilities and materials under the Atomic Energy Act.
8.5  Interpretation by the General Counsel of Sec. 73.55 of this 
          chapter; illumination and physical search requirements.

    Authority: Secs. 152, 161, 68 Stat. 944, 948, as amended; 42 U.S.C. 
2182, 2201.



Sec. 8.1   Interpretation of section 152 of the Atomic Energy Act of 1954; opinion of the General Counsel.

    (a) Inquiries have been received as to the applicability of the 
provisions of section 152 of the Atomic Energy Act of 1954 (68 Stat. 
944) to inventions or discoveries made or conceived in the course of 
activities under licenses issued by the Atomic Energy Commission.
    (b) In my [General Counsel, U.S. Atomic Energy Commission] opinion a 
license issued by the Atomic Energy Commission is not a ``contract, 
subcontract, arrangement or other relationship with the Commission'' as 
those terms are used in section 152 of the act. Hence, the mere fact 
that an invention or discovery is made by a licensee in the course of 
activities authorized by a license would not give the Commission rights 
under section 152 with respect to such invention or discovery. On the 
other hand, if a licensee has entered into a ``contract,

[[Page 180]]

subcontract, arrangement or other relationship with the Commission,'' 
inventions or discoveries made or conceived by the licensee under the 
contract or other relationship would come within the purview of section 
152.
    (c) As used in this section, ``license'' means a license issued 
pursuant to Chapter 6 (Special Nuclear Material), 7 (Source Material), 8 
(Byproduct Material) or 10 (Atomic Energy Licenses) of the Atomic Energy 
Act of 1954, or a construction permit issued pursuant to section 185 of 
the act.

[21 FR 1414, Mar. 3, 1956]



Sec. 8.2   Interpretation of Price-Anderson Act, section 170 of the Atomic Energy Act of 1954.

    (a) It is my opinion that an indemnity agreement entered into by the 
Atomic Energy Commission under the authority of the Atomic Energy Act of 
1954 (42 U.S.C. 2011, et seq.), hereafter cited as ``the Act,'' as 
amended by Pub. L. 85-256 (the ``Price-Anderson Act'') 42 U.S.C. 2210 
indemnifies persons indemnified against public liability for bodily 
injury, sickness, disease or death, or loss of or damage to property, or 
for loss of use of property caused outside the United States by a 
nuclear incident occurring within the United States.
    (b) Section 170 authorizes the Commission to indemnify against 
``public liability'' as defined in section 11(u) of the Act.1 
Coverage under the Act therefore is predicated upon ``public 
liability,'' and requires (1) ``legal liability'' for (2) a ``nuclear 
incident.'' Determination of the Act's coverage, therefore, necessitates 
a finding that these two elements are present.
---------------------------------------------------------------------------

    1Sec. 11u. ``The term `public liability' means any legal 
liability arising out of or resulting from a nuclear incident, except 
claims under State or Federal Workmen's Compensation Acts of employees 
of persons indemnified who are employed at the site of and in connection 
with the activity where the nuclear incident occurs, and except for 
claims arising out of an act of war. `Public Liability' also includes 
damage to property of persons indemnified: Provided, That such property 
is covered under the terms of the financial protection required, except 
property which is located at the site of and used in connection with the 
activity where the nuclear incident occurs.''
---------------------------------------------------------------------------

    (c) In the case of damage outside of the United States caused by a 
nuclear facility based in the United States there would be a ``nuclear 
incident'' as defined in section 11(o) since there would be an 
``occurrence within the United States causing * * * damage.''2 The 
``occurrence'' would be ``within the United States'' since 
``occurrence'' is intended by the Act to be ``that event at the site of 
the licensed activity * * * which may cause damage rather than the site 
where the damage may perhaps be caused.'' (S. Rep. 296, 85th Cong., 1st 
Sess., p. 16 1957) (hereafter cited as Report). In section 11(o) an 
``occurrence'' is that which causes damage. It would be, therefore, an 
event taking place at the site. This definition of ``occurrence'' is 
referred to in the Report at page 22 and is crucial to the Act's placing 
of venue under section 170(e).3 027 In its definition of ``nuclear 
incident.'' The Act makes no limitation upon the place where the damage 
is received but states only that the ``occurrence'' must be within the 
United States.
---------------------------------------------------------------------------

    2Sec. 11o. ``The term `nuclear incident' means any occurrence 
within the United States causing bodily injury, sickness, disease, or 
death, or loss of or damage to property, or for loss of use of property, 
arising out of or resulting from the radioactive, toxic, explosive, or 
other hazardous properties of source, special nuclear, or byproduct 
material: * * *''
    3 ``In order to provide a framework for establishing the 
limitation of liability, the Commission or any person indemnified is 
permitted to apply to the appropriate district court of the United 
States which has venue in bankruptcy matters over the site of the 
nuclear incident. Again it should be pointed out that the site is where 
the occurrence takes place which gives rise to the liability, not the 
place where the damage may be caused * * * '' Report. p. 22.
---------------------------------------------------------------------------

    (d) Similarly, the requirement of ``legal liability'' would be met. 
The words of the Act impose no limitation that the liability be one for 
damage caused in the United States but, on the contrary, are exceedingly 
broad permitting indemnification for ``any legal liability.'' In the 
most exhaustive study of the subject, it is stated that the phrase ``any 
legal liability'' indicates that liability for damage outside the United 
States is covered by the

[[Page 181]]

Act. Atomic Industrial Forum, Financial Protection Against Atomic 
Hazards 61 n. 355 (1957).
    (e) Thus the precise language of the Act provides coverage for 
damage ensuing both within and without the United States arising out of 
an occurrence within the United States. There would be no occasion for 
doubt were it not for a single statement contained in the Report of the 
Joint Committee on Atomic Energy on the Price-Anderson Act. The Report 
states, at p. 16 that ``[i]f there is anything from a nuclear incident 
at the licensed activity which causes injury abroad, or if there is any 
activity abroad which causes further injury in the United States the 
situation will require further investigation at that time.'' This 
sentence follows an explicit and lengthy statement that the 
``occurrence'' is an event at the site of the activity:

    * * * The occurrence which is the subject of this definition is that 
event at the site of the licensed activity, or activity for which the 
Commission has entered into a contract, which may cause damage, rather 
than the site where the damage may perhaps be caused. This site must be 
within the United States. The suggested exclusion of facilities under 
license for export was not accepted. This is because the definition of 
``nuclear incident'' limits the occurrence causing damage to one within 
the United States. It does not matter what license may be applicable if 
the occurrence is within the United States. If there is anything from a 
nuclear incident at the licensed activity which causes injury abroad or 
if there is any activity abroad which causes further injury in the 
United States the situation will require further investigation by the 
Congress at that time * * *

Read literally, the last sentence would seem inconsistent with the 
preceding statement. It is, however, possible to read the sentence as 
consistent with the preceding statement if it is taken as indicating a 
recognition by Congress of the fact that the statutory limitation of 
liability to $500,000,000 would probably not limit claims by foreign 
residents to that amount in foreign courts and that therefore the 
persons indemnified were not fully protected against bankrupting claims, 
one of the primary purposes of the bill.4
---------------------------------------------------------------------------

    4Atomic Industrial Forum, Financial Protection Against Atomic 
Hazards, The International Aspects, p. 52 (1959).
---------------------------------------------------------------------------

    (f) The point in question received scant consideration during the 
hearings preceding adoption of the bill held by the Joint Committee on 
Atomic Energy. A summary of the study of the Atomic Industrial Forum, 
cited above, was introduced into the record of the hearing and included 
a conclusion that the provisions of the bill seemed to cover the 
situation.5 That conclusion would seem entitled to more than 
ordinary weight since the Forum study received the careful consideration 
of the Joint Committee.6 and the study referenced a statement from 
the 1956 Report very similar to the confusing statement in the 1957 
Report noted above.7
---------------------------------------------------------------------------

    5Hearings before the Joint Committee on Atomic Energy, Governmental 
Indemnity and Reactor Safety, 85th Cong., 1st Sess., p. 181 (1957) 
(hereinafter referred to as ``Hearings.'')
    6Hearings, p. 168.
    7Hearings, p. 182.
---------------------------------------------------------------------------

    (g) There was also a rather ambiguous colloquy in the hearings 
between Representative Cole and Mr. Charles Haugh in which 
Representative Cole indicated that the Joint Committee

 ``* * * will do pretty well if we successfully protect the American 
people and property owners in this country without worrying about those 
that live abroad.''8
---------------------------------------------------------------------------

    8Hearings, p. 97. It is significant to note that Mr. Haugh stated at 
that point the problem of the reactor operator who is concerned with any 
type of liability. He noted that the insurance contracts would cover ``* 
* * the instance where * * * something happen[ed] out of the country and 
a suit is brought in the United States on that.''

    (h) Congress, in enacting the Price-Anderson Indemnity Act added to 
section 2 of the Atomic Energy Act of 1954, a new subsection which 
---------------------------------------------------------------------------
stated, inter alia:

    In order * * * to encourage the development of the atomic energy 
industry, * * * the United States may make funds available for a portion 
of the damages suffered by the public from nuclear incidents and may 
limit the liability of those persons liable for such losses.


[[Page 182]]


This statutory purpose is frustrated if the atomic energy industry is 
not protected from bankrupting liabilities for damages caused abroad by 
an accident occurring in the United States.9 In the Report, the 
Joint Committee on Atomic Energy made explicit mention of the fact that 
the private insurance to be provided for reactor operators included 
coverage for damage in Canada and Mexico and, at another point, noted 
the Committee's hope that the insurance contract in its final form would 
cover the same scope as the bill.10
---------------------------------------------------------------------------

    9The Atomic Industrial Forum study notes that ``[T]o be adequate, 
the governmental indemnity must cover industry's liability to residents 
of the countries who suffer as a result of an accident at an 
installation based in the United States.'' p. 61. This is certainly the 
case and one of the major Congressional purposes is frustrated should 
the Act be said to be unclear on this point. The principal reason for 
the conclusion that there is coverage reached in the Forum study is the 
fact that Price-Anderson provides indemnity for ``any legal liability.'' 
Arthur Murphy, Director of the study, in a recent article, has stated 
that the confusing sentence in the Report is ``* * * inconsistent with 
the flat coverage of any legal liability by the indemnity.'' Murphy, 
Liability for Atomic Accidents and Insurance, in Law and Administration 
in Nuclear Energy 75 (1959). In the testimony before the Joint Committee 
last year, Professor Samuel D. Estep, one of three authors of the 
comprehensive study of Atoms and the Law apparently relying upon the 
legislative history, stated that the problem of a reactor accident in 
the United States causing damage in a foreign country was unclear, 
presumably since he considered the phrase ``any legal liability'' 
directed at a different problem. Hearings before the Joint Committee on 
Atomic Energy, Indemnity and Reactor Safety, 86th Cong., 1st Sess., p. 
77 (1959); Stason Estep, and Pierce, Atoms and the Law, 577 (1959). 
Professor Estep stated that there ``surely ought to be'' coverage and 
suggested a clarifying amendment. His statement that the phrase ``any 
legal liability'' covers only the question of time restrictions for 
claims seems to me erroneous since the language used, ``any legal 
liability,'' seems intentionally broad. Additionally, should this very 
narrow reading be given to admittedly broad statutory language, the 
Congressional purpose would be frustrated.
    10Report, p. 11.
---------------------------------------------------------------------------

    (i) It is my opinion that since the language of the Act draws no 
distinction between damage received in the United States and that 
received abroad, none can properly be drawn. To read the Act as imposing 
such a limitation in the absence of statutory direction and in the light 
of an avowed Congressional intention to encourage the development of the 
atomic energy industry would be unwarranted. The confusing sentence 
cited in the Report must, therefore, be read consistently with the 
language of the Act in the manner suggested above, i.e., as recognizing 
Congressional inability to limit foreign liability, or must be ignored 
as inconsistent with the broad coverage of the statutory language.

[25 FR 4075, May 7, 1960]
Sec. 8.3  [Reserved]



Sec. 8.4   Interpretation by the General Counsel: AEC jurisdiction over nuclear facilities and materials under the Atomic Energy Act.

    (a) By virtue of the Atomic Energy Act of 1954, as amended,11 
the individual States may not, in the absence of an agreement with the 
Atomic Energy Commission, regulate the materials described in the Act 
from the standpoint of radiological health and safety. Even States which 
have entered into agreements with the AEC lack authority to regulate the 
facilities described in the Act, including nuclear power plants and the 
discharge of effluents from such facilities, from the standpoint of 
radiological health and safety.
---------------------------------------------------------------------------

    11Pub. L. 83-703, 68 Stat. 919.
---------------------------------------------------------------------------

    (b) The Atomic Energy Act of 1954 sets out a pattern for licensing 
and regulation of certain nuclear materials and facilities on the basis 
of the common defense and security and radiological health and safety. 
The regulatory pattern requires, in general, that the construction and 
operation of production facilities (nuclear reactors used for production 
and separation of plutonium or uranium-233 or fuel reprocessing plants) 
and utilization facilities (nuclear reactors used for production of 
power, medical therapy, research, and testing) and the possession and 
use of byproduct material (radioisotopes), source material (thorium and 
uranium ores), and special nuclear material (enriched uranium and 
plutonium, used as fuel in nuclear

[[Page 183]]

reactors), be licensed and regulated by the Commission.12 In 
carrying out its statutory responsibilities for the protection of the 
public health and safety from radiation hazards and for the promotion of 
the common defense and security, the AEC has promulgated regulations 
which establish requirements for the issuance of licenses (Parts 30-36, 
40, 50, 70, 71, and 100 of this chapter) and specify standards for 
radiation protection (Part 20 of this chapter).
---------------------------------------------------------------------------

    12The terms ``byproduct material,'' ``source material,'' and 
``special nuclear material'' are defined in the Atomic Energy Act, 
sections 11e, 11z, and 11aa, respectively. The terms ``production 
facility'' and ``utilization facility'' are defined in sections 11v and 
11cc of the Act, respectively.
---------------------------------------------------------------------------

    (c) The Atomic Energy Act of 1954 had the effect of preempting to 
the Federal Government the field of regulation of nuclear facilities and 
byproduct, source, and special nuclear material. Whatever doubts may 
have existed as to that preemption were settled by the passage of the 
Federal-State amendment to the Atomic Energy Act of 1954 in 1959.13
---------------------------------------------------------------------------

    13Pub. L. 86-373, 73 Stat. 688.
---------------------------------------------------------------------------

    (d) Prior to 1954, all nuclear facilities and the special nuclear 
material produced by or used in them were owned by the AEC.14 This 
Federal monopoly of atomic energy activities was due in large part to 
the use of atomic energy materials and facilities in our national 
weapons program, and the large capital investment required for their 
development. The Atomic Energy Act of 1954 permitted private ownership 
of nuclear facilities for the first time, but only under a 
comprehensive, pervasive system of Federal regulation and licensing. 
That Act recognized no State responsibility or authority over such 
facilities and materials except the States' traditional regulatory 
authority over generation, sale, and transmission of electric power 
produced through the use of nuclear facilities.15 As interest grew 
in the private construction of facilities and the use of atomic energy 
materials, and the numbers of persons qualified in the field increased, 
questions arose as to the role State authorities should play with regard 
to the public health and safety aspects of such activities. Several 
bills were introduced with respect to Federal-State cooperation in 1956 
and 1957.16 An AEC proposed bill which would have authorized 
concurrent radiation safety standards to be enforced by the States was 
forwarded to the Joint Committee on Atomic Energy in 1957, but was never 
reported out. Finally, in 1959, legislation was enacted whose purpose 
was to promote an orderly regulatory pattern between the Federal and 
State governments with respect to regulation of byproduct, source, and 
special nuclear material, while avoiding dual regulation (see section 
274a). That legislation added section 274, the so-called Federal-State 
amendment, to the Atomic Energy Act.
---------------------------------------------------------------------------

    14Atomic Energy Act of 1946, Pub. L. 79-585, 60 Stat. 755.
    15Sec. 271, 42 U.S.C. 2018.
    16S. 4298 and H.R. 8676, 84th Cong., second session; S. 53, 
85th Cong., first session.
---------------------------------------------------------------------------

    (e) Section 274 (42 U.S.C. 2021) authorizes the Commission to enter 
into an agreement with the Governor of any State providing for the 
discontinuance of regulatory authority of the Commission with respect to 
byproduct materials, source materials, and special nuclear materials in 
quantities not sufficient to form a ``critical mass.'' However, section 
274c (42 U.S.C. 2021(c)) provides that the Commission shall retain 
authority and responsibility with respect to the regulation of:
    (1) The construction and operation of production or utilization 
facilities (note: this includes construction and operation of nuclear 
powerplants);
    (2) The export and import of by-product, source or special nuclear 
material or production or utilization facilities;
    (3) The disposal into the ocean of waste byproduct, source or 
special nuclear materials; and
    (4) The disposal of such other byproduct, source or special nuclear 
material as the Commission determines should, because of the hazards or 
potential hazards thereof, not be so disposed of without a Commission 
license.
    (f) The amendment, in providing for the discontinuance of some of 
the AEC's regulatory authority over source, by-product and special 
nuclear material in States which entered into agreements with the AEC, 
made clear

[[Page 184]]

that there should be no ``dual regulation'' with respect to those 
materials for the purpose of protection of the public health and safety 
from radiation hazards.
    (g) Section 274b of the Atomic Energy Act (42 U.S.C. 2021(b)) states 
that:

    During the duration of such an agreement it is recognized that the 
State shall have authority to regulate the materials covered by the 
agreement for the protection of the public health and safety from 
radiation hazards.

Section 274k (42 U.S.C. 2021(k)) states:

    Nothing in this section shall be construed to affect the authority 
of any State or local agency to regulate activities for purposes other 
than protection against radiation hazards.

    (h) In its comments on the bill that was enacted as section 274, the 
Joint Committee on Atomic Energy commented that:

    It is not intended to leave any room for the exercise of dual or 
concurrent jurisdiction by States to control radiation hazards by 
regulating byproduct, source, or special nuclear materials. The intent 
is to have the material regulated and licensed either by the Commission, 
or by the State and local governments, but not by both.17
---------------------------------------------------------------------------

    171959 U.S. Code Congressional and Administrative News, v. 2, p. 
2879.

---------------------------------------------------------------------------
In explaining section 274k, the Joint Committee said:

    As indicated elsewhere, the Commission has exclusive authority to 
regulate for protection against radiation hazards until such time as the 
State enters into an agreement with the Commission to assume such 
responsibility.18
---------------------------------------------------------------------------

    18Id. at pp. 2882-3.

    (i) It seems completely clear that the Congress, in enacting section 
274, intended to preempt to the Federal Government the total 
responsibility and authority for regulating, from the standpoint of 
radiological health and safety, the specified nuclear facilities and 
materials; that it stated that intent unequivocally; and that the 
enactment of section 274 effectively carried out the Congressional 
intent, subject to the arrangement for limited relinquishment of AEC's 
regulatory authority and assumption thereof by states in areas 
permitted, and subject to conditions imposed, by section 274.19
---------------------------------------------------------------------------

    19As noted above, regulation of construction and operation of 
production or utilization facilities was one of the areas reserved to 
the AEC. It is clear from the legislative history of section 274 that 
control of ``operation'' of such facilities includes the regulation of 
the radiological effects of the discharge of affluents from the 
facilities. (Hearings before the Joint Committee on Atomic Energy on 
Federal-State Relationships in the Atomic Energy Field, 86th Cong., 
first session, 1959, p. 306.) AEC regulations implementing section 274 
recognize that intent by defining facility operation to include the 
discharge of radioactive effluents from the facility site (10 CFR 
150.15).
---------------------------------------------------------------------------

    (j) Thus, under the pattern of the Atomic Energy Act, as amended by 
section 274, States which have not entered into a section 274 agreement 
with the AEC are without authority to license or regulate, from the 
standpoint of radiological health and safety, byproduct, source, and 
special nuclear material or production and utilization facilities. Even 
those States which have entered into a section 274 agreement with the 
AEC (Agreement States) lack authority to license or regulate, from the 
standpoint of radiological health and safety, the construction and 
operation of production and utilization facilities (including nuclear 
power plants) and other activities reserved to the AEC by section 274c. 
(To the extent that Agreement States have authority to regulate 
byproduct, source, and special nuclear material, their section 274 
Agreements require them to use their best efforts to assure that their 
regulatory programs for protection against radiation hazards will 
continue to be compatible with the AEC's program for the regulation of 
byproduct, source and special nuclear material.)
    (k) The following judicial precedents and legal authorities support 
the foregoing conclusions: Northern California Ass'n, Etc. v. Public 
Utilities Commission, 37 Cal. Rep. 432, 390 P. 2d 200 (1964); Boswell v. 
City of Long Beach, CCH Atomic Energy Law Reports, par. 4045 (1960); 
Opinion of the Attorney General of Michigan (Oct. 31, 1962); Opinion of 
the Attorney General of South Dakota (July 23, 1964); New York State Bar 
Association, Committee on Atomic Energy, State Jurisdiction to

[[Page 185]]

Regulate Atomic Activities (July 12, 1963). No precedents or authorities 
to the contrary have come to our attention.

[34 FR 7273, May 3, 1969]



Sec. 8.5  Interpretation by the General Counsel of Sec. 73.55 of this chapter; illumination and physical search requirements.

    (a) A request has been received to interpret 10 CFR 73.55(c)(5) and 
73.55(d)(1).

10 CFR 73.55(c)(5) provides:

    Isolation zones and all exterior areas within the protected area 
shall be provided with illumination sufficient for the monitoring and 
observation requirements of paragraphs (c)(3), (c)(4), and (h)(4) of 
this section, but not less than 02. footcandle measured horizontally at 
ground level.

    (b) The requester contends that the regulation is satisfied if 0.2 
footcandle is provided only at the protected area boundary and the 
isolation zone. The language of the regulation is clearly to the 
contrary. It requires not less than 0.2 footcandle for ``all exterior 
areas within the protected area.'' This regulation helps effectuate the 
monitoring and observation requirements of 10 CFR 73.55. For example, 10 
CFR 73.55(c)(4) states that ``All exterior areas within the protected 
area shall be periodically checked to detect the presence of 
unauthorized persons, vehicles, or materials.'' In the absence of 
illumination, such checking could not be fully effective.
    (c) The requester also asks whether the illumination requirement 
extends to the tops and sides of buildings within the protected area. To 
effectuate the monitoring and observation requirements cited above, 
illumination must be maintained for the tops and sides of all accessible 
structures within the protected area. This interpretation is consistent 
with that given by the Commission's staff to affected licensees and 
applicants at a series of regional meetings held in March of 1977 and 
will be reflected in forthcoming revisions to NUREG 0220, Draft Interim 
Acceptance Criteria for a Physical Security Plan for Nuclear Power 
Plants (March 1977).
    (d) 10 CFR 73.55(d)(1) provides in pertinent part: The search 
function for detection of firearms, explosives, and incendiary devices 
shall be conducted either by a physical search or by use of equipment 
capable of detecting such devices.
    (e) The requester contends that until ``equipment capable of 
detecting such devices'' is in place, a licensee need not comply with 
the search requirement, but can utilize instead previous security 
programs. This contention is based on the first sentence of 10 CFR 73.55 
which provides in pertinent part that the requirements of paragraph (d) 
of that section shall be met by May 25, 1977, ``except for any 
requirement involving construction and installation of equipment not 
already in place expressed in (paragraph)(d)(1) * * * '' Under this 
sentence only those requirements of paragraph (d) which involve 
``construction and installation of equipment'' do not take effect on May 
25, 1977. Because a ``physical search'' does not require ``constuction 
and installation of equipment'', implementation of such searches is 
required on May 25, 1977. The regulation provides alternative: ``the 
search function * * * shall be conducted either by a physical search or 
by use of equipment * * *.'' Thus when appropriate equipment is in 
place, the search function need not involve a physical search.
    (f) The paragraphs above set forth interpretation of regulations; 
they do not apply those regulations to particular factual settings. For 
example, no effort is made to state what lighting system might be used 
for a given facility; all that is stated is that a system must provide 
not less than 0.2 footcandle for all exterior areas within the protected 
area. Similarly, no effort is made to define what is an adequate 
``physical search''; all that is stated is that, in the absence of 
appropriate equipment, such searches must begin on May 25, 1977.

[42 FR 33265, June 30, 1977]



PART 9--PUBLIC RECORDS--Table of Contents




Sec.
9.1  Scope and purpose.
9.3  Definitions.
9.5  Interpretations.
9.8  Information collection requirements: OMB approval.

[[Page 186]]



            Subpart A--Freedom of Information Act Regulations

9.11  Scope of subpart.
9.13  Definitions.
9.15  Availability of records.
9.17  Agency records exempt from public disclosure.
9.19  Segregation of exempt information and deletion of identifying 
          details.
9.21  Publicly available records.
9.23  Requests for records.
9.25  Initial disclosure determination.
9.27  Form and content of responses.
9.29  Appeal from initial determination.
9.31  Extension of time for response.
9.33  Search, review, and special service fees.
9.34  Assessment of interest and debt collection.
9.35  Duplication fees.
9.37  Fees for search and review of agency records by NRC personnel.
9.39  Search and duplication provided without charge.
9.40  Assessment of fees.
9.41  Requests for waiver or reduction of fees.
9.43  Processing of requests for a waiver or reduction of fees.
9.45  Annual report to Congress.

                   Subpart B--Privacy Act Regulations

9.50  Scope of subpart.
9.51  Definitions.

Procedures Applicable to Requests by Individuals for Information, Access 
              or Amendment of Records Maintained About Them

                        presentation of requests

9.52  Types of requests.
9.53  Requests; how and where presented.
9.54  Verification of identity of individuals making requests.
9.55  Specification of records.
9.56  Accompanying persons.

                 nrc procedures for processing requests

9.60  Acknowledgement of requests.
9.61  Procedures for processing requests for records exempt in whole or 
          in part.
9.62  Special procedures.

                       determinations and appeals

9.65  Access determinations; appeals.
9.66  Determinations authorizing or denying correction of records; 
          appeals.
9.67  Statements of disagreement.
9.68  NRC statement of explanation.
9.69  Notices of correction or dispute.

            disclosure to others of records about individuals

9.80  Disclosure of record to persons other than the individual to whom 
          it pertains.
9.81  Notices of subpoenas.
9.82  Notices of emergency disclosures.

                                  fees

9.85  Fees.

                               enforcement

9.90  Violations.

                               exemptions

9.95  Specific exemptions.

          Subpart C--Government in the Sunshine Act Regulations

9.100  Scope of subpart.
9.101  Definitions.
9.102  General requirement.
9.103  General provisions.
9.104  Closed meetings.
9.105  Commission procedures.
9.106  Persons affected and motions for reconsideration.
9.107  Public announcement of Commission meetings.
9.108  Certification, transcripts, recordings and minutes.
9.109  Report to Congress.

Subpart D--Production or Disclosure in Response to Subpoenas or Demands 
                     of Courts or Other Authorities

9.200  Scope of subpart.
9.201  Production or disclosure prohibited unless approved by 
          appropriate NRC official.
9.202  Procedure in the event of a demand for production or disclosure.
9.203  Procedure where response to demand is required prior to receiving 
          instructions.
9.204  Procedure in the event of an adverse ruling.

    Authority: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); sec. 
201, 88 Stat. 1242, as amended (42 U.S.C. 5841).

    Subpart A also issued under 5 U.S.C. 552; 31 U.S.C. 9701; Pub. L. 
99-570.
    Subpart B is also issued under 5 U.S.C. 552a.
    Subpart C also issued under 5 U.S.C. 552b.



Sec. 9.1  Scope and purpose.

    (a) Subpart A implements the provisions of the Freedom of 
Information

[[Page 187]]

Act, 5 U.S.C. 552, concerning the availability to the public of Nuclear 
Regulatory Commission records for inspection and copying.
    (b) Subpart B implements the provisions of the Privacy Act of 1974, 
5 U.S.C. 552a, concerning disclosure and availability of certain Nuclear 
Regulatory Commission records maintained on individuals.
    (c) Subpart C implements the provisions of the Government in the 
Sunshine Act, 5 U.S.C. 552b, concerning the opening of Commission 
meetings to public observation.
    (d) Subpart D describes procedures governing the production of 
agency records, information, or testimony in response to subpoenas or 
demands of courts or other judicial or quasi-judicial authorities in 
State and Federal proceedings.

[52 FR 49355, Dec. 31, 1987]



Sec. 9.3  Definitions.

    As used in this part:
    Commission means the Commission of five members or a quorum thereof 
sitting as a body, as provided by section 201 of the Energy 
Reorganization Act of 1974.
    Government agency means any executive department, military 
department, Government corporation, Government-controlled corporation, 
or other establishment in the executive branch of the Government 
(including the Executive Office of the President), or any independent 
regulatory agency.
    NRC means the Nuclear Regulatory Commission, established by the 
Energy Reorganization Act of 1974.
    NRC personnel means employees, consultants, and members of advisory 
boards, committees, and panels of the NRC; members of boards designated 
by the Commission to preside at adjudicatory proceedings; and officers 
or employees of Government agencies, including military personnel, 
assigned to duty at the NRC.
    Working days mean Monday through Friday, except legal holidays.

[52 FR 49355, Dec. 31, 1987]



Sec. 9.5  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by an 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized as binding upon 
the Commission.

[52 FR 49356, Dec. 31, 1987]



Sec. 9.8  Information collection requirements: OMB approval.

    (a) The NRC has submitted the information collection requirements 
contained in this part to the Office of Management and Budget (OMB) for 
approval as required by the Paperwork Reduction Act of 1980 (44 U.S.C. 
3501 et seq.). OMB has approved the information collection requirements 
contained in this part under control number 3150-0043.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 9.29, 9.41, 9.54, 9.55, and 9.202.

[52 FR 49356, Dec. 31, 1987]



            Subpart A--Freedom of Information Act Regulations

    Source: 52 FR 49356, Dec. 31, 1987, unless otherwise noted.



Sec. 9.11  Scope of subpart.

    This subpart prescribes procedures for making NRC agency records 
available to the public for inspection and copying pursuant to the 
provisions of the Freedom of Information Act (5 U.S.C. 552) and provides 
notice of procedures for obtaining NRC records otherwise publicly 
available. This subpart does not affect the dissemination or 
distribution of NRC-originated, or NRC contractor-originated, 
information to the public under any other NRC public, technical, or 
other information program or policy.



Sec. 9.13  Definitions.

    As used in this subpart:
    Agency record is a record in the possession and control of the NRC 
that is associated with Government business. Agency record does not 
include records such as--
    (1) Publicly available books, periodicals, or other publications 
that are

[[Page 188]]

owned or copyrighted by non-Federal sources;
    (2) Records solely in the possession and control of NRC contractors;
    (3) Personal records in possession of NRC personnel that have not 
been circulated, were not required to be created or retained by the NRC, 
and can be retained or discarded at the author's sole discretion, or 
records of a personal nature that are not associated with any Government 
business; or
    (4) Non-substantive information in logs or schedule books of the 
Chairman or Commissioners, uncirculated except for typing or recording 
purposes.
    Commercial-use request means a request made under Sec. 9.23(b) for a 
use or purpose that furthers the commercial, trade, or profit interests 
of the requester or the person on whose behalf the request is made.
    Direct costs mean the expenditures that an agency incurs in 
searching for and duplicating agency records. For a commercial-use 
request, direct costs include the expenditures involved in reviewing 
records to respond to the request. Direct costs include the salary of 
the employee category performing the work based on that basic rate of 
pay plus 16 percent of that rate to cover fringe benefits and the cost 
of operating duplicating machinery.
    Duplication means the process of making a copy of a record necessary 
to respond to a request made under Sec. 9.23. Copies may take the form 
of paper copy, microform, audio-visual materials, disk, magnetic tape, 
or machine readable documentation, among others.
    Educational institution means an institution which operates a 
program or programs of scholarly research. Educational institution 
refers to a preschool, a public or private elementary or secondary 
school, an institution of graduate higher education, an institution of 
undergraduate higher education, an institution of professional 
education, or an institution of vocational education.
    Noncommercial scientific institution means an institution that is 
not operated on a commercial basis, as the term ``commercial'' is 
referred to in the definition of ``commercial-use request,'' and is 
operated solely for the purpose of conducting scientific research, the 
results of which are not intended to promote any particular product or 
industry.
    Office, unless otherwise indicated, means all offices, boards, 
panels, and advisory committees of the NRC.
    Record means any book, paper, map, photograph, brochure, punch card, 
magnetic tape, paper tape, sound recording, pamphlet, slide, motion 
picture, or other documentary material regardless of form or 
characteristics. Record does not include an object or article such as a 
structure, furniture, a tangible exhibit or model, a vehicle, or piece 
of equipment.
    Representative of the news media means any person actively gathering 
news for an entity that is organized and operated to publish or 
broadcast news to the public. The term news means information that is 
about current events or that would be of current interest to the public. 
Examples of news media entities include television or radio stations 
broadcasting to the public at large, and publishers of periodicals (but 
only in those instances when they can qualify as disseminators of 
``news'') who make their products available for purchase or 
subscriptions by the general public.
    Review means the process of examining records identified as 
responsive to a commercial-use request to determine whether they are 
exempted from disclosure in whole or in part. Also, review includes 
examining records to determine which Freedom of Information Act 
exemptions are applicable, identifying records or portions thereof to be 
disclosed, and excising from the records those portions which are to be 
withheld.
    Search means all time spent looking for records, either by manual 
search or search using existing computer programs, that respond to a 
request including a page-by-page or line-by-line identification of 
responsive information within the records.
    Unusual circumstances mean--
    (1) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
office processing the request;

[[Page 189]]

    (2) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (3) The need for consultation, which will be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
NRC having substantial subject-matter interest therein.



Sec. 9.15  Availability of records.

    The NRC will make available for public inspection and copying any 
reasonably described agency record in the possession and control of the 
NRC under the provisions of this subpart, and upon request by any 
person. Records that the NRC routinely makes publicly available are 
described in Sec. 9.21. Procedures and conditions governing requests for 
records are set forth in Sec. 9.23.



Sec. 9.17  Agency records exempt from public disclosure.

    (a) The following types of agency records are exempt from public 
disclosure under Sec. 9.15:
    (1) Records (i) which are specifically authorized under criteria 
established by an Executive order to be kept secret in the interest of 
national defense or foreign policy, and (ii) which are in fact properly 
classified pursuant to such Executive order;
    (2) Records related solely to the internal personnel rules and 
practices of the agency;
    (3) Records specifically exempted from disclosure by statute (other 
than 5 U.S.C. 552b), provided that such statute--
    (i) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue, or
    (ii) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (5) Interagency or intraagency memorandums or letters which would 
not be available by law to a party other than an agency in litigation 
with the agency;
    (6) Personnel and medical files and similar files, the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information--
    (i) Could reasonably be expected to interfere with enforcement 
proceedings;
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local, or foreign agency or 
authority, or any private institution which furnished information on a 
confidential basis, and, in the case of a record or information compiled 
by a criminal law enforcement authority in the course of a criminal 
investigation, or by an agency conducting a lawful national security 
intelligence investigation, information furnished by a confidential 
source;
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual;
    (8) Matters contained in or related to examination, operating, or 
condition reports prepared by, on behalf of, or for the use of any 
agency responsible for the regulation or supervision of financial 
institutions; or
    (9) Geological and geophysical information and data, including maps, 
concerning wells.
    (b) Nothing in this subpart authorizes withholding of information or 
limiting the availability of records to the public except as 
specifically provided

[[Page 190]]

in this part, nor is this subpart authority to withhold information from 
Congress.
    (c) Whenever a request is made which involves access to agency 
records described in paragraph (a)(7) of this section, the NRC may, 
during only such time as that circumstance continues, treat the records 
as not subject to the requirements of this subpart when--
    (1) The investigation or proceeding involves a possible violation of 
criminal law; and
    (2) There is reason to believe that--
    (i) The subject of the investigation or proceeding is not aware of 
its pendency; and
    (ii) Disclosure of the existence of the records could reasonably be 
expected to interfere with enforcement proceedings.



Sec. 9.19  Segregation of exempt information and deletion of identifying details.

    (a) For records required to be made available under 5 U.S.C. 
552(a)(2), the NRC shall delete the name with any identifying details, 
if the release of the name or other identifying details of, or relating 
to, a private party will constitute a clearly unwarranted invasion of 
personal privacy. The NRC shall provide notification that names of 
parties and certain other identifying details have been removed in order 
to prevent a clearly unwarranted invasion of the personal privacy of the 
individuals involved.
    (b) In responding to a request for information submitted under 
Sec. 9.23, in which it has been determined to withhold exempt 
information, the NRC shall segregate--
    (1) Information that is exempt from public disclosure under 
Sec. 9.17(a) from nonexempt information; and
    (2) Factual information from advice, opinions, and recommendations 
in predecisional records unless the information is inextricably 
intertwined, or is contained in drafts, legal work products, and records 
covered by the lawyer-client privilege, or is otherwise exempt from 
disclosure.



Sec. 9.21  Publicly available records.

    (a) Publicly available records of NRC activities described in 
paragraphs (c) and (d) of this section are available through the 
National Technical Information Service. Subscriptions to these records 
are available on 48x microfiche and may be ordered from the National 
Technical Information Service, 5285 Port Royal Road, Springfield, VA 
22161. Single copies of NRC publications in the NUREG series, NRC 
Regulatory Guides, and Standard Review Plans are also available from the 
National Technical Information Service.
    (b) For the convenience of persons who may wish to inspect without 
charge or purchase copies of a record or a limited category of records 
for a fee, publicly available records of the NRC's activities described 
in paragraph (c) of this section are also made available at the NRC 
Public Document Room. The NRC Public Document Room is located at 2120 L 
Street, NW., Washington, DC, and is open between 7:45 a.m. and 4:15 p.m. 
on Monday through Friday, except legal holidays.
    (c) The following records of NRC activities are publicly available 
at the NRC Public Document Room for public inspection and copying:
    (1) Final opinions including concurring and dissenting opinions as 
well as orders of the NRC issued as a result of adjudication of cases;
    (2) Statements of policy and interpretations which have been adopted 
by the NRC and have not been published in the Federal Register;
    (3) Nuclear Regulatory Commission rules and regulations;
    (4) Nuclear Regulatory Commission Manual and instructions to NRC 
personnel that affect any member of the public;
    (5) Records made available for public inspection and copying under 
this chapter and the NRC Manual. (NRC Bulletin 3203-15 describes the 
``NRC Policy for Routinely Making NRC Records Publicly Available'');
    (6) Current indexes to records made available under 5 U.S.C. 
552(a)(2) and that are made publicly available are listed in NUREG-0550, 
``Title of List of Documents Made Publicly Available,'' which is 
published monthly.
    (d) Records made publicly available under paragraphs (c)(1), (2), 
and (5) of

[[Page 191]]

this section are also available for purchase through the National 
Technical Information Service.

[52 FR 49356, Dec. 31, 1987, as amended at 53 FR 43420, Oct. 27, 1988]



Sec. 9.23  Requests for records.

    (a)(1) A person may request access to records routinely made 
available by the NRC under Sec. 9.21 in person or in writing at the NRC 
Public Document Room, 2120 L Street, NW., Washington, DC 20555.
    (i) Each record requested must be described in sufficient detail to 
enable the Public Document Room to locate the record. If the description 
of the record is not sufficient to allow the Public Document Room staff 
to identify the record, the Public Document Room shall advise the 
requester to select the record from the indexes published under 
Sec. 9.21(c)(6).
    (ii) In order to obtain copies of records expeditiously, a person 
may open an account at the Public Document Room with the private 
contracting firm that is responsible for duplicating NRC records.
    (2) A person may also order records routinely made available by the 
NRC under Sec. 9.21 from the National Technical Information Service, 
5285 Port Royal Road, Springfield, Virginia, 22161.
    (b) A person may request agency records by submitting a request 
authorized by 5 U.S.C. 552(a)(3) to the Director, Division of Freedom of 
Information and Publications Services, Office of Administration, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555. The request must be 
in writing and clearly state on the envelope and in the letter that it 
is a ``Freedom of Information Act request.'' The NRC does not consider a 
request as received until it has been received and logged in by the 
Director, Division of Freedom of Information and Publications Services, 
Office of Administration.
    (1) A Freedom of Information request covers only agency records that 
are in existence on the date the Director, Division of Freedom of 
Information and Publications Services, receives the request. A request 
does not cover agency records destroyed or discarded before receipt of a 
request or which are created after the date of the request.
    (2) All Freedom of Information Act requests for copies of agency 
records must reasonably describe the agency records sought in sufficient 
detail to permit the NRC to identify the requested agency records. Where 
possible, the requester should provide specific information regarding 
dates, titles, docket numbers, file designations, and other information 
which may help identify the agency records. If a requested agency record 
is not described in sufficient detail to permit its identification, the 
Director, Division of Freedom of Information and Publications Services, 
shall inform the requester of the deficiency within 10 working days 
after receipt of the request and ask the requester to submit additional 
information regarding the request or meet with appropriate NRC personnel 
in order to clarify the request.
    (3) Upon receipt of a request made under paragraph (b) of this 
section, the NRC shall provide written notification to the requester 
that indicates the request has been received, the name of the individual 
and telephone number to contact to find out the status of the request, 
and other pertinent matters regarding the processing of the request.
    (4) (i) The NRC shall advise a requester that fees will be assessed 
if--
    (A) A request involves anticipated costs in excess of the minimum 
specified in Sec. 9.39; and
    (B) Search and duplication is not provided without charge under 
Sec. 9.39; or
    (C) The requester does not specifically state that the cost involved 
is acceptable or acceptable up to a specified limit.
    (ii) The NRC has discretion to discontinue processing for records 
responsive to a request made under this paragraph (b) until--
    (A) A required advance payment has been received;
    (B) The requester has agreed to bear the estimated costs;
    (C) A determination has been made on a request for waiver or 
reduction of fees; or
    (D) The requester meets the requirements of Sec. 9.39.

[[Page 192]]

    (c) If a requested agency record that has been reasonably described 
is located at a place other than the NRC Public Document Room or NRC 
headquarters, the NRC may, at its discretion, make the record available 
for inspection and copying at the other location.
    (d) Except as provided in Sec. 9.39--
    (1) If the record requested under paragraph (b) of this section is a 
record available through the National Technical Information Service, the 
NRC shall refer the requester to the National Technical Information 
Service; and
    (2) If the requested record has been placed in the NRC Public 
Document Room under Sec. 9.21, the NRC may inform the requester that the 
record is in the PDR, and that the record may be obtained in accordance 
with the procedures set forth in paragraph (a) of this section.
    (e) The Director, Division of Freedom of Information and 
Publications Services, shall promptly forward a Freedom of Information 
Act request made under Sec. 9.23(b) for an agency record which is not 
publicly available in the NRC Public Document Room under Sec. 9.21 to 
the head of the office primarily concerned with the records requested 
and to the General Counsel, as appropriate. The responsible office will 
conduct a search for the agency records responsive to the request and 
compile those agency records to be reviewed for initial disclosure 
determination under Secs. 9.25 and 9.27.

[52 FR 49356, Dec. 31, 1987, as amended at 53 FR 43420, Oct. 27, 1988; 
53 FR 52993, Dec. 30, 1988; 54 FR 53316, Dec. 28, 1989]



Sec. 9.25  Initial disclosure determination.

    (a) The head of the responsible office shall review agency records 
located in a search under Sec. 9.23(b) to determine whether the agency 
records are exempt from disclosure under Sec. 9.17(a). If the head of 
the office determines that, although exempt, the disclosure of the 
agency records will not be contrary to the public interest and will not 
affect the rights of any person, the head of the office may authorize 
disclosure of the agency records. If the head of the office authorizes 
disclosure of the agency records, the head of the office shall furnish 
the agency records to the Director, Division of Freedom of Information 
and Publications Services, who shall notify the requester of the 
determination in the manner provided in Sec. 9.27.
    (b) Except as provided in paragraph (c) of this section, if, as a 
result of the review specified in paragraph (a) of this section, the 
head of the responsible office finds that agency records should be 
denied in whole or in part, the head of the office will submit that 
finding to the Director, Division of Freedom of Information and 
Publications Services, who will, in consultation with the Office of the 
General Counsel, make an independent determination whether the agency 
records should be denied in whole or in part. If the Director, Division 
of Freedom of Information and Publications Services, determines that the 
agency records sought are exempt from disclosure and disclosure of the 
records is contrary to the public interest and will adversely affect the 
rights of any person, the Director, Division of Freedom of Information 
and Publications Services, shall notify the requester of the 
determination in the manner provided in Sec. 9.27.
    (c) For agency records located in the office of a Commissioner or in 
the Office of the Secretary of the Commission, the Assistant Secretary 
of the Commission shall make the initial determination to deny agency 
records in whole or in part under Sec. 9.17(a) instead of the Director, 
Division of Freedom of Information and Publications Services. For agency 
records located in the Office of the General Counsel, the General 
Counsel shall make the initial determination to deny agency records in 
whole or in part instead of the Director, Division of Freedom of 
Information and Publications Services. For agency records located in the 
Office of the Inspector General, the Assistant Inspector General for 
Audits or the Assistant Inspector General for Investigations shall make 
the initial determination to deny agency records in whole or in part 
instead of the Director, Division of Freedom of Information and 
Publications Services. If the Assistant Secretary of the Commission, the 
General Counsel, the Assistant Inspector

[[Page 193]]

General for Audits, or the Assistant Inspector General for 
Investigations determines that the agency records sought are exempt from 
disclosure and that their disclosure is contrary to the public interest 
and will adversely affect the rights of any person, the Assistant 
Secretary of the Commission, the General Counsel, the Assistant 
Inspector General for Audits, or the Assistant Inspector General for 
Investigations shall furnish that determination to the Director, 
Division of Freedom of Information and Publications Services, who shall 
notify the requester of the determination in the manner provided in 
Sec. 9.27
    (d) If a requested record that is located is one of another 
Government agency or deals with subject matter over which an agency 
other than the NRC has exclusive or primary responsibility, the NRC 
shall promptly refer the record to that Government agency for 
disposition or for guidance regarding disposition.
    (e) The 10-working day period for response to a request for agency 
records provided in paragraphs (a), (b), and (c) of this section may be 
extended for unusual circumstances as provided in Sec. 9.31.
    (f) In exceptional circumstances where it does not appear possible 
to complete action on a request within the maximum 20 working-day limit 
as provided in Sec. 9.31, the Director, Division of Freedom of 
Information and Publications Services, may seek an agreement with the 
requester for a specified extension of time in which to act upon the 
request. The NRC shall confirm the agreement for an extension of time in 
writing.
    (g) If the NRC does not respond to a request within the 10-working-
day period, or within the extended periods described in paragraph (e) of 
this section, the requester may treat that delay as a denial of the 
request and immediately appeal to the Executive Director for Operations 
as provided in Sec. 9.29(a) or sue in a district court as noted in 
Sec. 9.29(c).

[52 FR 49356, Dec. 31, 1987, as amended at 53 FR 52993, Dec. 30, 1988; 
55 FR 33646, Aug. 17, 1990]



Sec. 9.27  Form and content of responses.

    (a) When the NRC has located a requested agency record and has 
determined to disclose the agency record, the Director, Division of 
Freedom of Information and Publications Services, shall promptly furnish 
the agency record or notify the requester where and when the agency 
record will be available for inspection and copying. The NRC will 
normally place copies of agency records disclosed in response to Freedom 
of Information Act requests in the NRC Public Document Room and, for 
agency records relating to a specific nuclear power facility, in the 
Local Public Document Room established for that facility. The NRC shall 
also advise the requester of any applicable fees under Sec. 9.35.
    (b) When the NRC denies access to a requested agency record or 
denies a request for a waiver or reduction of fees, the Director, 
Division of Freedom of Information and Publications Services, shall 
notify the requester in writing. The denial includes as appropriate--
    (1) The reason for the denial;
    (2) A reference to the specific exemption under the Freedom of 
Information Act and the Commission's regulations authorizing the 
withholding of the agency record or portions of it;
    (3) The name and title or position of each person responsible for 
the denial of the request, including the head of the office recommending 
denial of a record;
    (4) A statement stating why the request does not meet the 
requirements of Sec. 9.41 if the request is for a waiver or reduction of 
fees; and
    (5) A statement that the denial may be appealed within 30 days from 
the receipt of the denial to the Executive Director for Operations, to 
the Secretary of the Commission, or to the Inspector General, as 
appropriate.
    (c) The Director, Division of Freedom of Information and 
Publications Services, shall maintain a copy of each letter granting or 
denying requested agency records or denying a request for waiver or 
reduction of fees in accordance with the NRC Comprehensive Records 
Disposition Schedule.

[52 FR 49356, Dec. 31, 1987, as amended at 53 FR 52993, Dec. 30, 1988; 
55 FR 33646, Aug. 17, 1990]

[[Page 194]]



Sec. 9.29  Appeal from initial determination.

    (a) A requester may appeal a notice of denial of a Freedom of 
Information Act request for agency records or a request for waiver or 
reduction of fees under this subpart within 30 days of the date of the 
NRC's denial. For agency records denied by an Office Director reporting 
to the Executive Director for Operations or for a denial of a request 
for a waiver or reduction of fees, the appeal must be in writing and 
addressed to the Executive Director for Operations, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555. For agency records denied 
by an Office Director reporting to the Commission, the Assistant 
Secretary of the Commission, or the Advisory Committee Management 
Officer, the appeal must be in writing and addressed to the Secretary of 
the Commission. For agency records denied by the Assistant Inspector 
General for Audits or the Assistant Inspector General for 
Investigations, the appeal must be in writing and addressed to the 
Inspector General. The appeal should clearly state on the envelope and 
in the letter that it is an ``Appeal from Initial FOIA Decision.'' The 
NRC does not consider an appeal that is not marked as indicated in this 
paragraph as received until it is actually received by the Executive 
Director for Operations, Secretary of the Commission, or the Inspector 
General.
    (b) The NRC shall make determination on any appeal made under this 
section within 20 working days after the receipt of the appeal.
    (c)(1) If the appeal of the denial of the request for agency records 
is upheld in whole or in part, the Executive Director for Operations, or 
a Deputy Director, or the Secretary of the Commission, or the Inspector 
General shall notify the requester of the denial specifying--
    (i) The exemptions relied upon;
    (ii) An explanation of how the exemption applies to the agency 
records withheld; and
    (iii) The reasons for asserting the exemption.
    (2) If, on appeal, the denial of a request for waiver or reduction 
of fees for locating and reproducing agency records is upheld in whole 
or in part, the Executive Director for Operations or a Deputy Executive 
Director shall notify the person making the request of his decision to 
sustain the denial, including a statement explaining why the request 
does not meet the requirements of Sec. 9.41.
    (3) The Executive Director for Operations, or a Deputy Executive 
Director, or the Secretary of the Commission, or the Inspector General 
shall inform the requester that the denial is a final agency action and 
that judicial review is available in a district court of the United 
States in the district in which the requester resides or has a principal 
place of business, in which the agency records are situated, or in the 
District of Columbia.
    (d) The Executive Director for Operations, or a Deputy Executive 
Director, or the Secretary of the Commission, or the Inspector General 
shall furnish copies of all appeals and written determinations on 
appeals to the Director, Division of Freedom of Information and 
Publications Services.

[52 FR 49356, Dec. 31, 1987, as amended at 53 FR 52993, Dec. 30, 1988; 
54 FR 10138, Mar. 10, 1989; 55 FR 33646, Aug. 17, 1990]



Sec. 9.31  Extension of time for response.

    (a) In unusual circumstances defined in Sec. 9.13, the NRC may 
extend the time limits prescribed in Sec. 9.25 or Sec. 9.29 by not more 
than 10 working days. The extension may be made by written notice to the 
person making the request to explain the reasons for the extension and 
indicate the date on which a determination is expected to be dispatched.
    (b) An extension of the time limits prescribed in Secs. 9.25 and 
9.29 may not exceed a combined total of 10 working days per request.



Sec. 9.33  Search, review, and special service fees.

    (a) The NRC charges fees for--
    (1) Search, duplication, and review, when agency records are 
requested for commercial use;
    (2) Duplication of agency records provided in excess of 100 pages 
when agency records are not sought for commercial use and the request is 
made by an educational or noncommercial scientific institution, or a 
representative of the news media;

[[Page 195]]

    (3) Search and duplication of agency records in excess of 100 pages 
for any request not described in paragraphs (a) (1) and (2) of this 
section;
    (4) The direct costs of searching for agency records. The NRC will 
assess fees even when no agency records are located as a result of the 
search or when agency records that are located as a result of the search 
are not disclosed; and
    (5) Computer searches which include the cost of operating the 
Central Processing Unit for that portion of operating time that is 
directly attributable to searching for agency records plus the operator/
programmer salary apportionable to the search.
    (b) The NRC may charge requesters who request the following services 
for the direct costs of the service:
    (1) Certifying that records are true copies; or
    (2) Sending records by special methods, such as express mail, 
package delivery service, etc.



Sec. 9.34  Assessment of interest and debt collection.

    (a) The NRC shall assess interest on the fee amount billed starting 
on the 31st day following the day on which the billing was sent in 
accordance with NRC's regulations set out in Sec. 15.37 of this chapter. 
Interest is at the rate prescribed in 21 U.S.C. 3717.
    (b) The NRC will use its debt collection procedures under part 15 of 
this chapter for any overdue fees.



Sec. 9.35  Duplication fees.

    (a)(1) Charges for the duplication of records made available under 
Sec. 9.21 at the NRC Public Document Room (PDR), 2120 L Street, NW. 
(Lower Level), Washington, DC. by the duplicating service contractor are 
as follows:
    (i) Paper to paper reproduction is $0.09 per page up to and 
including 8\1/2\ x 14 inches. Pages 11 x 17 inches are $0.20 each. Pages 
larger than 11 x 17 inches, including drawings, are $1.00 each.

    Note: Pages greater than legal size, 8\1/2\ x 14 inches, and smaller 
than or equal to 11 x 17 inches shall be reduced to legal size and 
reproduced for $0.09 per page, unless the order specifically requests 
full size reproduction.

    (ii) Microfiche to paper reproduction is $0.09 per page. Aperture 
card blowbacks are $3.00 each (reduced size) or $5.00 (full size).
    (iii) Microfiche or aperture card duplications are $0.75 each.
    (iv) Rush processing is offered for standard size paper to paper 
reproduction and blowbacks, excluding standing order documents and pages 
reproduced from bound volumes. The charge is $0.10 per page.
    (v) Facsimile charges are: $0.30 per page--local calls; $0.50 per 
page--U.S. long distance; and $1.50 per page--foreign long distance. 
Facsimile orders are limited to 100 pages per order.
    (2) Self-service duplicating machines are available at the PDR for 
the use of the public. Paper to paper copy is $0.10 per page. Microfiche 
to paper is $0.10 per page on the reader printers.
    (3) A requester may submit mail-order requests for contractor 
duplication of NRC records made by writing to the NRC Public Document 
Room. The charges for mail-order duplication of records are the same as 
those set out in paragraph (a)(1) of this section, plus mailing or 
shipping charges.
    (4) A requester may open an account with the duplicating service 
contractor. A requester may obtain the name and address and billing 
policy of the contractor from the NRC Public Document Room.
    (5) Any change in the costs specified in this section will become 
effective immediately pending completion of the Commission's rulemaking 
that amends this section to reflect the new charges. The Commission 
shall post the charges that will be in effect for the interim period in 
the Public Document Room. The Commission shall complete the rulemaking 
necessary to reflect the new charges within 15 working days from the 
beginning of the interim period.
    (b) The NRC shall assess the following charges for copies of records 
to be duplicated by the NRC at locations other than the NRC Public 
Document Room located in Washington, DC or at local Public Document 
Rooms:
    (1) Sizes up to 8\1/2\ x 14 inches made on office copying machines--
$0.20 per page of copy; and

[[Page 196]]

    (2) The charge for duplicating records other than those specified in 
paragraphs (a) and (b) is computed on the basis of NRC's direct costs.
    (c) In compliance with the Federal Advisory Committee Act, a 
requester may purchase copies of transcripts of testimony in NRC 
Advisory Committee proceedings, which are transcribed by a reporting 
firm under contract with the NRC directly from the reporting firm at the 
cost of reproduction as provided for in the contract with the reporting 
firm. A requester may also purchase transcripts from the NRC at the cost 
of reproduction as set out in paragraphs (a) and (b) of this section.
    (d) Copyrighted material may not be reproduced in violation of the 
copyright laws.
    (e) Charges for the duplication of NRC records located in NRC Local 
Public Document Rooms are those costs that the institutions maintaining 
the NRC Local Public Document Room collections establish.

[52 FR 49356, Dec. 31, 1987, as amended at 58 FR 38666, July 20, 1993]



Sec. 9.37  Fees for search and review of agency records by NRC personnel.

    The NRC shall charge the following hourly rates for search and 
review of agency records by NRC personnel:
    (a) Clerical search, review, and duplication at a salary rate that 
is equivalent to a GG-7, Step 5 plus 16 percent fringe benefits;
    (b) Professional/managerial search, review, and duplication at a 
salary rate that is equivalent to a GG-13, Step 5 plus 16 percent fringe 
benefits; and
    (c) Senior executive or Commissioner search, review, and duplication 
at a salary rate that is equivalent to an ES-3 plus 16 percent fringe 
benefits.



Sec. 9.39  Search and duplication provided without charge.

    (a) The NRC shall search for agency records requested under 
Sec. 9.23(b), without charges when agency records are not sought for 
commercial use and the records are requested by an educational or 
noncommercial scientific institution, or a representative of the news 
media.
    (b) The NRC shall search for agency records requested under 
Sec. 9.23(b) without charges for the first two hours of search for any 
request not sought for commercial use and not covered in paragraph (a) 
of this section.
    (c) The NRC shall duplicate agency records requested under 
Sec. 9.23(b) without charge for the first 100 pages of standard paper 
copies, or equivalent pages in microfiche, computer, disks, etc., if the 
requester is not a commercial-use requester.
    (d) The NRC may not bill any requester for fees if the cost of 
collecting the fee would be equal to or greater than the fee itself.
    (e) The NRC may aggregate requests in determining search and 
duplication to be provided without charge as provided in paragraphs (a) 
and (b) of this section, if the NRC finds a requester has filed multiple 
requests for only portions of an agency record or similar agency records 
for the purpose of avoiding charges.



Sec. 9.40  Assessment of fees.

    (a) If the request is expected to require the NRC to assess fees in 
excess of $25 for search and/or duplication, the NRC shall notify the 
requester that fees will be assessed unless the requester has indicated 
in advance his or her willingness to pay fees as high as estimated.
    (b) In the notification, the NRC shall include the estimated cost of 
search fees and the nature of the search required and estimated cost of 
duplicating fees.
    (c) The NRC will encourage requesters to discuss with the NRC the 
possibility of narrowing the scope of the request with the goal of 
reducing the cost while retaining the requester's original objective.
    (d) If the fee is determined to be in excess of $250, the NRC shall 
require an advance payment.
    (e) Unless a requester has agreed to pay the estimated fees or, as 
provided for in paragraph (d) of this section, the requester has paid an 
estimated fee in excess of $250, the NRC may not begin to process the 
request.
    (f) If the NRC receives a new request and determines that the 
requester has failed to pay a fee charged within 30 days of receipt of 
the bill on a previous request, the NRC may not accept the

[[Page 197]]

new request for processing until payment of the full amount owed on the 
prior request, plus any applicable interest assessed as provided in 
Sec. 9.34, is made.
    (g) Within 10 working days of the receipt of NRC's notice that fees 
will be assessed, the requester shall provide advance payment if 
required, notify the NRC in writing that the requester agrees to bear 
the estimated costs, or submit a request for a waiver or reduction of 
fees pursuant to Sec. 9.41.



Sec. 9.41  Requests for waiver or reduction of fees.

    (a)(1) The NRC shall collect fees for searching for, reviewing, and 
duplicating agency records, except as provided in Sec. 9.39, unless a 
requester submits a request in writing for a waiver or reduction of 
fees. To assure that there will be no delay in the processing of Freedom 
of Information Act requests, the request for a waiver or reduction of 
fees should be included in the initial Freedom of Information Act 
request letter.
    (2) Each request for a waiver or reduction of fees must be addressed 
to the Director, Division of Freedom of Information and Publications 
Services, Office of Administration, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555.
    (b) A person requesting the NRC to waive or reduce search, review, 
or duplication fees shall:
    (1) Describe the purpose for which the requester intends to use the 
requested information;
    (2) Explain the extent to which the requester will extract and 
analyze the substantive content of the agency record;
    (3) Describe the nature of the specific activity or research in 
which the agency records will be used and the specific qualifications 
the requester possesses to utilize information for the intended use in 
such a way that it will contribute to public understanding;
    (4) Describe the likely impact on the public's understanding of the 
subject as compared to the level of understanding of the subject 
existing prior to disclosure;
    (5) Describe the size and nature of the public to whose 
understanding a contribution will be made;
    (6) Describe the intended means of dissemination to the general 
public;
    (7) Indicate if public access to information will be provided free 
of charge or provided for an access fee or publication fee; and
    (8) Describe any commercial or private interest the requester or any 
other party has in the agency records sought.
    (c) The NRC will waive or reduce fees, without further specific 
information from the requester if, from information provided with the 
request for agency records made under Sec. 9.23(b), it can determine 
that disclosure of the information in the agency records is in the 
public interest because it is likely to contribute significantly to 
public understanding of the operations or activities of the Government 
and is not primarily in the commercial interest of the requester.
    (d) In making a determination regarding a request for a waiver or 
reduction of fees, the NRC shall consider the following factors:
    (1) How the subject of the requested agency records concerns the 
operations or activities of the Government;
    (2) How the disclosure of the information is likely to contribute to 
an understanding of Government operations or activities;
    (3) If disclosure of the requested information is likely to 
contribute to public understanding;
    (4) If disclosure is likely to contribute significantly to public 
understanding of Government operations or activities;
    (5) If, and the extent to which, the requester has a commercial 
interest that would be furthered by the disclosure of the requested 
agency records; and
    (6) If the magnitude of the identified commercial interest of the 
requester is sufficiently large, in comparison with the public interest 
in disclosure, that disclosure is primarily in the commercial interest 
of the requester.
    (e) If the written request for a waiver or reduction of fees does 
not meet the requirements of this section, the NRC will inform the 
requester that the request for waiver or reduction of fees is

[[Page 198]]

being denied and set forth the appeal rights under Sec. 9.29 to the 
requester.

[52 FR 49356, Dec. 31, 1987, as amended at 53 FR 52993, Dec. 30, 1988; 
54 FR 53316, Dec. 28, 1989]



Sec. 9.43   Processing of requests for a waiver or reduction of fees.

    (a) Within 10 working days after receipt of a request for access to 
agency records for which the NRC agrees to waive fees under Sec. 9.39(a) 
through (d) or Sec. 9.41(c), the NRC shall respond to the request as 
provided in Sec. 9.25.
    (b) In making a request for a waiver or reduction of fees, a 
requester shall provide the information required by Sec. 9.41(b).
    (c) After receipt of a request for the waiver or reduction of fees 
made in accordance with Sec. 9.41, the NRC shall either waive or reduce 
the fees and notify the requester of the NRC's intent to promptly 
provide the agency records or deny the request and provide a statement 
to the requester explaining why the request does not meet the 
requirements of Sec. 9.41(b).
    (d) As provided in Sec. 9.29, a requester may appeal a denial of a 
request to waive or reduce fees within 30 days to the Executive Director 
for Operations.



Sec. 9.45  Annual report to Congress.

    (a) On or before March 1 of each calendar year, the Chairman of the 
NRC will submit a report covering the preceding calendar year to the 
Speaker of the House of Representatives and President of the Senate for 
referral to the appropriate committees of the Congress. The report 
includes--
    (1) The number of determinations made by the NRC to deny requests 
for records made to the NRC under this part and the reasons for each 
determination;
    (2) The number of appeals made by persons under Sec. 9.29, the 
results of the appeals, and the reason for the action taken on each 
appeal that results in a denial of information;
    (3) The names and titles or positions of each person responsible for 
the denial of records requested under this section, and the number of 
instances of participation for each;
    (4) The results of each proceeding conducted pursuant to 5 U.S.C. 
552(a)(4)(F), including a report of the disciplinary action taken 
against the officer or employee who was primarily responsible for 
improperly withholding records, or an explanation of why disciplinary 
action was not taken;
    (5) A copy of every rule the NRC published affecting this part;
    (6) A copy of the fee schedule and the total amount of fees 
collected by the NRC for making records available under this part; and
    (7) Any other information that indicates efforts to administer fully 
the provisions of 5 U.S.C. 552.
    (b) The NRC shall make a copy of each report submitted to the 
Congress under paragraph (a) of this section available for public 
inspection and copying in the NRC Public Document Room.



                   Subpart B--Privacy Act Regulations

    Source: 40 FR 44484, Sept. 26, 1975, unless otherwise noted.



Sec. 9.50   Scope of subpart.

    This subpart implements the provisions of section 3 of the Privacy 
Act of 1974, Pub. L. 93-579, 5 U.S.C. 552a, with respect to (a) the 
procedures by which individuals may determine the existence of, seek 
access to and request correction of NRC records concerning themselves, 
and (b) the requirements applicable to NRC personnel with respect to the 
use and dissemination of such records. The regulations in this subpart 
apply to all records which are retrievable from a system of records 
under the control of the Nuclear Regulatory Commission by the use of an 
individual's name or of an identifying number, symbol, or other 
identifying particular assigned to such individual. Except where 
specifically provided otherwise, this subpart applies to all NRC records 
maintained on individuals whether they predate or postdate September 27, 
1975.



Sec. 9.51   Definitions.

    As used in this subpart:
    (a) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence.

[[Page 199]]

    (b) The term maintain includes maintain, collect, use or 
disseminate.
    (c) Record means any item, collection or grouping of information 
about an individual that is maintained by the NRC, including, but not 
limited to, his education, financial transactions, medical history, 
employment history or criminal history, and that contains the 
individual's name, or the identifying number, symbol or other 
identifying particular assigned to the individual, such as a finger or 
voice print or a photograph.
    (d) System manager means the NRC official responsible for 
maintaining a system of records.
    (e) Systems of records means a group of records under the control of 
the NRC from which information is retrieved by the name of an individual 
or by an identifying number, symbol, or other identifying particular 
assigned to an individual.
    (f) Statistical record means a record in a system of records 
maintained for statistical research or reporting purposes only and not 
used in whole or in part in making any determination about an 
identifiable individual, except as provided by the Census Act, 13 U.S.C. 
8.
    (g) Routine use means, with respect to the disclosure of a record, 
the use of such record for a purpose which is compatible with the 
purpose for which it was collected, as described in a notice published 
in the Federal Register.

Procedures Applicable to Requests by Individuals for Information, Access 
              or Amendment of Records Maintained About Them

                        presentation of requests



Sec. 9.52   Types of requests.

    (a) Individuals may make the following requests respecting records 
about themselves maintained by NRC in a system of records subject to the 
provisions of the Privacy Act of 1974:
    (1) Request a determination whether a record about the individual is 
contained in a system of records.
    (2) Request access to a record about the individual. Access requests 
may include requests to review the record and to have a copy made of all 
or any portion thereof in a form comprehensible to the individual.
    (3) Request correction or amendment of a record about the 
individual.
    (b) Requests for accounting of disclosures. Individuals may, at any 
time, request an accounting by NRC of disclosures to any other person or 
Government agency of any record about themselves contained in a system 
of records controlled by NRC, except the following: (1) Disclosures made 
pursuant to the Freedom of Information Act, 5 U.S.C. 552; (2) 
disclosures made within the Nuclear Regulatory Commission; (3) 
disclosures made to another Government agency or instrumentality for an 
authorized law enforcement activity pursuant to 5 U.S.C. 552a(b)(7); (4) 
disclosures expressly exempted by NRC regulations from the requirements 
of 5 U.S.C. 552a(c)(3) pursuant to 5 U.S.C. 552a(j)(2) and (k).

[40 FR 44484, Sept. 26, 1975, as amended at 60 FR 63900, Dec. 13, 1995]

    Effective Date Note: At 60 FR 63900, Dec. 13, 1995, in Sec. 9.52, 
(b)(4) was revised, effective January 12, 1996. For the convenience of 
the reader, the superseded text is set forth below.
Sec. 9.52  Types of requests.

                                * * * * *

    (b) * * * (4) disclosures expressly exempted by NRC regulations from 
the requirements of 5 U.S.C. 552a(c)(3) pursuant to 5 U.S.C. 552a(k).



Sec. 9.53   Requests; how and where presented.

    (a) Requests may be made in person or in writing. Assistance 
regarding requests or other matters relating to the Privacy Act of 1974 
may be obtained by writing to the Director, Office of Administration, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555. Requests 
relating to records in multiple systems of records should be made to the 
Director, Office of Administration, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555. The Director, or his designee, shall assist the 
requestor in identifying his request more precisely and shall be 
responsible for forwarding the request to the appropriate system 
manager.

[[Page 200]]

    (b) All written requests shall be made to the Director, Office of 
Administration, U.S. Nuclear Regulatory Commission, Washington, DC 
20555, and should clearly state on the envelope and in the letter, as 
appropriate: ``Privacy Act Request,'' ``Privacy Act Disclosure 
Accounting Request,'' ``Privacy Act Correction Request.'' A request that 
is not so marked will be deemed not to have been received by the NRC 
until it is actually received by the Director, Office of Administration.
    (c) Requests may be made in person during official hours at the U.S. 
Nuclear Regulatory Commission office where the record is located, as 
listed in the ``Notice of System of Records'' for the system in which 
the record is contained.

[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976; 
52 FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989]



Sec. 9.54   Verification of identity of individuals making requests.

    (a) Identification requirements in paragraphs (a) (1) and (2) of 
this section are applicable to any individual who makes requests 
respecting records about himself, except that no verification of 
identity shall be required if the records requested are available to the 
public under the provisions of the Freedom of Information Act. With 
respect to certain sensitive records, additional requirements for 
verification of identity stated in the appropriate published ``Notice of 
System of Records'' may be imposed.
    (1) Written requests. An individual making a written request 
respecting a record about himself may establish his identity by a 
signature, address, date of birth, employee identification number if 
any, and one other item of identification such as a photocopy of a 
driver's license or other document.
    (2) Requests in person. An individual making a request in person 
respecting a record about himself may establish his identity by the 
presentation of a single document bearing a photograph (such as a 
passport or identification badge) or by the presentation of two items of 
identification which do not bear a photograph but do bear a name, 
address and signature (such, as a driver's license or credit card).
    (b) Inability to provide requisite documentation of identity. An 
individual making a request in person or in writing respecting a record 
about himself who cannot provide the necessary documentation of identity 
may provide a notarized statement, swearing or affirming to his identity 
and to the fact that he understands that penalties for false statements 
may be imposed pursuant to 18 U.S.C. 1001, and that penalties for 
obtaining a record concerning an individual under false pretenses may be 
imposed pursuant to 5 U.S.C. 552a(i)(3). Forms for such notarized 
statements may be obtained on request from the Director, Office of 
Administration, U.S. Nuclear Regulatory Commission, Washington, DC 
20555.
    (c) Verification of parentage or guardianship. In addition to 
establishing the identity of the minor, or other individual he 
represents as required in paragraph (a) of this section, the parent or 
legal guardian of a minor or of an individual judicially determined to 
be incompetent shall establish his status as parent or guardian by 
furnishing a copy of a birth certificate of the minor showing parentage 
or a copy of a court order establishing guardianship.

[40 FR 44484, Sept. 26, 1975, as amended at 52 FR 31609, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 9.55   Specification of records.

    (a)(1) Requests relating to records shall, insofar as practicable, 
specify the nature of the record sought, the approximate dates covered 
by the record, the system of records in which the record is thought to 
be included and the system manager having custody of the record system 
as shown in the annual compilation, ``Notices of Records Systems'', 
published by the General Services Administration. Requests shall, in 
addition, comply with any additional specification requirements 
contained in the published ``Notice of System of Records'' for that 
system.
    (2) Requests for correction or amendment of records shall, in 
addition, specify the particular record involved, state the nature of 
the correction or amendment sought and furnish justification for the 
correction or amendment.

[[Page 201]]

    (b) Requests which do not contain information sufficient to identify 
the record requested will be returned promptly to the requestor, with a 
notice indicating what information is lacking. Individuals making 
requests in person will be informed of any deficiency in the 
specification of records at the time the request is made. Individuals 
making requests in writing will be notified of any such deficiency when 
their request is acknowledged.



Sec. 9.56   Accompanying persons.

    An individual requesting access to records about himself may be 
accompanied by another individual of his own choosing. Both the 
individual requesting access and the individual accompanying him shall 
sign the required form indicating that the Nuclear Regulatory Commission 
is authorized to discuss the contents of the subject record in the 
presence of both individuals.

                 nrc procedures for processing requests



Sec. 9.60   Acknowledgement of requests.

    (a) Written requests by individuals to verify the existence of, 
obtain access to or correct or amend records about themselves maintained 
by NRC in a system of records subject to the provisions of the Privacy 
Act of 1974, shall be acknowledged in writing by the Director, Office of 
Administration, or his designee, within ten working days after date of 
actual receipt. The acknowledgement shall advise the requestor if any 
additional information is needed to process the request. Wherever 
practicable, the acknowledgement shall notify the individual whether his 
request to obtain access to the record or to correct or amend the record 
has been granted or denied.
    (b) When an individual requests access to records or permission to 
correct or amend records in person, every effort will be made to make an 
immediate determination as to whether access or correction or amendment 
should be granted. If an immediate determination cannot be made, the 
request will be processed in the same manner as a written request. 
Records will be made available for immediate inspection whenever 
possible.

[40 FR 44484, Sept. 26, 1975, as amended at 53 FR 17689, May 18, 1988; 
54 FR 53316, Dec. 28, 1989]



Sec. 9.61   Procedures for processing requests for records exempt in whole or in part.

    (a) When an individual requests information concerning the existence 
of, or access to, records about himself which have been compiled in 
reasonable anticipation of a civil action or proceeding in either a 
court or before an administrative tribunal, the NRC shall advise the 
individual only that no record available to him pursuant to the Privacy 
Act of 1974 has been identified.
    (b) General exemptions. Generally, 5 U.S.C. 552a(j)(2) allows the 
exemption of any system of records within the NRC from any part of 
section 552a except subsections (b), (c)(1) and (2), (e)(4)(A) through 
(F), (e)(6), (7), (9), (10), and (11), and (i) of the act if the system 
of records is maintained by an NRC component that performs as one of its 
principal functions any activity pertaining to the enforcement of 
criminal laws, including police efforts to prevent, control, or reduce 
crimes, or to apprehend criminals, and consists of--
    (1) Information compiled for the purpose of identifying individual 
criminal offenders and alleged offenders and consisting only of 
identifying data and notations of arrests, the nature and disposition of 
criminal charges, sentencing, confinement, release and parole, and 
probation status;
    (2) Information compiled for the purpose of a criminal 
investigation, including reports of informants and investigators, and 
associated with an identifiable individual; or
    (3) Reports identifiable to an individual compiled at any stage of 
the process of enforcement of the criminal laws from arrest or 
indictment through release from supervision.
    (c) Specific exemptions pursuant to 5 U.S.C. 552a(k). Individual 
requests for access to records which have been exempted from access 
pursuant to the provisions of 5 U.S.C. 552a(k) and Sec. 9.95 shall be 
processed as follows:

[[Page 202]]

    (1) Information classified pursuant to Executive Order 12356 and 
exempted pursuant to 5 U.S.C. 552a(k)(1). (i) Requested information 
classified by NRC will be reviewed by the responsible official of the 
NRC to determine whether it continues to warrant classification under 
the criteria of section 1.3 of Executive Order 12356.
    (ii) Information which no longer warrants classification under these 
criteria shall be declassified and made available to the individual. If 
the requested information has been classified by another agency, the 
responsible official of the NRC will request the classifying agency to 
review the information to ascertain if classification is still 
warranted. If the information continues to warrant classification, the 
individual shall be advised that the information sought is classified, 
that it has been reviewed and continues to warrant classification, and 
that it has been exempted from access pursuant to 5 U.S.C. 552a(k)(1).
    (2) Investigatory material compiled for law enforcement purposes 
exempted pursuant to 5 U.S.C. 552a(k)(2). Requests shall be responded to 
in the manner provided in paragraph (a) of this section unless a review 
of the information indicates that the information has been used or is 
being used to deny the individual any right, privilege or benefit for 
which he is eligible or to which he would otherwise be entitled under 
Federal law. In that event, the individual shall be advised of the 
existence of the information and shall be provided the information 
except to the extent it would reveal the identity of a confidential 
source. Information that would reveal the identity of a confidential 
source shall be extracted or summarized in a manner which protects the 
source and the summary or extract shall be provided to the requesting 
individual.
    (3) Material within a system of records required by statute to be 
maintained and used solely as statistical records and exempted pursuant 
to 5 U.S.C. 552a(k)(4). The exempted information requested will be 
reviewed by the responsible official of the NRC to determine whether it 
continues to warrant exemption. Information which no longer warrants 
exemption shall be made available to the individual. If the information 
continues to warrant exemption, the individual shall be advised that the 
information sought is exempt from disclosure, that it has been reviewed 
and continues to warrant exemption, and that it has been exempted from 
access pursuant to 5 U.S.C. 552a(k)(4).
    (4) Investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, Federal contracts, or access to classified 
information and exempted pursuant to 5 U.S.C. 552a(k)(5). Information 
exempted pursuant to 5 U.S.C. 552a(k)(5) shall be made available to an 
individual upon request except to the extent that the information would 
reveal the identity of a confidential source. Material that would reveal 
the identity of a confidential source shall be extracted or summarized 
in a manner which protects the source and the summary or extract shall 
be provided to the requesting individual.
    (5) Testing or examination material exempted pursuant to 5 U.S.C. 
552a(k)(6). Testing or examination material used solely to determine 
individual qualifications for appointment or promotion in the Federal 
service which has been exempted pursuant to 5 U.S.C. 552a(k)(6) shall 
not be made available to an individual if disclosure would compromise 
the objectivity or fairness of the testing or examination process but 
may be made available if no possibility of such compromise exists.

[40 FR 44484, Sept. 26, 1975, as amended at 44 FR 50804, Aug. 30, 1979; 
50 FR 50284, Dec. 10, 1985; 60 FR 63900, Dec. 13, 1995]



Sec. 9.62   Special procedures.

    (a) Records under the control of another government agency. (1) 
Medical records. Requests received by NRC pertaining to medical records 
under the control of the U.S. Public Health Service or another 
Government agency will either be referred to the appropriate agency or 
returned to the requestor with the name of the controlling Government 
agency, if known, within ten working days after receipt by NRC. NRC will 
inform the requestor of any referral of his request to another 
Government agency at the time the referral is made.

[[Page 203]]

    (2) Nonmedical records. Requests received by NRC pertaining to 
nonmedical records under the control of another Government agency will 
be returned to the requestor with the name of the controlling Government 
agency, if known, within ten working days after receipt by NRC.

[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 44997, Oct. 14, 1976]

                       determinations and appeals



Sec. 9.65   Access determinations; appeals.

    (a) Initial determinations. For agency records located in the Office 
of the Inspector General, the Assistant Inspector General for Audits or 
the Assistant Inspector General for Investigations shall determine 
whether access to the record is available under the Privacy Act. For all 
other agency records, the Director, Office of Administration, or the 
Director's designee, with the advice of the system manager having 
control of the record to which access is requested, shall determine 
whether access to the record is available under the Privacy Act. The 
Director, Office of Administration, or the Director's designee, shall 
notify the requesting individual in person or in writing of the 
determination. Unless the request presents unusual difficulties or 
involves extensive numbers of records, individuals shall be notified of 
determinations to grant or deny access within 30 working days after 
receipt of the request.
    (1) Notices granting access shall inform the individual when and 
where the requested record may be seen, how copies may be obtained, and 
of any fees or anticipated charges which may be incurred pursuant to 
Sec. 9.85 of this subpart.
    (2) Notices denying access must state the reasons for the denial, 
and advise the individual that the denial may be appealed to the 
Inspector General, for agency records located in the Office of Inspector 
General, or the Executive Director for Operations, for all other agency 
records, in accordance with the procedures set forth in this section.
    (b) Appeals from denials of access. If an individual has been denied 
access to a record the individual may request a final review and 
determination of that individual's request by the Inspector General or 
the Executive Director for Operations as appropriate. A request for 
final review of an initial determination must be filed within 60 days of 
the receipt of the initial determination. For agency records denied by 
the Assistant Inspector General for Audits or the Assistant Inspector 
General for Investigations, the appeal must be in writing and addressed 
to the Inspector General, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555. For agency records denied by the Director, Office 
of Administration, or the Director's designee, the appeal must be in 
writing addressed to the Executive Director for Operations. The appeal 
should clearly state on the envelope and in the letter ``Privacy Act 
Appeal-Denial of Access.'' The NRC does not consider an appeal that is 
not marked as indicated in this paragraph as received until it is 
actually received by the Inspector General or Executive Director for 
Operations.
    (c) Final determinations. (1) The Inspector General, or the 
Executive Director for Operations or the EDO's designee, shall make a 
final determination within 30 working days of the receipt of the request 
for final review, unless the time is extended for good cause shown such 
as the need to obtain additional information, the volume of records 
involved, or the complexity of the issue. The extension of time may not 
exceed 30 additional working days. The requester shall be advised in 
advance of any extension of time and of the reasons therefor.
    (2) If the Inspector General, or the Executive Director for 
Operations or the EDO's designee, determines that access was properly 
denied because the information requested has been exempted from 
disclosure, the Inspector General, or the Executive Director for 
Operations or the EDO's designee shall undertake a review of the 
exemption to determine whether the information should continue to be 
exempt from disclosure. The Inspector General, or the Executive Director 
for Operations or the EDO's designee, shall notify the individual in 
writing of the final agency determination to grant or deny the request 
for access. Notices denying access must state the reasons therefor and 
must advise the individual of his/

[[Page 204]]

her right to judicial review pursuant to 5 U.S.C. 552a(g).

[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976; 
41 FR 25997, June 24, 1976; 52 FR 31609, Aug. 21, 1987; 54 FR 53316, 
Dec. 28, 1989; 55 FR 33647, Aug. 17, 1990]



Sec. 9.66   Determinations authorizing or denying correction of records; appeals.

    (a) Initial determinations. (1) For agency records located in the 
Office of the Inspector General, the Assistant Inspector General for 
Audits or the Assistant Inspector General for Investigations shall 
determine whether to authorize or refuse correction or amendment of a 
record. For all other agency records, the Director, Office of 
Administration, or the Director's designee, with the advice of the 
system manager having control of the record, shall determine whether to 
authorize or refuse correction or amendment of a record. The Director, 
Office of Administration, or the Director's designee, shall notify the 
requesting individual. Unless the request presents unusual difficulties 
or involves extensive numbers of records, individuals must be notified 
of determinations to authorize or refuse correction or amendment of a 
record within 30 working days after receipt of the request. In making 
this determination, the NRC official shall be guided by the following 
standards:
    (i) Records shall contain only such information about an individual 
as is relevant and necessary to accomplish an NRC function required to 
be accomplished by statute or by executive order of the President;
    (ii) Records used by NRC in making any determination about any 
individual shall be as accurate, relevant, current, and complete as is 
reasonably necessary to assure fairness to the individual in the 
determination;
    (iii) No record shall describe how any individual has exercised 
rights guaranteed by the First Amendment unless such record is expressly 
authorized by statute or by the individual about whom the record is 
maintained, or is pertinent to and within the scope of an authorized law 
enforcement activity.
    (2) For agency records located in the Office of Inspector General, 
if correction or amendment of a record is authorized, the Assistant 
Inspector General for Audits or the Assistant Inspector General for 
Investigations shall correct or amend the record. For all other agency 
records, the Director, Office of Administration, or the Director's 
designee, shall correct or amend the record. The Director, Office of 
Administration, or the Director's designee shall notify the requesting 
individual in writing that the correction or amendment has been made and 
provide the individual with a courtesy copy of the corrected record.
    (3) If correction or amendment of a record is refused, the Director, 
Office of Administration or the Director's designee, shall notify the 
requesting individual in writing of the refusal and the reasons 
therefor, and shall advise the individual that the refusal may be 
appealed to the Inspector General or the Executive Director for 
Operations, as appropriate, in accordance with the procedures set forth 
in this section.
    (b) Appeals from initial adverse determinations. If an individual's 
request to amend or correct a record has been denied, in whole or in 
part, the individual may request a final review and determination of 
that individual's request by the Inspector General or the Executive 
Director for Operations, as appropriate. A request for final review of 
an initial determination must be filed within 60 days of the receipt of 
the initial determination. For agency records located in the Office of 
the Inspector General, the appeal must be in writing and addressed to 
the Inspector General, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555. For agency records located in all other offices, the appeal 
must be in writing addressed to the Executive Director for Operations. 
The appeal should clearly state on the envelope and in the letter 
``Privacy Act Correction Appeal.'' The NRC does not consider an appeal 
that is not marked as indicated in this paragraph as received until it 
is actually received by the Inspector General or Executive Director for 
Operations. Requests for final review must set forth the specific item 
of information sought to be corrected or amended and should include, 
where appropriate, documents supporting the correction or amendment.

[[Page 205]]

    (c) Final determinations. (1) The Inspector General, for agency 
records located in the Office of the Inspector General, or the Executive 
Director for Operations or the EDO's designee, for all other agency 
records, shall make a final agency determination within 30 working days 
of receipt of the request for final review, unless the time is extended 
for good cause shown such as the need to obtain additional information, 
the volume of records involved, or the complexity of the issue. The 
extension of time may not exceed 30 additional working days. The 
requester shall be advised in advance of any extension of time and of 
the reasons therefor.
    (2) For agency records located in the Office of the Inspector 
General, if the Inspector General makes a final determination that an 
amendment or correction of the record is warranted on the facts, the 
Inspector General or the IG's designee, shall correct or amend the 
record pursuant to the procedures in Sec. 9.66(a)(2). For all other 
agency records, if the Executive Director for Operations, or the EDO's 
designee, makes a final determination that an amendment or correction of 
the record is warranted on the facts, the EDO or the EDO's designee, 
shall notify the Director, Office of Administration, to correct or amend 
the record to the procedures in Sec. 9.66(a)(2).
    (3) If the Inspector General, or the Executive Director for 
Operations or the EDO's designee, makes a final determination that an 
amendment or correction of the record is not warranted on the facts, the 
individual shall be notified in writing of the refusal to authorize 
correction or amendment of the record in whole or in part, and of the 
reasons therefor, and the individual shall be advised of his/her right 
to provide a ``Statement of Disagreement'' for the record and of his/her 
right to judicial review pursuant to 5 U.S.C. 552a(g).

[40 FR 44484, Sept. 26, 1975, as amended at 41 FR 20645, May 20, 1976; 
41 FR 25997, June 24, 1976; 52 FR 31609, Aug. 21, 1987; 54 FR 53316, 
Dec. 28, 1989; 55 FR 33647, Aug. 17, 1990]



Sec. 9.67   Statements of disagreement.

    (a) Written ``Statements of Disagreement'' may be furnished by the 
individual within 30 working days of the date of receipt of the final 
adverse determination of the Inspector General or the Executive Director 
for Operations. ``Statements of Disagreement'' must be addressed, as 
appropriate, to the Inspector General or the Executive Director for 
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
and should be clearly marked on the statement and on the envelope 
``Privacy Act Statement of Disagreement''.
    (b) The Inspector General or the Executive Director for Operations, 
or their designees, as appropriate, are responsible for ensuring that: 
(1) The ``Statement of Disagreement'' is included in the system or 
systems of records in which the disputed item of information is 
maintained; and (2) the original record is marked to indicate the 
information disputed, the existence of a ``Statement of Disagreement'' 
and the location of the ``Statement of Disagreement'' within the system 
of records.

[55 FR 33848, Aug. 17, 1990]



Sec. 9.68  NRC statement of explanation.

    The Inspector General, or the Executive Director for Operations or 
the EDO's designee, may if deemed appropriate, prepare a concise 
statement of the reasons why the requested amendments or corrections 
were not made. Any NRC ``Statement of Explanation'' must be included in 
the system of records in the same manner as the ``Statement of 
Disagreement''. Courtesy copies of the NRC statement and of the notation 
of the dispute as marked on the original record must be furnished to the 
individual who requested correction or amendment of the record.

[55 FR 33648, Aug. 17, 1990]



Sec. 9.69   Notices of correction or dispute.

    (a) When a record has been corrected upon request or when a 
``Statement of Disagreement'' has been filed, the Director, Office of 
Administration, or his designee, shall, within 30 working days thereof, 
advise all prior recipients of the affected record whose identity can

[[Page 206]]

be determined pursuant to an accounting of disclosures required by the 
Privacy Act or any other accounting previously made, of the correction 
or of the filing of the ``Statement of Disagreement''.
    (b) Any disclosure of disputed information occurring after a 
``Statement of Disagreement'' has been filed shall clearly identify the 
specific information disputed and be accompanied by a copy of the 
``Statement of Disagreement'' and a copy of any NRC ``Statement of 
Explanation''.

[40 FR 44484, Sept. 26, 1975, as amended at 52 FR 31609, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]

            disclosure to others of records about individuals



Sec. 9.80   Disclosure of record to persons other than the individual to whom it pertains.

    (a) NRC Commissioners and NRC personnel shall not disclose any 
record which is contained in a system of records maintained by NRC by 
any means of communication to any person, or to another Government 
agency, except pursuant to a written request by, or with the prior 
written consent of, the individual to whom the record pertains, unless 
disclosure of the record is:
    (1) To NRC Commissioners and NRC personnel who have a need for the 
record in the performance of their duties;
    (2) Required under 5 U.S.C. 552;
    (3) For a routine use published in the Federal Register;
    (4) To the Bureau of the Census for purposes of planning or carrying 
out a census or survey or related activity pursuant to the provisions of 
Title 13 of the United States Code;
    (5) To a recipient who has provided the agency with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record and the record is transferred in a form 
that is not individually identifiable. The advance written statement of 
assurance shall (i) state the purpose for which the record is requested, 
and (ii) certify that the record will be used only for statistical 
purposes. Prior to release for statistical purposes in accordance with 
the provisions of this paragraph, the record shall be stripped of all 
personally identifying information and reviewed to ensure that the 
identity of any individual cannot reasonably be determined by combining 
two or more statistical records;
    (6) To the National Archives and Records Administration as a record 
that has sufficient historical or other value to warrant its continued 
preservation by the United States Government, or to the Archivist of the 
United States or designee for evaluation to determine whether the record 
has such value;
    (7) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity if the activity is authorized 
by law, and if the head of the agency or instrumentality has made a 
written request to the NRC specifying the particular portion of the 
record desired and the law enforcement activity for which the record is 
sought. A record may be disclosed to a law enforcement agency at the 
initiative of the NRC if criminal conduct is suspected, provided that 
such disclosure has been established as a routine use by publication in 
the Federal Register, and the instance of misconduct is directly related 
to the purpose for which the record is maintained;
    (8) To any person upon a showing of compelling circumstances 
affecting the health or safety of any individual;
    (9) To either House of Congress or, to the extent of matter within 
its jurisdiction, to any committee or subcommittee thereof or to any 
joint committee of the Congress or to any subcommittee of such joint 
committee;
    (10) To the Comptroller General, or any authorized representatives, 
in the course of the performance of the duties of the General Accounting 
Office;
    (11) Pursuant to the order of a court of competent jurisdiction; or
    (12) To a consumer reporting agency in accordance with 31 U.S.C. 
3711(f).
    (b) [Reserved]

[40 FR 44484, Sept. 26, 1975, as amended at 60 FR 63900, Dec. 13, 1995]

[[Page 207]]



Sec. 9.81   Notices of subpoenas.

    When records concerning an individual are subpoenaed or otherwise 
disclosed pursuant to court order, the NRC officer or employee served 
with the subpoena shall be responsible for assuring that the individual 
is notified of the disclosure within five days after such subpoena or 
other order becomes a matter of public record. The notice shall be 
mailed to the last known address of the individual and shall contain the 
following information: (a) The date the subpoena is returnable; (b) the 
court in which it is returnable; (c) the name and number of the case or 
proceeding; and (d) the nature of the information sought.



Sec. 9.82   Notices of emergency disclosures.

    When information concerning an individual has been disclosed to any 
person under compelling circumstances affecting health or safety, the 
NRC officer or employee who made or authorized the disclosure shall 
notify the individual at his last known address within five days of the 
disclosure. The notice shall contain the following information: (a) The 
nature of the information disclosed; (b) the person or agency to whom 
the information was disclosed; (c) the date of the disclosure; and (d) 
the compelling circumstances justifying the disclosure.

                                  fees



Sec. 9.85  Fees.

    Fees shall not be charged for search for or review of records 
requested pursuant to this subpart or for making copies or extracts of 
records in order to make them available for review. Fees established 
pursuant to 31 U.S.C. 483c and 5 U.S.C. 552a(f)(5) shall be charged 
according to the schedule contained in Sec. 9.35 of this part for actual 
copies of records requested by individuals, pursuant to the Privacy Act 
of 1974, unless the Director, Division of Freedom of Information and 
Publications Services, waives the fee because of the inability of the 
individual to pay or because making the records available without cost, 
or at a reduction in cost, is otherwise in the public interest.

[52 FR 49362, Dec. 31, 1987, as amended at 53 FR 52993, Dec. 30, 1988]

                               enforcement



Sec. 9.90   Violations.

    (a) An injunction or other court order may be obtained pursuant to 5 
U.S.C. 552a(g) (1-3) to compel NRC to permit an individual to review, 
amend or copy a record pertaining to him, or to be accompanied by 
someone of his own choosing when he reviews his record. A court order 
may be obtained for the payment of a civil penalty imposed pursuant to 5 
U.S.C. 552a(g)(4) if NRC intentionally or willfully fails to maintain a 
record accurately, or fails to comply with any provision of 5 U.S.C. 
552a, or any provision of this subpart, if such failure results in an 
adverse determination or has an adverse effect on an individual. Court 
costs and attorney's fees may be awarded in civil actions.
    (b) Any officer or employee of NRC who willfully maintains a system 
of records without meeting the notice requirements of 5 U.S.C. 
552a(e)(4), or who willfully discloses information knowing such 
disclosure to be prohibited by 5 U.S.C. 552a or by any rules or 
regulations issued thereunder, may be guilty of a criminal misdemeanor 
and upon conviction may be fined up to $5000. Any person who knowingly 
and willfully requests or obtains any record concerning an individual 
from NRC under false pretenses may be convicted of a criminal 
misdemeanor and upon conviction may be fined up to $5,000.

                               exemptions



Sec. 9.95  Specific exemptions.

    The following records contained in the designated NRC Systems of 
Records (NRC-5, NRC-9, NRC-11, NRC-18, NRC-22, NRC-23, NRC-28, NRC-29, 
NRC-31, NRC-33, NRC-35, NRC-37, and NRC-39) are exempt from 5 U.S.C. 
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) in accordance 
with 5 U.S.C. 552a(k). In addition, the records contained in NRC-18 are 
exempt from the provisions of 5 U.S.C. 552a and the regulations in this 
part, under 5 U.S.C.

[[Page 208]]

552a(j)(2), except subsections (b), (c)(1) and (2), (e)(4)(A) through 
(F), (e)(6), (7), (9), (10), and (11), and (i). Each of these systems of 
records is subject to the provisions of Sec. 9.61:
    (a) Contracts Records Files, NRC-5 (Exemptions (k)(1) and (k)(5));
    (b) Equal Employment Opportunity Discrimination Complaint Files, 
NRC-9 (Exemption (k)(5));
    (c) General Personnel Records (Official Personnel Folder and Related 
Records), NRC-11 (Exemptions (k)(5) and (k)(6));
    (d) Office of the Inspector General (OIG) Investigative Records, 
NRC-18 (Exemptions (j)(2), (k)(1), (k)(2), (k)(5), and (k)(6));
    (e) Personnel Performance Appraisals, NRC-22 (Exemptions (k)(1) and 
(k)(5));
    (f) Office of Investigations Indices, Files, and Associated Records, 
NRC- 23 (Exemptions (k)(1), (k)(2), and (k)(6));
    (g) Recruiting, Examining, and Placement Records, NRC-28 (Exemption 
(k)(5));
    (h) Nuclear Documents System (NUDOCS), NRC-29 (Exemption (k)(1));
    (i) Correspondence and Records, Office of the Secretary, NRC-31 
(Exemption (k)(1));
    (j) Special Inquiry File, NRC-33 (Exemptions (k)(1), (k)(2), and 
(k)(5));
    (k) Drug Testing Program Records, NRC-35 (Exemption (k)(5));
    (l) Information Security Files and Associated Records, NRC-37 
(Exemptions (k)(1) and (k)(5)); and
    (m) Personnel Security Files and Associated Records, NRC-39 
(Exemptions (k)(1), (k)(2), and (k)(5)).

[60 FR 63900, Dec. 13, 1995]



          Subpart C--Government in the Sunshine Act Regulations

    Source: 42 FR 12877, Mar. 7, 1977, unless otherwise noted.



Sec. 9.100   Scope of subpart.

    This subpart prescribes procedures pursuant to which NRC meetings 
shall be open to public observation pursuant to the provisions of 5 
U.S.C. 552b. This subpart does not affect the procedures pursuant to 
which NRC records are made available to the public for inspection and 
copying which remain governed by subpart A, except that the exemptions 
set forth in Sec. 9.104(a) shall govern in the case of any request made 
pursuant to Sec. 9.23 to copy or inspect the transcripts, recordings, or 
minutes described in Sec. 9.108. Access to records considered at NRC 
meetings shall continue to be governed by subpart A of this part.

[52 FR 49362, Dec. 31, 1987]



Sec. 9.101  Definitions.

    As used in this subpart:
    (a) Commission means the collegial body of five Commissioners or a 
quorum thereof as provided by section 201 of the Energy Reorganization 
Act of 1974, or any subdivision of that collegial body authorized to act 
on its behalf, and shall not mean any body not composed of members of 
that collegial body.
    (b) Commissioner means an individual who is a member of the 
Commission.
    (c) Meeting means the deliberations of at least a quorum of 
Commissioners where such deliberations determine or result in the joint 
conduct or disposition of official Commission business, that is, where 
discussions are sufficiently focused on discrete proposals or issues as 
to cause or to be likely to cause the individual participating members 
to form reasonably firm positions regarding matters pending or likely to 
arise before the agency. Deliberations required or permitted by 
Secs. 9.105, 9.106, or 9.108(c) do not constitute ``meetings'' within 
this definition.
    (d) Closed meeting means a meeting of the Commission closed to 
public observation as provided by Sec. 9.104.
    (e) Open meeting means a meeting of the Commission open to public 
observation pursuant to this subpart.
    (f) Secretary means the Secretary to the Commission.
    (g) General Counsel means the General Counsel of the commission as 
provided by section 25(b) of the Atomic Energy Act of 1954 and section 
201(f) of the Energy Reorganization Act of 1974, and, until such time as 
the offices of that officer are in the same location as those of the 
Commission, any member of his office specially designated in

[[Page 209]]

writing by him pursuant to this subsection to carry out his 
responsibilities under this subpart.

[42 FR 12877, Mar. 7, 1977, as amended at 50 FR 20891, May 21, 1985]



Sec. 9.102  General requirement.

    Commissioners shall not jointly conduct or dispose of Commission 
business in Commission meetings other than in accordance with this 
subpart. Except as provided in Sec. 9.104, every portion of every 
meeting of the Commission shall be open to public observation.



Sec. 9.103  General provisions.

    The Secretary shall ensure that all open Commission meetings are 
held in a location such that there is reasonable space and adequate 
visibility and acoustics, for public observation. No additional right to 
participate in Commission meetings is granted to any person by this 
subpart. An open meeting is not part of the formal or informal record of 
decision of the matters discussed therein except as otherwise required 
by law. Statements of views or expressions of opinion made by 
Commissioners or NRC employees at open meetings are not intended to 
represent final determinations or beliefs. Such statements may not be 
pleaded, cited, or relied upon before the Commission or in any 
proceeding under part 2 of these regulations (10 CFR part 2) except as 
the Commission may direct. Members of the public attending open 
Commission meetings may use small electronic sound recorders to record 
the meeting, but the use of other electronic recording equipment and 
cameras requires the advance written approval of the Secretary.

[42 FR 12877, Mar. 7, 1977, as amended at 43 FR 13055, Mar. 29, 1978; 43 
FR 37421, Aug. 23, 1978]



Sec. 9.104  Closed meetings.

    (a) Except where the Commission finds that the public interest 
requires otherwise, Commission meetings shall be closed, and the 
requirements of Secs. 9.105 and 9.107 shall not apply to any information 
pertaining to such meeting otherwise required by this subpart to be 
disclosed to the public, where the Commission determines in accordance 
with the procedures of Sec. 9.105 that opening such meetings or portions 
thereof or disclosing such information, is likely to:
    (1) Disclose matters that are (i) specifically authorized under 
criteria established by an Executive order to be kept secret in the 
interests of national defense or foreign policy, and (ii) in fact 
properly classified pursuant to such Executive order;
    (2) Relate solely to the internal personnel rules and practices of 
the Commission;
    (3) Disclose matters specifically exempted from disclosure by 
statute (other than 5 U.S.C. 552) provided that such statute (i) 
requires that the matters be withheld from the public in such a manner 
as to leave no discretion on the issue, or (ii) establishes particular 
criteria for withholding or refers to particular types of matters to be 
withheld;
    (4) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential, including such 
information as defined in Sec. 2.790(d) of this title;
    (5) Involve accusing any person of a crime, imposing a civil penalty 
on any person pursuant to 42 U.S.C. 2282 or 42 U.S.C. 5846, or any 
revocation of any license pursuant to 42 U.S.C. sec. 2236, or formally 
censuring any person;
    (6) Disclose information of a personal nature where such disclosure 
would constitute a clearly unwarranted invasion of personal privacy;
    (7) Disclose investigatory reports compiled for law enforcement 
purposes, including specifically enforcement of the Atomic Energy Act of 
l1954, as amended, 42 U.S.C. 2011 et seq., and the Energy Reorganization 
Act of 1974, as amended, 42 U.S.C. 5801 et seq., or information which if 
written would be contained in such records, but only to the extent that 
the production of such records or information would: (i) Interfere with 
enforcement proceedings, (ii) deprive a person of a right to a fair 
trial or an impartial adjudication, (iii) constitute an unwarranted 
invasion of personal privacy, (iv) disclose the identity of a 
confidential source and, in the case of a record compiled by a criminal 
law enforcement authority in the course of a criminal investigation, or

[[Page 210]]

by an agency conducting a lawful national security intelligence 
investigation, confidential information furnished only by the 
confidential source, (v) disclose investigative techniques and 
procedures, or (vi) endanger the life or physical safety of law 
enforcement personnel;
    (8) [Reserved]
    (9) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed 
Commission action, except that this subparagraph shall not apply in any 
instance where the Commission has already disclosed to the public the 
content or nature of its proposed action, or where the Commission is 
required to make such disclosure on its own initative prior to taking 
final action on such proposal; or
    (10) Specifically concern the Commission's issuance of a subpoena, 
or the Commission's participation in a civil action or proceeding or an 
action or proceeding before a state or federal administrative agency, an 
action in a foreign court or international tribunal, or an arbitration, 
or the initiation, conduct or disposition by the Commission of a 
particular case of formal agency adjudication pursuant to 5 U.S.C. 554 
or otherwise involving a determination on the record after an 
opportunity for a hearing pursuant to part 2 or similar provisions.
    (b) Examples of situations in which Commission action may be deemed 
to be significantly frustrated are: (1) If opening any Commission 
meeting or negotiations would be likely to disclose information provided 
or requests made to the Commission in confidence by persons outside the 
Commission and which would not have been provided or made otherwise; (2) 
if opening a meeting or disclosing any information would reveal legal or 
other policy advice, public knowledge of which could substantially 
affect the outcome or conduct of pending or reasonably anticipated 
litigation or negotiations; or (3) if opening any meeting or disclosing 
any information would reveal information requested by or testimony or 
proposals to be given to other agencies of government, including the 
Congress and the Executive Branch before the requesting agency would 
receive the information, testimony or proposals. The examples in the 
above sentence are for illustrative purposes only and are not intended 
to be exhaustive.



Sec. 9.105  Commission procedures.

    (a) Action under Sec. 9.104 shall be taken only when a majority of 
the entire membership of the Commission votes to take such action. A 
separate vote of the Commissioners shall be taken with respect to each 
Commission meeting a portion or portions of which are proposed to be 
closed to the public pursuant to Sec. 9.104, or which respect to any 
information which is proposed to be withheld under Sec. 9.105(c). A 
single vote may be taken with respect to a series of meetings, a portion 
or portions of which are proposed to be closed to the public, or with 
respect to any information concerning such series of meetings, so long 
as each meeting in such series involves the same particular matters and 
is scheduled to be held no more than thirty days after the initial 
meeting in such series. The vote of each Commissioner participating in 
such vote shall be recorded and no proxies shall be allowed.
    (b) Within one day of any vote taken pursuant to paragraph (a) of 
this section, Sec. 9.106(a) or Sec. 9.108(c) the Secretary shall make 
publicly available in the Public Document Room a written copy of such 
vote reflecting the vote of each member on the question. If a portion of 
a meeting is to be closed to the public, the Secretary shall, within one 
day of the vote taken pursuant to paragraph (a) of this section or 
Sec. 9.106(a), make publicly available in the Public Document Room a 
full written explanation of its action closing the portion together with 
a list of all persons expected to attend the meeting and their 
affiliation.
    (c) The notices and lists required by paragraph (b) of this section 
to be made public may be withheld from the public to the extent that the 
Commission determines that such information itself would be protected 
against disclosure by Sec. 9.104(a). Any such determination shall be 
made independently of the Commission's determination

[[Page 211]]

pursuant to paragraph (a) of this section to close a meeting, but in 
accordance with the procedure of that subsection. Any such 
determination, including a written explanation for the action and the 
specific provision or provisions of Sec. 9.104(a) relied upon, must be 
made publicly available to the extent permitted by the circumstances.



Sec. 9.106  Persons affected and motions for reconsideration.

    (a) Whenever any person whose interests may be directly affected by 
a portion of a meeting requests that the Commission close such portion 
to the public for any of the reasons referred to in paragraphs (a) (5), 
(6), or (7) of Sec. 9.104, the Commission, upon request of any one 
Commissioner, shall vote by recorded vote whether to close such meeting.
    (b) Any person may petition the Commission to reconsider its action 
under Sec. 9.105(a) or paragraph (a) of this section by filing a 
petition for reconsideration with the Commission within seven days after 
the date of such action and before the meeting in question is held.
    (c) A petition for reconsideration filed pursuant to paragraph (b) 
of this section shall state specifically the grounds on which the 
Commission action is claimed to be erroneous, and shall set forth, if 
appropriate, the public interest in the closing or opening of the 
meeting. The filing of such a petition shall not act to stay the 
effectiveness of the Commission action or to postpone or delay the 
meeting in question unless the Commission orders otherwise.



Sec. 9.107   Public announcement of Commission meetings.

    (a) In the case of each meeting, the Secretary shall make public 
announcement, at least one week before the meeting, of the time, place, 
and subject matter of the meeting, whether it is to be open or closed to 
the public, and the name and phone number of the official designated by 
the Commission to respond to requests for information about the meeting. 
Such announcement shall be made unless a majority of the members of the 
Commission determines by a recorded vote that Commission business 
requires that such meeting be called at an earlier date, in which case 
the Secretary shall make public announcement of the time, place and 
subject matter of such meeting, and whether open or closed to the 
public, at the earliest practical time.
    (b) The time or place of a meeting may be changed following the 
public announcement required by paragraph (a) of this section only if 
the Secretary publicly announces such changes at the earliest 
practicable time. The subject matter of as meeting, or the determination 
of the Commission to open or close a meeting, or portion of a meeting, 
to the public, may be changed following the public announcement required 
by this subsection only if: (1) A majority of the entire membership of 
the Commission determines by a recorded vote that Commission business so 
requires and that no earlier announcement of the change was possible, 
and (2) the Secretary publicly announces such change and the vote of 
each member upon such change at the earliest practicable time.
    (c) Immediately following each public announcement required by this 
section, notice of the time, place, and subject matter of a meeting, 
whether the meeting is open or closed, any change in one of the 
preceding, and the name and phone number of the official designated by 
the Commission to respond to requests for information about the meeting, 
shall also be submitted for publication in the Federal Register.
    (d) The public announcement required by paragraph (a) of this 
section shall consist of the Secretary:
    (1) Publicly posting a copy of the document in the Public Document 
Room at 2120 L Street, NW., Washington, DC; and, to the extent 
appropriate under the circumstances;
    (2) Mailing a copy to all persons whose names are on a mailing list 
maintained for this purpose;
    (3) Submitting a copy for possible publication to at least two 
newspapers of general circulation in the Washington, DC metropolitan 
area;
    (4) Any other means which the Secretary believes will serve to 
further inform any persons who might be interested.

[[Page 212]]

    (e) Action under the second sentence of paragraph (a) or (b) of this 
section shall be taken only when the Commission finds that the public 
interest in prompt Commission action or the need to protect the common 
defense or security or to protect the public health or safety overrides 
the public interest in having full prior notice of Commission meetings.

[42 FR 12877, Mar. 7, 1977, as amended at 53 FR 43420, Oct. 27, 1988]



Sec. 9.108  Certification, transcripts, recordings and minutes.

    (a) For every meeting closed pursuant to paragraphs (a) (1) through 
(10) of Sec. 9.104 and for every determination pursuant to 
Sec. 9.105(c), the General Counsel shall publicly certify at the time of 
the public announcement of the meeting, or if there is no public 
announcement at the earliest practical time, that, in his or her 
opinion, the meeting may be closed to the public and shall state each 
relevant exemptive provision unless the Commission votes pursuant to 
Sec. 9.105(c) that such certification is protected against disclosure by 
Sec. 9.104(a). A copy of such certification, together with a statement 
from the presiding officer of the meeting setting forth the time and 
place of the meeting, and the persons present, shall be retained by the 
Commission. The Commission shall maintain a complete transcript or 
electronic recording adequate to record fully the proceedings of each 
meeting, or portion of a meeting closed to the public, except that in 
the case of a meeting, or portion of a meeting, closed to the public 
pursuant to paragraph (c)(10) of Sec. 9.104, the Commission shall 
maintain such a transcript, or recording or a set of minutes. Such 
minutes shall fully and clearly describe all matters discussed and shall 
provide a full and accurate summary of any actions taken, and the 
reasons therefor, including a description of each of the views expressed 
on any item and the record of any rollcall vote (reflecting the vote of 
each Commissioner on the question). All documents considered in 
connection with any action shall be identified in such minutes.
    (b) The Commission shall make promptly available to the public, in 
the Public Document Room, the transcript, electronic recording, or 
minutes (as required by paragraph (a) of this section) of the discussion 
of any item on the agenda, or of any item of the testimony of any 
witness received at the meeting, except for such item or items of such 
discussion or testimony as the Commission determines pursuant to 
paragraph (c) of this section to contain information which may be 
withheld under Sec. 9.104 or Sec. 9.105(c). Copies of such transcript, 
or minutes, or a transcription of such recording disclosing the identity 
of each speaker, shall be furnished to any person upon payment of the 
actual cost of duplication or transcription as provided in Sec. 9.14. 
The Secretary shall maintain a complete verbatim copy of the transcript, 
a complete copy of the minutes, or a complete electronic recording of 
each meeting, or portion of a meeting, closed to the public, for a 
period of at least two years after such meeting, or until one year after 
the conclusion of any Commission proceeding with respect to which the 
meeting or portion was held, whichever occurs later.
    (c) In the case of any meeting closed pursuant to Sec. 9.104, the 
Secretary of the Commission, upon the advice of the General Counsel and 
after consultation with the Commission, shall determine which, if any, 
portions of the electronic recording, transcript or minutes and which, 
if any, items of information withheld pursuant to Sec. 9.105(c) contain 
information which should be withheld pursuant to Sec. 9.104, in the 
event that a request for the recording, transcript, or minutes is 
received within the period during which the recording, transcript, or 
minutes must be retained, under paragraph (b) of this section.
    (d) If at some later time the Commission determines that there is no 
further justification for withholding any transcript, recording or other 
item of information from the public which has previously been withheld, 
then such information shall be made available.

[42 FR 12877, Mar. 7, 1977, as amended at 50 FR 20891, May 21, 1985]



Sec. 9.109  Report to Congress.

    The Secretary shall annually report to the Congress regarding the 
Commission's compliance with the Government

[[Page 213]]

in the Sunshine Act, including a tabulation of the total number of open 
meetings, the total number of closed meetings, the reasons for closing 
such meetings and a description of any litigation brought against the 
Commission pursuant to the Government in the Sunshine Act, including any 
cost assessed against the Commission in such litigation (whether or not 
paid by the Commission).



Subpart D--Production or Disclosure in Response to Subpoenas or Demands 
                     of Courts or Other Authorities

    Source: 50 FR 37645, Sept. 17, 1985, unless otherwise noted.



Sec. 9.200  Scope of subpart.

    (a) This subpart sets forth the procedures to be followed when a 
subpoena, order, or other demand (hereinafter referred to as a 
``demand'') for the production of NRC records or disclosure of NRC 
information, including testimony regarding such records, is issued by a 
court or other judicial or quasi-judicial authority in a proceeding, 
excluding Federal grand jury proceedings, to which the NRC is not a 
party. Information and documents subject to this subpart include:
    (1) Any material contained in the files of the NRC;
    (2) Any information relating to material contained in the files of 
the NRC.
    (b) For purposes of this subpart, the term ``employee of the NRC'' 
includes all NRC personnel as that term is defined in Sec. 9.3 of this 
part, including NRC contractors.
    (c) This subpart is intended to provide instructions regarding the 
internal operations of the NRC and is not intended, and does not, and 
may not, be relied upon to create any right or benefit, substantive or 
procedural, enforceable at law by a party against the NRC.

[50 FR 37645, Sept. 17, 1985, as amended at 52 FR 49362, Dec. 31, 1987]



Sec. 9.201  Production or disclosure prohibited unless approved by appropriate NRC official.

    No employee of the NRC shall, in response to a demand of a court or 
other judicial or quasi-judicial authority, produce any material 
contained in the files of the NRC or disclose, through testimony or 
other means, any information relating to material contained in the files 
of the NRC, or disclose any information or produce any material acquired 
as part of the performance of that employee's official duties or 
official status without prior approval of the appropriate NRC official. 
When the demand is for material contained in the files of the Office of 
the Inspector General or for information acquired by an employee of that 
Office, the Inspector General is the appropriate NRC official. In all 
other cases, the General Counsel is the appropriate NRC official.

[55 FR 33648, Aug. 17, 1990]



Sec. 9.202  Procedure in the event of a demand for production or disclosure.

    (a) Prior to or simultaneous with a demand upon an employee of the 
NRC for the production of material or the disclosure of information 
described in Sec. 9.200, the party seeking production or disclosure 
shall serve the General Counsel of the NRC with an affidavit or 
statement as described in paragraphs (b) (1) and (2) of this section. 
Except for employees in the Office of Inspector General, whenever a 
demand is made upon an employee of the NRC for the production of 
material or the disclosure of information described in Sec. 9.200, that 
employee shall immediately notify the General Counsel. If the demand is 
made upon a regional NRC employee, that employee shall immediately 
notify the Regional Counsel who, in turn, shall immediately request 
instructions from the General Counsel. If the demand is made upon an 
employee in the Office of Inspector General, that employee shall 
immediately notify the Inspector General. The Inspector General shall 
immediately provide a copy of the demand to the General Counsel, and as 
deemed necessary, consult with the General Counsel.
    (b)(1) If oral testimony is sought by the demand, a summary of the 
testimony desired must be furnished to the General Counsel by a detailed 
affidavit or, if that is not feasible, a detailed statement by the party 
seeking the testimony or the party's attorney. This

[[Page 214]]

requirement may be waived by the General Counsel in appropriate 
circumstances.
    (2) The General Counsel may request a plan from the party seeking 
discovery of all demands then reasonably foreseeable, including but not 
limited to, names of all NRC personnel from whom discovery is or will be 
sought, areas of inquiry, length of time away from duty involved, and 
identification of documents to be used in each deposition, where 
appropriate.
    (c) The Inspector General or the General Counsel will notify the 
employee and such other persons, as circumstances may warrant, of the 
decision on the matter.

[50 FR 37645, Sept. 17, 1985, as amended at 55 FR 33648, Aug. 17, 1990]



Sec. 9.203  Procedure where response to demand is required prior to receiving instructions.

    If a response to the demand is required before the instructions from 
the Inspector General or the General Counsel are received, a U.S. 
attorney or NRC attorney designated for the purpose shall appear with 
the employee of the NRC upon whom the demand has been made, and shall 
furnish the court or other authority with a copy of the regulations 
contained in this subpart and inform the court or other authority that 
the demand has been, or is being, as the case may be, referred for the 
prompt consideration of the appropriate NRC official and shall 
respectfully request the court or authority to stay the demand pending 
receipt of the requested instructions. In the event that an immediate 
demand for production or disclosure is made in circumstances which would 
preclude the proper designation or appearance of a U.S. or NRC attorney 
on the employee's behalf, the employee shall respectfully request the 
demanding authority for sufficient time to obtain advice of counsel.

[55 FR 33649, Aug. 17, 1990]



Sec. 9.204  Procedure in the event of an adverse ruling.

    If the court or other judicial or quasi-judicial authority declines 
to stay the effect of the demand in response to a request made in 
accordance with Sec. 9.203 pending receipt of instructions, or if the 
court or other authority rules that the demand must be complied with 
irrespective of instructions not to produce the material or disclose the 
information sought, the employee upon whom the demand has been made 
shall respectfully decline to comply with the demand, citing these 
regulations and United States ex rel. Touhy v. Ragen, 340 U.S. 462 
(1951).



PART 10--CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO RESTRICTED DATA OR NATIONAL SECURITY INFORMATION OR AN EMPLOYMENT CLEARANCE--Table of Contents




                      Subpart A--General Provisions

Sec.
10.1  Purpose.
10.2  Scope.
10.3  [Reserved]
10.4  Policy.
10.5  Definitions.

Subpart B--Criteria for Determining Eligibility for Access to Restricted 
    Data or National Security Information or an Employment Clearance

10.10  Application of the criteria.
10.11  Criteria.
10.12  Interview and other investigation.

                          Subpart C--Procedures

10.20  Purpose of the procedures.
10.21  Suspension of access authorization and/or employment clearance.
10.22  Notice to individual.
10.23  Failure of individual to request a hearing.
10.24  Procedures for hearing and review.
10.25  NRC Hearing Counsel.
10.26  Appointment of Hearing Examiner.
10.27  Prehearing proceedings.
10.28  Conduct of hearing.
10.29  Recommendation of the Hearing Examiner.
10.30  New evidence.
10.31  Actions on the recommendations.
10.32  Recommendation of the NRC Personnel Security Review Examiners.
10.33  Action by the Executive Director for Operations.
10.34  Action by the Commission.
10.35  Reconsideration of cases.

                        Subpart D--Miscellaneous

10.36  Terminations.

[[Page 215]]

10.37  Attorney representation.
10.38  Certifications.

    Authority: Secs. 145, 161, 68 Stat. 942, 948, as amended (42 U.S.C. 
2165, 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); E.O. 
10450, 3 CFR Parts 1949-1953 COMP., p. 936, as amended; E.O. 10865, 3 
CFR 1959-1963 COMP., p. 398, as amended; 3 CFR Table 4.

    Source: 47 FR 38676, Sept. 2, 1982, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 10.1  Purpose.

    This part establishes the criteria, procedures, and methods for 
resolving questions concerning: (a) The eligibility of individuals who 
are employed by or applicants for employment with NRC contractors, 
agents, and licensees of the NRC, individuals who are NRC employees or 
applicants for NRC employment, and other persons designated by the 
Executive Director for Operations of the NRC, for access to Restricted 
Data pursuant to the Atomic Energy Act of 1954, as amended, and the 
Energy Reorganization Act of 1974, or for access to national security 
information ; and (b) the eligibility of NRC employees, or the 
eligibility of applicants for employment with the NRC, for employment 
clearance. This part is published to implement such Statutes and 
Executive Orders 10865, 25 FR 1583 (February 24, 1960), and 10450, 18 FR 
2489 (April 27, 1954).



Sec. 10.2  Scope.

    The criteria and procedures in this part shall be used in 
determining eligibility for NRC access authorization and/or employment 
clearance involving:
    (a) Employees (including consultants) of contractors and agents of 
the Nuclear Regulatory Commission and applicants for employment;
    (b) Licensees of the NRC and their employees (including consultants) 
and applicants for employment;
    (c) NRC employees (including consultants) and applicants for 
employment; and
    (d) Any other person designated by the Executive Director for 
Operations of the Nuclear Regulatory Commission.
Sec. 10.3  [Reserved]



Sec. 10.4  Policy.

    It is the policy of the Nuclear Regulatory Commission to carry out 
its responsibility for the security of the nuclear energy program in a 
manner consistent with traditional American concepts of justice. To this 
end, the Commission has established criteria for determining eligibility 
for access authorization and/or employment clearance and will afford 
those individuals described in Sec. 10.2 the opportunity for 
administrative review of questions concerning their eligibility for 
access authorization and/or employment clearance.



Sec. 10.5  Definitions.

    As used in this part:
    (a) Access authorization means an administrative determination that 
an individual (including a consultant) who is employed by or an 
applicant for employment with the NRC, NRC contractors, agents, and 
licensees of the NRC, or other person designated by the Executive 
Director for Operations, is eligible for a security clearance for access 
to Restricted Data or national security information.
    (b) Hearing Examiner means a qualified attorney appointed by the 
Director, Office of Administration, to conduct a hearing in accordance 
with this part.
    (c) Hearing Counsel means an NRC attorney assigned by the General 
Counsel to prepare and administer hearings in accordance with this part.
    (d) Personnel Security Review Examiners are persons designated by 
the Executive Director for Operations to conduct a review of the record 
in accordance with this part.
    (e) Commission means the Nuclear Regulatory Commission of five 
members or a quorum thereof sitting as a body, as provided by section 
201 of the Energy Reorganization Act of 1974, or its designee.
    (f) Employment Clearance means an administrative determination that 
an individual (including a consultant) who is an NRC employee or 
applicant for NRC employment and other persons designated by the 
Executive Director for Operations of the NRC is eligible

[[Page 216]]

for employment or continued employment pursuant to subsection 145 b. of 
the Atomic Energy Act of 1954, as amended.
    (g) Eligible or Eligibility means both initial eligibility and 
continued eligibility of an individual for access authorization and/or 
employment clearance.
    (h) National Security Information means information that is owned 
by, produced for or by, or under the control of the United States 
Government, and that has been determined, pursuant to Executive Order 
12356 or antecedent orders, to require protection against unauthorized 
disclosure, and is so designated.
    (i) Restricted Data means all data concerning design, manufacture, 
or utilization of atomic weapons, the production of special nuclear 
material, or the use of special nuclear material in the production of 
energy, but shall not include data declassified or removed from the 
Restricted Data category pursuant to section 142 of the Atomic Energy 
Act of 1954, as amended.

[47 FR 38676, Sept. 2, 1982, as amended at 51 FR 35999, Oct. 8, 1986; 52 
FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989]



Subpart B--Criteria for Determining Eligibility for Access to Restricted 
    Data or National Security Information or an Employment Clearance



Sec. 10.10  Application of the criteria.

    (a) The decision as to access authorization and/or employment 
clearance is a comprehensive, common-sense judgment, made after 
consideration of all the information, favorable or unfavorable, relevant 
to whether the granting of access authorization and/or employment 
clearance would not endanger the common defense and security and would 
be clearly consistent with the national interest.
    (b) The criteria in Sec. 10.11 set forth a number of the types of 
derogatory information used to assist in making determinations of 
eligibility for access authorization and/or employment clearance. These 
criteria are not exhaustive but contain the principal types of 
derogatory information which create a question as to the individual's 
eligibility for access authorization and/or employment clearance. While 
there must necessarily be adherence to such criteria, the NRC is not 
limited to them, nor precluded from exercising its judgment that 
information or facts in a case under its cognizance are derogatory 
although at variance with, or outside the scope of, the stated 
categories. These criteria are subject to continuing review and may be 
revised from time to time as experience and circumstances may make 
desirable.
    (c) When the reports of investigation of an individual contain 
information reasonably tending to establish the truth of one or more of 
the items in the criteria, such information shall be regarded as 
derogatory and shall create a question as to the individual's 
eligibility for access authorization and/or employment clearance. A 
question concerning the eligibility of an individual for access 
authorization and/or employment clearance shall be resolved in 
accordance with the procedures set forth in Sec. 10.20 et seq.
    (d) In resolving a question concerning the eligibility or continued 
eligibility of an individual for access authorization and/or employment 
clearance, the following principles shall be applied by the Director, 
Division of Security, Hearing Examiners, and Personnel Security Review 
Examiners:
    (1) Information reasonably tending to establish the truth of one or 
more of the items in the criteria shall be the basis for recommending 
denial or revocation of access authorization and/or employment clearance 
unless evidence to support faith in the individual's reliability and 
trust-worthiness is affirmatively shown.
    (2) When deemed material to the deliberations, the extent of the 
activity, conduct, or condition, the period in which they occurred or 
existed, the length of time which has since elapsed, and the attitude 
and convictions of the individual shall be considered in determining 
whether the recommendation will be adverse or favorable.



Sec. 10.11  Criteria.

    (a) The criteria for determining eligibility for access 
authorization and/or employment clearance shall relate, but

[[Page 217]]

not be limited, to the following where an individual:
    (1) Committed, attempted to commit, aided, or abetted another who 
committed or attempted to commit any act of sabotage, espionage, 
treason, sedition, or terrorism.
    (2) Publicly or privately advocated actions that may be inimical to 
the interest of the United States, or publicly or privately advocated 
the use of force or violence to overthrow the Government of the United 
States or the alteration of the form of government of the United States 
by unconstitutional means.
    (3) Knowingly established or continued a sympathetic association 
with a saboteur, spy, traitor, seditionist, anarchist, terrorist, or 
revolutionist, or with an espionage agent or other secret agent or 
representative of a foreign nation whose interests may be inimical to 
the interests of the United States, or with any person who advocates the 
use of force or violence to overthrow the Government of the United 
States or the alteration of the form of government of the United States 
by unconstitutional means.
    (4) Joined or engaged in any activity knowingly in sympathy with or 
in support of any foreign or domestic organization, association, 
movement, group, or combination of persons which unlawfully advocates or 
practices the commission of acts of force or violence to prevent others 
from exercising their rights under the Constitution or laws of the 
United States or any State or any subdivisions thereof by unlawful 
means, or which advocate the use of force and violence to overthrow the 
Government of the United States or the alteration of the form of 
government of the United States by unconstitutional means. (Ordinarily, 
criteria (3) and (4) will not include chance or casual meetings or 
contacts limited to normal business or official relations.)
    (5) Deliberately misrepresented, falsified or omitted relevant and 
material facts from or in a personnel security questionnaire, a personal 
qualifications statement, a personnel security interview, or any other 
information submitted pursuant this part.
    (6) Willfully violated or disregarded security regulations or was 
grossly negligent with respect thereto to a degree which could endanger 
the common defense and security; or by intention or gross carelessness 
disclosed Restricted Data or national security information to any person 
not authorized to receive it.
    (7) Has any illness or mental condition which in the opinion of 
competent medical authority may cause significant defect in the judgment 
or reliability of the individual.
    (8) Has been convicted of crimes indicating habitual criminal 
tendencies.
    (9) Has been convicted of a crime, or has a background, where the 
facts, circumstances, or conduct are of a nature indicating poor 
judgment, unreliabilty, or untrustworthiness.
    (10) Is a user of alcohol habitually and to excess, or has been such 
without adequate evidence of rehabilitation.
    (11) Has been, or is, a user of a drug or other substance listed in 
the schedules of Controlled Substances established pursuant to the 
Controlled Substances Act of 1970 (such as amphetamines, barbiturates, 
narcotics, etc.), except as prescribed or administered by a physician 
licensed to dispense drugs in the practice of medicine, without adequate 
evidence of rehabilitation.
    (12) Refused, without satisfactory explanation, to answer questions 
before a congressional committee, Federal or state court, or Federal 
administrative body including the NRC regarding charges relevant to the 
individual's eligibility for access authorization and/or employment 
clearance.
    (13) Engaged in any other conduct or is subject to any other 
circumstances which tend to show that the individual is not reliable or 
trustworthy, or which furnishes reason to believe that the individual 
may be subject to coercion, influence, or pressures which may cause the 
individual to act contrary to the national interest.



Sec. 10.12  Interview and other investigation.

    (a) The Director, Division of Security, Office of Administration, 
may authorize the granting of access authorization and/or employment 
clearance on the basis of the information in the possession of the NRC 
or may authorize the conduct of an interview with

[[Page 218]]

the individual, if the individual consents to be interviewed, or such 
other investigation as the Director deems appropriate. On the basis of 
such interview and/or investigation, the Director may authorize the 
granting of access authorization and/or employment clearance.
    (b) The individual may elect on constitutional or other grounds not 
to participate in an interview or other investigation; however, such 
refusal or failure to furnish or authorize the furnishing of relevant 
and material information is deemed to be derogatory information pursuant 
to Sec. 10.11(a)(5) and (12).
    (c) If the director, Division of Security, cannot make a favorable 
finding regarding the eligibility of an individual for access 
authorization and/or employment clearance, the question of the 
individual's eligibility shall be resolved in accordance with the 
procedures set forth in Sec. 10.20 et seq.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



                          Subpart C--Procedures



Sec. 10.20  Purpose of the procedures.

    These procedures establish methods for the conduct of hearings and 
administrative review of questions concerning an individual's 
eligibility for access authorization and/or employment clearance 
pursuant to the Atomic Energy Act of 1954, as amended, and Executive 
Orders 10450 and 10865, when a resolution favorable to the individual 
cannot be made on the basis of the interview or other investigation.



Sec. 10.21  Suspension of access authorization and/or employment clearance.

    In those cases where information is received which raises a question 
concerning the continued eligibility of an individual for access 
authorization and/or employment clearance, the Director, Division of 
Security, through the Director, Office of Administration, shall forward 
to the Executive Director for Operations or a Deputy Executive Director, 
his or her recommendation as to whether the individual's access 
authorization and/or employment clearance should be suspended pending 
the final determination resulting from the operation of the procedures 
provided in this part. In making this recommendation the Director, 
Division of Security, shall consider such factors as the seriousness of 
the derogatory information developed, the degree of access of the 
individual to classified information, and the individual's opportunity 
by reason of his or her position to commit acts adversely affecting the 
national security. An individual's access authorization and/or 
employment clearance may not be suspended except by the direction of the 
Executive Director for Operations or a Deputy Executive Director.

[55 FR 4, Jan. 2, 1990]



Sec. 10.22  Notice to individual.

    A notification letter, prepared by the Division of Security, 
approved by the Office of General Counsel, and signed by the Director, 
Office of Administration, shall be presented to each individual whose 
eligibility for access authorization and/or employment clearance is in 
question. Where practicable, such letter shall be presented to the 
individual in person. The letter will be accompanied by a copy of this 
part and shall state:
    (a) That reliable information in the possession of the NRC has 
created a substantial doubt concerning the individual's eligibility for 
access authorization and/or employment clearance;
    (b) The information that creates a substantial doubt regarding the 
individual's eligibility for access authorization and/or employment 
clearance, which shall be as comprehensive and detailed as the national 
security permits;
    (c) That unless the individual files with the Director, Office of 
Administration, a written request for a hearing within 20 days of the 
individual's receipt of the notification letter, the Director, Division 
of Security, through the Director, Office of Administration, will submit 
a recommendation as to the final action to the Executive Director for 
Operations on the basis of the information in the possession of the NRC;
    (d) That if the individual files a written request for a hearing 
with the Director, Office of Administration, the individual must file 
with that request a

[[Page 219]]

written answer under oath or affirmation which admits or denies 
specifically each allegation and each supporting fact contained in the 
notification letter. A general denial is not sufficient to controvert a 
specific allegation. If the individual is without knowledge, he or she 
shall so state and that statement shall operate as a denial. The answer 
shall also state any additional facts and information that the 
individual desires to have considered in explanation or mitigation of 
allegations in the notification letter. Failure to specifically deny or 
explain or deny knowledge of any allegation or supporting fact shall be 
deemed an admission that the allegation or fact is true;
    (e) That if the individual does not want to exercise his or her 
right to a hearing, but does want to submit an answer to the allegations 
in the notification letter, the individual may do so by filing with the 
Director, Office of Administration, within 20 days of his receipt of the 
notification letter, a written answer in accordance with the 
requirements of paragraph (d) of this section;
    (f) That the procedures in Sec. 10.24 et seq. shall apply to any 
hearing and review.

[47 FR 38676, Sept. 2, 1982, as amended at 51 FR 35999, Oct. 8, 1986; 52 
FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989]



Sec. 10.23  Failure of individual to request a hearing.

    (a) In the event the individual fails to file a written request for 
a hearing pursuant to Sec. 10.22 within 20 days of his receipt of the 
notification letter, a recommendation as to the final action to be taken 
shall be made by the Director, Division of Security, through the 
Director, Office of Administration, to the Executive Director for 
Operations on the basis of the information in the possession of the NRC, 
including any answer filed by the individual.
    (b) The Director, Office of Administration, may for good cause 
shown, at the request of the individual, extend the time for filing a 
written request for a hearing or for filing a written answer to the 
matters contained in the notification letter.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.24  Procedures for hearing and review.

    (a) Upon receipt of a timely filed request for a hearing and answer 
complying with the requirements set forth in Sec. 10.22, the Director, 
Office of Administration, shall forthwith appoint a Hearing Examiner, 
and the General Counsel shall forthwith assign an NRC attorney to act as 
Hearing Counsel. The Director, Office of Administration, shall promptly 
notify the individual of the identity of the Hearing Examiner and 
proposed hearing date, which shall be selected with due regard for the 
convenience of the parties and their representatives.
    (b) Within 72 hours of being notified of the identity of the Hearing 
Examiner, the individual may request that the Hearing Examiner be 
disqualified for cause by filing with the Director, Office of 
Administration, a written statement of the individual's reasons for 
seeking disqualification. The time for filing the request may be 
extended by the Director, Office of Administration, for good cause 
shown. If the Director, Office of Administration, grants the request the 
procedures of paragraph (a) of this section and this paragraph shall be 
followed just as though there had been no prior appointment.
    (c) The individual shall have the right to appear at the hearing 
before the Hearing Examiner, to be represented by counsel or other 
representative, to introduce documentary or other evidence, and to call, 
examine, and cross-examine witnesses, subject to the provisions and 
limitations set forth in this part.

[47 FR 38676, Sept. 2, 1982, as amended at 51 FR 35999, Oct. 8, 1986; 52 
FR 31609, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989]



Sec. 10.25  NRC Hearing Counsel.

    (a) Hearing Counsel assigned pursuant to Sec. 10.24 shall, prior to 
the scheduling of the hearing, review the information in the case and 
shall request the presence of witnesses and the production of documents 
and other physical

[[Page 220]]

evidence relied upon the Director, Division of Security, in making his 
or her finding that a question exists regarding the eligibility of the 
individual for NRC access authorization and/or employment clearance in 
accordance with the provisions of this part. When the presence of a 
witness and the production of documents and other physical evidence is 
deemed by the Hearing Counsel to be necessary or desirable for a 
determination of the issues, the Director, Division of Security, shall 
make arrangements for the production of such evidence and for such 
witnesses to appear at the hearing by subpoena or otherwise.
    (b) Hearing Counsel is authorized to consult directly with 
individual's counsel or representative or the individual, if the 
individual is not so represented, for purposes of reaching mutual 
agreement upon arrangements for expeditious hearing of the case. Such 
arrangements may include clarification of issues and stipulations with 
respect to testimony and contents of documents and other physical 
evidence. Such stipulations when entered into shall be binding upon the 
individual and the NRC for the purposes of this part. Prior to any 
consultation with the individual, the Hearing Counsel shall advise the 
individual of his or her rights under this part, of his or her right to 
counsel or other representation, and of the possibility that any 
statement made by the individual to the Hearing Counsel may be used in 
subsequent proceedings.
    (c) The individual is responsible for producing witnesses in his or 
her own behalf and/or presenting other evidence before the Hearing 
Examiner to support the individual's answer and defense to the 
allegations contained in the notification letter. When requested, 
however, Hearing Counsel shall assist the individual to the extent 
practicable and necessary. The Hearing Counsel may at his or her 
discretion request the Director, Division of Security, to arrange for 
the issuance of subpoenas for witnesses to attend the hearing in the 
individual's behalf, or for the production of specific documents or 
other physical evidence, provided a showing of the necessity for such 
assistance has been made.



Sec. 10.26  Appointment of Hearing Examiner.

    The appointment of a Hearing Examiner, pursuant to Sec. 10.24 of 
this part, shall be from a list of qualified attorneys possessing the 
highest degree of integrity, ability, and good judgment. To qualify, an 
attorney shall have an NRC ``Q'' access authorization and may be an 
employee of the NRC, its contractors, agents or licensees. However, no 
employee or consultant of the NRC shall serve as Hearing Examiner 
hearing the case of an employee (including a consultant) or applicant 
for employment with the NRC; nor shall any employee or consultant of an 
NRC contractor, agent or licensee serve as Hearing Examiner hearing the 
case of an employee (including a consultant) or an applicant for 
employment of that contractor, agent, or licensee. No Hearing Examiner 
shall be selected who has knowledge of the case or of any information 
relevant to the disposition of it, or who for any reason would be unable 
to issue a fair and unbiased recommendation.



Sec. 10.27  Prehearing proceedings.

    (a) After the appointment of the Hearing Examiner, he or she shall 
be furnished the record in the case, which shall consist of the letter 
of notification, the request for hearing and its supporting answer, and 
the notice of hearing, if it has been issued, and any stipulations 
agreed to by the individual and the Hearing Counsel.
    (b) The Hearing Examiner may on his or her own motion, or on that of 
either party, convene a prehearing conference with the Hearing Counsel 
and the individual and his or her counsel or representative, if any, for 
the purpose of clarifying the issues, identifying witnesses who may be 
called, identifying documents and other physical evidence that may be 
offered into evidence, and entering into stipulations of fact.
    (c) The parties will be notified by the Hearing Examiner at least 
ten days in advance of the hearing of the time and place of the hearing. 
For good cause shown, the Hearing Examiner may order postponements or 
continuances from time to time. If, after due notice, the individual 
fails to appear at the hearing, or appears but is not prepared

[[Page 221]]

to proceed, the Hearing Examiner shall, unless good cause is shown, 
return the case to the Director, Division of Security, who shall make a 
recommendation on final action to be taken, through the Director, Office 
of Administration, to the Executive Director for Operations on the basis 
of the information in the possession of the NRC.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.28  Conduct of hearing.

    (a) The Hearing Examiner shall conduct the hearing in an orderly, 
impartial and decorous manner. Technical rules of evidence may be 
relaxed so that a full evidentiary record may be made based on all 
material and relevant facts. Hearsay evidence may for good cause shown 
be received at the discretion of the Hearing Examiner and accorded such 
weight as the circumstances warrant.
    (b) The proceedings shall be open only to duly authorized 
representatives of the staff of the NRC, the individual, his or her 
counsel or representative, and such persons as may be officially 
authorized by the Hearing Examiner. Witnesses shall not testify in the 
presence of other witnesses except that the Hearing Examiner may, at his 
or her discretion, allow for expert witnesses to be present during 
testimony relevant to their own testimony.
    (c) Witnesses, including the individual, shall be examined under 
oath or affirmation by the party who called them and may be cross-
examined by the other. The Hearing Examiner shall rule on all 
evidentiary matters, may further examine any witness, and may call for 
additional witnesses or the production of documentary or other physical 
evidence if, in the exercise of his or her discretion, such additional 
evidence is deemed necessary to the resolution of an issue.
    (d) If it appears during the hearing that Restricted Data or 
national security information may be disclosed, the Hearing Examiner 
shall assure that disclosure is made only to persons authorized to 
receive it.
    (e) The Hearing Examiner may, at any time during the hearing, permit 
the Hearing Counsel to amend the notification letter to add or modify 
allegations to be considered. In the event of such an amendment to the 
notification letter, the individual shall be given an opportunity to 
answer the amended allegations. If the changes are of such a substantial 
nature that the individual cannot answer the amended allegations without 
additional time, the Hearing Examiner shall grant such additional time 
as he or she deems necessary.
    (f) The Hearing Examiner may receive and consider evidence in the 
form of depositions or responses to interrogatories upon a showing that 
the witness is not available for good reason such as death, serious 
illness or similar cause, or in the form of depositions, 
interrogatories, affidavits or statements with agreement of the parties. 
The Hearing Examiner may take official notice at any stage of the 
proceeding, where appropriate, of any fact not subject to reasonable 
dispute in that it is either (1) generally known within the United 
States or (2) capable of accurate and ready determination by resort to 
sources whose accuracy cannot reasonably be questioned. A party is 
entitled upon timely request to an opportunity to be heard as to the 
propriety of taking such official notice. In the absence of prior 
notification the request may be made after notice is taken.
    (g) Hearing Counsel shall examine and cross-examine witnesses and 
otherwise assist the Hearing Examiner in such a manner as to bring out a 
full and true disclosure of all facts, both favorable and unfavorable, 
having a bearing on the issues before the Hearing Examiner. In 
performing these duties, the Hearing Counsel shall avoid the attitude of 
a prosecutor and shall always bear in mind that the proceeding is an 
administrative hearing and not a trial.
    (h) Hearing Counsel shall not participate in the deliberations of 
the Hearing Examiner, and shall express no opinion to the Hearing 
Examiner concerning the merits of the case. Hearing Counsel shall also, 
during the course of the hearing, advise the individual of his or her 
rights under these procedures when the individual is not represented by 
counsel or other representative.
    (i) The individual shall be afforded an opportunity to cross-examine 
persons

[[Page 222]]

who have made oral or written statements adverse to the individual 
relating to a controverted issue except that any such statement may be 
received and considered by the Hearing Examiner without affording such 
opportunity in either of the following circumstances:
    (1) The head of the department or agency supplying the statement 
certifies that the person who furnished the information is a 
confidential informant who has been engaged in obtaining intelligence 
information for the Government and that disclosure of the informant's 
identity would substantially harm the national interest or would 
endanger the well-being of the informant.
    (2) The Commission has determined, after considering the information 
furnished by the investigative agency concerning the reliability of the 
person who furnished the information and the accuracy of the statement 
concerned, that the statement appears to be reliable and material, and 
that failure of the Hearing Examiner to receive and consider such 
statement would, in view of the fact that access authorization and/or 
employment clearance is being sought, be substantially harmful to the 
national security and that the person who furnished the information 
cannot appear to testify due to death, serious illness, or similar 
cause.
    (j)(1) Whenever the procedure under paragraph (i)(1) of this section 
is used, the individual shall be given a summary of the information 
which shall be as comprehensive and detailed as the national security 
permits.
    (2) Whenever the procedure under paragraph (i)(2) is used, the 
individual shall be provided the identity of the person and the 
information to be considered.
    (3) In both paragraph (i) (1) and (2) procedures, appropriate 
consideration shall be accorded to the fact that the individual did not 
have an opportunity to cross-examine such informant or person.
    (k) Records provided by investigative agencies that were compiled as 
a regular or routine procedure by the business or agency from which 
obtained, or other physical evidence other than investigative reports, 
may be received and considered subject to rebuttal without 
authenticating witnesses, provided that the investigative agency 
furnished such information to the NRC pursuant to its responsibilities 
in connection with assisting the NRC in determining the individual's 
eligibility for access authorization and/or employment clearance.
    (l) Records compiled in the regular course of business, or other 
physical evidence other than investigative reports, relating to a 
controverted issue which, because they are classified, may not be 
inspected by the individual, may be received and considered provided 
that:
    (1) The Commission has made a determination that such records or 
other physical evidence appears to be material;
    (2) The Commission has made a determination that failure to receive 
and consider such records or other physical evidence would, in view of 
the fact that access authorization and/or employment clearance is being 
sought, be substantially harmful to the national security; and
    (3) To the extent that national security permits, a summary or 
description of such records or other physical evidence is made available 
to the individual. In every such case, information as to the 
authenticity and accuracy of such physical evidence furnished by the 
investigative agency shall be considered.
    (m) If the Hearing Examiner determines that additional investigation 
of any material information is required, he or she shall request in 
writing that the Director, Office of Administration, arrange for the 
investigation and shall specify those issues upon which more evidence is 
requested and identify, where possible, any persons or sources that 
might provide the evidence sought.
    (n) A written transcript of the entire proceeding shall be made by a 
person possessing appropriate NRC access authorization and/or employment 
clearance and, except for portions containing Restricted Data or 
national security information, or other lawfully withholdable 
information, a copy of

[[Page 223]]

such transcript shall be furnished the individual without cost.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.29  Recommendation of the Hearing Examiner.

    (a) The Hearing Examiner's findings and recommendation shall be 
based upon the entire record consisting of the transcript of the 
hearing, the documentary and other evidence adduced therein, and the 
letter of notification and answer. The Hearing Examiner shall also 
consider the circumstances of the receipt of evidence pursuant to 
Sec. 10.28, the individual's record of past employment, and the nature 
and sensitivity of the job the individual is or may be expected to 
perform.
    (b) The Hearing Examiner shall make specific findings on each 
allegation in the notification letter including the reasons for his or 
her findings, and shall make a recommendation as to the action which 
should be taken in the case.
    (c) The Hearing Examiner's recommendation shall be predicated upon 
his or her findings. If, after considering all the factors in light of 
the criteria in this part, the Hearing Examiner is of the opinion that 
granting or continuing access authorization and/or employment clearance 
to the individual will not endanger the common defense and security and 
will be clearly consistent with the national interest, a favorable 
recommendation shall be made; otherwise, an adverse recommendation shall 
be made.
    (d) The Hearing Examiner shall submit his or her findings and 
recommendation in a signed report together with the record of the case 
to the Director, Office Administration, with the least practical delay.
    (e) The Hearing Examiner shall not consider the possible impact of 
the loss of the individual's services upon the NRC program.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31609, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.30  New evidence.

    After the close of the hearing, in the event the individual 
discovers new evidence not previously available or known to him or her, 
the individual may petition the Hearing Examiner if the Hearing 
Examiner's recommendation has not yet been issued, or thereafter, the 
Director, Office of Administration, to reopen the record to receive that 
evidence. If the Hearing Examiner or the Director, respectively, deem it 
material and appropriate, the record may be reopened to accept the 
evidence either by stipulation, with the agreement of the Hearing 
Counsel, or in a reconvened hearing.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.31  Actions on the recommendations.

    (a) Upon receipt of the findings and recommendation from the Hearing 
Examiner, and the record, the Director, Office of Administration, shall 
forthwith transmit it to the Executive Director for Operations who at 
his or her discretion may return the record to the Director, Office of 
Administration, for further proceedings by the Hearing Examiner with 
respect to specific matters designated by the Executive Director for 
Operations;
    (b)(1) In the event of a recommendation by the Hearing Examiner that 
an individual's access authorization and/or employment clearance be 
denied or revoked, the Executive Director for Operations shall 
immediately notify the individual in writing of the Hearing Examiner's 
findings with respect to each allegation contained in the notification 
letter, and that the individual has a right to request a review of his 
or her case by NRC Personnel Security Review Examiners and of the right 
to submit a brief in support of his or her contentions. The request for 
a review shall be submitted to the Executive Director for Operations 
within five days after the receipt of the notice. The brief shall be 
forwarded to the Executive Director for Operations, for transmission to 
the NRC Personnel Security Review Examiners, not later than 10 days 
after receipt of such notice.
    (2) In the event the individual fails to request a review by NRC 
Personnel Security Review Examiners of an adverse recommendation within 
the prescribed

[[Page 224]]

time, the Executive Director for Operations may at his or her discretion 
request a review of the record of the case by NRC Personnel Security 
Review Examiners. The request shall set forth those matters at issue in 
the hearing on which the Executive Director for Operations desires a 
review by the NRC Personnel Security Review Examiners.
    (c) Where the Hearing Examiner has made a recommendation favorable 
to the individual, the Executive Director for Operations may at his or 
her discretion request a review of the record of the case by NRC 
Personnel Security Review Examiners. If such a request is made, the 
Executive Director for Operations shall immediately cause the individual 
to be notified of that fact and of those matters at issue in the hearing 
on which the Executive Director for Operations desires a review by the 
NRC Personnel Security Review Examiners. The Executive Director for 
Operations shall further inform the individual that within 10 days of 
receipt of this notice, the individual may submit a brief concerning 
those matters at issue for the consideration of the NRC Personnel 
Security Review Examiners. The brief shall be forwarded to the Executive 
Director for Operations for transmission to the NRC Personnel Security 
Review Examiners.
    (d) In the event of a request for a review pursuant to paragraphs 
(b) and (c) of this section, the Hearing Counsel may file a brief within 
10 days of being notified by the Executive Director for Operations that 
a review has been requested. The brief shall be forwarded to the 
Executive Director for Operations for transmission to the NRC Personnel 
Security Review Examiners.
    (e) The Hearing Counsel may also request a review of the case by NRC 
Personnel Security Review Examiners. The request for review, which shall 
set forth those matters at issue in the hearing on which the Hearing 
Counsel desires a review, shall be submitted to the Executive Director 
for Operations within five days after receipt of the Hearing Examiner's 
findings and recommendation. Within 10 days of the request for review, 
the Hearing Counsel may file a brief which shall be forwarded to the 
Executive Director for Operations for transmission to the NRC Personnel 
Security Review Examiners. A copy of the request for review, and a copy 
of any brief filed, shall be immediately sent to the individual. If the 
Hearing Counsel's request is for a review of a recommendation favorable 
to the individual, the individual may, within 10 days of receipt of a 
copy of the request for review, submit a brief concerning those matters 
at issue for consideration of the NRC Personnel Security Review 
Examiners. The brief shall be forwarded to the Executive Director for 
Operations for transmission to the NRC Personnel Security Review 
Examiners.
    (f) The time limits imposed by this section for requesting reviews 
and the filing of briefs may be extended by the Executive Director for 
Operations for good cause shown.
    (g) In the event a request is made for a review of the record by NRC 
Personnel Security Review Examiners, the Executive Director for 
Operations shall forthwith send the record, with all findings and 
recommendations and any briefs filed by the individual and the Hearing 
Counsel, to the NRC Personnel Security Review Examiners. If neither the 
individual, the Executive Director for Operations, nor the Hearing 
Counsel requests such a review, the final determination shall be made by 
the Executive Director for Operations on the basis of the record with 
all findings and recommendations.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.32  Recommendation of the NRC Personnel Security Review Examiners.

    (a) The Executive Director for Operations shall designate three NRC 
Personnel Security Review Examiners to conduct a review of the record of 
the case. To qualify as a Review Examiner, the person designated shall 
have an NRC ``Q'' access authorization and may be an employee of the 
NRC, its contractors, agents, or licensees. However, no employee or 
consultant of the NRC shall serve as Review Examiner reviewing the case 
of an employee (including

[[Page 225]]

a consultant) or applicant for employment with the NRC; nor shall any 
employee or consultant of an NRC contractor, agent or licensee serve as 
Review Examiner reviewing the case of an employee (including a 
consultant) or an applicant for employment of that contractor, agent, or 
licensee. No Review Examiner shall be selected who has knowledge of the 
case or of any information relevant to the disposition of it, or who for 
any reason would be unable to issue a fair and unbiased recommenation.
    (b) The designated Review Examiners shall individually and 
independently, without consulting or otherwise communicating with one 
another, consider the matter under review based upon the record 
supplemented by any brief submitted by the individual or the Hearing 
Counsel. Review Examiners may request such additional briefs as any of 
them deems appropriate, which will be obtained by the Executive Director 
for Operations and provided to each Review Examiner. When a Review 
Examiner determines that additional evidence or further proceedings are 
necessary, the record may be returned to the Executive Director for 
Operations with a recommendation that the case be remanded to the 
Director, Office of Administration, for appropriate action, which may 
include returning the case to the Hearing Examiner and reconvening the 
hearing to obtain additional testimony.
    (c) In conducting the review, Review Examiners shall make individual 
findings and recommendations as to the eligibility or continued 
eligibility of an individual for access authorization and/or employment 
clearance on the record supplemented by additional testimony or briefs 
as have previously been determined by a Review Examiner(s) as 
appropriate. When additional testimony is taken by the Hearing Examiner, 
a written transcript of such testimony shall be made by a person 
possessing appropriate NRC access authorization and/or employment 
clearance and, except for portions containing Restricted Data or 
national security information, or other lawfully withholdable 
information, a copy of such transcript shall be furnished the individual 
without cost.
    (d) The Review Examiners shall not consider the possible impact of 
the loss of the individual's services upon the NRC program.
    (e) If, after considering all the factors in light of the criteria 
set forth in this part, a Review Examiner is of the opinion that 
granting or continuing access authorization and/or employment clearance 
to the individual will not endanger the common defense and security and 
will be clearly consistent with the national interest, the Review 
Examiner shall make a favorable recommendation; otherwise, the Review 
Examiner shall make an adverse recommendation. Each Review Examiner 
shall individually prepare a report of his or her findings and 
recommendations and submit the report in writing to the Executive 
Director for Operations, who shall furnish a copy to the individual. The 
findings and recommendations shall be fully supported by stated reasons 
supporting the findings and recommendations.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.33  Action by the Executive Director for Operations.

    (a) The Executive Director for Operations, on the basis of the 
record accompanied by all findings and recommendations, shall make a 
final determination whether access authorization and/or employment 
clearance shall be granted, denied, or revoked, except when the 
provisions of Sec. 10.28 (i), (j), or (l) have been used and the 
Executive Director for Operation's determination is adverse, the 
Commission shall make the final agency determination.
    (b) In making the determination as to whether access authorization 
and/or employment clearance shall be granted, denied, or revoked, the 
Executive Director for Operations or the Commission shall give due 
recognition to the favorable as well as the unfavorable information 
concerning the individual and shall take into account the value of the 
individual's services to the NRC's program and the consequences of 
denying or revoking access authorization and/or employment clearance.

[[Page 226]]

    (c) In the event of an adverse determination, the Executive Director 
for Operations shall promptly notify the individual through the 
Director, Office of Administration, of his or her decision that access 
authorization and/or employment clearance is being denied or revoked and 
of his or her findings with respect to each allegation contained in the 
notification letter for transmittal to the individual.
    (d) In the event of a favorable determination, the Executive 
Director for Operations shall promptly notify the individual through the 
Director, Office of Administration.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.34  Action by the Commission.

    (a) Whenever, under the provisions of Sec. 10.28(i), (j), or (l) an 
individual has not been afforded an opportunity to confront and cross-
examine witnesses who have furnished information adverse to the 
individual and an adverse recommendation has been made by the Executive 
Director for Operations, the Commission shall review the record and 
determine whether access authorization and/or employment clearance shall 
be granted, denied, or revoked, based upon the record.
    (b) When the Commission determines to deny or revoke access 
authorization and/or employment clearance, the individual shall promptly 
be notified through the Director, Office of Administration, of its 
decision that access authorization and/or employment clearance is being 
denied or revoked and of its findings and conclusions with respect to 
each allegation contained in the notification letter for transmittal to 
the individual.
    (c) Nothing contained in these procedures shall be deemed to limit 
or affect the responsibility and powers of the Commission to deny or 
revoke access to Restricted Data or national security information if the 
security of the nation so requires. Such authority may not be delegated 
and may be exercised when the Commission determines that invocation of 
the procedures prescribed in this part is inconsistent with the national 
security. Such determination shall be conclusive.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.35  Reconsideration of cases.

    (a) Where, pursuant to the procedures set forth in Secs. 10.20 
through 10.34, the Executive Director for Operations or the Commission 
has made a determination granting access authorization and/or employment 
clearance to an individual, the individual's eligibility for access 
authorization and/or employment clearance shall be reconsidered only 
when subsequent to the time of that determination, new derogatory 
information has been received or the scope or sensitivity of the 
Restricted Data or national security information to which the individual 
has or will have access has significantly increased. All new derogatory 
information, whether resulting from the NRC's reinvestigation program or 
other sources, will be evaluated relative to an individual's continued 
eligibility in accordance with the procedures of this part.
    (b) Where, pursuant to these procedures, the Commission or Executive 
Director for Operations has made a determination denying or revoking 
access authorization and/or employment clearance to an individual, the 
individual's eligibility for access authorization and/or employment 
clearance may be reconsidered when there is a bona fide offer of 
employment and/or a bona fide need for access to Restricted Data or 
national security information and either material and relevant new 
evidence is presented, which the individual and his or her 
representatives are without fault in failing to present before, or there 
is convincing evidence of reformation or rehabilitation. Requests for 
reconsideration shall be submitted in writing to the Executive Director 
for Operations through the Director, Office of Administration. Such 
requests shall be accompanied by an affidavit setting forth in detail 
the information referred to above. The Executive Director for Operations 
shall cause the individual to be notified as to whether his or her 
eligibility for access authorization and/or employment clearance will be 
reconsidered and if so, the method

[[Page 227]]

by which such reconsideration will be accomplished.
    (c) Where access authorization and/or employment clearance has been 
granted to an individual by the Director, Division of Security, without 
recourse to the procedures set forth in Secs. 10.20 through 10.34, the 
individual's eligibility for access authorization and/or employment 
clearance shall be reconsidered only in a case where, subsequent to the 
granting of the access authorization and/or employment clearance, new 
derogatory information has been received or the scope or sensitivity of 
the Restricted Data or national security information, to which the 
individual has or will have access, has significantly increased. All new 
derogatory information, whether resulting from the NRC's reinvestigation 
program or other sources, will be evaluated relative to an individual's 
continued eligibility in accordance with the procedures of this part.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



                        Subpart D--Miscellaneous



Sec. 10.36  Terminations.

    In the event the individual is no longer an applicant for access 
authorization and/or employment clearance or no longer requires such, 
the procedures of this part shall be terminated without a final 
determination as to the individual's eligibility for access 
authorization and/or employment clearance.



Sec. 10.37  Attorney representation.

    In the event the individual is represented by an attorney or other 
representative, the individual shall file with the Director, Office of 
Administration, a document designating such attorney or representative 
and authorizing such attorney or representative to receive all 
correspondence, transcripts, and other documents pertaining to the 
proceeding under this part.

[47 FR 38676, Sept. 2, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 
54 FR 53316, Dec. 28, 1989]



Sec. 10.38  Certifications.

    Whenever information is made a part of the record under the 
exceptions authorized by Sec. 10.28 (i), (j), or (l), the record shall 
contain certificates evidencing that the required determinations have 
been made.



PART 11--CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL--Table of Contents




                           General Provisions

Sec.
11.1  Purpose.
11.3  Scope.
11.5  Policy.
11.7  Definitions.
11.8  Information collection requirements: OMB approval.
11.9  Specific exemptions.
11.10  Maintenance of records.

     Requirements for Special Nuclear Material Access Authorization

11.11  General requirements.
11.13  Special requirements for transportation.
11.15  Application for special nuclear material access authorization.
11.16  Cancellation of request for special nuclear material access 
          authorization.

  Criteria for Determining Eligibility for Access to, or Control Over, 
                        Special Nuclear Material

11.21  Application of the criteria.

                               Violations

11.30  Violations.
11.32  Criminal penalties.

    Authority: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); sec. 
201, 88 Stat. 1242, as amended (42 U.S.C. 5841).
    Section 11.15(e) also issued under sec. 501, 85 Stat. 290 (31 U.S.C. 
483a).

    Source: 45 FR 76970, Nov. 21, 1980, unless otherwise noted.

                           General Provisions



Sec. 11.1  Purpose.

    This part establishes the requirements for special nuclear material 
access authorization, and the criteria and procedures for resolving 
questions concerning the eligibility of individuals to receive special 
nuclear material access

[[Page 228]]

authorization for conduct of certain activities, licensed or otherwise, 
which involve access to or control over special nuclear material.



Sec. 11.3  Scope.

    (a) The requirements, criteria, and procedures of this part apply to 
the establishment of and eligibility for special nuclear material access 
authorization for employees, contractors, consultants of, and applicants 
for employment with, licensees or contractors of the Nuclear Regulatory 
Commission where such employment, contract, service, or consultation 
involves any job falling within the criteria of Sec. 11.11 or 
Sec. 11.13.
    (b) The requirements, criteria, and procedures of this part are in 
addition to and not in lieu of any requirements, criteria, or procedures 
for access to or control over classified special nuclear material.



Sec. 11.5  Policy.

    It is the policy of the Nuclear Regulatory Commission to carry out 
its authority to establish and administer, in a manner consistent with 
traditional American concepts of justice, a personnel security program 
in the interests of the common defense and security for the purpose of 
safeguarding special nuclear material and preventing sabotage which 
would endanger the public by exposure to radiation. To this end, the 
Commission has established criteria for determining eligibility for 
special nuclear material access authorization and will afford affected 
individuals the opportunity for administrative review of questions 
concerning their eligibility for special nuclear material access 
authorization.



Sec. 11.7  Definitions.

    As used in this part:
    (a) Terms defined in parts 10, 25, 50, 70, 72, 73, and 95 of this 
chapter have the same meaning when used in this part.
    (b) Special nuclear material access authorization means an 
administrative determination that an individual (including a contractor 
or consultant) who is employed by or is an applicant for employment with 
an affected Commission contractor, licensee of the Commission, or 
contractor of a licensee of the Commission may work at a job which 
affords access to or control over special nuclear material and that 
permitting the individual to work at that job would not be inimical to 
the common defense and security.
    (c) NRC-`U' special nuclear material access authorization means an 
administrative determination based upon a national agency check and a 
full-field background investigation, normally conducted by the Office of 
Personnel Management, that an individual in the course of employment is 
eligible to work at a job falling within the criterion of 
Sec. 11.11(a)(1) or Sec. 11.13.
    (d) ``NRC-`R' special nuclear material access authorization means an 
administrative determination based upon a national agency check and 
credit investigation that an individual in the course of employment is 
eligible to work at a job falling within the criterion of 
Sec. 11.11(a)(2).

[45 FR 76970, Nov. 21, 1980, as amended at 46 FR 58282, Dec. 1, 1981; 50 
FR 39077, Sept. 27, 1985; 55 FR 11574, Mar. 29, 1990]



Sec. 11.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0062.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 11.9, 11.11, 11.13, and 11.15.

[49 FR 19624, May 9, 1984]



Sec. 11.9  Specific exemptions.

    The Commission may, upon application of any interested party, grant 
an exemption from the requirements of this part. Exemptions will be 
granted only if they are authorized by law and will not constitute an 
undue risk to the common defense and security. Documentation related to 
the request, notification and processing of an exemption shall be 
maintained for three

[[Page 229]]

years beyond the period covered by the exemption.

[45 FR 76970, Nov. 21, 1980, as amended at 53 FR 19245, May 27, 1988]



Sec. 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. The record may also be stored in electronic media with 
the capability for producing legible, accurate, and complete records 
during the required retention period. Records such as letters, drawing, 
specification, must include all pertinent information such as stamps, 
initials, and signatures etc. The licensee shall maintain adequate 
safeguards against tampering with and loss of records.

[53 FR 19245, May 27, 1988]

     Requirements for Special Nuclear Material Access Authorization



Sec. 11.11  General requirements.

    (a) Each licensee who uses, processes, stores, transports, or 
delivers to a carrier for transport, formula quantities of special 
nuclear material (as defined in part 73 of this chapter) subject to the 
physical protection requirements of Secs. 73.20, 73.25, 73.26, 73.45, 
and 73.46, and each person subject to the general licensing requirements 
of Sec. 70.20a, shall identify at its facility or plant (excluding all 
non-power reactor facilities and storage of fuel incident thereto and 
facilities and plants in which the licensee possesses or uses only 
irradiated special nuclear material subject to the exemption of 
Sec. 73.6(b)), describe, and if not already provided, provide to the 
Commission, by December 26, 1985 by amendment to its security plan:
    (1) All jobs in which an individual could steal or divert special 
nuclear material, or commit sabotage which would endanger the public by 
exposure to radiation, by working alone or in cooperation with an 
individual who does not possess an NRC-U special nuclear material access 
authorization, or by directing or coercing any individual to assist in 
the theft, diversion, or sabotage. Such jobs include but are not limited 
to:
    (i) All positions in the licensee's security force,
    (ii) Management positions with the authority to:
    (A) Direct the actions of members of the security force or alter 
security procedures, or
    (B) Direct routine movements of special nuclear material, or
    (C) Direct the routine status of vital equipment.
    (iii) All jobs which require unescorted access within onsite alarm 
stations.
    (iv) All jobs which require unescorted access \2\ to special nuclear 
material or within vital areas.
---------------------------------------------------------------------------

    \2\ This does not alter the requirement for methods to observe 
individuals within material access areas as stated in Sec. 73.46(e)(9) 
of this chapter.
---------------------------------------------------------------------------

    (2) All jobs which require unescorted access within protected areas 
and which do not fall within the criterion of paragraph (a)(1) of this 
section.
    (b) After 365 days following Commission approval of the amended 
security plan submitted in accordance with paragraph (a) of this 
section, no individual may be permitted to work at any job determined by 
the Commission to fall within the criterion of paragraph (a)(1) of this 
section without an NRC-U special nuclear material access authorization, 
and no individual may be permitted unescorted access to any protected 
area at any site subject to this Part without either an NRC-U or NRC-R 
special nuclear material access authorization. The exceptions to the 
requirement for an NRC-U and NRC-R special nuclear material access 
authorization are as follows:
    (1) Exceptions to the requirement for an NRC-U special nuclear 
material access authorization for an individual to work at a job within 
the criteria of paragraph (a)(1) are provided for
    (i) Any individual employed in such a job on October 28, 1985, who 
is not yet in receipt of an NRC-U special nuclear material access 
authorization from the Commission, provided that a complete

[[Page 230]]

application has been submitted to and is pending before the NRC for 
processing for that employee in accordance with Sec. 11.15 (a) and (b); 
or
    (ii) Any individual in possession of an NRC-L or R access 
authorization or an equivalent active Federal security clearance but not 
yet in receipt of the NRC-U special nuclear material access 
authorization, provided that a complete application has been submitted 
to and is pending before the NRC for processing for that employee in 
accordance with Sec. 11.15 (a) or (b), or both.
    (2) Exceptions to the requirement for an NRC-R special nuclear 
material access authorization for an individual to have unescorted 
access to a protected area are provided for
    (i) Any individual employed in such a job on October 28, 1985 who is 
not yet in receipt of an NRC-R special nuclear material access 
authorization from the Commission, provided that a complete application 
has been submitted to and is pending before the NRC for processing for 
that employee in accordance with Sec. 11.15 (a) and (b); or
    (ii) Any individual in possession of an NRC-L access authorization 
or an equivalent active Federal security clearance, provided that a 
complete application has been submitted to the NRC for processing for 
that employee in accordance with Sec. 11.15 (a) or (b), or both.

[45 FR 76970, Nov. 21, 1980, as amended at 46 FR 56599, Nov. 18, 1981; 
50 FR 39077, Sept. 27, 1985]



Sec. 11.13  Special requirements for transportation.

    (a) All individuals who, after 365 days following approval of the 
amended security plan submitted in accordance with Sec. 11.11(a), 
transport, arrange for transport, drive motor vehicles in road shipments 
of special nuclear material, pilot aircraft in air shipments of special 
nuclear material, act as monitors at transfer points, or escort road, 
rail, sea, or air shipments of special nuclear material subject to the 
appropriate physical protection requirements of Secs. 73.20, 73.25, 
73.26, or 73.27 of this chapter, or who are authorized to alter the 
scheduling and routing of such transport shall have NRC-U special 
nuclear material access authorization. Exceptions are provided for
    (1) Any individual who is employed in such a job on October 28, 1985 
and who is not yet in receipt of an NRC-U special nuclear material 
access authorization from the Commission, provided that a complete 
application has been submitted to and is pending before the NRC for 
processing for that employee in accordance with Sec. 11.15 (a) and (b) 
or
    (2) Any individual in possession of an NRC-L or R access 
authorization or equivalent active Federal security clearance but not 
yet in receipt of the NRC-U special nuclear material access 
authorization, provided that a complete application has been submitted 
to and is pending before the NRC for processing for that employee in 
accordance with Sec. 11.15 (a) or (b), or both.
    (b) Each licensee who, 365 days after Commission approval of the 
amended security plan submitted in accordance with Sec. 11.11(a), 
transports or delivers to a carrier for transport special nuclear 
material subject to the physical protection requirement of Secs. 73.20, 
73.25, 73.26, or 73.27 of this chapter shall confirm and record prior to 
shipment the name and special nuclear material access authorization 
number of all individuals identified in paragraph (a) of this section 
assigned to the shipment. The licensee shall retain this record for 
three years after the 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.

[50 FR 39078, Sept. 27, 1985, as amended at 53 FR 19245, May 27, 1988]



Sec. 11.15  Application for special nuclear material access authorization.

    (a)(1) Application for special nuclear material access 
authorization, renewal, or change in level shall be filed by the 
licensee on behalf of the applicant with the Director, Division of 
Security, U.S. Nuclear Regulatory Commission, Washington, DC 20555. 
Applications for affected individuals employed on October 28, 1985, 
shall be submitted within 60 days of notification of Commission approval 
of the amended security plan.

[[Page 231]]

    (2) Licensees who wish to secure NRC-U or NRC-R special nuclear 
material access authorizations for individuals in possession of an 
active NRC Q or L access authorization or other security clearance 
granted by another Federal agency based on an equivalent investigation 
shall submit a ``Security Acknowledgement'' (NRC Form 176) and a 
``Request for Access Authorization'' (NRC Form 237). NRC will process 
these requests by verifying the data on an NRC cleared individual, or by 
contacting the Federal agency which granted the clearance, requesting 
certification of the security clearance, and determining the 
investigative basis and level of the clearance. Licensees may directly 
request the Federal agency which administered the security clearance, if 
other than NRC, to certify to the NRC that it has on file an active 
security clearance for an individual and to specify the investigative 
basis and level of the clearance.
    (b) Applications for special nuclear material access authorization 
for individuals, other than those qualifying under the provisions of 
Sec. 11.15(a)(2), must be made on forms supplied by the Commission, 
including:
    (1) Questionnaire for Sensitive Positions (SF-86, Parts 1 and 2);
    (2) Two completed standard fingerprint cards (FD-258);
    (3) Security Acknowledgement (NRC Form 176);
    (4) Other related forms where specified in accompanying instruction 
(NRC-254); and
    (5) A statement by the employer, prospective employer, or contractor 
identifying the job to be assigned to or assumed by the individual and 
the level of authorization needed, justified by appropriate reference to 
the licensee's security plan.
    (c)(1) Except as provided in paragraphs (c)(2) and (c)(3) of this 
section, NRC-U and NRC-R special nuclear material access authorizations 
must be renewed every five years from the date of issuance. An 
application for renewal must be submitted at least 120 days before the 
expiration of the five year period and must include:
    (i) A statement by the licensee that at the time of application for 
renewal the individual's assigned or assumed job requires an NRC-U 
special nuclear material access authorization, justified by appropriate 
reference to the licensee's security plan;
    (ii) The questionnaire for Sensitive Positions (SF-86, Parts 1 and 
2);
    (iii) Two completed standard fingerprint cards (FD-258); and
    (iv) Other related forms specified in accompanying NRC instructions 
(NRC Form 254).
    (2) An exception to the time for submission of NRC-U special nuclear 
material access authorization renewal applications and the paperwork 
required is provided for those individuals who have a current and active 
DOE-Q access authorization and who are subject to DOE Reinvestigation 
Program requirements. For these individuals, the submission to DOE of 
the SF-86 pursuant to DOE Reinvestigation Program requirements 
(generally every five years) will satisfy the NRC renewal submission and 
paperwork requirements even if less than five years has passed since the 
date of issuance or renewal of the NRC-U access authorization. Any NRC-U 
special nuclear material access authorization renewed in response to 
provisions of this paragraph will not be due for renewal until the date 
set by DOE for the next reinvestigation of the individual pursuant to 
DOE's Reinvestigation Program.
    (3) An exception to the time for submission of NRC-R special nuclear 
material access authorization renewal applications and the paperwork 
required is provided for those individuals who have a current and active 
DOE-L or DOE-Q access authorization and who are subject to DOE 
Reinvestigation Program requirements. For these individuals, the 
submission to DOE of the SF-86 pursuant to DOE Reinvestigation Program 
requirements (generally every five years) will satisfy the NRC renewal 
submission and paperwork requirements even if less than five years has 
passed since the date of issuance or renewal of the NRC-R access 
authorization. Any NRC-R special nuclear material access authorization 
renewed pursuant to this paragraph will not be due for renewal until the 
date set by DOE for the next reinvestigation of the individual pursuant 
to DOE's Reinvestigation Program.

[[Page 232]]

    (4) Notwithstanding the provisions of paragraph (c)(2) or (c)(3) of 
this section, the period of time for the initial and each subsequent 
NRC-U or NRC-R renewal application to NRC may not exceed seven years. 
Any individual who is subject to the DOE Reinvestigation Program 
requirements but, for administrative or other reasons, does not submit 
reinvestigation forms to DOE within seven years of the previous 
submission, shall submit a renewal application to NRC using the forms 
prescribed in paragraph (c)(1) of this section before the expiration of 
the seven year period.
    (d) If at any time, due to new assignment or assumption of duties, a 
change in special nuclear material access authorization level from NRC 
``R'' to ``U'' is required, the individual shall apply for a change of 
level of special nuclear material access authorization. The application 
must include a description of the new duties to be assigned or assumed, 
justified by appropriate reference to the licensee's security plan.
    (e)(1) Each application for special nuclear material access 
authorization, renewal, or change in level must be accompanied by the 
licensee's remittance, payable to the U.S. Nuclear Regulatory 
Commission, according to the following schedule:


i. NRC-U requiring full field investigation.......................$3,800
ii. NRC-U requiring full field investigation (expedited processing) 
                                                                  $4,300
iii. NRC-U based on certification of comparable full field background 
investigation.....................................................\1\ $0
iv. NRC-U or R renewal...........................................\1\ $67
v. NRC-R........................................................\1\ $67.
---------------------------------------------------------------------------

    \1\ If the NRC determines, based on its review of available data, 
that a full field investigation is necessary, a fee of $3,800 will be 
assessed prior to the conduct of the investigation.
---------------------------------------------------------------------------

vi. NRC-R based on certification of comparable investigation.....\2\ $0.
---------------------------------------------------------------------------

    \2\ If the NRC determines, based on its review of available data, 
that a National Agency Check and Credit investigation is necessary, a 
fee of $67.00 will be assessed prior to the conduct of the 
investigation; however, if a full field investigation is deemed 
necessary by the NRC, based on its review of available data, a fee of 
$3,800 will be assessed prior to the conduct of the investigation.
---------------------------------------------------------------------------

    (2) Material access authorization fees will be published each time 
the Office of Personnel Management notifies NRC of a change in the 
background investigation rate it charges NRC for conducting the 
investigation. Any such changed access authorization fees will be 
applicable to each access authorization request received upon or after 
the date of publication. Applications from individuals having current 
Federal access authorizations may be processed expeditiously at no cost, 
since the Commission may accept the certification of access 
authorizations and investigative data from other Federal government 
agencies which grant personnel access authorizations.
    (f)(1) Any Federal employee, employee of a contractor of a Federal 
agency, licensee, or other person visiting an affected facility for the 
purpose of conducting official business, who possesses an active NRC or 
DOE-Q access authorization or an equivalent Federal security clearance 
granted by another Federal agency (``Top Secret'') based on a comparable 
full field background investigation may be permitted, in accordance with 
Sec. 11.11, the same level of unescorted access that an NRC-U special 
nuclear material access authorization would afford.
    (2) Any Federal employee, employee of a contractor of a Federal 
agency, licensee, or other person visiting an affected facility for the 
purpose of conducting official business, who possesses an active NRC or 
DOE-L access authorization or an equivalent security clearance granted 
by another Federal agency (``Secret'') based on a background 
investigation or national agency check and credit investigation may be 
permitted, in accordance with Sec. 11.11, the same level of unescorted 
access that an NRC-R special nuclear material access authorization would 
afford. An NRC or DOE-L access authorization or an equivalent security 
clearance (``Secret''), based on a background investigation or national 
agency check, which was granted or being processed by another Federal 
agency prior to

[[Page 233]]

April 30, 1990 is acceptable to meet this requirement.

[50 FR 39078, Sept. 27, 1985, as amended at 55 FR 11574, Mar. 29, 1990; 
55 FR 14379, Apr. 17, 1990; 58 FR 44435, Aug. 23, 1993; 60 FR 26356, May 
17, 1995]



Sec. 11.16  Cancellation of request for special nuclear material access authorization.

    When a request for an individual's access authorization is withdrawn 
or cancelled, the licensee shall notify the Chief, Personnel Security 
Branch, NRC Division of Security immediately, by telephone, so that the 
full field investigation or national agency check and credit 
investigation may be discontinued. The caller shall provide the full 
name and date of birth of the individual, the date of request, and the 
type of access authorization originally requested (``U'' or ``R''). The 
licensee shall promptly submit written confirmation of the telephone 
notification to the Personnel Security Branch, NRC Division of Security. 
A portion of the fee for the ``U'' special nuclear material access 
authorization may be refunded depending upon the status of the full 
field investigation at the time of withdrawal or cancellation.

[55 FR 11574, Mar. 29, 1990, as amended at 55 FR 14379, Apr. 17, 1990]

  Criteria for Determining Eligibility for Access to, or Control Over, 
                        Special Nuclear Material



Sec. 11.21  Application of the criteria.

    (a) The decision to grant or deny special nuclear material access 
authorization is a comprehensive, common-sense judgment, made after 
consideration of all the relevant information, favorable or unfavorable, 
that to grant or deny special nuclear material access authorization is 
or is not inimical to the common defense and security and is or is not 
clearly consistent with the national interest.
    (b) To assist in making these determinations, on the basis of all 
the information in a particular case, there are set forth in Sec. 10.11 
of this chapter a number of specific types of derogatory information. 
These criteria are not exhaustive but contain the principal types of 
derogatory information which in the opinion of the Commission create a 
question as to the individual's eligibility for special nuclear material 
access authorization. These criteria are subject to continuing review 
and may be revised from time to time as experience and circumstances may 
make desirable.
    (c) When the reports of investigation of an individual contain 
information reasonably falling within one or more of the classes of 
derogatory information listed in Sec. 10.11, it shall create a question 
as to the individual's eligibility for special nuclear material access 
authorization. In such cases, the application of the criteria shall be 
made in light of and with specific regard to whether the existence of 
such information supports a reasonable belief that the granting of a 
special nuclear material access authorization would be inimical to the 
common defense and security. The Director, Division of Security, may 
authorize the granting of special nuclear material access authorization 
on the basis of the information in the case or may authorize the conduct 
of an interview with the individual and, on the basis of such interview 
and such other investigation as the Director deems appropriate, may 
authorize the granting of special nuclear material access authorization. 
Otherwise, a question concerning the eligibility of an individual for 
special nuclear material access authorization shall be resolved in 
accordance with the procedures set forth in Secs. 10.20 through 10.38 of 
this chapter.
    (d) In resolving a question concerning the eligibility or continued 
eligibility of an individual for special nuclear material access 
authorization by action of the Hearing Examiner,4 the following 
principle shall be applied by the Examiner: Where there are grounds 
sufficient to establish a reasonable belief as to the truth of the 
information regarded as substantially derogatory and when the existence 
of such information supports a reasonable belief that granting access 
would be inimical to the common defense and security, this shall be the 
basis for a recommendation for denying or revoking special

[[Page 234]]

nuclear material access authorization if not satisfactorily rebutted by 
the individual or shown to be mitigated by circumstance.
---------------------------------------------------------------------------

    4 The function of the Hearing Examiner is described in Part 10 
of this chapter.

[45 FR 76970, Nov. 21, 1980, as amended at 47 FR 38683, Sept. 2, 1982]

                               Violations



Sec. 11.30  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55070, Nov. 24, 1992]



Sec. 11.32  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all regulations in part 11 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 11 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 11.1, 11.3, 11.5, 11.7, 11.8, 11.9, 11.16, 11.21, 11.30, and 
11.32.

[57 FR 55070, Nov. 24, 1992]



PART 12--IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN AGENCY PROCEEDINGS--Table of Contents




                      Subpart A--General Provisions

Sec.
12.101  Purpose.
12.102  When the EAJA applies.
12.103  Proceedings covered.
12.104  Eligibility of applicants.
12.105  Standards for awards.
12.106  Allowable fees and expenses.
12.107  Rulemaking on maximum rates for attorney fees.
12.108  Awards against other agencies.
12.109  Decisionmaking authority.

             Subpart B--Information Required From Applicants

12.201  Contents of application.
12.202  Net worth exhibit.
12.203  Documentation of fees and expenses.
12.204  When an application may be filed.

           Subpart C--Procedures for Considering Applications

12.301  Filing and service of documents.
12.302  Answer to application.
12.303  Reply.
12.304  Comments by other parties.
12.305  Settlement.
12.306  Further proceedings.
12.307  Decision.
12.308  Agency review.
12.309  Judicial review.
12.310  Payment of award.

    Authority: Sec. 203(a)(1), Pub. L. 96-481, 94 Stat. 2325 (5 U.S.C. 
504(c)(1)); Pub. L. 99-80, 99 Stat. 183.

    Source: 59 FR 23121, May 5, 1994, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 12.101  Purpose.

    The purpose of this part is to state the regulatory requirements for 
award of attorney fees to eligible individuals and entities in certain 
administrative proceedings before the Nuclear Regulatory Commission, in 
implementation of the Equal Access to Justice Act, 5 U.S.C. 504 (EAJA), 
which provides for the award of attorney fees and other

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expenses to parties to ``adversary adjudications'', as defined in 5 
U.S.C. 504(b)(1)(C). In general, an ``adversary adjudication'' is an 
adjudication that is required by statute to be determined on the record 
after opportunity for hearing before an agency of the United States and 
in which the position of the agency, or any component of the agency, is 
presented by an attorney or other representative who enters an 
appearance and participates in the proceeding. However, some agency 
adjudications are expressly excluded from coverage by 5 U.S.C. 504 
(e.g., an adjudication for the purpose of granting or renewing a 
license) even though they fall within this general definition, and 
certain appeals before an agency board of contract appeals and Program 
Fraud Civil Remedies Act hearings conducted under 31 U.S.C. ch. 38 are 
expressly covered.
    An eligible party may receive an award in an adversary adjudication 
when the party prevails over the Commission, unless the Commission's 
position was substantially justified or special circumstances make an 
award unjust. The regulations in this part describe the parties eligible 
for awards and the proceedings that are covered. They also explain how 
to apply for awards, and the procedures and standards that the 
Commission will use to make them.



Sec. 12.102  When the EAJA applies.

    The EAJA applies to any covered adversary adjudication pending or 
commenced before the Commission on or after August 5, 1985.



Sec. 12.103  Proceedings covered.

    (a) The EAJA applies to the following proceedings:
    (1) Hearings under the Program Fraud Civil Remedies Act (31 U.S.C. 
3801-12);
    (2) Any appeal of a decision made pursuant to section 6 of the 
Contract Disputes Act of 1978 (41 U.S.C. 605) before an agency board of 
contract appeals as provided in section 8 of that Act (41 U.S.C. 607); 
and
    (3) Adversary adjudications conducted by the Commission pursuant to 
any other statutory provision that requires a proceeding before the 
Nuclear Regulatory Commission to be so conducted as to fall within the 
meaning of ``adversary adjudication'' under 5 U.S.C. 504(b)(1)(C).
    (b) The Commission's failure to identify a type of proceeding as an 
adversary adjudication shall not preclude the filing of an application 
by a party who believes the proceeding is covered by the EAJA. Whether 
the proceeding is covered will then be an issue for resolution in 
proceedings on the application.
    (c) If a proceeding includes both matters covered by the EAJA and 
matters specifically excluded from coverage, any award made will include 
only fees and expenses related to covered issues.



Sec. 12.104  Eligibility of applicants.

    (a) To be eligible for an award of attorney fees and other expenses 
under the EAJA, the applicant must be a party to the adversary 
adjudication for which it seeks an award. The term ``party'' is defined 
in 5 U.S.C. 551(3). The applicant must show that it meets all conditions 
of eligibility set out in this subpart and in subpart B.
    (b) The types of eligible applicants are as follows:
    (1) An individual with a net worth of not more than $2 million;
    (2) The sole owner of an unincorporated business who has a net worth 
of not more than $7 million, including both personal and business 
interests, and not more than 500 employees;
    (3) A charitable or other tax-exempt organization described in 
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) 
with not more than 500 employees;
    (4) A cooperative association as defined in section 15(a) of the 
Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500 
employees; and
    (5) Any other partnership, corporation, association, unit of local 
government, or organization with a net worth of not more than $7 million 
and not more than 500 employees.
    (c) For the purpose of eligibility, the net worth and number of 
employees of an applicant shall be determined as of the date the 
proceeding was initiated.
    (d) An applicant who owns an unincorporated business will be 
considered as an ``individual'' rather than a ``sole

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owner of an unincorporated business'' if the issues on which the 
applicant prevails are related primarily to personal interests rather 
than to business interests.
    (e) The employees of an applicant include all persons who regularly 
perform services for remuneration for the applicant, under the 
applicant's direction and control. Part-time employees shall be included 
on a proportional basis.
    (f) The net worth and number of employees of the applicant and all 
of its affiliates shall be aggregated to determine eligibility. Any 
individual, corporation, or other entity that directly or indirectly 
controls or owns a majority of the voting shares or other interests of 
the applicant, or any corporation or other entity of which the applicant 
directly or indirectly owns or controls a majority of the voting shares 
or other interest, will be considered an affiliate for purposes of this 
part, unless the adjudicative officer determines that such treatment 
would be unjust and contrary to the purposes of the Act in light of the 
actual relationship between the affiliated entities. In addition, the 
adjudicative officer may determine that financial relationships of the 
applicant other than those described in this paragraph constitute 
special circumstances that would make an award unjust.
    (g) An applicant that participates in a proceeding primarily on 
behalf of one or more other persons or entities that would be ineligible 
is not itself eligible for an award.



Sec. 12.105  Standards for awards.

    (a) A prevailing applicant may receive an award for fees and 
expenses incurred in connection with a proceeding or a significant and 
discrete substantive portion of the proceeding, unless the position of 
the Commission over which the applicant has prevailed was substantially 
justified. The position of the Commission includes, in addition to the 
position taken by the Commission in the adversary adjudication, the 
action or failure to act by the Commission upon which the adversary 
adjudication is based. The burden of proof that an award should not be 
made to a prevailing applicant because the Commission's position was 
substantially justified is on the Commission counsel.
    (b) An award will be reduced or denied if the applicant has unduly 
or unreasonably protracted the proceeding or if special circumstances 
make the award sought unjust.



Sec. 12.106  Allowable fees and expenses.

    (a) Awards will be based on rates customarily charged by persons 
engaged in the business of acting as attorneys, agents, and expert 
witnesses, even if the services were made available without charge or at 
reduced rate to the applicant.
    (b) No award for the fee of an attorney or agent under this part may 
exceed $75.00 per hour. No award to compensate an expert witness may 
exceed the highest rate at which the Commission pays expert witnesses. 
However, an award may also include the reasonable expenses of the 
attorney, agent, or witness as a separate item, if the attorney, agent, 
or witness ordinarily charges clients separately for these expenses.
    (c) In determining the reasonableness of the fee sought for an 
attorney, agent, or expert witness, the adjudicative officer shall 
consider the following:
    (1) If the attorney, agent, or witness is in private practice, his 
or her customary fees for similar services, or, if an employee of the 
applicant, the fully allocated costs of the services;
    (2) The prevailing rate for similar services in the community in 
which the attorney, agent, or witness ordinarily performs services;
    (3) The time actually spent in the representation of the applicant;
    (4) The time reasonably spent in light of the difficulty or 
complexity of the issues in the proceeding; and
    (5) Other factors that bear on the value of the services provided.
    (d) The reasonable cost of any study, analysis, engineering report, 
test, project, or similar matter prepared on behalf of a party may be 
awarded, to the extent that the charge for the services does not exceed 
the prevailing rate for similar services, and the study or other matter 
was necessary for preparation of applicant's case.

[[Page 237]]



Sec. 12.107  Rulemaking on maximum rates for attorney fees.

    (a) If warranted by an increase in the cost of living or by special 
circumstances (such as limited availability of attorneys qualified to 
handle certain types of proceedings), the Commission may adopt 
regulations providing that attorney fees may be awarded at a rate higher 
than $75 per hour in some, or all of the types of proceedings covered by 
this part. The Commission will conduct any rulemaking proceedings for 
this purpose under the informal rulemaking procedures of the 
Administrative Procedure Act.
    (b) Any person may file with the Commission a petition for 
rulemaking to increase the maximum rate for attorney fees, in accordance 
with the requirements of 10 CFR 2.802. The petition should identify the 
rate the petitioner believes the Commission should establish and the 
types of proceedings in which the rate should be used. It should also 
explain fully the reasons why the higher rate is warranted. Within 90 
days after the petition is filed, the Commission will determine whether 
it will initiate a rulemaking proceeding, deny the petition, or take 
other appropriate action on the petition. The Commission will act on the 
petition in accordance with 10 CFR 2.803.



Sec. 12.108  Awards against other agencies.

    If an applicant is entitled to an award because it prevails over 
another agency of the United States that participates in a proceeding 
before the Commission and takes a position that is not substantially 
justified, the award or an appropriate portion of the award shall be 
made against that agency.



Sec. 12.109  Decisionmaking authority.

    Unless otherwise ordered by the Commission in a particular 
proceeding, each application under this part shall be assigned for 
decision to the official or decisionmaking body that entered the 
decision in the adversary adjudication. That official or decisionmaking 
body is referred to in this part as the ``adjudicative officer.''



             Subpart B--Information Required From Applicants



Sec. 12.201  Contents of application.

    (a) An application for an award of fees and expenses under the EAJA 
shall identify the applicant and the proceeding for which an award is 
sought. The application shall show that the applicant has prevailed and 
identify the position of the Commission or other agency that the 
applicant alleges was not substantially justified. Unless the applicant 
is an individual, the application shall also state the number of 
employees of the applicant and describe briefly the type and purpose of 
its organization or business.
    (b) The application shall also include a statement that the 
applicant's net worth does not exceed $2 million (if an individual) or 
$7 million (for all other applicants, including their affiliates). 
However, an applicant may omit this statement if:
    (1) The applicant attaches a copy of a ruling by the Internal 
Revenue Service that it qualifies as an organization described in 
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) or, 
in the case of a tax-exempt organization not required to obtain a ruling 
from the Internal Revenue Service on its exempt status, a statement that 
describes the basis for the applicant's belief that it qualifies under 
this section; or
    (2) The applicant states that it is a cooperative association as 
defined in section 15(a) of the Agricultural Marketing Act (12 U.S.C. 
1141j(a)).
    (c) The application shall state the amount of fees and expenses for 
which an award is sought.
    (d) The application may also include any other matters that the 
applicant wishes the Commission to consider in determining whether, and 
in what amount, an award should be made.
    (e) The application shall be signed by the applicant or an 
authorized officer or attorney of the applicant. It shall also contain 
or be accompanied by a written verification under oath or under penalty 
of perjury that the information provided in the application is true and 
correct.

[[Page 238]]



Sec. 12.202  Net worth exhibit.

    (a) Each applicant, except a qualified tax-exempt organization or 
cooperative association must provide with its application a detailed 
exhibit showing the net worth of the applicant and any affiliates (as 
defined in Sec. 12.104(f) of this part) when the proceeding was 
initiated. The exhibit may be in any form convenient to the applicant 
that provides full disclosure of the applicant's and its affiliates' 
assets and liabilities and is sufficient to determine whether the 
applicant qualifies under the standards in this part. The adjudicative 
officer may require an applicant to file additional information to 
determine its eligibility for an award.
    (b) Ordinarily, the net worth exhibit will be included in the public 
record of the proceeding. However, an applicant that objects to public 
disclosure of information in any portion of the exhibit and believes 
there are legal grounds for withholding it from disclosure may submit 
that portion of the exhibit directly to the adjudicative officer in a 
sealed envelope labeled ``Confidential Financial Information,'' 
accompanied by a motion to withhold the information from public 
disclosure. The motion shall describe the information sought to be 
withheld and explain, in detail, why it falls within one or more of the 
specific exemptions from mandatory disclosure under the Freedom of 
Information Act, 5 U.S.C. 552(b)(1)-(9), why public disclosure of the 
information would adversely affect the applicant, and why disclosure is 
not required in the public interest. The material in question shall be 
served on counsel representing the agency against which the applicant 
seeks an award, but need not be served on any other party to the 
proceeding. If the adjudicative officer finds that the information 
should not be withheld from disclosure, it shall be placed in the public 
record of the proceeding. Otherwise, any request to inspect or copy the 
exhibit shall be disposed of in accordance with the Commission's 
established procedures under the Freedom of Information Act, 10 CFR part 
9, subpart A.



Sec. 12.203  Documentation of fees and expenses.

    The application shall be accompanied by full documentation of the 
fees and expenses, including the cost of any study, analysis, 
engineering report, test, project, or similar matter for which an award 
is sought. A separate itemized statement shall be submitted for each 
professional firm or individual whose services are covered by the 
application, showing the hours spent in connection with the proceeding 
by each individual, a description of the specific services performed, 
the rates at which each fee has been computed, any expenses for which 
reimbursement is sought, the total amount claimed, and the total amount 
paid or payable by the applicant or by any other person or entity for 
the services provided. The adjudicative officer may require the 
applicant to provide vouchers, receipts, logs, or other substantiation 
for any fees or expenses claimed, pursuant to Sec. 12.306 of this part.



Sec. 12.204  When an application may be filed.

    (a) An application may be filed whenever the applicant has prevailed 
in the proceeding or in a significant and discrete substantive portion 
of the proceeding, but in no case later than 30 days after the date on 
which a decision or order disposing of the merits of the proceeding or 
any other complete resolution of the proceeding, such as a settlement or 
voluntary dismissal, becomes final and unappealable, both within the NRC 
and to the courts.
    (b) If after the filing of an application for an award, review or 
reconsideration is sought or taken of a decision as to which an 
applicant believes it has prevailed, proceedings for the award of fees 
shall be stayed pending final disposition of the underlying controversy. 
When the United States appeals the underlying merits of an adversary 
adjudication to a court, no decision on an application for fees and 
other expenses in connection with that adversary adjudication shall be 
made until a final and unreviewable decision is rendered by the court on 
the appeal or until the underlying merits of the case have been finally 
determined pursuant to the appeal.

[[Page 239]]



           Subpart C--Procedures for Considering Applications



Sec. 12.301  Filing and service of documents.

    Any application for an award or other pleading or document related 
to an application shall be filed and served on all parties to the 
proceeding in the same manner as other pleadings in the proceeding, 
except as provided in Sec. 12.202(b) for confidential financial 
information.



Sec. 12.302  Answer to application.

    (a) Within 30 days after service of an application, counsel 
representing the NRC against which an award is sought may file an answer 
to the application. Unless the NRC counsel requests an extension of time 
for filing or files a statement of intent to negotiate under paragraph 
(b) of this section, failure to file an answer within the 30-day period 
may be treated as a consent to the award requested.
    (b) If the NRC counsel and the applicant believe that the issues in 
the fee application can be settled, they may jointly file a statement of 
their intent to negotiate a settlement. The filing of this statement 
shall extend the time for filing an answer for an additional 30 days, 
and further extensions may be granted by the adjudicative officer upon 
request by the NRC counsel and the applicant.
    (c) The answer shall explain in detail any objections to the award 
requested and identify the facts relied on in support of the NRC 
counsel's position. If the answer is based on any alleged facts not 
already in the record of the proceeding, the NRC counsel shall include 
with the answer either supporting affidavits or a request for further 
proceedings under Sec. 12.306.



Sec. 12.303  Reply.

    Within 15 days after service of an answer, the applicant may file a 
reply. If the reply is based on any alleged facts not already in the 
record of the proceeding, the applicant shall include with the reply 
either supporting affidavits or a request for further proceedings under 
Sec. 12.306.



Sec. 12.304  Comments by other parties.

    Any party to a proceeding other than the applicant and the NRC 
counsel may file comments on an application within 30 days after it is 
served, or on an answer within 15 days after it is served. A commenting 
party may not participate further in proceedings on the application 
unless the adjudicative officer determines that the public interest 
requires participation in order to permit full exploration of matters 
raised in the comments.



Sec. 12.305  Settlement.

    The applicant and the NRC counsel may agree on a proposed settlement 
of the award before final action on the application, either in 
connection with a settlement of the underlying proceeding, or after the 
underlying proceeding has been concluded, in accordance with the NRC's 
standard settlement procedure. If a prevailing party and the NRC's 
counsel agree on a proposed settlement of an award before an application 
has been filed, the application shall be filed with the proposed 
settlement.



Sec. 12.306  Further proceedings.

    (a) Ordinarily, the determination of an award will be made on the 
basis of the written record. However, on request of either the applicant 
or the NRC counsel, or on the adjudicative officer's own initiative, the 
adjudicative officer may order further proceedings, such as an informal 
conference, oral argument, additional written submissions or, as to 
issues other than substantial justification (such as the applicant's 
eligibility or substantiation of fees and expenses), pertinent discovery 
or an evidentiary hearing. Further proceedings shall be held only when 
necessary for full and fair resolution of the issues arising from the 
application, and shall be conducted as promptly as possible. Whether or 
not the position of the agency was substantially justified shall be 
determined on the basis of the administrative record, as a whole, which 
is made in the adversary adjudication for which fees and other expenses 
are sought.
    (b) A request that the adjudicative officer order further 
proceedings under this section shall specifically identify

[[Page 240]]

the information sought or the disputed issues and shall explain why the 
additional proceedings are necessary to resolve the issues.



Sec. 12.307  Decision.

    (a) The adjudicative officer shall issue an initial decision on the 
application within 90 days after completion of proceedings on the 
application. If the adjudicative officer fails to issue an initial 
decision within 90 days, he or she shall notify the parties of the 
reason for the delay and shall set a new deadline.
    (b) The initial decision shall include written findings and 
conclusions on the applicant's eligibility and status as a prevailing 
party, and an explanation of the reasons for any difference between the 
amount requested and the amount awarded. The decision shall also 
include, if at issue, findings on whether the NRC's position was 
substantially justified, whether the applicant unduly protracted the 
proceedings, or whether special circumstances make an award unjust. If 
the applicant has sought an award against more than one agency, the 
decision shall allocate responsibility for payment of any award made 
among the agencies, and shall explain the reasons for the allocation 
made.



Sec. 12.308  Agency review.

    (a) Either the applicant or the NRC counsel may seek review of the 
initial decision on the fee application, or the Commission may decide to 
review the decision on its own initiative, in accordance with the 
Commission's review procedures set out in 10 CFR 2.786. The filing of a 
petition for review is mandatory for a party to exhaust its 
administrative remedies before seeking judicial review. If neither the 
applicant nor NRC counsel seeks review and the Commission does not take 
review on its own initiative, the initial decision on the application 
shall become a final decision of the NRC forty (40) days after it is 
issued.
    (b) Notwithstanding anything to the contrary in any other part of 
the Commission's regulations, the initial decision shall be inoperative 
(i.e., the decision shall not be final and any award made shall not be 
paid) until the later of--
    (1) The expiration of the forty-day period provided in paragraph (a) 
of this section; or
    (2) If within the forty-day period provided in paragraph (a) of this 
section the Commission elects to review the decision, the Commission's 
issuance of a final decision on review of the initial decision.
    (c) Whether to review a decision on its own motion is a matter 
within the discretion of the Commission. If review is taken, the 
Commission will issue a final decision on the application or remand the 
application to the adjudicative officer for further proceedings.



Sec. 12.309  Judicial review.

    Judicial review of final agency decisions on awards may be sought as 
provided in 5 U.S.C. 504(c)(2).



Sec. 12.310  Payment of award.

    An applicant seeking payment of an award shall submit to the 
appropriate official of the paying agency a copy of the Commission's 
final decision granting the award, accompanied by a certification that 
the applicant will not seek review of the decision in the United States 
courts. Where the award is granted against the Commission, the applicant 
shall make the submission to the Director, Division of Accounting and 
Finance, Office of the Controller, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555. The NRC will pay the amount awarded to the 
applicant within 60 days.



PART 13--PROGRAM FRAUD CIVIL REMEDIES--Table of Contents




Sec.
13.1  Basis and purpose.
13.2  Definitions.
13.3  Basis for civil penalties and assessments.
13.4  Investigation.
13.5  Review by the reviewing official.
13.6  Prerequisites for issuing a complaint.
13.7  Complaint.
13.8  Service of complaint.
13.9  Answer.
13.10  Default upon failure to file an answer.
13.11  Referral of complaint and answer to the ALJ.
13.12  Notice of hearing.
13.13  Parties to the hearing.
13.14    Separation of functions.
13.15  Ex parte contacts.

[[Page 241]]

13.16  Disqualification of reviewing official or ALJ.
13.17  Rights of parties.
13.18  Authority of the ALJ.
13.19  Prehearing conferences.
13.20  Disclosure of documents.
13.21  Discovery.
13.22  Exchange of witness lists, statements, and exhibits.
13.23  Subpoenas for attendance at hearing.
13.24  Protective order.
13.25  Fees.
13.26  Form filing and service of papers.
13.27  Computation of time.
13.28  Motions.
13.29  Sanctions.
13.30  The hearing and burden of proof.
13.31  Determining the amount of penalties and assessments.
13.32  Location of hearing.
13.33  Witnesses.
13.34  Evidence.
13.35  The record.
13.36  Post-hearing briefs.
13.37  Initial decision.
13.38  Reconsideration of initial decision.
13.39  Appeal to authority head.
13.40  Stays ordered by the Department of Justice.
13.41  Stay pending appeal.
13.42  Judicial review.
13.43  Collection of civil penalties and assessments.
13.44  Right to administrative offset.
13.45  Deposit in Treasury of United States.
13.46  Compromise or settlement.
13.47  Limitations.

    Authority: Public Law 99-509, secs. 6101-6104, 100 Stat. 1874 (31 
U.S.C. 3801-3812). Sections 13.13 (a) and (b) also issued under section 
Pub. L. 101-410, 104 Stat. 890, as amended by section 31001(s), Pub. L. 
104-134, 110 Stat. 1321-373 (28 U.S.C. 2461 note).

    Source: 56 FR 47135, Sept. 18, 1991, unless otherwise noted.



Sec. 13.1  Basis and purpose.

    (a) Basis. This part implements the Program Fraud Civil Remedies Act 
of 1986, Public Law No. 99-509, Secs. 6101-6104, 100 Stat. 1874 (October 
21, 1986) (31 U.S.C. 3801-3812). 31 U.S.C. 3809 requires each authority 
head to promulgate regulations necessary to implement the provisions of 
that Act.
    (b) Purpose. This part (1) establishes administrative procedures for 
imposing civil penalties and assessments against persons who make, 
submit, or present, or cause to be made, submitted, or presented, false, 
fictitious, or fraudulent claims or written statements to authorities or 
to their agents, and (2) specifies the hearing and appeal rights of 
persons subject to allegations of liability for such penalties and 
assessments.



Sec. 13.2  Definitions.

    As used in this part:
    ALJ means an Administrative Law Judge in the authority appointed 
pursuant to 5 U.S.C. 3105 or detailed to the authority pursuant to 5 
U.S.C. 3344.
    Authority means the Nuclear Regulatory Commission.
    Authority head means the Commission of five members or a quorum 
thereof sitting as a body, as provided by section 201 of the Energy 
Reorganization Act of 1974 (88 Stat. 1242).
    Benefit means, in the context of ``statement'', anything of value, 
including but not limited to any advantage, preference, privilege, 
license, permit, favorable decision, ruling, status, or loan guarantee.
    Claim means any request, demand, or submission--
    (a) Made to the authority for property, services, or money 
(including money representing grants, loans, insurance, or benefits);
    (b) Made to a recipient of property, services, or money from the 
authority or to a party to a contract with the authority--
    (1) For property or services if the United States--
    (i) Provided such property or services;
    (ii) Provided any portion of the funds for the purchase of such 
property or services; or
    (iii) Will reimburse such recipient or party for the purchase of 
such property or services; or
    (2) For the payment of money (including money representing grants, 
loans, insurance, or benefits) if the United States--
    (i) Provided any portion of the money requested or demanded; or
    (ii) Will reimburse such recipient or party for any portion of the 
money paid on such request or demand; or
    (3) Made to the authority which has the effect of decreasing an 
obligation to pay or account for property, services, or money.

[[Page 242]]

    Complaint means the administrative complaint served by the reviewing 
official on the defendant under Sec. 13.7.
    Defendant means any person alleged in a complaint under Sec. 13.7 to 
be liable for a civil penalty or assessment under Sec. 13.3.
    Government means the United States Government.
    Individual means a natural person.
    Initial decision means the written decision of the ALJ required by 
Sec. 13.10 or Sec. 13.37, and includes a revised initial decision issued 
following a remand or a motion for reconsideration.
    Investigating official means the Inspector General of the Nuclear 
Regulatory Commission or the Assistant Inspector General for 
Investigations, Office of the Inspector General.
    Knows or has reason to know means that a person, with respect to a 
claim or statement--
    (a) Has actual knowledge that the claim or statement is false, 
fictitious, or fraudulent;
    (b) Acts in deliberate ignorance of the truth or falsity of the 
claim or statement; or
    (c) Acts in reckless disregard of the truth or falsity of the claim 
or statement.
    Makes, wherever it appears, shall include the terms presents, 
submits, and causes to be made, presented, or submitted. As the context 
requires, making or made shall likewise include the corresponding forms 
of such terms.
    Person means any individual, partnership, corporation, association, 
or private organization and includes the plural of that term.
    Representative means any person designated by a party in writing.
    Reviewing official means the Deputy General Counsel for Licensing 
and Regulation of the Nuclear Regulatory Commission or his or her 
designee who is--
    (a) Not subject to supervision by, or required to report to, the 
investigating official;
    (b) Not employed in the organizational unit of the authority in 
which the investigating official is employed; and
    (c) Serving in a position for which the rate of basic pay is not 
less than the minimum rate of basic pay for grade GS-16 under the 
General Schedule.
    Statement means any representation, certification, affirmation, 
document, record, or accounting or bookkeeping entry made--
    (a) With respect to a claim or to obtain the approval or payment of 
a claim (including relating to eligibility to make a claim); or
    (b) With respect to (including relating to eligibility for)--
    (1) A contract with, or a bid or proposal for a contract with; or
    (2) A grant, loan, or benefit from, the authority, or any State, 
political subdivision of a State, or other party, if the United States 
government provides any portion of the money or property under such 
contract or for such grant, loan, or benefit, or if the Government will 
reimburse such State, political subdivision, or party for any portion of 
the money or property under such contract or for such grant, loan, or 
benefit.

[56 FR 47135, Sept. 18, 1991; 56 FR 49945, Oct. 2, 1991]



Sec. 13.3  Basis for civil penalties and assessments.

    (a) Claims.
    (1) Any person who makes a claim that the person knows or has reason 
to know--
    (i) Is false, fictitious, or fraudulent;
    (ii) Includes or is supported by any written statement which asserts 
a material fact which is false, fictitious, or fraudulent;
    (iii) Includes or is supported by any written statement that--
    (A) Omits a material fact;
    (B) Is false, fictitious, or fraudulent as a result of such 
omission; and
    (C) Is a statement in which the person making such statement has a 
duty to include such material fact; or
    (iv) Is for payment for the provision of property or services which 
the person has not provided as claimed, shall be subject, in addition to 
any other remedy that may be prescribed by law, to a civil penalty of 
not more than $5,500 for each such claim.
    (2) Each voucher, invoice, claim form, or other individual request 
or demand for property, services, or money constitutes a separate claim.

[[Page 243]]

    (3) A claim shall be considered made to the authority, recipient, or 
party when such claim is actually made to an agent, fiscal intermediary 
or other entity, including any State or political subdivision thereof, 
acting for or on behalf of the authority, recipient, or party.
    (4) Each claim for property, services, or money is subject to a 
civil penalty regardless of whether such property, services, or money is 
actually delivered or paid.
    (5) If the Government has made any payment (including transferred 
property or provided services) on a claim, a person subject to a civil 
penalty under paragraph (a)(1) of this section shall also be subject to 
an assessment of not more than twice the amount of such claim or that 
portion thereof that is determined to be in violation of paragraph 
(a)(1) of this section. Such assessment shall be in lieu of damages 
sustained by the Government because of such claim.
    (b) Statements.
    (1) Any person who makes a written statement that--
    (i) The person knows or has reason to know--
    (A) Asserts a material fact which is false, fictitious, or 
fraudulent; or
    (B) Is false, fictitious, or fraudulent because it omits a material 
fact that the person making the statement has a duty to include in such 
statement; and
    (ii) Contains or is accompanied by an express certification or 
affirmation of the truthfulness and accuracy of the contents of the 
statement, shall be subject, in addition to any other remedy that may be 
prescribed law, to a civil penalty of not more than $5,500 for each such 
statement.
    (2) Each written representation, certification, or affirmation 
constitutes a separate statement.
    (3) A statement shall be considered made to the authority when such 
statement is actually made to an agent, fiscal intermediary, or other 
entity, including any State or political subdivision thereof, acting for 
or on behalf of the authority.
    (c) No proof of specific intent to defraud is required to establish 
liability under this section.
    (d) In any case in which it is determined that more than one person 
is liable for making a claim or statement under this section, each such 
person may be held liable for a civil penalty under this section.
    (e) In any case in which it is determined that more than one person 
is liable for making a claim under this section on which the Government 
has made payment (including transferred property or provided services), 
an assessment may be imposed against any such person or jointly and 
severally against any combination of such persons.

[56 FR 47135, Sept. 18, 1991, as amended by 61 FR 53555, Oct. 11, 1996]



Sec. 13.4  Investigation.

    (a) If an investigating official concludes that a subpoena pursuant 
to the authority conferred by 31 U.S.C. 3804(a) is warranted--
    (1) The subpoena so issued shall notify the person to whom it is 
addressed of the authority under which the subpoena is issued and shall 
identify the records or documents sought;
    (2) The investigating official may designate a person to act on his 
or her behalf to receive the documents sought; and
    (3) The person receiving such subpoena shall be required to tender 
to the investigating official or the person designated to receive the 
documents a certification that the documents sought have been produced, 
or that such documents are not available and the reasons therefor, or 
that such documents, suitably identified, have been withheld based upon 
the assertion of an identified privilege.
    (b) If the investigating official concludes that an action under the 
Program Fraud Civil Remedies Act may be warranted, the investigating 
official shall submit a report containing the findings and conclusions 
of such investigation to the reviewing official. To the extent possible, 
before initiating an investigation or submitting a report involving a 
licensee false statement to the reviewing official, the investigating 
official shall consult with the Executive Director for Operations to 
ascertain whether any other agency action is under consideration, 
pending, or may

[[Page 244]]

be taken with regard to the licensee, and to allow for coordination 
between any action under this part and other enforcement action.
    (c) Nothing in this section shall preclude or limit an investigating 
official's discretion to refer allegations directly to the Department of 
Justice for suit under the False Claims Act or other civil relief, or to 
refer the matter to the Executive Director for Operations for 
enforcement action under the Atomic Energy Act, or to defer initiating 
an investigation or postpone a report or referral to the reviewing 
official to avoid interference with other enforcement action by the 
Commission or with a criminal investigation or prosecution.
    (d) Nothing in this section modifies any responsibility of an 
investigating official to report violations of criminal law to the 
Attorney General.



Sec. 13.5  Review by the reviewing official.

    (a) If, based on the report of the investigating official under 
Sec. 13.4(b), the reviewing official determines that there is adequate 
evidence to believe that a person is liable under Sec. 13.3 of this 
part, the reviewing official shall transmit to the Attorney General a 
written notice of the reviewing official's intention to issue a 
complaint under Sec. 13.7.
    (b) Such notice shall include--
    (1) A statement of the reviewing official's reasons for issuing a 
complaint;
    (2) A statement specifying the evidence that supports the 
allegations of liability;
    (3) A description of the claims or statements upon which the 
allegations of liability are based;
    (4) An estimate of the amount of money or the value of property, 
services, or other benefits requested or demanded in violation of 
Sec. 13.3 of this part;
    (5) A statement of any exculpatory or mitigating circumstances that 
may relate to the claims or statements known by the reviewing official 
or the investigating official; and
    (6) A statement that there is a reasonable prospect of collecting an 
appropriate amount of penalties and assessments.



Sec. 13.6  Prerequisities for issuing a complaint.

    (a) The reviewing official may issue a complaint under Sec. 13.7 
only if--
    (1) The Department of Justice approves the issuance of a complaint 
in a written statement described in 31 U.S.C. 3803(b)(1), and
    (2) In the case of allegations of liability under Sec. 13.3(a) with 
respect to a claim, the reviewing official determines that, with respect 
to such claim or a group of related claims submitted at the same time 
such claim is submitted (as defined in paragraph (b) of this section), 
the amount of money or the value of property or services demanded or 
requested in violation of Sec. 13.3(a) does not exceed $150,000.
    (b) For the purposes of this section, a related group of claims 
submitted at the same time shall include only those claims arising from 
the same transaction (e.g., grant, loan, application, or contract) that 
are submitted simultaneously as part of a single request, demand, or 
submission.
    (c) Nothing in this section shall be construed to limit the 
reviewing official's authority to join in a single complaint against a 
person claims that are unrelated or were not submitted simultaneously, 
regardless of the amount of money, or the value of property or services, 
demanded or requested.

[56 FR 47135, Sept. 18, 1991; 56 FR 49945, Oct. 2, 1991]



Sec. 13.7  Complaint.

    (a) On or after the date the Department of Justice approves the 
issuance of a complaint in accordance with 31 U.S.C. 3803(b)(1), the 
reviewing official may serve a complaint on the defendant, as provided 
in Sec. 13.8.
    (b) The complaint shall state--
    (1) The allegations of liability against the defendant, including 
the statutory basis for liability, an identification of the claims or 
statements that are the basis for the alleged liability, and the reasons 
why liability allegedly arises from such claims or statements;
    (2) The maximum amount of penalties and assessments for which the 
defendant may be held liable;

[[Page 245]]

    (3) Instructions for filing an answer to request a hearing, 
including a specific statement of the defendant's right to request a 
hearing by filing an answer and to be represented by a representative; 
and
    (4) That failure to file an answer within 30 days of service of the 
complaint will result in the imposition of the maximum amount of 
penalties and assessments without right to appeal, as provided in 
Sec. 13.10.
    (c) At the same time the reviewing official serves the complaint, he 
or she shall serve the defendant with a copy of these regulations.



Sec. 13.8  Service of complaint.

    (a) Service of a complaint must be made by certified or registered 
mail or by delivery in any manner authorized by Rule 4(d) of the Federal 
Rules of Civil Procedure. Service is complete under receipt.
    (b) Proof of service, stating the name and address of the person on 
whom the complaint was served, and the manner and date of service, may 
be made by--
    (1) Affidavit of the individual serving the complaint by delivery;
    (2) A United States Postal Service return receipt card acknowledging 
receipt; or
    (3) Written acknowledgment of receipt by the defendant or his or her 
representative.



Sec. 13.9  Answer.

    (a) The defendant may request a hearing by filing an answer with the 
reviewing official within 30 days of service of the complaint. Service 
of an answer shall be made by delivering a copy to the reviewing 
official or by placing a copy in the United States mail, postage prepaid 
and addressed to the reviewing official. An answer shall be deemed to be 
a request for hearing.
    (b) In the answer, the defendant--
    (1) Shall admit or deny each of the allegations of liability made in 
the complaint;
    (2) Shall state any defense on which the defendant intends to rely;
    (3) May state any reasons why the defendant contends that the 
penalties and assessments should be less than the statutory maximum; and
    (4) Shall state the name, address, and telephone number of the 
person authorized by the defendant to act as defendant's representative, 
if any.
    (c) If the defendant is unable to file an answer meeting the 
requirements of paragraph (b) of this section within the time provided, 
the defendant may, before the expiration of 30 days from service of the 
complaint, file with the reviewing official a general answer denying 
liability and requesting a hearing, and a request for an extension of 
time within which to file an answer meeting the requirements of 
paragraph (b) of this section. The reviewing official shall file 
promptly with the ALJ the complaint, the general answer denying 
liability, and the request for an extension of time as provided in 
Sec. 13.11. For good cause shown, the ALJ may grant the defendant up to 
30 additional days within which to file an answer meeting the 
requirements of paragraph (b) of this section.

[56 FR 47135, Sept. 18, 1991; 56 FR 64839, Dec. 12, 1991]



Sec. 13.10  Default upon failure to file an answer.

    (a) If the defendant does not file an answer within the time 
prescribed in Sec. 13.9(a), the reviewing official may refer the 
complaint to the ALJ.
    (b) Upon the referral of the complaint, the ALJ shall promptly serve 
on defendant in the manner prescribed in Sec. 13.8 a notice that an 
initial decision will be issued under this section.
    (c) The ALJ shall assume the facts alleged in the complaint to be 
true, and, if such facts establish liability under Sec. 13.3, the ALJ 
shall issue an initial decision imposing the maximum amount of penalties 
and assessments allowed under the statute.
    (d) Except as otherwise provided in this section, by failing to file 
a timely answer, the defendant waives any right to further review of the 
penalties and assessments imposed under paragraph (c) of this section 
and the initial decision shall become final and binding upon the parties 
30 days after it is issued.
    (e) If, before such an initial decision becomes final, the defendant 
files a motion with the ALJ seeking to reopen

[[Page 246]]

on the grounds that extraordinary circumstances prevented the defendant 
from filing an answer, the initial decision shall be stayed pending the 
ALJ's decision on the motion.
    (f) If, on such motion, the defendant can demonstrate extraordinary 
circumstances excusing the failure to file a timely answer, the ALJ 
shall withdraw the initial decision in paragraph (c) of this section if 
such a decision has been issued, and shall grant the defendant an 
opportunity to answer the complaint.
    (g) A decision of the ALJ denying a defendant's motion under 
paragraph (e) of this section is not subject to reconsideration under 
Sec. 13.38.
    (h) The defendant may appeal to the authority head the decision 
denying a motion to reopen by filing a notice of appeal with the 
authority head within 15 days after the ALJ denies the motion. The 
timely filing of a notice of appeal shall stay the initial decision 
until the authority head decides the issue.
    (i) If the defendant files a timely notice of appeal with the 
authority head, the ALJ shall forward the record of the proceeding to 
the authority head.
    (j) The authority head shall decide expeditiously whether 
extraordinary circumstances excuse the defendant's failure to file a 
timely answer based solely on the record before the ALJ.
    (k) If the authority head decides that extraordinary circumstances 
excused the defendant's failure to file a timely answer, the authority 
head shall remand the case to the ALJ with instructions to grant the 
defendant an opportunity to answer.
    (l) If the authority head decides that the defendant's failure to 
file a timely answer is not excused, the authority head shall reinstate 
the initial decision of the ALJ, which shall become final and binding 
upon the parties 30 days after the authority head issues such decision.



Sec. 13.11  Referral of complaint and answer to the ALJ.

    Upon receipt of an answer, the reviewing official shall file the 
complaint and answer with the ALJ.



Sec. 13.12  Notice of hearing.

    (a) When the ALJ receives the complaint and answer, the ALJ shall 
promptly serve a notice of hearing upon the defendant in the manner 
prescribed by Sec. 13.8. At the same time, the ALJ shall send a copy of 
such notice to the representative of the authority.
    (b) Such notice shall include--
    (1) The tentative time and place, and the nature of the hearing;
    (2) The legal authority and jurisdiction under which the hearing is 
to be held;
    (3) The matters of fact and law to be asserted;
    (4) A description of the procedures for the conduct of the hearing;
    (5) The name, address, and telephone number of the representative of 
the authority and of the defendant, if any; and
    (6) Such other matters as the ALJ deems appropriate.



Sec. 13.13  Parties to the hearing.

    (a) The parties to the hearing shall be the defendant and the 
authority.
    (b) Pursuant to 31 U.S.C. 3730(c)(5), a private plaintiff under the 
False Claims Act may participate in these proceedings to the extent 
authorized by the provisions of that Act.



Sec. 13.14  Separation of functions.

    (a) The investigating official, the reviewing official, and any 
employee or agent of the authority who takes part in investigating, 
preparing, or presenting a particular case may not, in such case or a 
factually related case--
    (1) Participate in the hearing as the ALJ;
    (2) Participate or advise in the initial decision or the review of 
the initial decision by the authority head, except as a witness or a 
representative in public proceedings; or
    (3) Make the collection of penalties and assessments under 31 U.S.C. 
3806.
    (b) The ALJ shall not be responsible to, or subject to the 
supervision or direction of, the investigating official or the reviewing 
official.
    (c) Except as provided in paragraph (a) of this section, the 
representative for the Government may be employed anywhere in the 
authority, including

[[Page 247]]

in the offices of either the investigating official or the reviewing 
official.

[56 FR 47135, Sept. 18, 1991; 56 FR 64839, Dec. 12, 1991]



Sec. 13.15  Ex parte contacts.

    No party or person (except employees of the ALJ's office) shall 
communicate in any way with the ALJ on any matter at issue in a case, 
unless on notice and opportunity for all parties to participate. This 
provision does not prohibit a person or party from inquiring about the 
status of a case or asking routine questions concerning administrative 
functions or procedures.



Sec. 13.16  Disqualification of reviewing official or ALJ.

    (a) A reviewing official or ALJ in a particular case may disqualify 
himself or herself at any time.
    (b) A party may file with the ALJ a motion for disqualification of a 
reviewing official or an ALJ. Such motion shall be accompanied by an 
affidavit alleging personal bias or other reason for disqualification.
    (c) Such motion and affidavit shall be filed promptly upon the 
party's discovery of reasons requiring disqualification, or such 
objections, shall be deemed waived.
    (d) Such affidavit shall state specific facts that support the 
party's belief that personal bias or other reason for disqualification 
exists and the time and circumstances of the party's discovery of such 
facts. It shall be accompanied by a certificate of the representative of 
record that it is made in good faith.
    (e) Upon the filing of such a motion and affidavit, the ALJ shall 
proceed no further in the case until he or she resolves the matter of 
disqualification in accordance with paragraph (f) of this section.
    (f)(1) If the ALJ determines that a reviewing official is 
disqualified, the ALJ shall dismiss the complaint without prejudice.
    (2) If the ALJ disqualifies himself or herself, the case shall be 
reassigned promptly to another ALJ.
    (3) If the ALJ denies a motion to disqualify, the authority head may 
determine the matter only as part of its review of the initial decision 
upon appeal, if any.



Sec. 13.17  Rights of parties.

    Except as otherwise limited by this part, all parties may--
    (a) Be accompanied, represented, and advised by a representative;
    (b) Participate in any conference held by the ALJ;
    (c) Conduct discovery;
    (d) Agree to stipulation of fact or law, which shall be made part of 
the record;
    (e) Present evidence relevant to the issues at the hearing;
    (f) Present and cross-examine witnesses;
    (g) Present oral arguments at the hearing as permitted by the ALJ; 
and
    (h) Submit written briefs and proposed findings of fact and 
conclusions of law after the hearing.



Sec. 13.18  Authority of the ALJ.

    (a) The ALJ shall conduct a fair and impartial hearing, avoid delay, 
maintain order, and assure that a record of the proceeding is made.
    (b) The ALJ has the authority to--
    (1) Set and change the date, time, and place of the hearing upon 
reasonable notice to the parties;
    (2) Continue or recess the hearing in whole or in part for a 
reasonable period of time;
    (3) Hold conferences to identify or simplify the issues, or to 
consider other matters that may aid in the expeditious disposition of 
the proceeding;
    (4) Administer oaths and affirmations;
    (5) Issue subpoenas requiring the attendance of witnesses and the 
production of documents at depositions or at hearings;
    (6) Rule on motions and other procedural matters;
    (7) Regulate the scope and timing of discovery;
    (8) Regulate the course of the hearing and the conduct of 
representatives and parties;
    (9) Examine witnesses;
    (10) Receive, rule on, exclude, or limit evidence;
    (11) Upon motion of a party, take official notice of facts;

[[Page 248]]

    (12) Upon motion of a party, decide cases, in whole or in part, by 
summary judgment where there is no disputed issue of material fact;
    (13) Conduct any conference, argument, or hearing on motions in 
person or by telephone; and
    (14) Exercise such other authority as is necessary to carry out the 
responsibilities of the ALJ under this part.
    (c) The ALJ does not have the authority to find Federal statutes or 
regulations invalid.



Sec. 13.19  Prehearing conferences.

    (a) The ALJ may schedule prehearing conferences as appropriate.
    (b) Upon the motion of any party, the ALJ shall schedule at least 
one prehearing conference at a reasonable time in advance of the 
hearing.
    (c) The ALJ may use prehearing conferences to discuss the following:
    (1) Simplification of the issues;
    (2) The necessity or desirability of amendments to the pleadings, 
including the need for a more definite statement;
    (3) Stipulations and admissions of fact or as to the contents and 
authenticity of documents;
    (4) Whether the parties can agree to submission of the case on a 
stipulated record;
    (5) Whether a party chooses to waive appearance at an oral hearing 
and to submit only documentary evidence (subject to the objection of 
other parties) and written argument;
    (6) Limitation of the number of witnesses;
    (7) Scheduling dates for the exchange of witness lists and of 
proposed exhibits;
    (8) Discovery;
    (9) The time and place for the hearing; and
    (10) Such other matters as may tend to expedite the fair and just 
disposition of the proceedings.
    (d) The ALJ may issue an order containing all matters agreed upon by 
the parties or ordered by the ALJ at a prehearing conference.



Sec. 13.20  Disclosure of documents.

    (a) Upon written request to the reviewing official, the defendant 
may review any relevant and material documents, transcripts, records, 
and other materials that relate to the allegations set out in the 
complaint and upon which the findings and conclusions of the 
investigating official under Sec. 13.4(b) are based, unless such 
documents are subject to a privilege under Federal law. Upon payment of 
fees for duplication, the defendant may obtain copies of such documents.
    (b) Upon written request to the reviewing official, the defendant 
also may obtain a copy of all exculpatory information in the possession 
of the reviewing official or investigating official relating to the 
allegations in the complaint, even if it is contained in a document that 
would otherwise be privileged. If the document would otherwise be 
privileged, only that portion containing exculpatory information must be 
disclosed.
    (c) The notice sent to the Attorney General from the reviewing 
official as described in Sec. 13.5 is not discoverable under any 
circumstances.
    (d) The defendant may file a motion to compel disclosure of the 
documents subject to the provisions of this section. Such a motion may 
only be filed with the ALJ following the filing of an answer pursuant to 
Sec. 13.9.



Sec. 13.21  Discovery.

    (a) The following types of discovery are authorized:
    (1) Requests for production of documents for inspection and copying;
    (2) Requests for admissions of the authenticity of any relevant 
document or of the truth of any relevant fact;
    (3) Written interrogatories; and
    (4) Depositions.
    (b) For the purpose of this section and Secs. 13.22 and 13.23, the 
term ``documents'' includes information, documents, reports, answers, 
records, accounts, papers, and other data and documentary evidence. 
Nothing contained herein shall be interpreted to require the creation of 
a document.
    (c) Unless mutually agreed to by the parties, discovery is available 
only as ordered by the ALJ. The ALJ shall regulate the timing of 
discovery.
    (d) Motions for discovery.
    (1) A party seeking discovery may file a motion with the ALJ. Such a 
motion shall be accompanied by a copy of

[[Page 249]]

the requested discovery, or in the case of depositions, a summary of the 
scope of the proposed deposition.
    (2) Within ten days of service, a party may file an opposition to 
the motion and/or a motion for protective order as provided in 
Sec. 13.24.
    (3) The ALJ may grant a motion for discovery only if he or she finds 
that the discovery sought--
    (i) Is necessary for the expeditious, fair, and reasonable 
consideration of the issues;
    (ii) Is not unduly costly or burdensome;
    (iii) Will not unduly delay the proceeding; and
    (iv) Does not seek privileged information.
    (4) The burden of showing that discovery should be allowed is on the 
party seeking discovery.
    (5) The ALJ may grant discovery subject to a protective order under 
Sec. 13.24.
    (e) Depositions. (1) If a motion for deposition is granted, the ALJ 
shall issue a subpoena for the deponent, which may require the deponent 
to produce documents. The subpoena shall specify the time and place at 
which the deposition will be held.
    (2) The party seeking to depose shall serve the subpoena in the 
manner prescribed in Sec. 13.8.
    (3) The deponent may file with the ALJ a motion to quash the 
subpoena or a motion for a protective order within ten days of service.
    (4) The party seeking to depose shall provide for the taking of a 
verbatim transcript of the deposition, which it shall make available to 
all other parties for inspection and copying.
    (f) Each party shall bear its own costs of discovery.



Sec. 13.22  Exchange of witness lists, statements, and exhibits.

    (a) At least 15 days before the hearing or at such other times as 
may be ordered by the ALJ, the parties shall exchange witness lists, 
copies of prior statements of proposed witnesses, and copies of proposed 
hearing exhibits, including copies of any written statements that the 
party intends to offer in lieu of live testimony in accordance with 
Sec. 13.33(b). At the time the above documents are exchanged, any party 
that intends to rely on the transcript of deposition testimony in lieu 
of live testimony at the hearing, if permitted by the ALJ, shall provide 
each party with a copy of the specific pages of the transcript it 
intends to introduce into evidence.
    (b) If a party objects, the ALJ shall not admit into evidence the 
testimony of any witness whose name does not appear on the witness list 
or any exhibit not provided to the opposing party as provided above 
unless the ALJ finds good cause for the failure or that there in no 
prejudice to the objecting party.
    (c) Unless another party objects within the time set by the ALJ, 
documents exchanged in accordance with paragraph (a) of this section 
shall be deemed to be authentic for the purpose of admissibility at the 
hearing.



Sec. 13.23  Subpoenas for attendance at hearing.

    (a) A party wishing to procure the appearance and testimony of any 
individual at the hearing may request that the ALJ issue a subpoena.
    (b) A subpoena requiring the attendance and testimony of an 
individual may also require the individual to produce documents at the 
hearing.
    (c) A party seeking a subpoena shall file a written request therefor 
not less than 15 days before the date fixed for the hearing unless 
otherwise allowed by the ALJ for good cause shown. Such request shall 
specify any documents to be produced and shall designate the witnesses 
and describe the address and location thereof with sufficient 
particularity to permit such witnesses to be found.
    (d) The subpoena shall specify the time and place at which the 
witness is to appear and any documents the witness is to produce.
    (e) The party seeking the subpoena shall serve it in the manner 
prescribed in Sec. 13.8. A subpoena on a party or upon an individual 
under the control of a party may be served by first class mail.
    (f) A party or the individual to whom the subpoena is directed may 
file with the ALJ a motion to quash the subpoena within ten days after 
service or on or before the time specified in the subpoena for 
compliance if it is less than ten days after service.

[[Page 250]]



Sec. 13.24  Protective order.

    (a) A party or a prospective witness or deponent may file a motion 
for a protective order with respect to discovery sought by an opposing 
party or with respect to the hearing, seeking to limit the availability 
or disclosure of evidence.
    (b) In issuing a protective order, the ALJ may make any order which 
justice requires to protect a party or person from annoyance, 
embarrassment, oppression, or undue burden or expense, including one or 
more of the following:
    (1) That the discovery not be had;
    (2) That the discovery may be had only on specified terms and 
conditions, including a designation of the time or place;
    (3) That the discovery may be had only through a method of discovery 
other than that requested;
    (4) That certain matters not be inquired into, or that the scope of 
discovery be limited to certain matters;
    (5) That discovery be conducted with no one present except persons 
designated by the ALJ;
    (6) That the contents of discovery or evidence by sealed;
    (7) That a deposition after being sealed be opened only by order of 
the ALJ;
    (8) That a trade secret or other confidential research, development, 
commercial information, or facts pertaining to any criminal 
investigation, proceeding, or other administrative investigation not be 
disclosed or be disclosed only in a designated way; or
    (9) That the parties simultaneously file specified documents or 
information enclosed in sealed envelopes to be opened as directed by the 
ALJ.



Sec. 13.25  Fees.

    The party requesting a subpoena shall pay the cost of the fees and 
mileage of any witness subpoenaed in the amounts that would be payable 
to a witness in a proceeding in United States District Court. A check 
for witness fees and mileage shall accompany the subpoena when served, 
except that when a subpoena is issued on behalf of the authority, a 
check for witness fees and mileage need not accompany the subpoena.



Sec. 13.26  Form filing and service of papers.

    (a) Form. (1) Documents filed with the ALJ shall include an original 
and two copies.
    (2) Every pleading and paper filed in the proceeding shall contain a 
caption setting forth the title of the action, the case number assigned 
by the ALJ, and a designation of the paper (e.g., motion to quash 
subpoena).
    (3) Every pleading and paper shall be signed by, and shall contain 
the address and telephone number of the party or the person on whose 
behalf the paper was filed, or his or her representative.
    (4) Papers are considered filed when they are mailed. Date of 
mailing may be established by a certificate from the party or its 
representative or by proof that the document was sent by certified or 
registered mail.
    (b) Service. A party filing a document with the ALJ shall at the 
time of filing, serve a copy of such document on every other party. 
Service upon any party of any document other than those required to be 
served as prescribed in Sec. 13.8 shall be made by delivering a copy or 
by placing a copy of the document in the United States mail, postage 
prepaid and addressed, to the party's last known address. When a party 
is represented by a representative, service shall be made upon such 
representative in lieu of the actual party.
    (c) Proof of service. A certificate of the individual serving the 
document by personal delivery or by mail, setting forth the manner of 
service, shall be proof of service.



Sec. 13.27  Computation of time.

    (a) In computing any period of time under this part or in an order 
issued thereunder, the time begins with the day following the act, 
event, or default, and includes the last day of the period, unless it is 
a Saturday, Sunday, or legal holiday observed by the Federal government, 
in which event it includes the next business day.
    (b) When the period of time allowed is less than seven days, 
intermediate Saturdays, Sundays, and legal holidays observed by the 
Federal government

[[Page 251]]

shall be excluded from the computation.
    (c) Where a document has been served or issued by placing it in the 
mail, an additional five days will be added to the time permitted for 
any response.



Sec. 13.28  Motions.

    (a) Any application to the ALJ for an order or ruling shall be by 
motion. Motions shall state the relief sought, the authority relied 
upon, and the facts alleged, and shall be filed with the ALJ and served 
on all other parties.
    (b) Except for motions made during a prehearing conference or at the 
hearing, all motions shall be in writing. The ALJ may require that oral 
motions be reduced to writing.
    (c) Within 15 days after a written motion is served, or such other 
time as may be fixed by the ALJ, any party may file a response to such 
motion.
    (d) The ALJ may not grant a written motion before the time for 
filing responses thereto has expired, except upon consent of the parties 
or following a hearing on the motion, but may overrule or deny such 
motion without awaiting a response.
    (e) The ALJ shall make a reasonable effort to dispose of all 
outstanding motions prior to the beginning of the hearing.



Sec. 13.29  Sanctions.

    (a) The ALJ may sanction a person, including any party or 
representative for--
    (1) Failing to comply with an order, rule, or procedure governing 
the proceeding;
    (2) Failing to prosecute or defend an action; or
    (3) Engaging in other misconduct that interferes with the speedy, 
orderly, or fair conduct of the hearing.
    (b) Any such sanction, including but not limited to those listed in 
paragraphs (c), (d), and (e) of this section, shall reasonably relate to 
the severity and nature of the failure or misconduct.
    (c) When a party fails to comply with an order, including an order 
for taking a deposition, the production of evidence within the party's 
control, or a request for admission, the ALJ may--
    (1) Draw an inference in favor of the requesting party with regard 
to the information sought;
    (2) In the case of requests for admission, deem each matter of which 
an admission is requested to be admitted;
    (3) Prohibit the party failing to comply with such order from 
introducing evidence concerning, or otherwise relying upon testimony 
relating to the information sought; and
    (4) Strike any part of the pleadings or other submissions of the 
party failing to comply with such request.
    (d) If a party fails to prosecute or defend an action under this 
part commenced by service of a notice of hearing, the ALJ may dismiss 
the action or may issue an initial decision imposing penalties and 
assessments.
    (e) The ALJ may refuse to consider any motion, request, response, 
brief or other document which is not filed in a timely fashion.



Sec. 13.30  The hearing and burden of proof.

    (a) The ALJ shall conduct a hearing on the record in order to 
determine whether the defendant is liable for a civil penalty or 
assessment under Sec. 13.3 and, if so, the appropriate amount of any 
such civil penalty or assessment considering any aggravating or 
mitigating factors.
    (b) The authority shall prove defendant's liability and any 
aggravating factors by a preponderance of the evidence.
    (c) The defendant shall prove any affirmative defenses and any 
mitigating factors by a preponderance of the evidence.
    (d) The hearing shall be open to the public unless otherwise ordered 
by the ALJ for good cause shown.



Sec. 13.31  Determining the amount of penalties and assessments.

    (a) In determining an appropriate amount of civil penalties and 
assessments, the ALJ and the authority head, upon appeal, should 
evaluate any circumstances that mitigate or aggravate the violation and 
should articulate in their opinions the reasons that support the 
penalties and assessments they impose. Because of the intangible

[[Page 252]]

costs of fraud, the expense of investigating such conduct, and the need 
to deter others who might be similarly tempted, ordinarily double 
damages and a significant civil penalty should be imposed.
    (b) Although not exhaustive, the following factors are among those 
that may influence the ALJ and the authority head in determining the 
amount of penalties and assessments to impose with respect to the 
misconduct (i.e., the false, fictitious, or fraudulent claims or 
statements) charged in the complaint:
    (1) The number of false, fictitious, or fraudulent claims or 
statements;
    (2) The time period over which such claims or statements were made;
    (3) The degree of the defendant's culpability with respect to the 
misconduct;
    (4) The amount of money or the value of the property, services, or 
benefit falsely claimed;
    (5) The value of the Government's actual loss as a result of the 
misconduct, including foreseeable consequential damages and the costs of 
investigation;
    (6) The relationship of the amount imposed as civil penalties to the 
amount of the Government's loss;
    (7) The potential or actual impact of the misconduct upon national 
defense, public health or safety, or public confidence in the management 
of Government programs and operations, including particularly the impact 
on the intended beneficiaries of such programs;
    (8) Whether the defendant has engaged in a pattern of the same or 
similar misconduct;
    (9) Whether the defendant attempted to conceal the misconduct;
    (10) The degree to which the defendant has involved others in the 
misconduct or in concealing it;
    (11) Where the misconduct of employees or agents is imputed to the 
defendant, the extent to which the defendant's practices fostered or 
attempted to preclude such misconduct;
    (12) Whether the defendant cooperated in or obstructed an 
investigation of the misconduct;
    (13) Whether the defendant assisted in identifying and prosecuting 
other wrongdoers;
    (14) The complexity of the program or transaction, and the degree of 
the defendant's sophistication with respect to it, including the extent 
of the defendant's prior participation in the program or in similar 
transactions;
    (15) Whether the defendant has been found, in any criminal, civil, 
or administrative proceeding to have engaged in similar misconduct or to 
have dealt dishonestly with the Government of the United States or of a 
State, directly or indirectly; and
    (16) The need to deter the defendant and others from engaging in the 
same or similar misconduct.
    (c) Nothing in this section shall be construed to limit the ALJ or 
the authority head from considering any other factors that in any given 
case may mitigate or aggravate the offense for which penalties and 
assessments are imposed.



Sec. 13.32  Location of hearing.

    (a) The hearing may be held--
    (1) In any judicial district of the United States in which the 
defendant resides or transacts business;
    (2) In any judicial district of the United States in which the claim 
or statement in issue was made; or
    (3) In such other place as may be agreed upon by the defendant and 
the ALJ.
    (b) Each party shall have the opportunity to present argument with 
respect to the location of the hearing.
    (c) The hearing shall be held at the place and at the time ordered 
by the ALJ.



Sec. 13.33  Witnesses.

    (a) Except as provided in paragraph (b) of this section, testimony 
at the hearing shall be given orally by witnesses under oath or 
affirmation.
    (b) At the discretion of the ALJ, testimony may be admitted in the 
form of a written statement or deposition. Any such written statement 
must be provided to all other parties along with the last known address 
of such witness, in a manner which allows sufficient time for other 
parties to subpoena such witness for cross-examination at the hearing. 
Prior written statements of witnesses proposed to testify at the hearing 
and deposition transcripts

[[Page 253]]

shall be exchanged as provided in Sec. 13.22(a).
    (c) The ALJ shall exercise reasonable control over the mode and 
order of interrogating witnesses and presenting evidence so as to--
    (1) Make the interrogation and presentation effective for the 
ascertainment of the truth;
    (2) Avoid needless consumption of time; and
    (3) Protect witnesses from harassment or undue embarrassment.
    (d) The ALJ shall permit the parties to conduct such cross-
examination as may be required for a full and true disclosure of the 
facts.
    (e) At the discretion of the ALJ, a witness may be cross-examined on 
matters relevant to the proceeding without regard to the scope of his or 
her direct examination. To the extent permitted by the ALJ, cross-
examination on matters outside the scope of direct examination shall be 
conducted in the manner of direct examination and may proceed by leading 
questions only if the witness is a hostile witness, an adverse party, or 
a witness identified with an adverse party.
    (f) Upon motion of any party, the ALJ shall order witnesses excluded 
so that they cannot hear the testimony of other witnesses. This rule 
does not authorize exclusion of--
    (1) A party who is an individual;
    (2) In the case of a party that is not an individual, an officer or 
employee of the party appearing for the entity pro se or designated by 
the party's representative; or
    (3) An individual whose presence is shown by a party to be essential 
to the presentation of its case, including an individual employed by the 
Government engaged in assisting the representative for the Government.



Sec. 13.34  Evidence.

    (a) The ALJ shall determine the admissibility of evidence.
    (b) Except as provided in this part, the ALJ shall not be bound by 
the Federal Rules of Evidence. However, the ALJ may apply the Federal 
Rules of Evidence where appropriate, e.g., to exclude unreliable 
evidence.
    (c) The ALJ shall exclude irrelevant and immaterial evidence.
    (d) Although relevant, evidence may be excluded if its probative 
value is substantially outweighed by the danger of unfair prejudice, 
confusion of the issues, or by considerations of undue delay or needless 
presentation of cumulative evidence.
    (e) Although relevant, evidence may be excluded if it is privileged 
under Federal law.
    (f) Evidence concerning offers of compromise or settlement shall be 
inadmissible to the extent provided in Rule 408 of the Federal Rules of 
Evidence.
    (g) The ALJ shall permit the parties to introduce rebuttal witnesses 
and evidence.
    (h) All documents and other evidence offered or taken for the record 
shall be open to examination by all parties, unless otherwise ordered by 
the ALJ pursuant to Sec. 13.24.



Sec. 13.35  The record.

    (a) The hearing will be recorded and transcribed. Transcripts may be 
obtained following the hearing from the ALJ at a cost not to exceed the 
actual cost of duplication.
    (b) The transcript of testimony, exhibits and other evidence 
admitted at the hearing, and all papers and requests filed in the 
proceeding constitute the record for the decision by the ALJ and the 
authority head.
    (c) The record may be inspected and copied (upon payment of a 
reasonable fee) by anyone, unless otherwise ordered by the ALJ pursuant 
to Sec. 13.24.



Sec. 13.36  Post-hearing briefs.

    The ALJ may require the parties to file post-hearing briefs. In any 
event, any party may file a post-hearing brief. The ALJ shall fix the 
time for filing such briefs, not to exceed 60 days from the date the 
parties receive the transcript of the hearing or, if applicable, the 
stipulated record. Such briefs may be accompanied by proposed findings 
of fact and conclusions of law. The ALJ may permit the parties to file 
reply briefs.



Sec. 13.37  Initial decision.

    (a) The ALJ shall issue an initial decision based only on the 
record, which

[[Page 254]]

shall contain findings of fact, conclusions of law, and the amount of 
any penalties and assessments imposed.
    (b) The findings of fact shall include a finding on each of the 
following issues:
    (1) Whether the claims or statements identified in the complaint, or 
any portions thereof, violate Sec. 13.3; and
    (2) If the person is liable for penalties or assessments, the 
appropriate amount of any such penalties or assessments considering any 
mitigating or aggravating factors that he or she finds in the case, such 
as those described in Sec. 13.31.
    (c) The ALJ shall promptly serve the initial decision on all parties 
within 90 days after the time for submission of post-hearing briefs and 
reply briefs (if permitted) has expired. The ALJ shall at the same time 
serve all parties with a statement describing the right of any defendant 
determined to be liable for a civil penalty or assessment to file a 
motion for reconsideration with the ALJ or a notice of appeal with the 
authority head. If the ALJ fails to meet the deadline contained in this 
paragraph, he or she shall notify the parties of the reason for the 
delay and shall set a new deadline.
    (d) Unless the initial decision of the ALJ is timely appealed to the 
authority head, or a motion for reconsideration of the initial decision 
is timely filed, the initial decision shall constitute the final 
decision of the authority head and shall be final and binding on the 
parties 30 days after it is issued by the ALJ.



Sec. 13.38  Reconsideration of initial decision.

    (a) Except as provided in paragraph (d) of this section, any party 
may file a motion for reconsideration of the initial decision within 20 
days of receipt of the initial decision. If service was made by mail, 
receipt will be presumed to be five days from the date of mailing in the 
absence of contrary proof.
    (b) Every such motion must set forth the matters claimed to have 
been erroneously decided and the nature of the alleged errors. Such 
motion shall be accompanied by a supporting brief.
    (c) Responses to such motions shall be allowed only upon request of 
the ALJ.
    (d) No party may file a motion for reconsideration of an initial 
decision that has been revised in response to a previous motion for 
reconsideration.
    (e) The ALJ may dispose of a motion for reconsideration by denying 
it or by issuing a revised initial decision.
    (f) If the ALJ denies a motion for reconsideration, the initial 
decision shall constitute the final decision of the authority head and 
shall be final and binding on the parties 30 days after the ALJ denies 
the motion, unless the initial decision is timely appealed to the 
authority head in accordance with Sec. 13.39.
    (g) If the ALJ issues a revised initial decision, that decision 
shall constitute the final decision of the authority head and shall be 
final and binding on the parties 30 days after it is issued, unless it 
is timely appealed to the authority head in accordance with Sec. 13.39.



Sec. 13.39  Appeal to authority head.

    (a) Any defendant who has filed a timely answer and who is 
determined in an initial decision to be liable for a civil penalty or 
assessment may appeal such decision to the authority head by filing a 
notice of appeal with the authority head in accordance with this 
section.
    (b)(1) A notice of appeal may be filed at any time within 30 days 
after the ALJ issues an initial decision. However, if another party 
files a motion for reconsideration under Sec. 13.38, consideration of 
the appeal shall be stayed automatically pending resolution of the 
motion for reconsideration.
    (2) If a motion for reconsideration is timely filed, a notice of 
appeal may be filed within 30 days after the ALJ denies the motion or 
issues a revised initial decision, whichever applies.
    (3) The authority head may extend the initial 30 day period for an 
additional 30 days if the defendant files with the authority head a 
request for an extension within the initial 30 day period and shows good 
cause.
    (c) If the defendant files a timely notice of appeal with the 
authority head and the time for filing motions for reconsideration under 
Sec. 13.38 has expired,

[[Page 255]]

the ALJ shall forward the record of the proceeding to the authority 
head.
    (d) A notice of appeal shall be accompanied by a written brief 
specifying exceptions to the initial decision and reasons supporting the 
exceptions.
    (e) The representative for the Government may file a brief in 
opposition to exceptions within 30 days of receiving the notice of 
appeal and accompanying brief.
    (f) There is no right to appear personally before the authority 
head.
    (g) There is no right to appeal any interlocutory ruling by the ALJ.
    (h) In reviewing the initial decision, the authority head shall not 
consider any objection that was not raised before the ALJ unless a 
demonstration is made of extraordinary circumstances causing the failure 
to raise the objection.
    (i) If any party demonstrates to the satisfaction of the authority 
head that additional evidence not presented at each hearing is material 
and that there were reasonable grounds for the failure to present such 
evidence at such hearing, the authority head shall remand the matter to 
the ALJ for consideration of such additional evidence.
    (j) The authority head may affirm, reduce, reverse, compromise, 
remand, or settle any penalty or assessment, determined by the ALJ in 
any initial decision.
    (k) The authority head shall promptly serve each party to the appeal 
with a copy of the decision of the authority head and a statement 
describing the right of any person determined to be liable for a penalty 
or assessment to seek judicial review.
    (l) Unless a petition for review is filed as provided in 31 U.S.C. 
3805 after a defendant has exhausted all administrative remedies under 
this part and within 60 days after the date on which the authority head 
serves the defendant with a copy of the authority head's decision, a 
determination that a defendant is liable under Sec. 13.3 is final and is 
not subject to judicial review.



Sec. 13.40  Stays ordered by the Department of Justice.

    If at any time the Attorney General or an Assistant Attorney General 
designated by the Attorney General transmits to the authority head a 
written finding that continuation of the administrative process 
described in this part with respect to a claim or statement may 
adversely affect any pending or potential criminal or civil action 
related to such claim or statement, the authority head shall stay the 
process immediately. The authority head may order the process resumed 
only upon receipt of the written authorization of the Attorney General.



Sec. 13.41  Stay pending appeal.

    (a) An initial decision is stayed automatically pending disposition 
of a motion for reconsideration or of an appeal to the authority head.
    (b) No administrative stay is available following a final decision 
of the authority head.



Sec. 13.42  Judicial review.

    Section 3805 of title 31, United States Code, authorizes judicial 
review by an appropriate United States District Court of a final 
decision of the authority head imposing penalties or assessments under 
this part and specifies the procedures for such review.



Sec. 13.43  Collection of civil penalties and assessments.

    Sections 3806 and 3808(b) of title 31, United States Code, authorize 
actions for collection of civil penalties and assessments imposed under 
this part and specify the procedures for such actions.



Sec. 13.44  Right to administrative offset.

    The amount of any penalty or assessment which has become final, or 
for which a judgment has been entered under Sec. 13.42 or Sec. 13.43, or 
any amount agreed upon in a compromise or settlement under Sec. 13.46, 
may be collected by administrative offset under 31 U.S.C. 3716, except 
that an administrative offset may not be made under this subsection 
against a refund of an overpayment of Federal taxes, then or later owing 
by the United States to the defendant.



Sec. 13.45  Deposit in Treasury of United States.

    All amounts collected pursuant to this part shall be deposited as 
miscellaneous receipts in the Treasury of

[[Page 256]]

the United States, except as provided in 31 U.S.C. 3806(g).



Sec. 13.46  Compromise or settlement.

    (a) Parties may make offers of compromise or settlement at any time.
    (b) The reviewing official has the exclusive authority to compromise 
or settle a case under this part at any time after the date on which the 
reviewing official is permitted to issue a complaint and before the date 
on which the ALJ issues an initial decision.
    (c) The authority head has exclusive authority to compromise or 
settle a case under this part at any time after the date on which the 
ALJ issues an initial decision, except during the pendency of any review 
under Sec. 13.42 or during the pendancy of any action to collect 
penalties and assessments under Sec. 13.43.
    (d) The Attorney General has exclusive authority to compromise or 
settle a case under this part during the pendancy of any review under 
Sec. 13.42 or of any action to recover penalties and assessments under 
31 U.S.C. 3806.
    (e) The investigating officer may recommend settlement terms to the 
reviewing official, the authority head, or the Attorney General, as 
appropriate. The reviewing official may recommend settlement terms to 
the authority head, or the Attorney General, as appropriate.
    (f) Any compromise or settlement must be in writing.



Sec. 13.47  Limitations.

    (a) The notice of hearing with respect to a claim or statement must 
be served in the manner specified in Sec. 13.8 within 6 years after the 
date on which such claim or statement is made.
    (b) If the defendant fails to serve a timely answer, service of a 
notice under Sec. 13.10(b) shall be deemed a notice of hearing for 
purposes of this section.
    (c) The statute of limitations may be extended by agreement of the 
parties.



PART 14--ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT--Table of Contents




                           Subpart A--General

Sec.
14.1  Scope of regulations.
14.3  Limit on attorney fees; penalty.

              Subpart B--Filing Procedures and Requirements

14.11  Who may file a claim.
14.13  When is a claim presented to NRC.
14.15  Where to present a claim to NRC.
14.17  A claim must be presented to the appropriate agency.
14.19  When a claim is filed with more than one agency.
14.21  Filing a claim after an agency final denial.
14.23  Evidence and information to be submitted.
14.25  Amending a claim.
14.27  Time limit.

               Subpart C--Commission Action and Authority

14.31  Investigation.
14.33  Officials authorized to act.
14.35  Limitation on NRC's authority.
14.37  Final denial of claim.
14.39  Reconsideration of a claim.
14.41  Payment of approved claims.
14.43  Acceptance of payment constitutes release.

                       Subpart D--Employee Drivers

14.51  Procedures when employee drivers are sued.
14.53  Scope of employment report.
14.55  Removal of State court proceedings.
14.57  Suit against the United States exclusive remedy.

    Authority: Sec. 1, 80 Stat. 306 (28 U.S.C. 2672); sec. 2679, 62 
Stat. 984 as amended (28 U.S.C. 2679); sec. 161, 68 Stat. 948 as amended 
(42 U.S.C. 2201); 28 CFR 14.11.

    Source: 47 FR 8983, Mar. 3, 1982, unless otherwise noted.



                           Subpart A--General



Sec. 14.1  Scope of regulations.

    (a) The terms ``Nuclear Regulatory Commission'' and ``NRC'' as used 
in this part mean the agency established by section 201(a) of the Energy 
Reorganization Act of 1974, but do not include any contractor with the 
Nuclear Regulatory Commission.
    (b) The regulations in this part supplement the Department of 
Justice's regulations in 28 CFR parts 14 and 15.
    (c) These regulations apply to administrative claims under the 
Federal Tort Claims Act, as amended, asserted on or after the effective 
date of this rule, for money damages against the United

[[Page 257]]

States for damage to or loss of property or personal injury or death 
caused by the negligent or wrongful act or omission of any employee of 
the NRC while acting within the scope of his or her office or 
employment, under circumstances where the United States, if a private 
person, would be liable to the claimant in accordance with the law of 
the place where the act or omission occurred.
    (d) These regulations also set forth the procedures when lawsuits 
are commenced against an employee of the NRC resulting from the 
operation of a motor vehicle while acting within the scope of his or her 
employment.



Sec. 14.3  Limit on attorney fees; penalty.

    (a) An attorney may not charge or receive fees in excess of:
    (1) 25 percent of any judgment rendered under 28 U.S.C. 1346(b);
    (2) 25 percent of any settlement made under 28 U.S.C. 2677; or
    (3) 20 percent of any award, compromise, or settlement made under 28 
U.S.C. 2672.
    (b) Any attorney who charges or receives any amount in excess of 
that allowed under this section is subject to a fine of not more than 
$2,000 or imprisonment for not more than one year, or both. (28 U.S.C. 
2678)



              Subpart B--Filing Procedures and Requirements



Sec. 14.11  Who may file a claim.

    (a) A claim for damage to or loss of property may be presented by 
the owner of the property interest which is the subject of the claim, 
his or her duly authorized agent, or his or her legal representative.
    (b) A claim for personal injury may be presented by the injured 
person, his or her duly authorized agent, or his or her legal 
representative.
    (c) A claim based on death may be presented by the executor or 
administrator of the decedent's estate, or by any other person legally 
entitled to assert the claim under applicable State law.
    (d) A claim for loss wholly compensated by an insurer with the 
rights of a subrogee may be presented by the insurer. A claim for loss 
partially compensated by an insurer with the rights of a subrogee may be 
presented by the insurer or the insured individually, to the extent of 
their respective interests, or jointly. Whenever an insurer presents a 
claim asserting the rights of a subrogee, the insurer shall present with 
the claim appropriate evidence that the insurer has the rights of a 
subrogee.
    (e) If a claim is presented by an agent or legal representative that 
person shall:
    (1) Present the claim in the name of the claimant;
    (2) Sign the claim;
    (3) Show the title or legal capacity of the person signing the 
claim; and
    (4) Include with the claim evidence of his or her authority to 
present a claim on behalf of the claimant as agent, executor, 
administrator, parent, guardian, or other representative.



Sec. 14.13  When is a claim presented to NRC.

    For purposes of the provisions of 28 U.S.C. 2672, a claim is 
presented when NRC receives from a claimant, or the claimant's duly 
authorized agent or legal representative, an executed Standard Form 95 
or other written notification of an incident. An executed Standard Form 
95 or written notification must be accompanied by a claim for money 
damages in a sum certain for damage to or loss of property, personal 
injury, or death alleged to have occurred by reason of the incident.



Sec. 14.15  Where to present a claim to NRC.

    A claimant shall mail or deliver the claim to the office of 
employment of the NRC employee whose negligent or wrongful act or 
omission is alleged to have caused the loss or injury. If the office of 
employment is not known, the claimant shall file the claim with the 
Office of the General Counsel, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555.

[47 FR 8983, Mar. 3, 1982, as amended at 51 FR 35999, Oct. 8, 1986]



Sec. 14.17  A claim must be presented to the appropriate agency.

    A claimant shall present the claim to the Federal agency whose 
activities

[[Page 258]]

gave rise to the claim. If a claim is erroneously presented to the NRC, 
the NRC shall transfer it to the appropriate agency, if the proper 
agency can be identified from the claim, and shall advise the claimant 
of the transfer. If transfer is not feasible, the NRC shall return the 
claim to the claimant. The fact of transfer does not, in itself, 
preclude further transfer, return of the claim to the claimant, or other 
appropriate disposition of the claim. A claim shall be presented, as 
required by 28 U.S.C. 2401(b), as of the date it is received by the 
appropriate agency.



Sec. 14.19  When a claim is filed with more than one agency.

    (a) If the NRC and one or more other Federal agencies is or may be 
involved in the events giving rise to the claim, and if the claim is 
filed with the NRC, the NRC shall contact all other affected agencies in 
order to designate the single agency which will investigate and decide 
the merits of the claim.
    (1) In the event that an agreed upon designation cannot be made by 
the affected agencies, the Department of Justice will be consulted and 
will designate a primary agency to investigate and decide the merits of 
the claim. If the NRC is designated as the primary agency, it shall 
notify the claimant that all future correspondence concerning the claim 
shall be directed to the NRC.
    (2) All involved Federal agencies can agree either to conduct their 
own administrative reviews and to coordinate the results or to have the 
investigations conducted by the primary agency. In either event, the 
primary agency is responsible for the final determination of the claim.
    (b) A claimant presenting a claim arising from an incident to more 
than one agency should identify each agency to which the claim is 
submitted at the time each claim is presented. If a claim arising from 
an incident is presented to more than one Federal agency without any 
indication that more than one agency is involved, and any one of the 
concerned Federal agencies takes final action on that claim, the final 
action is conclusive on the claims presented to the other agencies in 
regard to the time required for filing suit set forth in 28 U.S.C. 
2401(b). However, if NRC, as a subsequently involved Federal agency, 
desires to take further action with a view towards settling the claim, 
the NRC may treat the matter as a request for reconsideration of the 
final denial under 10 CFR 14.39, unless suit has been filed in the 
interim, and advise the claimant of the action.



Sec. 14.21  Filing a claim after an agency final denial.

    If, after a final denial by another agency, the claimant files with 
the NRC a claim arising out of the same incident on which the claim 
filed with the other agency was based, the submission of the claim to 
NRC will not toll the requirement of 28 U.S.C. 2401(b) that suit must be 
filed within six months of the final denial by the other agency, unless 
the other agency specifically and explicitly treats the submission to 
NRC as a request for reconsideration under 10 CFR 14.39 and advises the 
claimant of the action.



Sec. 14.23  Evidence and information to be submitted.

    (a) Death. In support of a claim based on death, the claimant may be 
required to submit the following evidence or information:
    (1) An authenticated death certificate or other competent evidence 
showing cause of death, date of death, and age of decedent.
    (2) Decedent's employment or occupation at time of death, including 
his or her monthly or yearly salary or earnings (if any), and the 
duration of his or her last employment or occupation.
    (3) Full names, addresses, birth dates, kinship, and marital status 
of the decedent's survivors, including identification of those survivors 
who were dependent for support upon the decedent at the time of death.
    (4) Degree of support afforded by the decedent to each survivor 
dependent upon him or her for support at the time of death.
    (5) Decedent's general physical and mental condition before death.
    (6) Itemized bills for medical and burial expenses incurred by 
reason of the

[[Page 259]]

incident causing death, or itemized receipts of payment for these 
expenses.
    (7) If damages for pain and suffering prior to death are claimed, a 
physician's detailed statement specifying the injuries suffered, 
duration of pain and suffering, any drugs administered for pain, and the 
decedent's physical condition in the interval between injury and death.
    (8) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the death or the 
amount of damages claimed.
    (b) Personal injury. In support of a claim for personal injury, 
including pain and suffering, the claimant may be required to submit the 
following evidence or information:
    (1) A written report by the attending physician or dentist setting 
forth the nature and extent of the injury, nature and extent of 
treatment, any degree of temporary or permanent disability and 
prognosis, period of hospitalization, and any diminished earning 
capacity. In addition, the claimant may be required to submit to a 
physical or mental examination by a physician employed by the NRC or 
another Federal agency. The claimant may request in writing a copy of 
the report of the examining physician if the claimant has:
    (i) Furnished the report referred to in paragraph (a)(1) of this 
section on request; and
    (ii) Made or agrees to make available to the NRC all other reports 
of the claimant's physical or mental condition which have been or are 
made by any physician.
    (2) Itemized bills for medical, dental, and hospital expenses 
incurred, or itemized receipts of payment for these expenses.
    (3) If the prognosis reveals the necessity for future treatment, a 
statement of expected expenses for the treatment.
    (4) If a claim is made for loss of time from employment, a written 
statement from his or her employer showing actual time lost from 
employment, whether he or she is a full- or part-time employee, and 
wages or salary actually lost.
    (5) If a claim is made for loss of income and the claimant is self-
employed, documentary evidence showing the amount of earnings actually 
lost.
    (6) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the personal injury 
or the damages claimed.
    (c) Property damage. In support of a claim for damage to or loss of 
property, real or personal, the claimant may be required to submit the 
following evidence or information:
    (1) Proof of ownership of the property interest which is the subject 
of the claim.
    (2) A detailed statement of the amount claimed with respect to each 
item of property.
    (3) An itemized receipt of payment for necessary repairs or itemized 
written estimates of the cost of these repairs.
    (4) A statement listing date of purchase, purchase price, and 
salvage value, where repair is not economical.
    (5) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the injury to or loss 
of property or the damages claimed.



Sec. 14.25  Amending a claim.

    The claimant may amend a claim presented in compliance with 10 CFR 
14.13 at any time prior to final agency action or prior to the exercise 
of the claimant's option under 28 U.S.C. 2675(a). The claimant or his or 
her duly authorized agent or legal representative shall sign each 
amendment and submit it in writing. Upon the timely filing of an 
amendment to a pending claim, the agency shall have six months in which 
to make a final disposition of the claim as amended and the claimant's 
option under 28 U.S.C. 2675(a) does not accrue until six months after 
the filing of an amendment.



Sec. 14.27  Time limit.

    The claimant shall furnish evidence and information of the types 
described in 10 CFR 14.23, to the extent reasonably practicable, when 
the claim is initially presented. If the claimant fails to furnish 
sufficient evidence and information within six months after the claim 
was initially presented to enable

[[Page 260]]

NRC to adjust, determine, compromise and settle the claim, NRC may 
consider the claim a nullity.



               Subpart C--Commission Action and Authority



Sec. 14.31  Investigation.

    The NRC may:
    (a) Require the claimant to furnish any evidence or information 
which is relevant to its consideration of the claim;
    (b) Examine the claimant; or
    (c) Investigate, or request any other Federal agency to investigate, 
a claim filed under this part.



Sec. 14.33  Officials authorized to act.

    The General Counsel or the General Counsel's designee shall exercise 
the authority to adjust, determine, compromise and settle a claim under 
the provisions of 28 U.S.C. 2672.

[51 FR 35999, Oct. 8, 1986]



Sec. 14.35  Limitation on NRC's authority.

    (a) The NRC shall effect an award, compromise, or settlement of a 
claim hereunder in excess of $25,000 only with the prior written 
approval of the Attorney General or his designee. For the purposes of 
this paragraph, a principal claim and any derivative or subrogated claim 
are treated as a single claim.
    (b) The NRC may adjust, determine, compromise, or settle a claim 
under this part only after consultation with the Department of Justice 
if, in the opinion of the Office of the General Counsel:
    (1) A new precedent or a new point of law is involved;
    (2) A question of policy is or may be involved;
    (3) The United States is or may be entitled to indemnity or 
contribution from a third party and the NRC is unable to adjust the 
third party claim; or
    (4) The compromise of a particular claim, as a practical matter, 
will or may control the disposition of a related claim in which the 
amount to be paid may exceed $25,000.
    (c) The NRC may adjust, determine, compromise, or settle a claim 
under this part only after consultation with the Department of Justice 
if the NRC is informed or is otherwise aware that the United States, or 
an employee, agent, or cost-plus contractor of the United States, is 
involved in litigation based on a claim arising out of the same incident 
or transaction.
    (d) When Department of Justice approval or consultation is required 
under this section or the advice of the Department of Justice is 
otherwise requested, the NRC shall direct the referral or request to the 
Assistant Attorney General, Civil Division, Department of Justice, in 
writing. The NRC shall ensure that the referral or request contains:
    (1) A short and concise statement of the facts and the reasons for 
the referral or request;
    (2) Copies of relevant portions of NRC's claim file; and
    (3) A statement of the recommendations or views of the NRC.

A referral or request to the Department of Justice may be made at any 
time after presentment of a claim to the NRC.

[47 FR 8983, Mar. 3, 1982, as amended at 51 FR 51 FR 35999, Oct. 8, 
1986]



Sec. 14.37   Final denial of claim.

    The NRC shall send notice of a final denial of a claim in writing to 
the claimant, his or her attorney or legal representative, by certified 
or registered mail. The notification of final denial may include a 
statement of the reasons for the denial. The NRC shall include a 
statement in the notification of final denial that, if the claimant is 
dissatisfied with NRC's action, he or she may file suit in an 
appropriate U.S. District Court not later than 6 months after the date 
of mailing of the notification.



Sec. 14.39  Reconsideration of a claim.

    Prior to the commencement of suit and prior to the expiration of the 
6-month period provided in 28 U.S.C. 2401(b), a claimant, or his or her 
duly authorized agent, or legal representative, may file a written 
request with the NRC for reconsideration of a final denial of a claim. 
Upon the timely filing of a request for reconsideration, the NRC shall 
have 6 months from the date of filing in which to make a final

[[Page 261]]

disposition of the claim, and the claimant's option under 28 U.S.C. 
2675(a) does not accrue until 6 months after the filing of a request for 
reconsideration. Final NRC action on a request for reconsideration shall 
be effected in accordance with the provisions of 10 CFR 14.37.



Sec. 14.41  Payment of approved claims.

    (a) The NRC shall pay any award, compromise, or settlement in an 
amount of $2,500 or less made under the provisions of 28 U.S.C. 2672 out 
of the appropriations available to it. The NRC shall obtain payment of 
any award, compromise, or settlement in excess of $2,500 from the 
Department of the Treasury by forwarding Standard Form 1145 to the 
Payment Branch, Claims Group, General Accounting Office. If an award, 
compromise, or settlement is in excess of $25,000, Standard Form 1145 
must be accompanied by evidence that the award, compromise, or 
settlement has been approved by the Attorney General or the Attorney 
General's designee. When the use of Standard Form 1145 is required, it 
must be executed by the claimant or it must be accompanied by either a 
claims settlement agreement or a Standard Form 95 executed by the 
claimant.
    (b) If a claimant is represented by an attorney, the voucher for 
payment must designate both the claimant and his or her attorney as 
payees, and the check must be delivered to the attorney whose address 
appears on the voucher.



Sec. 14.43  Acceptance of payment constitutes release.

    Acceptance by the claimant, his agent, or legal representative, of 
any award, compromise, or settlement made under the provisions of 28 
U.S.C. 2672 or 2677, is final and conclusive on the claimant, his or her 
agent or legal representative and any other person on whose behalf or 
for whose benefit the claim has been presented. Acceptance constitutes a 
complete release of any claim against the United States and against any 
employee of the Government whose act or omission gave rise to the claim.



                       Subpart D--Employee Drivers



Sec. 14.51  Procedures when employee drivers are sued.

    (a) Any NRC employee against whom a civil action or proceeding is 
brought for damage to property, or for personal injury or death, on 
account of the employee's operation of a motor vehicle in the scope of 
his or her office or employment with the NRC, shall promptly deliver all 
process and pleadings served upon the employee, or an attested true 
copy, to the Office of the General Counsel. If the action is brought 
against an employee's estate, this procedure applies to the employee's 
personal representative.
    (b) In addition, upon the employee's receipt of any process or 
pleadings, or any prior information regarding the commencement of a 
civil action or proceeding, the employee shall immediately advise the 
Office of the General Counsel by telephone or telegraph.

[47 FR 8983, Mar. 3, 1982, as amended at 51 FR 35999, Oct. 8, 1986]



Sec. 14.53  Scope of employment report.

    A report containing all data bearing upon the question whether the 
employee was acting within the scope of his or her office or employment 
will be furnished by the General Counsel or designee to the United 
States Attorney for the district encompassing the place where the civil 
action or proceeding is brought. A copy of the report also will be 
furnished to the Director of the Torts Branch, Civil Division, 
Department of Justice, at the earliest possible date, or within the time 
specified by the United States Attorney.

[51 FR 35999, Oct. 8, 1986]



Sec. 14.55  Removal of State court proceedings.

    Upon a certification by the United States Attorney that the 
defendant employee was acting within the scope of his or her office or 
employment at the time of the incident out of which the suit arose, any 
civil action or proceeding commenced in a State court may be removed to 
the district court of the United States for the district and division 
encompassing the place where

[[Page 262]]

the action or proceeding is pending in accordance with 28 U.S.C. 2679.



Sec. 14.57  Suit against United States exclusive remedy.

    The remedy against the United States provided by 28 U.S.C. 1346(b) 
and 2672 for damage to or loss of property or personal injury or death, 
resulting from the operation by an employee of the Government of any 
motor vehicle while acting within the scope of his or her office or 
employment, is exclusive of any other civil action or proceeding by 
reason of the same subject matter against the employee or his or her 
estate whose act or omission gave rise to the claim.



PART 15--DEBT COLLECTION PROCEDURES--Table of Contents




                   Subpart A--Application and Coverage

Sec.
15.1  Application.
15.2  Definitions.
15.3  Communications.
15.5  Claims that are covered.
15.7  Monetary limitation on NRC's authority.
15.9  Omissions not a defense.
15.11  Conversion claims.
15.13  Subdivision of claims.

             Subpart B--Administrative Collection of Claims

15.21  Written demands for payment.
15.23  Telephone inquiries and investigations.
15.25  Personal interviews.
15.26  Use of consumer reporting agencies.
15.27  Contact with debtor's employing agency.
15.29  Suspension or revocation of license.
15.31  Disputed debts.
15.32  Contracting for collection services.
15.33  Collection by administrative offset.
15.35  Payments.
15.37  Interest, penalties, and administrative costs.
15.38  Use of credit reports.
15.39  Bankruptcy claims.

                    Subpart C--Compromise of a Claim

15.41  When a claim may be compromised.
15.43  Reasons for compromising a claim.
15.45  Restrictions on the compromise of a claim.
15.47  Finality of a compromise.

        Subpart D--Suspension or Termination of Collection Action

15.51  When collection action may be suspended or terminated.
15.53  Reasons for suspending collection action.
15.55  Reasons for terminating collection action.
15.57  Termination of collection action.
15.59  Transfer of a claim.

                     Subpart E--Referral of a Claim

15.61  Prompt referral.
15.65  Referral of a compromise offer.
15.67  Referral to the Department of Justice.

    Authority: Secs. 161, 186, 68 Stat. 948, 955, as amended (42 U.S.C. 
2201, 2236); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); sec. 
3, Pub. L. 89-508, 80 Stat. 308, as amended (31 U.S.C. 3711, 3717, 
3718); sec. 1, Pub. L. 97-258, 96 Stat. 972 (31 U.S.C. 3713); sec. 5, 
Pub. L. 89-508, 80 Stat. 308, as amended (31 U.S.C. 3716); Pub. L. 97-
365, 96 Stat. 1749 (31 U.S.C. 3701-3719); Federal Claims Collection 
Standards, 4 CFR parts 101-105.


    Source: 47 FR 7616, Feb. 22, 1982, unless otherwise noted.



                   Subpart A--Application and Coverage



Sec. 15.1  Application.

    (a) This part applies to claims for the payment of debts owed to the 
United States Government in the form of money or property and; unless a 
different procedure is specified in a statute, regulation, or contract; 
prescribes procedures by which the NRC--
    (1) Collects, compromises, suspends, and terminates collection 
actions for claims;
    (2) Determines and collects interest and other charges on these 
claims; and
    (3) Refers unpaid claims to the General Accounting Office (GAO) and 
the Department of Justice (DOJ) for litigation.
    (b) The following are examples of kinds of debts to which special 
statutory and administrative procedures apply:
    (1) A claim against an employee for erroneous payment of pay and 
allowances subject to waiver under 5 U.S.C. 5584 are covered by the 
provisions of 10 CFR part 16.
    (2) A claim against an applicant for, or a holder or former holder 
of, an NRC

[[Page 263]]

license involving the payment of civil penalties imposed by the NRC 
under 10 CFR 2.205.
    (3) A claim involved in a case pending before any Federal Contract 
Appeals Board or Grant Appeals Board. However, nothing in this part 
prevents negotiation and settlement of a claim pending before a Board.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32377, Aug. 9, 1990; 56 
FR 51830, Oct. 16, 1991]



Sec. 15.2  Definitions.

    Administrative offset means withholding money payable by the United 
States Government to, or held by the Government for, a person to satisfy 
a debt the person owes the United States Government.
    Claim and debt are used synonymously and interchangeably for the 
purposes of this part. These terms refer to money or property which has 
been determined by an appropriate NRC official to be owed to the United 
States by any person, organization, or entity, except another Federal 
agency.
    Delinquent. A debt is considered delinquent if it has not been paid 
by the date specified in the initial written demand for payment or 
applicable contractual agreement with the NRC unless other satisfactory 
payment arrangements have been made by that date. If the debtor fails to 
satisfy obligations under a payment agreement with the NRC after other 
payment arrangements have been made, the debt becomes a delinquent debt.
    License means any license, permit, or other approval issued by the 
Commission.
    Payment in full means payment of the total debt due the United 
States, including any interest, penalty, and administrative costs of 
collection assessed against the debtor.
    Salary offset means an administrative offset to collect a debt under 
5 U.S.C. 5514 by deduction(s) at one or more officially established pay 
intervals from the current pay account of an employee without his/her 
consent.

[55 FR 32377, Aug. 9, 1990, as amended at 56 FR 51830, Oct. 16, 1991]



Sec. 15.3  Communications.

    Unless otherwise specified, all communications concerning the 
regulations in this part should be addressed to the Secretary, U.S. 
Nuclear Regulatory Commission, Washington DC 20555, ATTN: Docketing and 
Service Branch. Communications may be delivered in person to the 
Commission's offices located at 11555 Rockville Pike, One White Flint 
North, Rockville, Maryland 20852.


[55 FR 32377, Aug. 9, 1990]



Sec. 15.5  Claims that are covered.

    (a) These procedures generally apply to any claim for payment of a 
debt which:
    (1) Results from activities of the NRC, including fees imposed under 
part 170 and part 171; or
    (2) Is referred to the NRC for collection.
    (b) These procedures do not apply to:
    (1) A claim based on a civil monetary penalty for violation of a 
licensing requirement unless Sec. 2.205 of this chapter provides 
otherwise;
    (2) A claim as to which there is an indication of fraud, the 
presentation of a false claim, or misrepresentation on the part of the 
debtor or any other party having an interest in the claim;
    (3) A claim based in whole or in part on conduct in violation of the 
antitrust laws;
    (4) A tax claim, as to which differing exemptions, administrative 
considerations, enforcement considerations, and statutes apply.
    (5) A claim between Federal agencies; and
    (6) A claim once it becomes subject to salary offset under 5 U.S.C. 
5514. These claims are subject to the provisions of 10 CFR part 16.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32377, Aug. 9, 1990; 56 
FR 51830, Oct. 16, 1991]



Sec. 15.7  Monetary limitation on NRC's authority.

    The NRC's authority to compromise a claim, or to terminate or 
suspend collection action on a claim covered by these procedures, is 
limited by 31 U.S.C. 3711(a) to claims that--

[[Page 264]]

    (a) Have not been referred to another Federal Agency, including the 
GAO, for further collection action; and
    (b) Do not exceed $20,000, exclusive of interest, penalties, and 
administrative costs (the monetary limitation).

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990]



Sec. 15.9  Omissions not a defense.

    (a) The failure of the NRC to include in this part any provision of 
the Federal Claims Collection Standards, 4 CFR parts 101-105, does not 
prevent the NRC from applying these provisions.
    (b) A debtor may not use the failure of the NRC to comply with any 
provision of this part or of the Federal Claims Collections Standards as 
a defense.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990]



Sec. 15.11  Conversion claims.

    These procedures are directed primarily to the recovery of money on 
behalf of the Government. The NRC may demand:
    (a) The return of specific property; or
    (b) Either the return of property or the payment of its value.



Sec. 15.13  Subdivision of claims.

    The NRC shall consider a debtor's liability arising from a 
particular transaction or contract as a single claim in determining 
whether the claim is less than the monetary limitation for the purpose 
of compromising or suspending or terminating collection action. A claim 
may not be subdivided to avoid the monetary limitation established by 31 
U.S.C. 3711(a)(2) and Sec. 15.7.


[55 FR 32378, Aug. 9, 1990]



             Subpart B--Administrative Collection of Claims



Sec. 15.21  Written demands for payment.

    (a) The NRC shall make appropriate written demands upon the debtor 
for payment of money or the return of specific property in terms which 
specify:
    (1) The basis of the indebtedness and the right of the debtor to 
seek review within the NRC;
    (2) The amount claimed;
    (3) A description of any property which is to be returned by a date 
certain;
    (4) The date on which payment is to be made (which is normally the 
date the initial written demand letter statement was mailed or hand 
delivered, unless otherwise specified by contractual agreement, 
established by Federal statute or regulation, or agreed to under a 
payment agreement);
    (5) The applicable standards for assessing interest, penalties, and 
administrative costs under 4 CFR 102.13;
    (6) The applicable policy for reporting the delinquent debt to 
consumer reporting agencies.
    (b) Unless a debtor is a current NRC employee, the NRC shall 
normally send three progressively stronger written demands at not more 
than 30-day intervals, unless circumstances indicate that alternative 
remedies better protect the Government's interest, that the debtor has 
explicitly refused to pay, or that sending a further demand is futile. 
Depending upon the circumstances of the particular case, the second and 
third demands may--
    (1) Offer or seek to confer with the debtor;
    (2) State the amount of the interest and penalties that will be 
added on a daily basis as well as the administrative costs that will be 
added to the debt until the debt is paid; and
    (3) State that the authorized collection procedures include any 
procedure authorized in this part including:
    (i) Contacts with the debtor's employer when the debtor is employed 
by the Federal Government or is a member of the military establishment 
or the Coast Guard;
    (ii) Possible referral of the debt to a private agency for 
collection;
    (iii) Possible reporting of the delinquent debt to consumer 
reporting agencies in accordance with the guidance and standards 
contained in 4 CFR 102.5 and the NRC procedures set forth in Sec. 15.26;
    (iv) The suspension or revocation of a license or other remedy under 
Sec. 15.29;
    (v) Installment payments possibly requiring security; and
    (vi) The right to refer the claim to the GAO or the DOJ for 
litigation.

[[Page 265]]

    (c) The NRC shall normally send only one written demand to a debtor 
who is a current NRC employee. The procedure described in Sec. 15.33 and 
10 CFR part 16 will be followed if full payment is not received either 
30 days from the date the initial written demand was mailed or hand 
delivered. If the NRC cannot obtain full payment by following the 
procedures described in Sec. 15.33 and 10 CFR part 16, the NRC may 
follow other collection procedures described in this subpart.
    (d) The failure to state in a letter of demand a matter described in 
Sec. 15.21 is not a defense for a debtor and does not prevent the NRC 
from proceeding with respect to that matter.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990; 56 
FR 51830, Oct. 16, 1991]



Sec. 15.23  Telephone inquiries and investigations.

    (a) If a debtor has not responded to one or more written demands, 
the NRC shall make reasonable efforts by telephone to determine the 
debtor's intentions. If the debtor cannot be reached by telephone at the 
debtor's place of employment, the NRC may telephone the debtor at his or 
her residence between 7:00 a.m. and 10:00 p.m.
    (b) The NRC may undertake an investigation to locate a debtor if the 
whereabouts of a debtor is a problem, or if a debtor cannot be contacted 
by telephone.
    (c) The NRC, under 15 U.S.C. 1681(f), may obtain consumer credit 
information from private firms, including the name, address, former 
addresses, place of employment, and former places of employment of a 
debtor.



Sec. 15.25  Personal interviews.

    (a) The NRC may seek an interview with the debtor at the offices of 
the NRC when--
    (1) A matter involved in the claim needs clarification;
    (2) Information is needed concerning the debtor's circumstances; or
    (3) An agreement for payment might be negotiated.
    (b) The NRC shall grant an interview with a debtor upon the debtor's 
request. The NRC will not reimburse a debtor's interview expenses.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990]



Sec. 15.26  Use of consumer reporting agencies.

    (a) In addition to assessing interest, penalties, and administrative 
costs under Sec. 15.37, the NRC may report a debt that has been 
delinquent for 90 days to a consumer reporting agency if all the 
conditions of this paragraph are met.
    (1) The debtor has not--
    (i) Paid or agreed to pay the debt under a written payment plan that 
has been signed by the debtor and agreed to by the NRC; or
    (ii) Filed for review of the debt under Sec. 15.26 (a)(2)(iv).
    (2) The NRC has included a notification in the third written demand 
(see Sec. 15.21(b)) to the individual debtor stating--
    (i) That the payment of the debt is delinquent;
    (ii) That, within not less than 60 days after the date of the 
notification, the NRC intends to disclose to a consumer reporting agency 
that the individual debtor is responsible for the debt;
    (iii) The specific information to be disclosed to the consumer 
reporting agency; and
    (iv) That the debtor has a right to a complete explanation of the 
debt (if that has not already been given), to dispute information in NRC 
records about the debt, and to request reconsideration of the debt by 
administrative appeal or review of the debt.
    (3) The NRC has sent at least one written demand by either 
registered or certified mail with the notification described in 
paragraph (a)(2) of this section.
    (4) The NRC has reconsidered its initial decision on the debt when 
the debtor has requested a review under Sec. 15.26(a)(2)(iv).
    (5) The NRC has taken reasonable action to locate a debtor for whom 
the NRC does not have a current address to send the notification 
provided for in paragraph (a)(2) of this section.
    (b) If there is a substantial change in the condition or amount of 
the debt, the NRC shall--

[[Page 266]]

    (1) Promptly disclose that fact(s) to each consumer reporting agency 
to which the original disclosure was made;
    (2) Promptly verify or correct information about a debt on request 
of a consumer reporting agency for verification of information disclosed 
by the NRC; and,
    (3) Obtain assurances from the consumer reporting agency that the 
agency is complying with all applicable Federal, state and local laws 
relating to its use of consumer credit information.
    (c) The information the NRC discloses to the consumer reporting 
agency is limited to--
    (1) Information necessary to establish the identity of the 
individual debtor, including name, address, and taxpayer identification 
number;
    (2) The amount, status, and history of the debt; and
    (3) The NRC activity under which the debt arose.

[55 FR 32378, Aug. 9, 1990]



Sec. 15.27  Contact with debtor's employing agency.

    If the debtor is employed by the Federal government or is a member 
of the military establishment or the Coast Guard, collection by offset 
must be accomplished in accordance with 5 U.S.C. 5514 and the provisions 
of 10 CFR part 16.

[56 FR 51830, Oct. 16, 1991]



Sec. 15.29  Suspension or revocation of license.

    The NRC may suspend or revoke any license or approval which the NRC 
has granted to the debtor for any inexcusable, prolonged, or repeated 
failure of the debtor to pay a delinquent debt. Before suspending or 
revoking any license or approval for failure to pay a debt, the NRC 
shall issue to the debtor (by either registered or certified mail) an 
order or a demand for information as to why the license or other 
privilege should not be suspended or revoked. The NRC shall allow the 
debtor no more than 30 days to pay the debt in full, including 
applicable interest, penalties, and administrative costs of collection 
of the delinquent debt. The NRC may suspend or revoke the license or 
approval at the end of this period. If a license is revoked under 
authority of this part, a new application, with appropriate fees, must 
be made to the NRC. The NRC may not consider an application unless all 
previous delinquent debts of the debtor to the NRC have been paid in 
full.

[57 FR 4153, Feb. 4, 1992]



Sec. 15.31  Disputed debts.

    (a) A debtor who disputes a debt shall explain why the debt is 
incorrect in fact or in law within 30 days from the date that the 
initial demand letter was mailed or hand-delivered. The debtor may 
support the explanation by affidavits, cancelled checks, or other 
relevant evidence.
    (b) If the debtor's arguments appear to have merit, the NRC may 
extend the interest waiver period as described in Sec. 15.37(j) pending 
a final determination of the existence or amount of the debt.
    (c) The NRC may investigate the facts involved in the dispute and, 
if it considers it necessary, arrange for a conference at which the 
debtor may present evidence and any arguments in support of the debtor's 
position.

[47 FR 76716, Feb. 22, 1982, as amended at 55 FR 32379, Aug. 9, 1990]



Sec. 15.32  Contracting for collection services.

    The NRC may contract for collection services in order to recover 
delinquent debts. However, the NRC retains the authority to resolve 
disputes, compromise claims, suspend or terminate collection action, and 
initiate enforced collection through litigation. When appropriate, the 
NRC shall contract for collection services in accordance with the 
guidance and standards contained in 4 CFR 102.6.

[55 FR 32379, Aug. 9, 1990]



Sec. 15.33  Collection by administrative offset.

    (a) The NRC may administratively undertake collection by offset on 
each claim which is liquidated or certain in amount in accordance with 
the guidance and standards contained in 4 CFR 102.2, 102.3, and 102.4 
and 5 U.S.C. 5514,

[[Page 267]]

as applicable. The NRC may not initiate administrative offset to collect 
a debt more than 10 years after the Government's right to the debt first 
accrued, unless facts material to the Government's right to collect the 
debt were not known and could not reasonably have been known to the NRC 
or collection of ``approval'' fees has been deferred under 10 CFR part 
170. If the collection of ``approval'' fees has been deferred, the ten-
year period begins to run at the end of the deferral period.
    (b) Collection by administrative offset of amounts payable from the 
Civil Service Retirement and Disability Fund, the Federal Employees 
Retirement System or other similar funds is made pursuant to 4 CFR 102.4 
and the provisions of paragraph (d) of this section.
    (c) Salary offset is governed by 5 U.S.C. 5514 and the provisions of 
10 CFR part 16.
    (d) The following procedures apply when the NRC seeks to collect a 
debt by offset against any payment to be made to a debtor or against the 
assets of a licensee.
    (1) Before the offset is made, the NRC shall provide the debtor with 
a written notice of the nature and amount of the debt and--
    (i) Notice of the NRC's intent to collect the debt by offset;
    (ii) An opportunity to inspect and copy NRC records pertaining to 
the debt;
    (iii) An opportunity to request reconsideration of the debt by the 
NRC or, if provided for by statute, waiver of the debt;
    (iv) An opportunity to enter into a written agreement with the NRC 
to repay or pay the debt, as the case may be;
    (v) An explanation of the debtor's rights under this subpart; and
    (vi) An opportunity for a hearing when required under the provisions 
of 4 CFR 102.3(c).
    (2) If the NRC learns that other agencies of the Federal government 
are holding funds payable to the debtor, the NRC shall provide the other 
agencies with written certification that the debt is owed to the NRC and 
that the NRC has complied with the provisions of 4 CFR 102.3. The NRC 
shall request that funds due the debtor which are necessary to offset 
the debt to the NRC be transferred to the NRC.
    (3) The NRC may accept a repayment or payment agreement, as 
appropriate, in lieu of offset, but will do so only after balancing the 
Government's interest in collecting the debt against fairness to the 
debtor. If the debt is delinquent and the debtor has not disputed its 
existence or amount, the NRC may accept a repayment or payment agreement 
in lieu of offset only if the debtor is able to establish under sworn 
affidavit that offset would result in undue financial hardship or would 
be against equity and good conscience.
    (4) Administrative offset is not authorized with respect to--
    (i) Debts owed by any State or local government;
    (ii) Debts once they become subject to the salary offset provisions 
of 5 U.S.C. 5514 and 10 CFR part 16; or
    (iii) Any case in which collection of the type of debt involved by 
administrative offset is explicitly provided for or prohibited by 
another statute.
    (5) The NRC reserves the right to take any other action in respect 
to offset as is permitted under 4 CFR 102.3.
    (e) The NRC shall make appropriate use of the cooperative efforts of 
other agencies, including use of the Army Holdup List, in effecting 
collections by offset. The Army Holdup List is a list of contractors 
indebted to the United States.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32379, Aug. 9, 1990; 56 
FR 51830, Oct. 16, 1991]



Sec. 15.35  Payments.

    (a) Payment in full. The NRC shall make every effort to collect a 
claim in full before it becomes delinquent. If a claim is paid in one 
lump sum after it becomes delinquent, the NRC shall impose charges for 
interest, penalties, and administrative costs as specified in 
Sec. 15.37.
    (b) Payment in installments. If a debtor furnishes satisfactory 
evidence of inability to pay a claim in one lump sum, payment in regular 
installments may be arranged. Evidence may consist of a financial 
statement or a signed statement that the debtor's application for a loan 
to enable the debtor to pay the

[[Page 268]]

claim in full was rejected. Except for a claim described in 5 U.S.C. 
5514 and codified in 10 CFR part 16, all installment payment 
arrangements must be in writing and require the payment of interest, and 
administrative charges.
    (1) Installment note forms, including confess-judgment notes, may be 
used. The written installment agreement must contain a provision 
accelerating the debt payment in the event the debtor defaults. If the 
debtor's financial statement discloses the ownership of assets which are 
free and clear of liens or security interests, or assets in which the 
debtor owns an equity, the debtor may be asked to secure the payment of 
an installment note by executing a Security Agreement and Financing 
Statement transferring to the United States a security interest in the 
assets until the debt is discharged.
    (2) If the debtor owes more than one debt and designates how a 
voluntary installment payment is to be applied among those debts, the 
NRC shall follow that designation. If the debtor does not designate the 
application of the payment, the NRC shall apply the payment to the 
various debts in accordance with the best interests of the United 
States, as determined by the facts and circumstances of the particular 
case.
    (c) To whom payment is made. Payment of a debt is made by check, 
electronic transfer, draft, or money order payable to the United States 
Nuclear Regulatory Commission and mailed or delivered to the Division of 
Accounting and Finance, Office of the Controller, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, unless payment is--
    (1) Made pursuant to arrangements with GAO or DOJ;
    (2) Ordered by a Court of the United States; or
    (3) Otherwise directed in any other part of this chapter.

[47 FR 7616, Feb. 22, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 54 
FR 53316, Dec. 28, 1989; 55 FR 32379, Aug. 9, 1990; 56 FR 51830, Oct. 
16, 1991]



Sec. 15.37  Interest, penalties, and administrative costs.

    (a) The NRC shall assess interest, penalties, and administrative 
costs on debts owed to the United States Government in accordance with 
the guidance provided under the Federal Claims Collection Standards, 4 
CFR 102.13 unless otherwise directed by statute, regulation, or 
contract.
    (b) Before assessing any charges on delinquent debts, the NRC shall 
mail or hand-deliver a written notice to the debtor explaining its 
requirements concerning these charges under 4 CFR 102.2 and 102.13.
    (c) Interest begins to accrue from the date on which the initial 
written demand, advising the debtor of the interest requirements, is 
first mailed or hand delivered to the debtor unless a different date is 
specified in a statute, regulation, or contract.
    (d) The NRC shall assess interest based upon the rate of the current 
value of funds to the United States Treasury (the Treasury tax and loan 
account rate) prescribed for the current quarter and published in the 
Federal Register and the Treasury Financial Manual Bulletins, unless a 
different rate is prescribed by statute, regulation, or contract.
    (e) Interest is computed only on the principal of the debt and the 
interest rate remains fixed for the duration of the indebtedness, unless 
a debtor defaults on a repayment agreement and seeks to enter into a new 
agreement.
    (f) The NRC shall assess against a debtor charges to cover 
administrative costs incurred as a result of a delinquent debt. 
Administrative costs may include costs incurred in obtaining a credit 
report or in using a private debt collector, to the extent they are 
attributable to the delinquency.
    (g) The NRC shall assess a penalty charge of 6 percent a year on any 
portion of a debt that is delinquent for more than 90 days. The charge 
accrues retroactively to the date that the debt became delinquent.
    (h) Amounts received by the NRC as partial or installment payments 
are applied first to outstanding penalty and administrative cost 
charges, second to accrued interest, and third to outstanding principal.
    (i) The NRC shall waive collection of interest on the debt or any 
portion of the debt which is paid in full within 30

[[Page 269]]

days after the date on which interest began to accrue.
    (j) The NRC may waive interest during the period a debt disputed 
under Sec. 15.31 is under investigation or review by the NRC. However, 
this additional waiver is not automatic and must be requested before the 
expiration of the initial 30-day waiver period. The NRC may grant the 
additional waiver only when it finds merit in the explanation the debtor 
has submitted under Sec. 15.31.
    (k) The NRC may waive the collection of interest, penalties, and 
administrative costs if it finds that one or more of the following 
conditions exist:
    (1) The debtor is unable to pay any significant sum toward the debt 
within a reasonable period of time;
    (2) Collection of interest, penalties, and administrative costs will 
jeopardize collection of the principal of the debt;
    (3) The NRC is unable to enforce collection in full within a 
reasonable time by enforced collection proceedings; or
    (4) Collection would be against equity and good conscience or not in 
the best interests of the United States, including the situation in 
which an administrative offset or installment payment agreement is in 
effect.

[55 FR 32380, Aug. 9, 1990]



Sec. 15.38  Use of credit reports.

    The NRC may institute a credit investigation of the debtor at any 
time following receipt of knowledge of the debt in order to aid NRC in 
making appropriate determinations as to:
    (a) The collection and compromise of a debt;
    (b) The collection of interest, penalties, and administrative costs;
    (c) The use of administrative offset;
    (d) The use of other collection methods; and
    (e) The likelihood of collecting the debt.

[55 FR 32380, Aug. 9, 1990]



Sec. 15.39  Bankruptcy claims.

    When the NRC receives information that a debtor has filed a petition 
in bankruptcy or is the subject of a bankruptcy proceeding, it shall 
furnish information concerning the debt owed the United States to the 
appropriate United States Attorney to permit the filing of a claim.



                    Subpart C--Compromise of a Claim



Sec. 15.41  When a claim may be compromised.

    The NRC may compromise a claim not in excess of the monetary 
limitation if it has not been referred to GAO or to DOJ for litigation. 
Only the Comptroller General of the United States or designee may effect 
the compromise of a claim that arises out of an exception made by the 
GAO in the account of an accountable officer, including a claim against 
the payee, prior to its referral by GAO for litigation.

[55 FR 32380, Aug. 9, 1990]



Sec. 15.43  Reasons for compromising a claim.

    A claim may be compromised for one or more of the reasons set forth 
below:
    (a) The full amount cannot be collected because:
    (1) The debtor is unable to pay the full amount within a reasonable 
time; or
    (2) The debtor refuses to pay the claim in full and the Government 
is unable to enforce collection in full within a reasonable time by 
enforced collection proceedings.
    (b) There is a real doubt concerning the Government's ability to 
prove its case in Court for the full amount claimed, either because of 
the legal issues involved or a bona fide dispute as to the facts.
    (c) The cost of collecting the claim does not justify the enforced 
collection of the full amount. The NRC shall apply this reason for 
compromise in accordance with the guidance in 4 CFR 103.4.
    (d) The NRC shall determine the debtor's inability to pay, the 
Government's ability to enforce collection, and the amounts which are 
acceptable in compromise in accordance with the Federal Claims 
Collection Standards, 4 CFR part 103.
    (e) Compromises payable in installments are discouraged, but, if 
necessary, must be in the form of a legally

[[Page 270]]

enforceable agreement for the reinstatement of the prior indebtedness 
less sums paid thereon. The agreement also must provide that in the 
event of default--
    (1) The entire balance of the debt becomes immediately due and 
payable; and
    (2) The Government has the right to enforce any security interest.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32380, Aug. 9, 1990]



Sec. 15.45  Restrictions on the compromise of a claim.

    (a) The NRC may not accept a percentage of a debtor's profits nor 
stock in a debtor corporation in compromise of a claim. In negotiating a 
compromise with a business concern, consideration is given to requiring 
a waiver of the tax-loss-carry-forward and tax-loss-carry-back rights of 
the debtor.
    (b) If two or more debtors are jointly and severally liable, 
collection action is not withheld against one debtor until the other or 
others pay their proportionate share. The amount of a compromise with 
one debtor is not considered a precedent or as morally binding in 
determining the amount which will be required from other debtors jointly 
and severally liable on the claim.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32380, Aug. 9, 1990]



Sec. 15.47  Finality of a compromise.

    An offer of compromise must be in writing and signed by the debtor. 
An offer of compromise which is accepted by the NRC is final and 
conclusive on the debtor and on all officials, agencies, and courts of 
the United States, unless obtained by fraud, misrepresentation, the 
presentation of a false claim, or mutual mistake of fact.



        Subpart D--Suspension or Termination of Collection Action



Sec. 15.51  When collection action may be suspended or terminated.

    The NRC may suspend or terminate collection action on a claim not in 
excess of the monetary limitation, exclusive of interest, penalties, and 
administrative costs, after deducting the amount of partial payments, if 
any, if it has not been referred to GAO or to DOJ for litigation.

[55 FR 32380, Aug. 9, 1990]



Sec. 15.53  Reasons for suspending collection action.

    Collection action may be suspended temporarily:
    (a) When the debtor cannot be located after diligent efforts and 
there is reason to believe that future collection action may be 
sufficiently productive to justify periodic review and action on the 
claim considering the size of the claim and the amount which may be 
realized on it; or
    (b) When the debtor owns no substantial equity in realty and is 
unable to make payments on the Government's claim or effect a compromise 
on it at the time but the debtor's future prospects justify retention of 
the claim for periodic review and action and:
    (1) The applicable statute of limitations has been tolled or started 
anew; or
    (2) Future collection can be effected by offset notwithstanding the 
statute of limitations.



Sec. 15.55  Reasons for terminating collection action.

    Collection action may be terminated:
    (a) When it becomes clear that the Government cannot collect or 
enforce collection of any significant sum from the debtor having due 
regard for the judicial remedies available to the Government, the 
debtor's future financial prospects, and the exemptions available to the 
debtor under State and Federal law;
    (b) When the debtor cannot be located, there is no security 
remaining to be liquidated, the applicable statute of limitations has 
run, and the prospects of collecting by offset notwithstanding the bar 
of the statute of limitations is too remote to justify retention of the 
claim; or
    (c) When it is likely that the cost of collection action will exceed 
the amount recoverable.

[[Page 271]]



Sec. 15.57  Termination of collection action.

    Collection action shall be terminated:
    (a) Whenever it is determined that the claim is legally without 
merit; or
    (b) When it is determined that the evidence necessary to prove the 
claim cannot be produced or the necessary witnesses are unavailable and 
efforts to induce voluntary payments have been unavailing.



Sec. 15.59  Transfer of a claim.

    The NRC may transfer a claim to the GAO for advice when there is 
doubt whether collection action should be suspended or terminated.



                     Subpart E--Referral of a Claim



Sec. 15.61  Prompt referral.

    (a) A claim which requires enforced collection action is referred to 
GAO or to DOJ for litigation. A referral is made as early as possible 
consistent with aggressive collection action and in any event well 
within the time required to bring a timely suit against the debtor. 
Ordinarily, referrals are made within one year of the NRC's final 
determination of the fact and the amount of the debt.
    (b) When the merits of the NRC's claim, the amount owed on the 
claim, or the propriety of acceptance of a proposed compromise, 
suspension, or termination of collection actions is in doubt, the NRC 
shall refer the matter to the GAO for resolution and instructions prior 
to proceeding with collection action and/or referral to DOJ for 
litigation.
    (c) The NRC may refer a claim to the GAO or the DOJ even though the 
termination of collection activity might otherwise be given 
consideration under Sec. 15.55(a) or (c) if:
    (1) A significant enforcement policy is involved in reducing a 
statutory penalty or forfeiture to judgment; or
    (2) Recovery of a judgment is a prerequisite to the imposition of 
administrative sanctions, such as suspension or revocation of a license 
or the privilege of participating in a Government sponsored program.
    (d) Once a claim has been referred to GAO or to DOJ under this 
subpart, the NRC shall refrain from having any contact with the debtor 
and shall direct the debtor to GAO or DOJ, as appropriate, when 
questions concerning the claim are raised by the debtor. The NRC shall 
immediately advise GAO or DOJ, as appropriate, of any payments by the 
debtor.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32380, Aug. 9, 1990]



Sec. 15.65  Referral of a compromise offer.

    The NRC may refer a debtor's firm written offer of compromise which 
is substantial in amount to the GAO or to the DOJ if the NRC is 
uncertain whether the offer should be accepted.



Sec. 15.67  Referral to the Department of Justice.

    (a) Claims for which the gross original amount is over $100,000 must 
be referred to the Commercial Litigation Branch, Civil Division, 
Department of Justice, Washington, DC 20530. Claims for which the gross 
original amount is $100,000 or less must be referred to the United 
States Attorney in whose district the debtor can be found.
    (b) A claim of less than $600, exclusive of interest, is not 
referred for litigation unless:
    (1) Referral is important to a significant enforcement policy; or
    (2) The debtor not only has the clear ability to pay the claim but 
the Government can effectively enforce payment.
    (c) A claim on which the NRC holds a judgment is referred to the DOJ 
for further action if renewal of the judgment lien or enforced 
collection proceedings are justified under the criteria discussed in 
this part.
    (d) Claims must be referred to the Department of Justice in the 
manner prescribed by 4 CFR 105.2. Care must be taken to preserve all 
files, records, and exhibits on claims referred under paragraphs (a) and 
(b) of this section.

[47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32381, Aug. 9, 1990]

[[Page 272]]



PART 16--SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT--Table of Contents




Sec.
16.1  Purpose and scope.
16.3  Definitions.
16.5  Application.
16.7  Notice requirements.
16.9  Hearing.
16.11  Written decision.
16.13  Coordinating offset with another Federal agency.
16.15  Procedures for salary offset.
16.17  Refunds.
16.19  Statute of limitations.
16.21  Non-waiver of rights.
16.23  Interest, penalties, and administrative charges.

    Authority: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201), sec. 
201, 88 Stat. 1242, as amended (42 U.S.C. 5841); sec. 3, Pub. L. 89-508, 
80 Stat. 308, as amended (31 U.S.C. 3711, 3717, 3718); sec. 5, Pub. L. 
89-508, 80 Stat. 308, as amended (31 U.S.C. 3716), Debt Collection Act 
of 1982, Pub. L. 97-365, 96 Stat. 1749-1758; Federal Claims Collection 
Standards, 4 CFR parts 101-105; 5 U.S.C. 5514, as amended; 5 CFR 
550.1101-550.1108.

    Source: 56 FR 51830, Oct. 16, 1991, unless otherwise noted.



Sec. 16.1  Purpose and scope.

    (a) This part provides procedures for the collection by 
administrative offset of a Federal employee's salary without his/her 
consent to satisfy certain debts owed to the Federal Government. This 
part applies to all Federal employees who owe debts to the Nuclear 
Regulatory Commission (NRC) and to current employees of the NRC who owe 
debts to other Federal agencies. This part does not apply when the 
employee consents to recovery from his/her current pay account.
    (b) These procedures do not apply to debts or claims arising under:
    (1) The Internal Revenue Code of 1954, as amended, 26 U.S.C. 1 et 
seq.;
    (2) The Social Security Act, 42 U.S.C. 301 et seq.;
    (3) The tariff laws of the United States; or
    (4) Any case where a collection of a debt by salary offset is 
explicitly provided for or prohibited by another statute.
    (c) These procedures do not apply to any adjustment to pay arising 
out of an employee's selection of coverage or a change in coverage under 
a Federal benefits program requiring periodic deductions from pay if the 
amount to be recovered was accumulated over four pay periods or less.
    (d) These procedures do not preclude the compromise, suspension, or 
termination of collection action where appropriate under the standards 
implementing the Federal Claims Collection Act, 31 U.S.C. 3711 et seq., 
4 CFR parts 101-105.
    (e) This part does not preclude an employee from requesting waiver 
of an overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 716 
or in any way questioning the amount or validity of the debt by 
submitting a subsequent claim to the General Accounting Office. This 
part does not preclude an employee from requesting a waiver pursuant to 
other statutory provisions applicable to the particular debt being 
collected.



Sec. 16.3  Definitions.

    For the purposes of this part, the following definitions apply:
    Administrative charges are those amounts assessed by NRC to cover 
the costs of processing and handling delinquent debts due the 
Government.
    Administrative offset means withholding money payable by the United 
States Government to, or held by the Government for, a person to satisfy 
a debt the person owes the United States Government.
    Agency means an executive agency as is defined at 5 U.S.C. 105 
including the U.S. Postal Service, the U.S. Postal Rate Commission, a 
military department as defined at 5 U.S.C. 102, an agency or court in 
the judicial branch, an agency of the legislative branch including the 
U.S. Senate and House of Representatives and other independent 
establishments that are entities of the Federal Government.
    Creditor agency means the agency to which a debt is owed.
    Debt means an amount that has been determined by an appropriate NRC 
official or an appropriate official of another agency to be owed to the 
United States from sources which include loans insured or guaranteed by 
the United States and all other amounts

[[Page 273]]

due the United States from fees, leases, rents, royalties, services, 
sales of real or personal property, overpayments, penalties, damages, 
interests, fines, forfeitures (except those arising under the Uniform 
Code of Military Justice), and all other similar sources.
    Disposable pay means the amount that remains from an employee's 
current basic pay, special pay, incentive pay, retired pay, retainer 
pay, or in the case of an employee not entitled to basic pay, other 
authorized pay after required deductions for social security; Federal, 
state or local income taxes; health insurance premiums; retirement 
contributions; life insurance premiums; Federal employment taxes; and 
any other deductions that are required to be withheld by law. Deductions 
described in 5 CFR 581.105 (b) through (f) are excluded when determining 
disposable pay subject to salary offset.
    Employee means a current employee of an agency, including a current 
member of the Armed Forces or a Reserve of the Armed Forces (Reserves).
    FCCS means the Federal Claims Collection Standards jointly published 
by the Justice Department and the General Accounting Office at 4 CFR 
parts 101-105.
    Hearing official means an individual responsible for conducting any 
hearing with respect to the existence or amount of a debt claimed or the 
repayment schedule if not established by written agreement between the 
employee and the NRC, and who renders a decision on the basis of this 
hearing.
    Paying agency means the agency that employs the individual who owes 
the debt and authorizes the payment of his/her current pay.
    Salary offset means an administrative offset to collect a debt under 
5 U.S.C. 5514 by deduction(s) at one or more officially established pay 
intervals from the current pay account of an employee without his or her 
consent.
    Waiver means the cancellation, remission, forgiveness, or non-
recovery of a debt allegedly owed by an employee to an agency as 
permitted or required by 5 U.S.C. 5584, 10 U.S.C. 2774, 32 U.S.C. 716, 5 
U.S.C. 8346(b), or any other law.



Sec. 16.5  Application.

    The regulations in this part are to be followed when:
    (a) The NRC is owed a debt by an individual currently employed by 
another Federal agency;
    (b) The NRC is owed a debt by an individual who is a current 
employee of the NRC; or
    (c) The NRC employs an individual who owes a debt to another Federal 
agency.



Sec. 16.7  Notice requirements.

    (a) If the NRC is the creditor agency, deductions will not be made 
unless the NRC provides the employee with a signed written notice of the 
debt at least 30 days before salary offset commences. The notice will be 
delivered in person or by certified or registered mail, return receipt 
requested, with receipt returned as proof of delivery.
    (b) The written notice must contain:
    (1) A statement that the debt is owed and an explanation of its 
origin, nature, and amount;
    (2) The NRC's intention to collect the debt by deducting from the 
employee's current disposable pay account;
    (3) The amount, frequency, proposed beginning date, and duration of 
the intended deduction(s);
    (4) An explanation of interest, penalties, and administrative 
charges, including a statement that these charges will be assessed 
unless excused in accordance with the Federal Claims Collection 
Standards at 4 CFR parts 101-105;
    (5) The employee's right to inspect and copy government records 
pertaining to the debt or, if the employee or his or her representative 
cannot personally inspect the records, to request and receive a copy of 
these records;
    (6) If not previously provided, the opportunity (under terms 
agreeable to the NRC) to establish a schedule for the voluntary 
repayment of the debt or to enter into a written agreement to establish 
a schedule for repayment of the debt in lieu of offset (4 CFR 102.2(e)). 
The agreement must be in writing, signed by both the employee and the 
NRC, and documented in the NRC's files;
    (7) The employee's right to a hearing conducted by an official 
arranged for

[[Page 274]]

by the NRC (an administrative law judge, or alternatively, a hearing 
official not under the control of the head of the agency) if a petition 
is filed as prescribed in Sec. 16.9;
    (8) The methods and time period for petitioning for hearings;
    (9) A statement that the timely filing of a petition for a hearing 
will stay the commencement of collection proceedings;
    (10) A statement that a final decision on the hearing will be issued 
not later than 60 days after the filing of the petition requesting the 
hearing unless the employee requests and the hearing official grants a 
delay in the proceedings;
    (11) A statement that knowingly false or frivolous statements, 
representations, or evidence may subject the employee to appropriate 
disciplinary procedures under chapter 75 of title 5, United States Code 
and 5 CFR part 752, penalties under the False Claims Act, sections 3729-
3731 of title 31, United States Code or other applicable statutory 
authority, or criminal penalties under section 286, 287, 1001 and 1002 
of title 18, United States Code or any other applicable statutory 
authority;
    (12) A statement of other rights and remedies available to the 
employee under statutes or regulations governing the program for which 
the collection is being made; and
    (13) Unless there are contractual or statutory provisions to the 
contrary, a statement that amounts paid on or deducted for the debt 
which are later waived or found not owed to the United States will be 
promptly refunded to the employee.



Sec. 16.9  Hearing.

    (a) Request for hearing. (1) An employee shall file a petition for a 
hearing in accordance with the instructions outlined in the creditor 
agency's notice of offset.
    (2) If the NRC is the creditor agency, a hearing may be requested by 
filing a written petition stating why the employee disputes the 
existence or amount of the debt or the repayment schedule if it was not 
established by written agreement between the employee and the NRC. The 
employee shall sign the petition and fully identify and explain with 
reasonable specificity all the facts, evidence, and witnesses, if any, 
which the employee believes support his or her position. The petition 
for a hearing must be received no later than fifteen (15) calendar days 
after receipt of the notice of offset unless the employee can show that 
the delay in meeting the deadline date was because of circumstances 
beyond his or her control or because of failure to receive notice of the 
time limit (unless otherwise aware of it).
    (b) Hearing procedures. (1) The hearing will be presided over by a 
hearing official arranged by NRC (an administrative law judge or, 
alternatively, a hearing official not under the supervision or control 
of the head of the agency.)
    (2) The hearing must conform to procedures contained in the Federal 
Claims Collection Standards 4 CFR 102.3(c). The burden is on the 
employee to demonstrate either that the existence or the amount of the 
debt is in error or that the terms of the repayment schedule would 
result in undue financial hardship or would be against equity and good 
conscience.
    (3) An employee is entitled to representation of his or her choice 
at any stage of the proceeding. NRC attorneys may not be provided as 
representatives for the debtor. The NRC will not compensate the debtor 
for representation expenses, including hourly fees for attorneys, travel 
expenses, and costs for reproducing documents.



Sec. 16.11  Written decision.

    (a) The hearing official will issue a written opinion no later than 
60 days after the hearing.
    (b) The written opinion must include:
    (1) A statement of the facts presented to demonstrate the nature and 
origin of the alleged debt;
    (2) The hearing official's analysis, findings, and conclusions;
    (3) The amount and validity of the debt; and
    (4) The repayment schedule, where appropriate.



Sec. 16.13  Coordinating offset with another Federal agency.

    (a) The NRC as the creditor agency. When the NRC determines that an 
employee of another Federal agency owes

[[Page 275]]

a delinquent debt to the NRC, the NRC will, as appropriate:
    (1) Arrange for a hearing upon the proper petitioning by the 
employee;
    (2) Certify in writing that the employee owes the debt, the amount 
and basis of the debt, the date on which payment is due, the date the 
Government's right to collect the debt accrued, and that NRC procedures 
for salary offset implementing 5 U.S.C. 5514 have been approved by the 
Office of Personnel Management;
    (3) If collection must be made in installments, the NRC must advise 
the paying agency of the amount or percentage of disposable pay to be 
collected in each installment;
    (4) Advise the paying agency of the actions taken under 5 U.S.C. 
5514(a) and provide the dates on which action was taken unless the 
employee has consented to salary offset in writing or signed a statement 
acknowledging receipt of procedures required by law. The written consent 
or acknowledgment must be sent to the paying agency;
    (5) Except as otherwise provided in this paragraph, the NRC must 
submit a debt claim containing the information specified in paragraphs 
(a) (2) through (4) of this section and an installment agreement (or 
other instruction on the payment schedule), if applicable, to the 
employee's paying agency.
    (6) Upon receipt of notification that the employee has transferred 
to another agency before the debt is collected in full, the NRC will 
submit a properly certified claim to the new paying agency so that 
collection can be resumed;
    (7) If the employee is in the process of separating, the NRC will 
submit its debt claim to the paying agency as provided in paragraphs (a) 
(2) through (5) of this section. The paying agency will certify any 
amounts already collected, notify the employee, and send a copy of the 
certification and notice of the employee's separation to the NRC. If the 
paying agency is aware that the employee is entitled to Civil Service 
Retirement and Disability Fund or similar payments, it will certify to 
the agency responsible for making the payments that the employee owes a 
debt (including the amount) and that the provisions of this part have 
been followed. The NRC will submit a properly certified claim to the 
agency responsible for making such payments so collection can be made.
    (8) If the employee has already separated and all payments due from 
the paying agency have been paid, the NRC may request, unless otherwise 
prohibited, that money payable to the employee from the Civil Service 
Retirement and Disability Fund or other similar funds be collected by 
administrative offset.
    (b) The NRC as the paying agency. (1) Upon receipt of a properly 
certified debt claim from another agency, the NRC will schedule 
deductions to begin at the next established pay interval. The employee 
must receive written notice indicating that the NRC has received a 
certified debt claim from the creditor agency, the amount of the debt, 
the date salary offset will begin, and the amount of the deduction(s). 
The NRC may not review the merits of the creditor agency's determination 
of the validity or the amount of the certified claim.
    (2) Upon receipt of an incomplete debt claim from a creditor agency, 
the NRC will return the debt claim to the creditor agency with a notice 
that procedures under 5 U.S.C. 5514 and 5 CFR part 550, subpart K, must 
be followed and a properly certified debt claim received before action 
will be taken to collect from the employee's current pay account.
    (3) If the employee transfers to another agency after the creditor 
agency has submitted its debt claim to the NRC and before the debt is 
collected completely, the NRC will certify the total amount collected. 
The NRC will furnish one copy of the certification to the employee. The 
NRC will furnish a copy to the creditor agency with notice of the 
employee's transfer.



Sec. 16.15  Procedures for salary offset.

    (a) Deductions to liquidate an employee's debt will be by the method 
and in the amount stated in the NRC's notice of intention to offset as 
provided in Sec. 16.7. Debts will be collected in one lump sum where 
possible. If the employee is financially unable to pay in

[[Page 276]]

one lump sum, collection must be made in installments.
    (b) Debts will be collected by deduction at officially established 
pay intervals from an employee's current pay account unless alternative 
arrangements for repayment are made.
    (c) Installment deductions will be made over a period not greater 
than the anticipated period of employment. The size of installment 
deductions must bear a reasonable relationship to the size of the debt 
and the employee's ability to pay. The deduction for the pay intervals 
for any period may not exceed 15% of disposable pay unless the employee 
has agreed in writing to a deduction of a greater amount.
    (d) Offset against any subsequent payment due an employee who 
retires or resigns or whose employment or period of active duty ends 
before collection of the debt is completed is provided for in accordance 
with 31 U.S.C. 3716. These payments include but are not limited to final 
salary payment or lump-sum leave due the employee from the paying agency 
as of the date of separation to the extent necessary to liquidate the 
debt.



Sec. 16.17  Refunds.

    (a) The NRC will refund promptly any amounts deducted to satisfy 
debts owed to the NRC when the debt is waived, found not owed to the 
NRC, or when directed by an administrative or Judicial order.
    (b) The creditor agency will promptly return any amounts deducted by 
NRC to satisfy debts owed to the creditor agency when the debt is 
waived, found not owed, or when directed by an administrative or 
judicial order.
    (c) Unless required or permitted by law or contract, refunds under 
this section may not bear interest.



Sec. 16.19  Statute of limitations.

    If a debt has been outstanding for more than 10 years after the 
agency's right to collect the debt first accrued, the agency may not 
collect by salary offset unless facts material to the Government's right 
to collect were not known and could not reasonably have been known by 
the NRC official or officials who were charged with the responsibility 
for discovery and collection of the debts.



Sec. 16.21  Non-waiver of rights.

    An employee's involuntary payment of all or any part of a debt 
collected under these regulations will not be construed as a waiver of 
any rights that the employee may have under 5 U.S.C. 5514 or any other 
provision of contract or law, unless there are statutes or contract(s) 
to the contrary.



Sec. 16.23  Interest, penalties, and administrative charges.

    Charges may be assessed for interest, penalties, and administrative 
charges in accordance with the Federal Claims Collection Standards, 4 
CFR 102.13.



PART 19--NOTICES, INSTRUCTIONS AND REPORTS TO WORKERS: INSPECTION AND INVESTIGATIONS--Table of Contents




Sec.
19.1  Purpose.
19.2  Scope.
19.3  Definitions.
19.4  Interpretations.
19.5  Communications.
19.8  Information collection requirements: OMB approval.
19.11  Posting of notices to workers.
19.12  Instruction to workers.
19.13  Notifications and reports to individuals.
19.14  Presence of representatives of licensees and workers during 
          inspections.
19.15  Consultation with workers during inspections.
19.16  Requests by workers for inspections.
19.17  Inspections not warranted; informal review.
19.18  Sequestration of witnesses and exclusion of counsel in interviews 
          conducted under subpoena.
19.20  Employee protection.
19.30  Violations.
19.31  Application for exemptions.
19.32  Discrimination prohibited.
19.40  Criminal penalties.

    Authority: Secs. 53, 63, 81, 103, 104, 161, 186, 68 Stat. 930, 933, 
935, 936, 937, 948, 955, as amended, sec. 234, 83 Stat. 444, as amended, 
sec. 1701, 106 Stat. 2951, 2952, 2953 (42 U.S.C. 2073, 2093, 2111, 2133, 
2134, 2201, 2236, 2282, 2297f); sec. 201, 88 Stat. 1242, as amended (42 
U.S.C. 5841); Pub. L. 95-601, sec. 10, 92 Stat. 2951 (42 U.S.C. 5851).

    Source: 38 FR 22217, Aug. 17, 1973, unless otherwise noted.

[[Page 277]]



Sec. 19.1   Purpose.

    The regulations in this part establish requirements for notices, 
instructions, and reports by licensees to individuals participating in 
licensed activities and options available to these individuals in 
connection with Commission inspections of licensees to ascertain 
compliance with the provisions of the Atomic Energy Act of 1954, as 
amended, title II of the Energy Reorganization Act of 1974, and 
regulations, orders, and licenses thereunder regarding radiological 
working conditions. The regulations in this part also establish the 
rights and responsibilities of the Commission and individuals during 
interviews compelled by subpoena as part of agency inspections or 
investigations pursuant to section 161c of the Atomic Energy Act of 
1954, as amended, on any matter within the Commission's jurisdiction.

[55 FR 247, Jan. 4, 1990]



Sec. 19.2  Scope.

    The regulations in this part apply to all persons who receive, 
possess, use, or transfer material licensed by the Nuclear Regulatory 
Commission pursuant to the regulations in parts 30 through 36, 39, 40, 
60, 61, 70, or part 72 of this chapter, including persons licensed to 
operate a production or utilization facility pursuant to part 50 of this 
chapter, persons licensed to possess power reactor spent fuel in an 
independent spent fuel storage installation (ISFSI) pursuant to part 72 
of this chapter, and in accordance with 10 CFR 76.60 to persons required 
to obtain a certificate of compliance or an approved compliance plan 
under part 76 of this chapter. The regulations regarding interviews of 
individuals under subpoena apply to all investigations and inspections 
within the jurisdiction of the Nuclear Regulatory Commission other than 
those involving NRC employees or NRC contractors. The regulations in 
this part do not apply to subpoenas issued pursuant to 10 CFR 2.720.

[59 FR 48959, Sept. 23, 1994, as amended at 61 FR 9902, Mar. 12, 1996]



Sec. 19.3   Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954, (68 Stat. 919) including 
any amendments thereto.
    Commission means the United States Nuclear Regulatory Commission.
    Exclusion means the removal of counsel representing multiple 
interests from an interview whenever the NRC official conducting the 
interview has concrete evidence that the presence of the counsel would 
obstruct and impede the particular investigation or inspection.
    License means a license issued under the regulations in parts 30 
through 36, 39, 40, 60, 61, 70, or 72 of this chapter, including 
licenses to operate a production or utilization facility pursuant to 
part 50 of this chapter. Licensee means the holder of such a license.
    Restricted area means an area, access to which is limited by the 
licensee for the purpose of protecting individuals against undue risks 
from exposure to radiation and radioactive materials. Restricted area 
does not include areas used as residential quarters, but separate rooms 
in a residential building may be set apart as a restricted area.
    Sequestration means the separation or isolation of witnesses and 
their attorneys from other witnesses and their attorneys during an 
interview conducted as part of an investigation, inspection, or other 
inquiry.
    Worker means an individual engaged in activities licensed by the 
Commission and controlled by a licensee, but does not include the 
licensee.

[38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 53 
FR 31680, Aug. 19, 1988; 55 FR 247, Jan. 4, 1990; 56 FR 23470, May 21, 
1991; 56 FR 65948, Dec. 19, 1991; 57 FR 61785, Dec. 29, 1992; 58 FR 
7736, Feb. 9, 1993]



Sec. 19.4   Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 19.5  Communications.

    Except where otherwise specified in this part, all communications 
and reports concerning the regulations in

[[Page 278]]

this part should be addressed to the Regional Administrator of the 
appropriate U.S. Nuclear Regulatory Commission Regional Office listed in 
appendix D of part 20 of this chapter. Communications, reports, and 
applications may be delivered in person at the Commission's offices at 
2120 L Street, NW., Washington, DC, or at 11555 Rockville Pike, 
Rockville, Maryland.

[53 FR 6138, Mar. 1, 1988, as amended at 53 FR 43420, Oct. 27, 1988]



Sec. 19.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0044.
    (b) The approved information collection requirements contained in 
this part appear in Sec. 19.13.

[49 FR 19624, May 9, 1984]



Sec. 19.11   Posting of notices to workers.

    (a) Each licensee shall post current copies of the following 
documents:
    (1) The regulations in this part and in part 20 of this chapter;
    (2) The license, license conditions, or documents incorporated into 
a license by reference, and amendments thereto;
    (3) The operating procedures applicable to licensed activities;
    (4) Any notice of violation involving radiological working 
conditions, proposed imposition of civil penalty, or order issued 
pursuant to subpart B of part 2 of this chapter, and any response from 
the licensee.
    (b) If posting of a document specified in paragraph (a) (1), (2) or 
(3) of this section is not practicable, the licensee may post a notice 
which describes the document and states where it may be examined.
    (c)(1) Each licensee and each applicant for a specific license shall 
prominently post NRC Form 3 (Revision dated January 1996), ``Notice to 
Employees.''
    (2) Copies of NRC Form 3 may be obtained by writing to the Regional 
Administrator of the appropriate U.S. Nuclear Regulatory Commission 
Regional Office listed in Appendix D to Part 20 of this chapter or by 
calling the NRC Information and Records Management Branch at (301) 415-
7230.
    (d) Documents, notices, or forms posted pursuant to this section 
shall appear in a sufficient number of places to permit individuals 
engaged in licensed activities to observe them on the way to or from any 
particular licensed activity location to which the document applies, 
shall be conspicuous, and shall be replaced if defaced or altered.
    (e) Commission documents posted pursuant to paragraph (a)(4) of this 
section shall be posted within 2 working days after receipt of the 
documents from the Commission; the licensee's response, if any, shall be 
posted within 2 working days after dispatch by the licensee. Such 
documents shall remain posted for a minimum of 5 working days or until 
action correcting the violation has been completed, whichever is later.

[38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 47 
FR 30454, July 14, 1982; 58 FR 52408, Oct. 8, 1993; 60 FR 24551, May 9, 
1995; 61 FR 6764, Feb. 22, 1996]



Sec. 19.12  Instruction to workers.

    (a) All individuals who in the course of employment are likely to 
receive in a year an occupational dose in excess of 100 mrem (1 mSv) 
shall be--
    (1) Kept informed of the storage, transfer, or use of radiation and/
or radioactive material;
    (2) Instructed in the health protection problems associated with 
exposure to radiation and/or radioactive material, in precautions or 
procedures to minimize exposure, and in the purposes and functions of 
protective devices employed;
    (3) Instructed in, and required to observe, to the extent within the 
workers control, the applicable provisions of Commission regulations and 
licenses for the protection of personnel from exposure to radiation and/
or radioactive material;
    (4) Instructed of their responsibility to report promptly to the 
licensee any

[[Page 279]]

condition which may lead to or cause a violation of Commission 
regulations and licenses or unnecessary exposure to radiation and/or 
radioactive material;
    (5) Instructed in the appropriate response to warnings made in the 
event of any unusual occurrence or malfunction that may involve exposure 
to radiation and/or radioactive material; and
    (6) Advised as to the radiation exposure reports which workers may 
request pursuant to Sec. 19.13.
    (b) In determining those individuals subject to the requirements of 
paragraph (a) of this section, licensees must take into consideration 
assigned activities during normal and abnormal situations involving 
exposure to radiation and/or radioactive material which can reasonably 
be expected to occur during the life of a licensed facility. The extent 
of these instructions must be commensurate with potential radiological 
health protection problems present in the work place.

[60 FR 36043, July 13, 1995]



Sec. 19.13   Notifications and reports to individuals.

    (a) Radiation exposure data for an individual, and the results of 
any measurements, analyses, and calculations of radioactive material 
deposited or retained in the body of an individual, shall be reported to 
the individual as specified in this section. The information reported 
shall include data and results obtained pursuant to Commission 
regulations, orders or license conditions, as shown in records 
maintained by the licensee pursuant to Commission regulations. Each 
notification and report shall: be in writing; include appropriate 
identifying data such as the name of the licensee, the name of the 
individual, the individual's social security number; include the 
individual's exposure information; and contain the following statement:

    This report is furnished to you under the provisions of the Nuclear 
Regulatory Commission regulation 10 CFR part 19. You should preserve 
this report for further reference.

    (b) Each licensee shall advise each worker annually of the worker's 
dose as shown in records maintained by the licensee pursuant to the 
provisions of Sec. 20.2106 of 10 CFR part 20.
    (c)(1) At the request of a worker formerly engaged in licensed 
activities controlled by the licensee, each licensee shall furnish to 
the worker a report of the worker's exposure to radiation and/or to 
radioactive material:
    (i) As shown in records maintained by the licensee pursuant to 
Sec. 20.2106 for each year the worker was required to be monitored under 
the provisions of Sec. 20.1502; and
    (ii) For each year the worker was required to be monitored under the 
monitoring requirements in effect prior to January 1, 1994.
    (2) This report must be furnished within 30 days from the time the 
request is made or within 30 days after the exposure of the individual 
has been determined by the licensee, whichever is later. This report 
must cover the period of time that the worker's activities involved 
exposure to radiation from radioactive material licensed by the 
Commission and must include the dates and locations of licensed 
activities in which the worker participated during this period.
    (d) When a licensee is required pursuant to Secs. 20.2202, 20.2203, 
20.2204, or 20.2206 of this chapter to report to the Commission any 
exposure of an individual to radiation or radioactive material the 
licensee shall also provide the individual a report on his or her 
exposure data included therein. This report must be transmitted at a 
time not later than the transmittal to the Commission.
    (e) At the request of a worker who is terminating employment with 
the licensee that involved exposure to radiation or radioactive 
materials, during the current calendar quarter or the current year, each 
licensee shall provide at termination to each worker, or to the worker's 
designee, a written report regarding the radiation dose received by that 
worker from operations of the licensee during the current year or 
fraction thereof. If the most recent individual monitoring results are 
not

[[Page 280]]

available at that time, a written estimate of the dose must be provided 
together with a clear indication that this is an estimate.

[38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 44 
FR 32352, June 6, 1979; 58 FR 67658, Dec. 22, 1993; 59 FR 41642, Aug. 
15, 1994]



Sec. 19.14   Presence of representatives of licensees and workers during inspections.

    (a) Each licensee shall afford to the Commission at all reasonable 
times opportunity to inspect materials, activities, facilities, 
premises, and records pursuant to the regulations in this chapter.
    (b) During an inspection, Commission inspectors may consult 
privately with workers as specified in Sec. 19.15. The licensee or 
licensee's representative may accompany Commission inspectors during 
other phrases of an inspection.
    (c) If, at the time of inspection, an individual has been authorized 
by the workers to represent them during Commission inspections, the 
licensee shall notify the inspectors of such authorization and shall 
give the workers' representative an opportunity to accompany the 
inspectors during the inspection of physical working conditions.
    (d) Each workers' representative shall be routinely engaged in 
licensed activities under control of the licensee and shall have 
received instructions as specified in Sec. 19.12.
    (e) Different representatives of licensees and workers may accompany 
the inspectors during different phases of an inspection if there is no 
resulting interference with the conduct of the inspection. However, only 
one workers' representative at a time may accompany the inspectors.
    (f) With the approval of the licensee and the workers' 
representative an individual who is not routinely engaged in licensed 
activities under control of the license, for example, a consultant to 
the licensee or to the workers' representative, shall be afforded the 
opportunity to accompany Commission inspectors during the inspection of 
physical working conditions.
    (g) Notwithstanding the other provisions of this section, Commission 
inspectors are authorized to refuse to permit accompaniment by any 
individual who deliberately interferes with a fair and orderly 
inspection. With regard to areas containing information classified by an 
agency of the U.S. Government in the interest of national security, an 
individual who accompanies an inspector may have access to such 
information only if authorized to do so. With regard to any area 
containing proprietary information, the workers' representative for that 
area shall be an individual previously authorized by the licensee to 
enter that area.



Sec. 19.15   Consultation with workers during inspections.

    (a) Commission inspectors may consult privately with workers 
concerning matters of occupational radiation protection and other 
matters related to applicable provisions of Commission regulations and 
licenses to the extent the inspectors deem necessary for the conduct of 
an effective and thorough inspection.
    (b) During the course of an inspection any worker may bring 
privately to the attention of the inspectors, either orally or in 
writing, any past or present condition which he has reason to believe 
may have contributed to or caused any violation of the act, the 
regulations in this chapter, or license condition, or any unnecessary 
exposure of an individual to radiation from licensed radioactive 
material under the licensee's control. Any such notice in writing shall 
comply with the requirements of Sec. 19.16(a).
    (c) The provisions of paragraph (b) of this section shall not be 
interpreted as authorization to disregard instructions pursuant to 
Sec. 19.12.



Sec. 19.16   Requests by workers for inspections.

    (a) Any worker or representative of workers who believes that a 
violation of the Act, the regulations in this chapter, or license 
conditions exists or has occurred in license activities with regard to 
radiological working conditions in which the worker is engaged, may 
request an inspection by giving notice of the alleged violation to the 
Administrator of the appropriate Commission Regional Office, or to 
Commission inspectors. Any such notice shall

[[Page 281]]

be in writing, shall set forth the specific grounds for the notice, and 
shall be signed by the worker or representative of workers. A copy shall 
be provided the licensee by the Regional Office Administrator, or the 
inspector no later than at the time of inspection except that, upon the 
request of the worker giving such notice, his name and the name of 
individuals referred to therein shall not appear in such copy or on any 
record published, released or made available by the Commission, except 
for good cause shown.
    (b) If, upon receipt of such notice, the Regional Office 
Administrator determines that the complaint meets the requirements set 
forth in paragraph (a) of this section, and that there are reasonable 
grounds to believe that the alleged violation exists or has occurred, he 
shall cause an inspection to be made as soon as practicable, to 
determine if such alleged violation exists or has occurred. Inspections 
pursuant to this section need not be limited to matters referred to in 
the complaint.

[38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 47 
FR 30454, July 14, 1982; 52 FR 31610, Aug. 21, 1987]



Sec. 19.17   Inspections not warranted; informal review.

    (a) If the Administrator of the appropriate Regional Office 
determines, with respect to a complaint under Sec. 19.16, that an 
inspection is not warranted because there are no reasonable grounds to 
believe that a violation exists or has occurred, he shall notify the 
complainant in writing of such determination. The complainant may obtain 
review of such determination by submitting a written statement of 
position with the Executive Director for Operation, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, who will provide the 
licensee with a copy of such statement by certified mail, excluding, at 
the request of the complainant, the name of the complainant. The 
licensee may submit an opposing written statement of position with the 
Executive Director for Operations who will provide the complainant with 
a copy of such statement by certified mail. Upon the request of the 
complainant, the Executive Director for Operations or his designee may 
hold an informal conference in which the complainant and the licensee 
may orally present their views. An informal conference may also be held 
at the request of the licensee, but disclosure of the identity of the 
complainant will be made only following receipt of written authorization 
from the complainant. After considering all written and oral views 
presented, the Executive Director for Operations shall affirm, 
modifying, or reverse the determination of the Administrator of the 
appropriate Regional Office and furnish the complainant and the licensee 
a written notification of his decision and the reason therefor.
    (b) If the Administrator of the appropriate Regional Office 
determines that an inspection is not warranted because the requirements 
of Sec. 19.16(a) have not been met, he shall notify the complainant in 
writing of such determination. Such determination shall be without 
prejudice to the filing of a new complaint meeting the requirements of 
Sec. 19.16(a).

[38 FR 22217, Aug. 17, 1973, as amended at 40 FR 8783, Mar. 3, 1975; 52 
FR 31610, Aug. 21, 1987]



Sec. 19.18  Sequestration of witnesses and exclusion of counsel in interviews conducted under subpoena.

    (a) All witnesses compelled by subpoena to submit to agency 
interviews shall be sequestered unless the official conducting the 
interviews permits otherwise.
    (b) Any witness compelled by subpoena to appear at an interview 
during an agency inquiry may be accompanied, represented, and advised by 
counsel of his or her choice. However, when the agency official 
conducting the inquiry determines, after consultation with the Office of 
the General Counsel, that the agency has concrete evidence that the 
presence of an attorney representing multiple interests would obstruct 
and impede the investigation or inspection, the agency official may 
prohibit that counsel from being present during the interview.
    (c) The interviewing official is to provide a witness whose counsel 
has been excluded under paragraph (b) of this section and the witness's 
counsel a written statement of the reasons supporting the decision to 
exclude. This

[[Page 282]]

statement, which must be provided no later than five working days after 
exclusion, must explain the basis for the counsel's exclusion. This 
statement must also advise the witness of the witness' right to appeal 
the exclusion decision and obtain an automatic stay of the effectiveness 
of the subpoena by filing a motion to quash the subpoena with the 
Commission within five days of receipt of this written statement.
    (d) Within five days after receipt of the written notification 
required in paragraph (c) of this section, a witness whose counsel has 
been excluded may appeal the exclusion decision by filing a motion to 
quash the subpoena with the Commission. The filing of the motion to 
quash will stay the effectiveness of the subpoena pending the 
Commission's decision on the motion.
    (e) If a witness' counsel is excluded under paragraph (b) of this 
section, the interview may, at the witness' request, either proceed 
without counsel or be delayed for a reasonable period of time to permit 
the retention of new counsel. The interview may also be rescheduled to a 
subsequent date established by the NRC, although the interview shall not 
be rescheduled by the NRC to a date that precedes the expiration of the 
time provided under Sec. 19.18(d) for appeal of the exclusion of 
counsel, unless the witness consents to an earlier date.

[55 FR 247, Jan. 4, 1990, as amended at 56 FR 65948, Dec. 19, 1991; 57 
FR 61785, Dec. 29, 1992]



Sec. 19.20  Employee protection.

    Employment discrimination by a licensee (or a holder of a 
certificate of compliance issued pursuant to Part 76) or a contractor or 
subcontractor of a licensee (or a holder of a certificate of compliance 
issued pursuant to Part 76) against an employee for engaging in 
protected activities under this part or Parts 30, 40, 50, 60, 61, 70, 
72, 76, or 150 of this chapter is prohibited.

[61 FR 6764, Feb. 22, 1996]



Sec. 19.30  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55071, Nov. 24, 1992]



Sec. 19.31   Application for exemptions.

    The Commission may upon application by any licensee or upon its own 
initiative, grant such exemptions from the requirements of the 
regulations in this part as it determines are authorized by law and will 
not result in undue hazard to life or property.



Sec. 19.32   Discrimination prohibited.

    No person shall on the ground of sex be excluded from participation 
in, be denied the benefits of, or be subjected to discrimination under 
any program or activity licensed by the Nuclear Regulatory Commission. 
This provision will be enforced through agency provisions and rules 
similar to those already established, with respect to racial and other 
discrimination, under title VI of the Civil Rights Act of 1964. This 
remedy is not exclusive, however, and will not prejudice or cut off any 
other legal remedies available to a discriminatee.

[40 FR 8783, Mar. 3, 1975]



Sec. 19.40  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation

[[Page 283]]

of, attempted violation of, or conspiracy to violate, any regulation 
issued under sections 161b, 161i, or 161o of the Act. For purposes of 
section 223, all the regulations in part 19 are issued under one or more 
of sections 161b, 161i, or 161o, except for the sections listed in 
paragraph (b) of this section.
    (b) The regulations in part 19 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 19.1, 19.2, 19.3, 19.4, 19.5, 19.8, 19.16, 19.17, 19.18, 19.30, 
19.31, and 19.40.

[57 FR 55071, Nov. 24, 1992]



PART 20--STANDARDS FOR PROTECTION AGAINST RADIATION--Table of Contents




                      Subpart A--General Provisions

Sec.
20.1001  Purpose.
20.1002  Scope.
20.1003  Definitions.
20.1004  Units of radiation dose.
20.1005  Units of radioactivity.
20.1006  Interpretations.
20.1007  Communications.
20.1008  Implementation.
20.1009  Reporting, recording, and application requirements: OMB 
          approval.

                Subpart B--Radiation Protection Programs

20.1101  Radiation protection programs.

                   Subpart C--Occupational Dose Limits

20.1201  Occupational dose limits for adults.
20.1202  Compliance with requirements for summation of external and 
          internal doses.
20.1203  Determination of external dose from airborne radioactive 
          material.
20.1204  Determination of internal exposure.
20.1205  [Reserved]
20.1206  Planned special exposures.
20.1207  Occupational dose limits for minors.
20.1208  Dose to an embryo/fetus.

  Subpart D--Radiation Dose Limits for Individual Members of the Public

20.1301  Dose limits for individual members of the public.
20.1302  Compliance with dose limits for individual members of the 
          public.

                          Subpart E--[Reserved]

                    Subpart F--Surveys and Monitoring

20.1501  General.
20.1502  Conditions requiring individual monitoring of external and 
          internal occupational dose.

Subpart G--Control of Exposure From External Sources in Restricted Areas

20.1601  Control of access to high radiation areas.
20.1602  Control of access to very high radiation areas.

  Subpart H--Respiratory Protection and Controls to Restrict Internal 
                      Exposure in Restricted Areas

20.1701  Use of process or other engineering controls.
20.1702  Use of other controls.
20.1703  Use of individual respiratory protection equipment.
20.1704  Further restrictions on the use of respiratory protection 
          equipment.

           Subpart I--Storage and Control of Licensed Material

20.1801  Security of stored material.
20.1802  Control of material not in storage.

                   Subpart J--Precautionary Procedures

20.1901  Caution signs.
20.1902  Posting requirements.
20.1903  Exceptions to posting requirements.
20.1904  Labeling containers.
20.1905  Exemptions to labeling requirements.
20.1906  Procedures for receiving and opening packages.

                        Subpart K--Waste Disposal

20.2001  General requirements.
20.2002  Method for obtaining approval of proposed disposal procedures.
20.2003  Disposal by release into sanitary sewerage.
20.2004  Treatment or disposal by incineration.
20.2005  Disposal of specific wastes.
20.2006  Transfer for disposal and manifests.
20.2007  Compliance with environmental and health protection 
          regulations.

                           Subpart L--Records

20.2101  General provisions.
20.2102  Records of radiation protection programs.
20.2103  Records of surveys.
20.2104  Determination of prior occupational dose.
20.2105  Records of planned special exposures.
20.2106  Records of individual monitoring results.

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20.2107  Records of dose to individual members of the public.
20.2108  Records of waste disposal.
20.2109  [Reserved]
20.2110  Form of records.

                           Subpart M--Reports

20.2201  Reports of theft or loss of licensed material.
20.2202  Notification of incidents.
20.2203  Reports of exposures, radiation levels, and concentrations of 
          radioactive material exceeding the constraints or limits.
20.2204  Reports of planned special exposures.
20.2205  Reports to individuals of exceeding dose limits.
20.2206  Reports of individual monitoring.

            Subpart N--Exemptions and Additional Requirements

20.2301  Applications for exemptions.
20.2302  Additional requirements.

                         Subpart O--Enforcement

20.2401  Violations.
20.2402  Criminal penalties.

Appendix A to Part 20--Protection Factors for Respirators
Appendix B to Part 20--Annual Limits on Intake (ALIs) and Derived Air 
          Concentrations (DACs) of Radionuclides for Occupational 
          Exposure; Effluent Concentrations; Concentrations for Release 
          to Sewerage
Appendix C to Part 20--Quantities of Licensed Material Requiring 
          Labeling
Appendix D to Part 20--United States Nuclear Regulatory Commission 
          Regional Offices
Appendix E to Part 20--[Reserved]
Appendix F to Part 20--Requirements for Low-Level-Waste Transfer for 
          Disposal at Land Disposal Facilities and Manifests
Appendix G to Part 20--Requirements for Transfers of Low-Level 
          Radioactive Waste Intended for Disposal at Licensed Land 
          Disposal Facilities and Manifests

    Authority: Secs. 53, 63, 65, 81, 103, 104, 161, 182, 186, 68 Stat. 
930, 933, 935, 936, 937, 948, 953, 955, as amended, sec. 1701, 106 Stat. 
2951, 2952, 2953 (42 U.S.C. 2073, 2093, 2095, 2111, 2133, 2134, 2201, 
2232, 2236, 2297f), secs. 201, as amended, 202, 206, 88 Stat. 1242, as 
amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846).



                      Subpart A--General Provisions

    Source: 56 FR 23391, May 21, 1991, unless otherwise noted.



Sec. 20.1001  Purpose.

    (a) The regulations in this part establish standards for protection 
against ionizing radiation resulting from activities conducted under 
licenses issued by the Nuclear Regulatory Commission. These regulations 
are issued under the Atomic Energy Act of 1954, as amended, and the 
Energy Reorganization Act of 1974, as amended.
    (b) It is the purpose of the regulations in this part to control the 
receipt, possession, use, transfer, and disposal of licensed material by 
any licensee in such a manner that the total dose to an individual 
(including doses resulting from licensed and unlicensed radioactive 
material and from radiation sources other than background radiation) 
does not exceed the standards for protection against radiation 
prescribed in the regulations in this part. However, nothing in this 
part shall be construed as limiting actions that may be necessary to 
protect health and safety.



Sec. 20.1002  Scope.

    The regulations in this part apply to persons licensed by the 
Commission to receive, possess, use, transfer, or dispose of byproduct, 
source, or special nuclear material or to operate a production or 
utilization facility under parts 30 through 36, 39, 40, 50, 60, 61, 70, 
or 72 of this chapter, and in accordance with 10 CFR 76.60 to persons 
required to obtain a certificate of compliance or an approved compliance 
plan under part 76 of this chapter. The limits in this part do not apply 
to doses due to background radiation, due to any medical administration 
the individual has received, or due to voluntary participation in 
medical research programs.

[60 FR 48625, Sept. 20, 1995]



Sec. 20.1003  Definitions.

    As used in this part:
    Absorbed dose means the energy imparted by ionizing radiation per 
unit mass of irradiated material. The units of absorbed dose are the rad 
and the gray (Gy).
    Act means the Atomic Energy Act of 1954 (42 U.S.C. 2011 et seq.), as 
amended.

[[Page 285]]

    Activity is the rate of disintegration (transformation) or decay of 
radioactive material. The units of activity are the curie (Ci) and the 
becquerel (Bq).
    Adult means an individual 18 or more years of age.
    Airborne radioactive material means radioactive material dispersed 
in the air in the form of dusts, fumes, particulates, mists, vapors, or 
gases.
    Airborne radioactivity area means a room, enclosure, or area in 
which airborne radioactive materials, composed wholly or partly of 
licensed material, exist in concentrations--
    (1) In excess of the derived air concentrations (DACs) specified in 
appendix B, to Secs. 20.1001-20.2401, or
    (2) To such a degree that an individual present in the area without 
respiratory protective equipment could exceed, during the hours an 
individual is present in a week, an intake of 0.6 percent of the annual 
limit on intake (ALI) or 12 DAC-hours.
    ALARA (acronym for ``as low as is reasonably achievable'') means 
making every reasonable effort to maintain exposures to radiation as far 
below the dose limits in this part as is practical consistent with the 
purpose for which the licensed activity is undertaken, taking into 
account the state of technology, the economics of improvements in 
relation to state of technology, the economics of improvements in 
relation to benefits to the public health and safety, and other societal 
and socioeconomic considerations, and in relation to utilization of 
nuclear energy and licensed materials in the public interest.
    Annual limit on intake (ALI) means the derived limit for the amount 
of radioactive material taken into the body of an adult worker by 
inhalation or ingestion in a year. ALI is the smaller value of intake of 
a given radionuclide in a year by the reference man that would result in 
a committed effective dose equivalent of 5 rems (0.05 Sv) or a committed 
dose equivalent of 50 rems (0.5 Sv) to any individual organ or tissue. 
(ALI values for intake by ingestion and by inhalation of selected 
radionuclides are given in Table 1, Columns 1 and 2, of appendix B to 
Secs. 20.1001-20.2401).
    Background radiation means radiation from cosmic sources; naturally 
occurring radioactive materials, including radon (except as a decay 
product of source or special nuclear material) and global fallout as it 
exists in the environment from the testing of nuclear explosive devices. 
``Background radiation'' does not include radiation from source, 
byproduct, or special nuclear materials regulated by the Commission.
    Bioassay (radiobioassay) means the determination of kinds, 
quantities or concentrations, and, in some cases, the locations of 
radioactive material in the human body, whether by direct measurement 
(in vivo counting) or by analysis and evaluation of materials excreted 
or removed from the human body.
    Byproduct material means--
    (1) Any radioactive material (except special nuclear material) 
yielded in, or made radioactive by, exposure to the radiation incident 
to the process of producing or utilizing special nuclear material; and
    (2) The tailings or wastes produced by the extraction or 
concentration of uranium or thorium from ore processed primarily for its 
source material content, including discrete surface wastes resulting 
from uranium solution extraction processes. Underground ore bodies 
depleted by these solution extraction operations do not constitute 
``byproduct material'' within this definition.
    Class (or lung class or inhalation class) means a classification 
scheme for inhaled material according to its rate of clearance from the 
pulmonary region of the lung. Materials are classified as D, W, or Y, 
which applies to a range of clearance half-times: for Class D (Days) of 
less than 10 days, for Class W (Weeks) from 10 to 100 days, and for 
Class Y (Years) of greater than 100 days.
    Collective dose is the sum of the individual doses received in a 
given period of time by a specified population from exposure to a 
specified source of radiation.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.

[[Page 286]]

    Committed dose equivalent (HT,50) means the dose equivalent to 
organs or tissues of reference (T) that will be received from an intake 
of radioactive material by an individual during the 50-year period 
following the intake.
    Committed effective dose equivalent (HE,50) is the sum of the 
products of the weighting factors applicable to each of the body organs 
or tissues that are irradiated and the committed dose equivalent to 
these organs or tissues (HE,50 = wTHT,50).
    Constraint (dose constraint) means a value above which specified 
licensee actions are required.
    Controlled area means an area, outside of a restricted area but 
inside the site boundary, access to which can be limited by the licensee 
for any reason.
    Declared pregnant woman means a woman who has voluntarily informed 
her employer, in writing, of her pregnancy and the estimated date of 
conception.
    Deep-dose equivalent (Hd), which applies to external whole-body 
exposure, is the dose equivalent at a tissue depth of 1 cm (1000 mg/
cm2).
    Department means the Department of Energy established by the 
Department of Energy Organization Act (Pub. L. 95-91, 91 Stat. 565, 42 
U.S.C. 7101 et seq.) to the extent that the Department, or its duly 
authorized representatives, exercises functions formerly vested in the 
U.S. Atomic Energy Commission, its Chairman, members, officers, and 
components and transferred to the U.S. Energy Research and Development 
Administration and to the Administrator thereof pursuant to sections 104 
(b), (c), and (d) of the Energy Reorganization Act of 1974 (Pub. L. 93-
438, 88 Stat. 1233 at 1237, 42 U.S.C. 5814) and retransferred to the 
Secretary of Energy pursuant to section 301(a) of the Department of 
Energy Organization Act (Pub. L. 95-91, 91 Stat 565 at 577-578, 42 
U.S.C. 7151).
    Derived air concentration (DAC) means the concentration of a given 
radionuclide in air which, if breathed by the reference man for a 
working year of 2,000 hours under conditions of light work (inhalation 
rate 1.2 cubic meters of air per hour), results in an intake of one ALI. 
DAC values are given in Table 1, Column 3, of appendix B to 
Secs. 20.1001-20.2401.
    Derived air concentration-hour (DAC-hour) is the product of the 
concentration of radioactive material in air (expressed as a fraction or 
multiple of the derived air concentration for each radionuclide) and the 
time of exposure to that radionuclide, in hours. A licensee may take 
2,000 DAC-hours to represent one ALI, equivalent to a committed 
effective dose equivalent of 5 rems (0.05 Sv).
    Dose or radiation dose is a generic term that means absorbed dose, 
dose equivalent, effective dose equivalent, committed dose equivalent, 
committed effective dose equivalent, or total effective dose equivalent, 
as defined in other paragraphs of this section.
    Dose equivalent (HT) means the product of the absorbed dose in 
tissue, quality factor, and all other necessary modifying factors at the 
location of interest. The units of dose equivalent are the rem and 
sievert (Sv).
    Dosimetry processor means an individual or organization that 
processes and evaluates individual monitoring equipment in order to 
determine the radiation dose delivered to the equipment.
    Effective dose equivalent (HE) is the sum of the products of 
the dose equivalent to the organ or tissue (HT) and the weighting 
factors (wT) applicable to each of the body organs or tissues that 
are irradiated (HE = wTHT).
    Embryo/fetus means the developing human organism from conception 
until the time of birth.
    Entrance or access point means any location through which an 
individual could gain access to radiation areas or to radioactive 
materials. This includes entry or exit portals of sufficient size to 
permit human entry, irrespective of their intended use.
    Exposure means being exposed to ionizing radiation or to radioactive 
material.
    External dose means that portion of the dose equivalent received 
from radiation sources outside the body.
    Extremity means hand, elbow, arm below the elbow, foot, knee, or leg 
below the knee.
    Eye dose equivalent applies to the external exposure of the lens of 
the eye and is taken as the dose equivalent at a tissue depth of 0.3 
centimeter (300 mg/cm2).

[[Page 287]]

    Generally applicable environmental radiation standards means 
standards issued by the Environmental Protection Agency (EPA) under the 
authority of the Atomic Energy Act of 1954, as amended, that impose 
limits on radiation exposures or levels, or concentrations or quantities 
of radioactive material, in the general environment outside the 
boundaries of locations under the control of persons possessing or using 
radioactive material.
    Government agency means any executive department, commission, 
independent establishment, corporation wholly or partly owned by the 
United States of America, which is an instrumentality of the United 
States, or any board, bureau, division, service, office, officer, 
authority, administration, or other establishment in the executive 
branch of the Government.
    Gray [See Sec. 20.1004].
    High radiation area means an area, accessible to individuals, in 
which radiation levels could result in an individual receiving a dose 
equivalent in excess of 0.1 rem (1 mSv) in 1 hour at 30 centimeters from 
the radiation source or from any surface that the radiation penetrates.
    Individual means any human being.
    Individual monitoring means--
    (1) The assessment of dose equivalent by the use of devices designed 
to be worn by an individual;
    (2) The assessment of committed effective dose equivalent by 
bioassay (see Bioassay) or by determination of the time-weighted air 
concentrations to which an individual has been exposed, i.e., DAC-hours; 
or
    (3) The assessment of dose equivalent by the use of survey data.
    Individual Monitoring Devices (individual monitoring equipment) 
means devices designed to be worn by a single individual for the 
assessment of dose equivalent such as film badges, thermoluminescent 
dosimeters (TLDs), pocket ionization chambers, and personal (``lapel'') 
air sampling devices.
    Internal dose means that portion of the dose equivalent received 
from radioactive material taken into the body.
    License means a license issued under the regulations in parts 30 
through 36, 39, 40, 50, 60, 61, 70, or 72 of this chapter.
    Licensed material means source material, special nuclear material, 
or byproduct material received, possessed, used, transferred or disposed 
of under a general or specific license issued by the Commission.
    Licensee means the holder of a license.
    Limits (dose limits) means the permissible upper bounds of radiation 
doses.
    Lost or missing licensed material means licensed material whose 
location is unknown. It includes material that has been shipped but has 
not reached its destination and whose location cannot be readily traced 
in the transportation system.
    Member of the public means any individual except when that 
individual is receiving an occupational dose.\1\
---------------------------------------------------------------------------

    \1\ Except as delineated in other parts of 10 CFR chapter I.
---------------------------------------------------------------------------

    Minor means an individual less than 18 years of age.
    Monitoring (radiation monitoring, radiation protection monitoring) 
means the measurement of radiation levels, concentrations, surface area 
concentrations or quantities of radioactive material and the use of the 
results of these measurements to evaluate potential exposures and doses.
    Nonstochastic effect means health effects, the severity of which 
varies with the dose and for which a threshold is believed to exist. 
Radiation-induced cataract formation is an example of a nonstochastic 
effect (also called a deterministic effect).
    NRC means the Nuclear Regulatory Commission or its duly authorized 
representatives.
    Occupational dose means the dose received by an individual in the 
course of employment in which the individual's assigned duties involve 
exposure to radiation and/or radioactive material from licensed and 
unlicensed sources of radiation, whether in the possession of the 
licensee or other person. Occupational dose does not include doses 
received from background radiation, from any medical administration the 
individual has received, from voluntary participation in medical 
research programs, or as a member of the public.
    Person means--

[[Page 288]]

    (1) Any individual, corporation, partnership, firm, association, 
trust, estate, public or private institution, group, Government agency 
other than the Commission or the Department of Energy (except that the 
Department shall be considered a person within the meaning of the 
regulations in 10 CFR chapter I to the extent that its facilities and 
activities are subject to the licensing and related regulatory authority 
of the Commission under section 202 of the Energy Reorganization Act of 
1974 (88 Stat. 1244), the Uranium Mill Tailings Radiation Control Act of 
1978 (92 Stat. 3021), the Nuclear Waste Policy Act of 1982 (96 Stat. 
2201), and section 3(b)(2) of the Low-Level Radioactive Waste Policy 
Amendments Act of 1985 (99 Stat. 1842)), any State or any political 
subdivision of or any political entity within a State, any foreign 
government or nation or any political subdivision of any such government 
or nation, or other entity; and
    (2) Any legal successor, representative, agent, or agency of the 
foregoing.
    Planned special exposure means an infrequent exposure to radiation, 
separate from and in addition to the annual dose limits.
    Public dose means the dose received by a member of the public from 
exposure to radiation and/or radioactive material released by a 
licensee, or to any other source of radiation under the control of the 
licensee. Public dose does not include occupational dose or doses 
received from background radiation, from any medical administration the 
individual has received, or from voluntary participation in medical 
research programs.
    Quality Factor (Q) means the modifying factor (listed in tables 
1004(b).1 and 1004(b).2 of Sec. 20.1004) that is used to derive dose 
equivalent from absorbed dose.
    Quarter means a period of time equal to one-fourth of the year 
observed by the licensee (approximately 13 consective weeks), providing 
that the beginning of the first quarter in a year coincides with the 
starting date of the year and that no day is omitted or duplicated in 
consecutive quarters.
    Rad (See Sec. 20.1004).
    Radiation (ionizing radiation) means alpha particles, beta 
particles, gamma rays, x-rays, neutrons, high-speed electrons, high-
speed protons, and other particles capable of producing ions. Radiation, 
as used in this part, does not include non-ionizing radiation, such as 
radio- or microwaves, or visible, infrared, or ultraviolet light.
    Radiation area means an area, accessible to individuals, in which 
radiation levels could result in an individual receiving a dose 
equivalent in excess of 0.005 rem (0.05 mSv) in 1 hour at 30 centimeters 
from the radiation source or from any surface that the radiation 
penetrates.
    Reference man means a hypothetical aggregation of human physical and 
physiological characteristics arrived at by international consensus. 
These characteristics may be used by researchers and public health 
workers to standardize results of experiments and to relate biological 
insult to a common base.
    Rem (See Sec. 20.1004).
    Respiratory protective device means an apparatus, such as a 
respirator, used to reduce the individual's intake of airborne 
radioactive materials.
    Restricted area means an area, access to which is limited by the 
licensee for the purpose of protecting individuals against undue risks 
from exposure to radiation and radioactive materials. Restricted area 
does not include areas used as residential quarters, but separate rooms 
in a residential building may be set apart as a restricted area.
    Sanitary sewerage means a system of public sewers for carrying off 
waste water and refuse, but excluding sewage treatment facilities, 
septic tanks, and leach fields owned or operated by the licensee.
    Shallow-dose equivalent (HS), which applies to the external 
exposure of the skin or an extremity, is taken as the dose equivalent at 
a tissue depth of 0.007 centimeter (7 mg/cm2) averaged over an area 
of 1 square centimeter.
    Sievert (See Sec. 20.1004).
    Site boundary means that line beyond which the land or property is 
not owned, leased, or otherwise controlled by the licensee.
    Source material means--
    (1) Uranium or thorium or any combination of uranium and thorium in 
any physical or chemical form; or

[[Page 289]]

    (2) Ores that contain, by weight, one-twentieth of 1 percent (0.05 
percent), or more, of uranium, thorium, or any combination of uranium 
and thorium. Source material does not include special nuclear material.
    Special nuclear material means--
    (1) Plutonium, uranium-233, uranium enriched in the isotope 233 or 
in the isotope 235, and any other material that the Commission, pursuant 
to the provisions of section 51 of the Act, determines to be special 
nuclear material, but does not include source material; or
    (2) Any material artificially enriched by any of the foregoing but 
does not include source material.
    Stochastic effects means health effects that occur randomly and for 
which the probability of the effect occurring, rather than its severity, 
is assumed to be a linear function of dose without threshold. Hereditary 
effects and cancer incidence are examples of stochastic effects.
    Survey means an evalulation of the radiological conditions and 
potential hazards incident to the production, use, transfer, release, 
disposal, or presence of radioactive material or other sources of 
radiation. When appropriate, such an evaluation includes a physical 
survey of the location of radioactive material and measurements or 
calculations of levels of radiation, or concentrations or quantities of 
radioactive material present.
    Total Effective Dose Equivalent (TEDE) means the sum of the deep-
dose equivalent (for external exposures) and the committed effective 
dose equivalent (for internal exposures).
    Unrestricted area means an area, access to which is neither limited 
nor controlled by the licensee.
    Uranium fuel cycle means the operations of milling of uranium ore, 
chemical conversion of uranium, isotopic enrichment of uranium, 
fabrication of uranium fuel, generation of electricity by a light-water-
cooled nuclear power plant using uranium fuel, and reprocessing of spent 
uranium fuel to the extent that these activities directly support the 
production of electrical power for public use. Uranium fuel cycle does 
not include mining operations, operations at waste disposal sites, 
transportation of radioactive material in support of these operations, 
and the reuse of recovered non-uranium special nuclear and byproduct 
materials from the cycle.
    Very high radiation area means an area, accessible to individuals, 
in which radiation levels could result in an individual receiving an 
absorbed dose in excess of 500 rads (5 grays) in 1 hour at 1 meter from 
a radiation source or from any surface that the radiation penetrates.

    (Note: At very high doses received at high dose rates, units of 
absorbed dose (e.g., rads and grays) are appropriate, rather than units 
of dose equivalent (e.g., rems and sieverts)).

    Week means 7 consecutive days starting on Sunday.
    Weighting factor wT, for an organ or tissue (T) is the 
proportion of the risk of stochastic effects resulting from irradiation 
of that organ or tissue to the total risk of stochastic effects when the 
whole body is irradiated uniformly. For calculating the effective dose 
equivalent, the values of wT are:

                      Organ Dose Weighting Factors                      
------------------------------------------------------------------------
                        Organ or tissue                             wT  
------------------------------------------------------------------------
Gonads.........................................................     0.25
Breast.........................................................     0.15
Red bone marrow................................................     0.12
Lung...........................................................     0.12
Thyroid........................................................     0.03
Bone surfaces..................................................     0.03
Remainder......................................................  \1\ 0.3
                                                                       0
Whole Body.....................................................  \2\ 1.0
                                                                       0
------------------------------------------------------------------------
\1\ 0.30 results from 0.06 for each of 5 ``remainder'' organs (excluding
  the skin and the lens of the eye) that receive the highest doses.     
\2\ For the purpose of weighting the external whole body dose (for      
  adding it to the internal dose), a single weighting factor, wT=1.0,   
  has been specified. The use of other weighting factors for external   
  exposure will be approved on a case-by-case basis until such time as  
  specific guidance is issued.                                          

    Whole body means, for purposes of external exposure, head, trunk 
(including male gonads), arms above the elbow, or legs above the knee.
    Working level (WL) is any combination of short-lived radon daughters 
(for radon-222: polonium-218, lead-214, bismuth-214, and polonium-214; 
and for radon-220: polonium-216, lead-212, bismuth-212, and polonium-
212) in 1 liter of air that will result in the ultimate emission of 
1.3 x 10 5 MeV of potential alpha particle energy.
    Working level month (WLM) means an exposure to 1 working level for 
170

[[Page 290]]

hours (2,000 working hours per year/12 months per year=approximately 170 
hours per month).
    Year means the period of time beginning in January used to determine 
compliance with the provisions of this part. The licensee may change the 
starting date of the year used to determine compliance by the licensee 
provided that the change is made at the beginning of the year and that 
no day is omitted or duplicated in consecutive years.

[56 FR 23391, May 21, 1991, as amended at 57 FR 57878, Dec. 8, 1992; 58 
FR 7736, Feb. 9, 1993; 60 FR 36043, July 13, 1995; 60 FR 48625, Sept. 
20, 1995; 61 FR 65127, Dec. 10, 1996]

    Effective Date Note: At 61 FR 65127, Dec. 10, 1996, in Sec. 20.1003, 
the definition of Constraint (dose constraint) was added, effective Jan. 
9, 1997.



Sec. 20.1004  Units of radiation dose.

    (a) Definitions. As used in this part, the units of radiation dose 
are:
    Gray (Gy) is the SI unit of absorbed dose. One gray is equal to an 
absorbed dose of 1 Joule/kilogram (100 rads).
    Rad is the special unit of absorbed dose. One rad is equal to an 
absorbed dose of 100 ergs/gram or 0.01 joule/kilogram (0.01 gray).
    Rem is the special unit of any of the quantities expressed as dose 
equivalent. The dose equivalent in rems is equal to the absorbed dose in 
rads multiplied by the quality factor (1 rem=0.01 sievert).
    Sievert is the SI unit of any of the quantities expressed as dose 
equivalent. The dose equivalent in sieverts is equal to the absorbed 
dose in grays multiplied by the quality factor (1 Sv=100 rems).
    (b) As used in this part, the quality factors for converting 
absorbed dose to dose equivalent are shown in table 1004(b).1.

    Table 1004(b).1--Quality Factors and Absorbed Dose Equivalencies    
------------------------------------------------------------------------
                                                   Quality    Absorbed  
                                                   factor    dose equal 
                Type of radiation                ----------   to a unit 
                                                                dose    
                                                     (Q)    equivalent a
------------------------------------------------------------------------
X-, gamma, or beta radiation....................         1         1    
Alpha particles, multiple-charged particles,                            
 fission fragments and heavy particles of                               
 unknown charge.................................        20         0.05 
Neutrons of unknown energy......................        10         0.1  
High-energy protons.............................        10         0.1  
------------------------------------------------------------------------
a Absorbed dose in rad equal to 1 rem or the absorbed dose in gray equal
  to 1 sievert.                                                         

    (c) If it is more convenient to measure the neutron fluence rate 
than to determine the neutron dose equivalent rate in rems per hour or 
sieverts per hour, as provided in paragraph (b) of this section, 1 rem 
(0.01 Sv) of neutron radiation of unknown energies may, for purposes of 
the regulations in this part, be assumed to result from a total fluence 
of 25 million neutrons per square centimeter incident upon the body. If 
sufficient information exists to estimate the approximate energy 
distribution of the neutrons, the licensee may use the fluence rate per 
unit dose equivalent or the appropriate Q value from table 1004(b).2 to 
convert a measured tissue dose in rads to dose equivalent in rems.

   Table 1004(b).2--Mean Quality Factors, Q, and Fluence per Unit Dose  
                  Equivalent for Monoenergetic Neutrons                 
------------------------------------------------------------------------
                                                      Fluence per unit  
                        Neutron energy    Quality     dose equivalent b 
                             (MeV)        factor a  (neutrons cm-2 rem -
                                            (Q)              1)         
------------------------------------------------------------------------
(thermal)............  2.5 x 10 -8             2     980 x 10 6         
                       1 x 10 -7               2     980 x 10 6         
                       1 x 10 -6               2     810 x 10 6         
                       1 x 10 -5               2     810 x 10 6         
                       1 x 10 -4               2     840 x 10 6         
                       1 x 10 -3               2     980 x 10 6         
                       1 x 10 -2               2.5  1010 x 10 6         
                       1 x 10 - 1              7.5   170 x 10 6         
                       5 x 10 -1              11      39 x 10 6         
                       1                      11      27 x 10 6         
                       2.5                     9      29 x 10 6         
                       5                       8      23 x 10 6         
                       7                       7      24 x 10 6         
                       10                      6.5    24 x 10 6         
                       14                      7.5    17 x 10 6         
                       20                      8      16 x 10 6         
                       40                      7      14 x 10 6         
                       60                      5.5    16 x 10 6         
                       1 x 10 2                4      20 x 10 6         
                       2 x 10 2                3.5    19 x 10 6         
                       3 x 10 2                3.5    16 x 10 6         

[[Page 291]]

                                                                        
                       4 x 10 2                3.5    14 x 10 6         
------------------------------------------------------------------------
a Value of quality factor (Q) at the point where the dose equivalent is 
  maximum in a 30-cm diameter cylinder tissue-equivalent phantom.       
b Monoenergetic neutrons incident normally on a 30-cm diameter cylinder 
  tissue-equivalent phantom.                                            



Sec. 20.1005  Units of radioactivity.

    For the purposes of this part, activity is expressed in the special 
unit of curies (Ci) or in the SI unit of becquerels (Bq), or their 
multiples, or disintegrations (transformations) per unit of time.
    (a) One becquerel=1 disintegration per second (s-1).
    (b) One curie=3.7 x 10 10 disintegrations per second=3.7 x 10 
10 becquerels=2.22 x 10 12 disintegrations per minute.

[56 FR 23391, May 21, 1991; 56 FR 61352, Dec. 3, 1991]



Sec. 20.1006  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by an 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 20.1007  Communications.

    Unless otherwise specified, communications or reports concerning the 
regulations in this part should be addressed to the Executive Director 
for Operations, U.S. Nuclear Regulatory Commission, Washington, DC 
20555. A communication, report, or application may be delivered in 
person to the Office of the Executive Director for Operations, 11555 
Rockville Pike, Rockville, MD 20852.



Sec. 20.1008  Implementation.

    (a) [Reserved]
    (b) The applicable section of Secs. 20.1001-20.2402 must be used in 
lieu of requirements in the standards for protection against radiation 
in effect prior to January 1, 1994 \1\ that are cited in license 
conditions or technical specifications, except as specified in 
paragraphs (c), (d), and (e) of this section. If the requirements of 
this part are more restrictive than the existing license condition, then 
the licensee shall comply with this part unless exempted by paragraph 
(d) of this section.
---------------------------------------------------------------------------

    \1\ See Secs. 20.1-20.602 codified as of January 1, 1993.
---------------------------------------------------------------------------

    (c) Any existing license condition or technical specification that 
is more restrictive than a requirement in Secs. 20.1001-20.2402 remains 
in force until there is a technical specification change, license 
amendment, or license renewal.
    (d) If a license condition or technical specification exempted a 
licensee from a requirement in the standards for protection against 
radiation in effect prior to January 1, 1994,\1\ it continues to exempt 
a licensee from the corresponding provision of Secs. 20.1001-20.2402.
    (e) If a license condition cites provisions in requirements in the 
standards for protection against radiation in effect prior to January 1, 
1994 \1\ and there are no corresponding provisions in Secs. 20.1001-
20.2402, then the license condition remains in force until there is a 
technical specification change, license amendment, or license renewal 
that modifies or removes this condition.

[59 FR 41643, Aug. 15, 1994]



Sec. 20.1009  Reporting, recording, and application requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0014.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 20.1101, 20.1202, 20.1204, 20.1206, 20.1301, 
20.1501, 20.1601, 20.1703, 20.1901, 20.1902, 20.1904, 20.1906, 20.2002, 
20.2004, 20.2006, 20.2102, 20.2103, 20.2104, 20.2105, 20.2106, 20.2107, 
20.2108, 20.2110,

[[Page 292]]

20.2201, 20.2202, 20.2203, 20.2204, 20.2206, and appendix F to 20.1001-
20.2401.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 20.2104, NRC Form 4 is approved under control number 
3150-0005.
    (2) In Secs. 20.2106 and 20.2206, NRC Form 5 is approved under 
control number 3150-0006.

[57 FR 57878, Dec. 8, 1992]

    Effective Date Note: At 60 FR 15663, Mar. 27, 1995, Sec. 20.1009 was 
revised, effective March 1, 1998. For the convenience of the reader, the 
revised text is set forth below.

Sec. 20.1009  Information collection requirements: OMB approval.
    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). The OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0014.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 20.1101, 20.1202, 20.1204, 20.1206, 20.1301, 
20.1302, 20.1501, 20.1601, 20.1703, 20.1901, 20.1902, 20.1904, 20.1905, 
20.1906, 20.2002, 20.2004, 20.2006, 20.2102, 20.2103, 20.2104, 20.2105, 
20.2106, 20.2107, 20.2108, 20.2109, 20.2110, 20.2201, 20.2202, 20.2203, 
20.2204, 20.2206, and appendices F and G to 10 CFR part 20.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 20.2104, NRC Form 4 is approved under control number 
3150-0005.
    (2) In Secs. 20.2106 and 20.2206, NRC Form 5 is approved under 
control number 3150-0006.
    (3) In Sec. 20.2006 and appendix G to 10 CFR part 20, NRC Form 540 
and 540A is approved under control number 3150-0164.
    (4) In Sec. 20.2006 and appendix G to 10 CFR part 20, NRC Form 541 
and 541A is approved under control number 3150-0165.
    (5) In Sec. 20.2006 and appendix G to 10 CFR part 20, NRC Form 542 
and 542A is approved under control number 3150-0166.

[60 FR 15663, Mar. 27, 1995]



                Subpart B--Radiation Protection Programs

    Source: 56 FR 23396, May 21, 1991, unless otherwise noted.



Sec. 20.1101  Radiation protection programs.

    (a) Each licensee shall develop, document, and implement a radiation 
protection program commensurate with the scope and extent of licensed 
activities and sufficient to ensure compliance with the provisions of 
this part. (See Sec. 20.2102 for recordkeeping requirements relating to 
these programs.)
    (b) The licensee shall use, to the extent practicable, procedures 
and engineering controls based upon sound radiation protection 
principles to achieve occupational doses and doses to members of the 
public that are as low as is reasonably achievable (ALARA).
    (c) The licensee shall periodically (at least annually) review the 
radiation protection program content and implementation.
    (d) To implement the ALARA requirements of Sec. 20.1101 (b), and 
notwithstanding the requirements in Sec. 20.1301 of this part, a 
constraint on air emissions of radioactive material to the environment, 
excluding Radon-222 and its daughters, shall be established by licensees 
other than those subject to Sec. 50.34a, such that the individual member 
of the public likely to receive the highest dose will not be expected to 
receive a total effective dose equivalent in excess of 10 mrem (0.1 mSv) 
per year from these emissions. If a licensee subject to this requirement 
exceeds this dose constraint, the licensee shall report the exceedance 
as provided in Sec. 20.2203 and promptly take appropriate corrective 
action to ensure against recurrence.

[56 FR 23396, May 21, 1991, as amended at 61 FR 65127, Dec. 10, 1996]

    Effective Date Note: At 61 FR 65127, Dec. 10, 1996, in Sec. 20.1101 
paragraph (d) was added, effective Jan. 9, 1997.



                   Subpart C--Occupational Dose Limits

    Source: 56 FR 23396, May 21, 1991, unless otherwise noted.

[[Page 293]]



Sec. 20.1201  Occupational dose limits for adults.

    (a) The licensee shall control the occupational dose to individual 
adults, except for planned special exposures under Sec. 20.1206, to the 
following dose limits.
    (1) An annual limit, which is the more limiting of--
    (i) The total effective dose equivalent being equal to 5 rems (0.05 
Sv); or
    (ii) The sum of the deep-dose equivalent and the committed dose 
equivalent to any individual organ or tissue other than the lens of the 
eye being equal to 50 rems (0.5 Sv).
    (2) The annual limits to the lens of the eye, to the skin, and to 
the extremities, which are:
    (i) An eye dose equivalent of 15 rems (0.15 Sv), and
    (ii) A shallow-dose equivalent of 50 rems (0.50 Sv) to the skin or 
to any extremity.
    (b) Doses received in excess of the annual limits, including doses 
received during accidents, emergencies, and planned special exposures, 
must be subtracted from the limits for planned special exposures that 
the individual may receive during the current year (see 
Sec. 20.1206(e)(1)) and during the individual's lifetime (see 
Sec. 20.1206(e)(2)).
    (c) The assigned deep-dose equivalent and shallow-dose equivalent 
must be for the part of the body receiving the highest exposure. The 
deep-dose equivalent, eye dose equivalent and shallow-dose equivalent 
may be assessed from surveys or other radiation measurements for the 
purpose of demonstrating compliance with the occupational dose limits, 
if the individual monitoring device was not in the region of highest 
potential exposure, or the results of individual monitoring are 
unavailable.
    (d) Derived air concentration (DAC) and annual limit on intake (ALI) 
values are presented in table 1 of appendix B to part 20 and may be used 
to determine the individual's dose (see Sec. 20.2106) and to demonstrate 
compliance with the occupational dose limits.
    (e) In addition to the annual dose limits, the licensee shall limit 
the soluble uranium intake by an individual to 10 milligrams in a week 
in consideration of chemical toxicity (see footnote 3 of appendix B to 
part 20).
    (f) The licensee shall reduce the dose that an individual may be 
allowed to receive in the current year by the amount of occupational 
dose received while employed by any other person (see Sec. 20.2104(e)).

[56 FR 23396, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



Sec. 20.1202  Compliance with requirements for summation of external and internal doses.

    (a) If the licensee is required to monitor under both 
Secs. 20.1502(a) and (b), the licensee shall demonstrate compliance with 
the dose limits by summing external and internal doses. If the licensee 
is required to monitor only under Sec. 20.1502(a) or only under 
Sec. 20.1502(b), then summation is not required to demonstrate 
compliance with the dose limits. The licensee may demonstrate compliance 
with the requirements for summation of external and internal doses by 
meeting one of the conditions specified in paragraph (b) of this section 
and the conditions in paragraphs (c) and (d) of this section.

    (Note: The dose equivalents for the lens of the eye, the skin, and 
the extremities are not included in the summation, but are subject to 
separate limits.)

    (b) Intake by inhalation. If the only intake of radionuclides is by 
inhalation, the total effective dose equivalent limit is not exceeded if 
the sum of the deep-dose equivalent divided by the total effective dose 
equivalent limit, and one of the following, does not exceed unity:
    (1) The sum of the fractions of the inhalation ALI for each 
radionuclide, or
    (2) The total number of derived air concentration-hours (DAC-hours) 
for all radionuclides divided by 2,000, or
    (3) The sum of the calculated committed effective dose equivalents 
to all significantly irradiated\1\ organs or tissues (T) calculated from 
bioassay data using appropriate biological models

[[Page 294]]

and expressed as a fraction of the annual limit.
---------------------------------------------------------------------------

    \1\ An organ or tissue is deemed to be significantly irradiated if, 
for that organ or tissue, the product of the weighting factor, wT, 
and the committed dose equivalent, HT,50, per unit intake is 
greater than 10 percent of the maximum weighted value of HT,50, 
(i.e., WT HT,50) per unit intake for any organ or tissue.
---------------------------------------------------------------------------

    (c) Intake by oral ingestion. If the occupationally exposed 
individual also receives an intake of radionuclides by oral ingestion 
greater than 10 percent of the applicable oral ALI, the licensee shall 
account for this intake and include it in demonstrating compliance with 
the limits.
    (d) Intake through wounds or absorption through skin. The licensee 
shall evaluate and, to the extent practical, account for intakes through 
wounds or skin absorption.

    Note: The intake through intact skin has been included in the 
calculation of DAC for hydrogen-3 and does not need to be further 
evaluated.

[56 FR 23396, May 21, 1991, as amended at 57 FR 57878, Dec. 8, 1992]



Sec. 20.1203  Determination of external dose from airborne radioactive material.

    Licensees shall, when determining the dose from airborne radioactive 
material, include the contribution to the deep-dose equivalent, eye dose 
equivalent, and shallow-dose equivalent from external exposure to the 
radioactive cloud (see appendix B to part 20, footnotes 1 and 2).

    Note: Airborne radioactivity measurements and DAC values should not 
be used as the primary means to assess the deep-dose equivalent when the 
airborne radioactive material includes radionuclides other than noble 
gases or if the cloud of airborne radioactive material is not relatively 
uniform. The determination of the deep-dose equivalent to an individual 
should be based upon measurements using instruments or individual 
monitoring devices.

[56 FR 23396, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



Sec. 20.1204  Determination of internal exposure.

    (a) For purposes of assessing dose used to determine compliance with 
occupational dose equivalent limits, the licensee shall, when required 
under Sec. 20.1502, take suitable and timely measurements of--
    (1) Concentrations of radioactive materials in air in work areas; or
    (2) Quantities of radionuclides in the body; or
    (3) Quantities of radionuclides excreted from the body; or
    (4) Combinations of these measurements.
    (b) Unless respiratory protective equipment is used, as provided in 
Sec. 20.1703, or the assessment of intake is based on bioassays, the 
licensee shall assume that an individual inhales radioactive material at 
the airborne concentration in which the individual is present.
    (c) When specific information on the physical and biochemical 
properties of the radionuclides taken into the body or the behavior or 
the material in an individual is known, the licensee may--
    (1) Use that information to calculate the committed effective dose 
equivalent, and, if used, the licensee shall document that information 
in the individual's record; and
    (2) Upon prior approval of the Commission, adjust the DAC or ALI 
values to reflect the actual physical and chemical characteristics of 
airborne radioactive material (e.g., aerosol size distribution or 
density); and
    (3) Separately assess the contribution of fractional intakes of 
Class D, W, or Y compounds of a given radionuclide (see appendix B to 
part 20) to the committed effective dose equivalent.
    (d) If the licensee chooses to assess intakes of Class Y material 
using the measurements given in Sec. 20.1204(a)(2) or (3), the licensee 
may delay the recording and reporting of the assessments for periods up 
to 7 months, unless otherwise required by Secs. 20.2202 or 20.2203, in 
order to permit the licensee to make additional measurements basic to 
the assessments.
    (e) If the identity and concentration of each radionuclide in a 
mixture are known, the fraction of the DAC applicable to the mixture for 
use in calculating DAC-hours must be either--
    (1) The sum of the ratios of the concentration to the appropriate 
DAC value (e.g., D, W, Y) from appendix B to part 20 for each radio-
nuclide in the mixture; or
    (2) The ratio of the total concentration for all radionuclides in 
the mixture to the most restrictive DAC value for any radionuclide in 
the mixture.
    (f) If the identity of each radionuclide in a mixture is known, but 
the

[[Page 295]]

concentration of one or more of the radionuclides in the mixture is not 
known, the DAC for the mixture must be the most restrictive DAC of any 
radionuclide in the mixture.
    (g) When a mixture of radionuclides in air exists, licensees may 
disregard certain radionuclides in the mixture if--
    (1) The licensee uses the total activity of the mixture in 
demonstrating compliance with the dose limits in Sec. 20.1201 and in 
complying with the monitoring requirements in Sec. 20.1502(b), and
    (2) The concentration of any radionuclide disregarded is less than 
10 percent of its DAC, and
    (3) The sum of these percentages for all of the radionuclides 
disregarded in the mixture does not exceed 30 percent.
    (h)(1) In order to calculate the committed effective dose 
equivalent, the licensee may assume that the inhalation of one ALI, or 
an exposure of 2,000 DAC-hours, results in a committed effective dose 
equivalent of 5 rems (0.05 Sv) for radionuclides that have their ALIs or 
DACs based on the committed effective dose equivalent.
    (2) When the ALI (and the associated DAC) is determined by the 
nonstochastic organ dose limit of 50 rems (0.5 Sv), the intake of 
radionuclides that would result in a committed effective dose equivalent 
of 5 rems (0.05 Sv) (the stochastic ALI) is listed in parentheses in 
table 1 of appendix B to part 20. In this case, the licensee may, as a 
simplifying assumption, use the stochastic ALIs to determine committed 
effective dose equivalent. However, if the licensee uses the stochastic 
ALIs, the licensee must also demonstrate that the limit in 
Sec. 20.1201(a)(1)(ii) is met.

[56 FR 23396, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]
Sec. 20.1205  [Reserved]



Sec. 20.1206  Planned special exposures.

    A licensee may authorize an adult worker to receive doses in 
addition to and accounted for separately from the doses received under 
the limits specified in Sec. 20.1201 provided that each of the following 
conditions is satisfied--
    (a) The licensee authorizes a planned special exposure only in an 
exceptional situation when alternatives that might avoid the higher 
exposure are unavailable or impractical.
    (b) The licensee (and employer if the employer is not the licensee) 
specifically authorizes the planned special exposure, in writing, before 
the exposure occurs.
    (c) Before a planned special exposure, the licensee ensures that the 
individuals involved are--
    (1) Informed of the purpose of the planned operation;
    (2) Informed of the estimated doses and associated potential risks 
and specific radiation levels or other conditions that might be involved 
in performing the task; and
    (3) Instructed in the measures to be taken to keep the dose ALARA 
considering other risks that may be present.
    (d) Prior to permitting an individual to participate in a planned 
special exposure, the licensee ascertains prior doses as required by 
Sec. 20.2104(b) during the lifetime of the individual for each 
individual involved.
    (e) Subject to Sec. 20.1201(b), the licensee does not authorize a 
planned special exposure that would cause an individual to receive a 
dose from all planned special exposures and all doses in excess of the 
limits to exceed--
    (1) The numerical values of any of the dose limits in 
Sec. 20.1201(a) in any year; and
    (2) Five times the annual dose limits in Sec. 20.1201(a) during the 
individual's lifetime.
    (f) The licensee maintains records of the conduct of a planned 
special exposure in accordance with Sec. 20.2105 and submits a written 
report in accordance with Sec. 20.2204.
    (g) The licensee records the best estimate of the dose resulting 
from the planned special exposure in the individual's record and informs 
the individual, in writing, of the dose within 30 days from the date of 
the planned special exposure. The dose from planned special exposures is 
not to be considered in controlling future occupational dose of the 
individual under Sec. 20.1201(a) but is to be included in evaluations 
required by Sec. 20.1206 (d) and (e).

[[Page 296]]



Sec. 20.1207  Occupational dose limits for minors.

    The annual occupational dose limits for minors are 10 percent of the 
annual dose limits specified for adult workers in Sec. 20.1201.



Sec. 20.1208  Dose to an embryo/fetus.

    (a) The licensee shall ensure that the dose to an embryo/fetus 
during the entire pregnancy, due to occupational exposure of a declared 
pregnant woman, does not exceed 0.5 rem (5 mSv). (For recordkeeping 
requirements, see Sec. 20.2106.)
    (b) The licensee shall make efforts to avoid substantial variation 
above a uniform monthly exposure rate to a declared pregnant woman so as 
to satisfy the limit in paragraph (a) of this section.
    (c) The dose to an embryo/fetus shall be taken as the sum of--
    (1) The deep-dose equivalent to the declared pregnant woman; and
    (2) The dose to the embryo/fetus from radionuclides in the embryo/
fetus and radionuclides in the declared pregnant woman.
    (d) If the dose to the embryo/fetus is found to have exceeded 0.5 
rem (5 mSv), or is within 0.05 rem (0.5 mSv) of this dose, by the time 
the woman declares the pregnancy to the licensee, the licensee shall be 
deemed to be in compliance with paragraph (a) of this section if the 
additional dose to the embryo/fetus does not exceed 0.05 rem (0.5 mSv) 
during the remainder of the pregnancy.



  Subpart D--Radiation Dose Limits for Individual Members of the Public

    Source: 56 FR 23398, May 21, 1991, unless otherwise noted.



Sec. 20.1301  Dose limits for individual members of the public.

    (a) Each licensee shall conduct operations so that--
    (1) The total effective dose equivalent to individual members of the 
public from the licensed operation does not exceed 0.1 rem (1 
millisievert) in a year, exclusive of the dose contributions from 
background radiation, any medical administration the individual has 
received, voluntary participation in medical research programs, and the 
licensee's disposal of radioactive material into sanitary sewerage in 
accordance with Sec. 20.2003.
    (2) The dose in any unrestricted area from external sources does not 
exceed 0.002 rem (0.02 mSv) in any one hour.
    (b) If the licensee permits members of the public to have access to 
controlled areas, the limits for members of the public continue to apply 
to those individuals.
    (c) A licensee or license applicant may apply for prior NRC 
authorization to operate up to an annual dose limit for an individual 
member of the public of 0.5 rem (5 mSv). The licensee or license 
applicant shall include the following information in this application:
    (1) Demonstration of the need for and the expected duration of 
operations in excess of the limit in paragraph (a) of this section;
    (2) The licensee's program to assess and control dose within the 0.5 
rem (5 mSv) annual limit; and
    (3) The procedures to be followed to maintain the dose as low as is 
reasonably achievable.
    (d) In addition to the requirements of this part, a licensee subject 
to the provisions of EPA's generally applicable environmental radiation 
standards in 40 CFR part 190 shall comply with those standards.
    (e) The Commission may impose additional restrictions on radiation 
levels in unrestricted areas and on the total quantity of radionuclides 
that a licensee may release in effluents in order to restrict the 
collective dose.

[56 FR 23398, May 21, 1991, as amended at 60 FR 48625, Sept. 20, 1995]



Sec. 20.1302  Compliance with dose limits for individual members of the public.

    (a) The licensee shall make or cause to be made, as appropriate, 
surveys of radiation levels in unrestricted and controlled areas and 
radioactive materials in effluents released to unrestricted and 
controlled areas to demonstrate compliance with the dose limits for 
individual members of the public in Sec. 20.1301.
    (b) A licensee shall show compliance with the annual dose limit in 
Sec. 20.1301 by--

[[Page 297]]

    (1) Demonstrating by measurement or calculation that the total 
effective dose equivalent to the individual likely to receive the 
highest dose from the licensed operation does not exceed the annual dose 
limit; or
    (2) Demonstrating that--
    (i) The annual average concentrations of radioactive material 
released in gaseous and liquid effluents at the boundary of the 
unrestricted area do not exceed the values specified in table 2 of 
appendix B to part 20; and
    (ii) If an individual were continuously present in an unrestricted 
area, the dose from external sources would not exceed 0.002 rem (0.02 
mSv) in an hour and 0.05 rem (0.5 mSv) in a year.
    (c) Upon approval from the Commission, the licensee may adjust the 
effluent concentration values in appendix B to part 20, table 2, for 
members of the public, to take into account the actual physical and 
chemical characteristics of the effluents (e.g., aerosol size 
distribution, solubility, density, radioactive decay equilibrium, 
chemical form).

[56 FR 23398, May 21, 1991; 56 FR 61352, Dec. 3, 1991, as amended at 57 
FR 57878, Dec. 8, 1992; 60 FR 20185, Apr. 25, 1995]



                          Subpart E--[Reserved]



                    Subpart F--Surveys and Monitoring

    Source: 56 FR 23398, May 21, 1991, unless otherwise noted.



Sec. 20.1501  General.

    (a) Each licensee shall make or cause to be made, surveys that--
    (1) May be necessary for the licensee to comply with the regulations 
in this part; and
    (2) Are reasonable under the circumstances to evaluate--
    (i) The extent of radiation levels; and
    (ii) Concentrations or quantities of radioactive material; and
    (iii) The potential radiological hazards that could be present.
    (b) The licensee shall ensure that instruments and equipment used 
for quantitative radiation measurements (e.g., dose rate and effluent 
monitoring) are calibrated periodically for the radiation measured.
    (c) All personnel dosimeters (except for direct and indirect reading 
pocket ionization chambers and those dosimeters used to measure the dose 
to the extremities) that require processing to determine the radiation 
dose and that are used by licensees to comply with Sec. 20.1201, with 
other applicable provisions of this chapter, or with conditions 
specified in a license must be processed and evaluated by a dosimetry 
processor--
    (1) Holding current personnel dosimetry accreditation from the 
National Voluntary Laboratory Accreditation Program (NVLAP) of the 
National Institute of Standards and Technology; and
    (2) Approved in this accreditation process for the type of radiation 
or radiations included in the NVLAP program that most closely 
approximates the type of radiation or radiations for which the 
individual wearing the dosimeter is monitored.



Sec. 20.1502  Conditions requiring individual monitoring of external and internal occupational dose.

    Each licensee shall monitor exposures to radiation and radioactive 
material at levels sufficient to demonstrate compliance with the 
occupational dose limits of this part. As a minimum--
    (a) Each licensee shall monitor occupational exposure to radiation 
and shall supply and require the use of individual monitoring devices 
by--
    (1) Adults likely to receive, in 1 year from sources external to the 
body, a dose in excess of 10 percent of the limits in Sec. 20.1201(a),
    (2) Minors and declared pregnant women likely to receive, in 1 year 
from sources external to the body, a dose in excess of 10 percent of any 
of the applicable limits in Sec. 20.1207 or Sec. 20.1208, and
    (3) Individuals entering a high or very high radiation area.
    (b) Each licensee shall monitor (see Sec. 20.1204) the occupational 
intake of radioactive material by and assess the committed effective 
dose equivalent to--
    (1) Adults likely to receive, in 1 year, an intake in excess of 10 
percent of the applicable ALI(s) in table 1, Columns 1 and 2, of 
appendix B to part 20; and

[[Page 298]]

    (2) Minors and declared pregnant women likely to receive, in 1 year, 
a committed effective dose equivalent in excess of 0.05 rem (0.5 mSv).

[56 FR 23398, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



Subpart G--Control of Exposure From External Sources in Restricted Areas

    Source: 56 FR 23398, May 21, 1991, unless otherwise noted.



Sec. 20.1601  Control of access to high radiation areas.

    (a) The licensee shall ensure that each entrance or access point to 
a high radiation area has one or more of the following features--
    (1) A control device that, upon entry into the area, causes the 
level of radiation to be reduced below that level at which an individual 
might receive a deep-dose equivalent of 0.1 rem (1 mSv) in 1 hour at 30 
centimeters from the radiation source or from any surface that the 
radiation penetrates;
    (2) A control device that energizes a conspicuous visible or audible 
alarm signal so that the individual entering the high radiation area and 
the supervisor of the activity are made aware of the entry; or
    (3) Entryways that are locked, except during periods when access to 
the areas is required, with positive control over each individual entry.
    (b) In place of the controls required by paragraph (a) of this 
section for a high radiation area, the licensee may substitute 
continuous direct or electronic surveillance that is capable of 
preventing unauthorized entry.
    (c) A licensee may apply to the Commission for approval of 
alternative methods for controlling access to high radiation areas.
    (d) The licensee shall establish the controls required by paragraphs 
(a) and (c) of this section in a way that does not prevent individuals 
from leaving a high radiation area.
    (e) Control is not required for each entrance or access point to a 
room or other area that is a high radiation area solely because of the 
presence of radioactive materials prepared for transport and packaged 
and labeled in accordance with the regulations of the Department of 
Transportation provided that--
    (1) The packages do not remain in the area longer than 3 days; and
    (2) The dose rate at 1 meter from the external surface of any 
package does not exceed 0.01 rem (0.1 mSv) per hour.
    (f) Control of entrance or access to rooms or other areas in 
hospitals is not required solely because of the presence of patients 
containing radioactive material, provided that there are personnel in 
attendance who will take the necessary precautions to prevent the 
exposure of individuals to radiation or radioactive material in excess 
of the limits established in this part and to operate within the ALARA 
provisions of the licensee's radiation protection program.



Sec. 20.1602  Control of access to very high radiation areas.

    In addition to the requirements in Sec. 20.1601, the licensee shall 
institute additional measures to ensure that an individual is not able 
to gain unauthorized or inadvertent access to areas in which radiation 
levels could be encountered at 500 rads (5 grays) or more in 1 hour at 1 
meter from a radiation source or any surface through which the radiation 
penetrates.



  Subpart H--Respiratory Protection and Controls to Restrict Internal 
                      Exposure in Restricted Areas

    Source: 56 FR 23400, May 21, 1991, unless otherwise noted.



Sec. 20.1701  Use of process or other engineering controls.

    The licensee shall use, to the extent practical, process or other 
engineering controls (e.g., containment or ventilation) to control the 
concentrations of radioactive material in air.

[56 FR 23400, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



Sec. 20.1702  Use of other controls.

    When it is not practical to apply process or other engineering 
controls to control the concentrations of radioactive material in air to 
values below

[[Page 299]]

those that define an airborne radioactivity area, the licensee shall, 
consistent with maintaining the total effective dose equivalent ALARA, 
increase monitoring and limit intakes by one or more of the following 
means:
    (a) Control of access;
    (b) Limitation of exposure times;
    (c) Use of respiratory protection equipment; or
    (d) Other controls.

[56 FR 23400, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



Sec. 20.1703  Use of individual respiratory protection equipment.

    (a) If the licensee uses respiratory protection equipment to limit 
intakes pursuant to Sec. 20.1702--
    (1) The licensee shall use only respiratory protection equipment 
that is tested and certified or had certification extended by the 
National Institute for Occupational Safety and Health/Mine Safety and 
Health Administration (NIOSH/MSHA).
    (2) If the licensee wishes to use equipment that has not been tested 
or certified by NIOSH/MSHA, has not had certification extended by NIOSH/
MSHA, or for which there is no schedule for testing or certification, 
the licensee shall submit an application for authorized use of that 
equipment, including a demonstration by testing, or a demonstration on 
the basis of reliable test information, that the material and 
performance characteristics of the equipment are capable of providing 
the proposed degree of protection under anticipated conditions of use.
    (3) The licensee shall implement and maintain a respiratory 
protection program that includes--
    (i) Air sampling sufficient to identify the potential hazard, permit 
proper equipment selection, and estimate exposures;
    (ii) Surveys and bioassays, as appropriate, to evaluate actual 
intakes;
    (iii) Testing of respirators for operability immediately prior to 
each use;
    (iv) Written procedures regarding selection, fitting, issuance, 
maintenance, and testing of respirators, including testing for 
operability immediately prior to each use; supervision and training of 
personnel; monitoring, including air sampling and bioassays; and 
recordkeeping; and
    (v) Determination by a physician prior to the initial fitting of 
respirators, and either every 12 months thereafter or periodically at a 
frequency determined by a physician, that the individual user is 
medically fit to use the respiratory protection equipment.
    (4) The licensee shall issue a written policy statement on 
respirator usage covering--
    (i) The use of process or other engineering controls, instead of 
respirators;
    (ii) The routine, nonroutine, and emergency use of respirators; and
    (iii) The periods of respirator use and relief from respirator use.
    (5) The licensee shall advise each respirator user that the user may 
leave the area at any time for relief from respirator use in the event 
of equipment malfunction, physical or psychological distress, procedural 
or communication failure, significant deterioration of operating 
conditions, or any other conditions that might require such relief.
    (6) The licensee shall use equipment within limitations for type and 
mode of use and shall provide proper visual, communication, and other 
special capabilities (such as adequate skin protection) when needed.
    (b) In estimating exposure of individuals to airborne radioactive 
materials, the licensee may make allowance for respiratory protection 
equipment used to limit intakes pursuant to Sec. 20.1702, provided that 
the following conditions, in addition to those in Sec. 20.1703(a), are 
satisfied:
    (1) The licensee selects respiratory protection equipment that 
provides a protection factor (see appendix A, part 20) greater than the 
multiple by which peak concentrations of airborne radioactive materials 
in the working area are expected to exceed the values specified in 
appendix B to part 20, Table 1, column 3. If the selection of a 
respiratory protection device with a protection factor greater than the 
multiple defined in the preceding sentence is inconsistent with the goal 
specified in Sec. 20.1702 of keeping the total effective dose equivalent 
ALARA, the licensee may select respiratory protection equipment with a 
lower protection

[[Page 300]]

factor only if such a selection would result in keeping the total 
effective dose equivalent ALARA. The concentration of radioactive 
material in the air that is inhaled when respirators are worn may be 
initially estimated by dividing the average concentration in air, during 
each period of uninterrupted use, by the protection factor. If the 
exposure is later found to be greater than estimated, the corrected 
value must be used; if the exposure is later found to be less than 
estimated, the corrected value may be used.
    (2) The licensee shall obtain authorization from the Commission 
before assigning respiratory protection factors in excess of those 
specified in appendix A to part 20. The Commission may authorize a 
licensee to use higher protection factors on receipt of an application 
that--
    (i) Describes the situation for which a need exists for higher 
protection factors, and
    (ii) Demonstrates that the respiratory protection equipment provides 
these higher protection factors under the proposed conditions of use.
    (c) The licensee shall use as emergency devices only respiratory 
protection equipment that has been specifically certified or had 
certification extended for emergency use by NIOSH/MSHA.
    (d) The licensee shall notify, in writing, the Regional 
Administrator of the appropriate NRC Regional Office listed in appendix 
D to part 20 at least 30 days before the date that respiratory 
protection equipment is first used under the provisions of either 
Sec. 20.1703 (a) or (b).

[56 FR 23400, May 21, 1991, as amended at 57 FR 57878, Dec. 8, 1992; 60 
FR 7903, Feb. 10, 1995; 60 FR 20185, Apr. 25, 1995]



Sec. 20.1704  Further restrictions on the use of respiratory protection equipment.

    The Commission may impose restrictions in addition to those in 
Secs. 20.1702, 20.1703, and appendix A to part 20 to--
    (a) Ensure that the respiratory protection program of the licensee 
is adequate to limit exposures of individuals to airborne radioactive 
materials; and
    (b) Limit the extent to which a licensee may use respiratory 
protection equipment instead of process or other engineering controls.

[56 FR 23400, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



           Subpart I--Storage and Control of Licensed Material

    Source: 56 FR 23401, May 21, 1991, unless otherwise noted.



Sec. 20.1801  Security of stored material.

    The licensee shall secure from unauthorized removal or access 
licensed materials that are stored in controlled or unrestricted areas.



Sec. 20.1802  Control of material not in storage.

    The licensee shall control and maintain constant surveillance of 
licensed material that is in a controlled or unrestricted area and that 
is not in storage.



                   Subpart J--Precautionary Procedures

    Source: 56 FR 23401, May 21, 1991, unless otherwise noted.



Sec. 20.1901  Caution signs.

    (a) Standard radiation symbol. Unless otherwise authorized by the 
Commission, the symbol prescribed by this part shall use the colors 
magenta, or purple, or black on yellow background. The symbol prescribed 
by this part is the three-bladed design:

[[Page 301]]

[GRAPHIC] [TIFF OMITTED] TC02OC91.000


    (1) Cross-hatched area is to be magenta, or purple, or black, and
    (2) The background is to be yellow.
    (b) Exception to color requirements for standard radiation symbol. 
Notwithstanding the requirements of paragraph (a) of this section, 
licensees are authorized to label sources, source holders, or device 
components containing sources of licensed materials that are subjected 
to high temperatures, with conspicuously etched or stamped radiation 
caution symbols and without a color requirement.
    (c) Additional information on signs and labels. In addition to the 
contents of signs and labels prescribed in this part, the licensee may 
provide, on or near the required signs and labels, additional 
information, as appropriate, to make individuals aware of potential 
radiation exposures and to minimize the exposures.



Sec. 20.1902  Posting requirements.

    (a) Posting of radiation areas. The licensee shall post each 
radiation area with a conspicuous sign or signs bearing the radiation 
symbol and the words ``CAUTION, RADIATION AREA.''
    (b) Posting of high radiation areas. The licensee shall post each 
high radiation area with a conspicuous sign or signs bearing the 
radiation symbol and the words ``CAUTION, HIGH RADIATION AREA'' or 
``DANGER, HIGH RADIATION AREA.''
    (c) Posting of very high radiation areas. The licensee shall post 
each very high radiation area with a conspicuous sign or signs bearing 
the radiation symbol and words ``GRAVE DANGER, VERY HIGH RADIATION 
AREA.''

[[Page 302]]

    (d) Posting of airborne radioactivity areas. The licensee shall post 
each airborne radioactivity area with a conspicuous sign or signs 
bearing the radiation symbol and the words ``CAUTION, AIRBORNE 
RADIOACTIVITY AREA'' or ``DANGER, AIRBORNE RADIOACTIVITY AREA.''
    (e) Posting of areas or rooms in which licensed material is used or 
stored. The licensee shall post each area or room in which there is used 
or stored an amount of licensed material exceeding 10 times the quantity 
of such material specified in appendix C to part 20 with a conspicuous 
sign or signs bearing the radiation symbol and the words ``CAUTION, 
RADIOACTIVE MATERIAL(S)'' or ``DANGER, RADIOACTIVE MATERIAL(S).''

[56 FR 23401, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



Sec. 20.1903  Exceptions to posting requirements.

    (a) A licensee is not required to post caution signs in areas or 
rooms containing radioactive materials for periods of less than 8 hours, 
if each of the following conditions is met:
    (1) The materials are constantly attended during these periods by an 
individual who takes the precautions necessary to prevent the exposure 
of individuals to radiation or radioactive materials in excess of the 
limits established in this part; and
    (2) The area or room is subject to the licensee's control.
    (b) Rooms or other areas in hospitals that are occupied by patients 
are not required to be posted with caution signs pursuant to 
Sec. 20.1902 provided that the patient could be released from 
confinement pursuant to Sec. 35.75 of this chapter.
    (c) A room or area is not required to be posted with a caution sign 
because of the presence of a sealed source provided the radiation level 
at 30 centimeters from the surface of the source container or housing 
does not exceed 0.005 rem (0.05 mSv) per hour.

[56 FR 23401, May 21, 1991, as amended at 57 FR 39357, Aug. 31, 1992]



Sec. 20.1904  Labeling containers.

    (a) The licensee shall ensure that each container of licensed 
material bears a durable, clearly visible label bearing the radiation 
symbol and the words ``CAUTION, RADIOACTIVE MATERIAL'' or ``DANGER, 
RADIOACTIVE MATERIAL.'' The label must also provide sufficient 
information (such as the radionuclide(s) present, an estimate of the 
quantity of radioactivity, the date for which the activity is estimated, 
radiation levels, kinds of materials, and mass enrichment) to permit 
individuals handling or using the containers, or working in the vicinity 
of the containers, to take precautions to avoid or minimize exposures.
    (b) Each licensee shall, prior to removal or disposal of empty 
uncontaminated containers to unrestricted areas, remove or deface the 
radioactive material label or otherwise clearly indicate that the 
container no longer contains radioactive materials.



Sec. 20.1905  Exemptions to labeling requirements.

    A licensee is not required to label--
    (a) Containers holding licensed material in quantities less than the 
quantities listed in appendix C to part 20; or
    (b) Containers holding licensed material in concentrations less than 
those specified in table 3 of appendix B to part 20; or
    (c) Containers attended by an individual who takes the precautions 
necessary to prevent the exposure of individuals in excess of the limits 
established by this part; or
    (d) Containers when they are in transport and packaged and labeled 
in accordance with the regulations of the Department of 
Transportation,\3\ or
---------------------------------------------------------------------------

    \3\ Labeling of packages containing radioactive materials is 
required by the Department of Transportation (DOT) if the amount and 
type of radioactive material exceeds the limits for an excepted quantity 
or article as defined and limited by DOT regulations 49 CFR 173.403 (m) 
and (w) and 173.421-424.
---------------------------------------------------------------------------

    (e) Containers that are accessible only to individuals authorized to 
handle or use them, or to work in the vicinity of the containers, if the 
contents are identified to these individuals by a

[[Page 303]]

readily available written record (examples of containers of this type 
are containers in locations such as water-filled canals, storage vaults, 
or hot cells). The record must be retained as long as the containers are 
in use for the purpose indicated on the record; or
    (f) Installed manufacturing or process equipment, such as reactor 
components, piping, and tanks.

[56 FR 23401, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



Sec. 20.1906  Procedures for receiving and opening packages.

    (a) Each licensee who expects to receive a package containing 
quantities of radioactive material in excess of a Type A quantity, as 
defined in Sec. 71.4 and appendix A to part 71 of this chapter, shall 
make arrangements to receive--
    (1) The package when the carrier offers it for delivery; or
    (2) Notification of the arrival of the package at the carrier's 
terminal and to take possession of the package expeditiously.
    (b) Each licensee shall--
    (1) Monitor the external surfaces of a labeled 3a package for 
radioactive contamination unless the package contains only radioactive 
material in the form of a gas or in special form as defined in 10 CFR 
71.4;
---------------------------------------------------------------------------

    \3a\ Labeled with a Radioactive White I, Yellow II, or Yellow III 
label as specified in U.S. Department of Transportation regulations, 49 
CFR 172.403 and 172.436-440.
---------------------------------------------------------------------------

    (2) Monitor the external surfaces of a labeled 3a package for 
radiation levels unless the package contains quantities of radioactive 
material that are less than or equal to the Type A quantity, as defined 
in Sec. 71.4 and appendix A to part 71 of this chapter; and
    (3) Monitor all packages known to contain radioactive material for 
radioactive contamination and radiation levels if there is evidence of 
degradation of package integrity, such as packages that are crushed, 
wet, or damaged.
    (c) The licensee shall perform the monitoring required by paragraph 
(b) of this section as soon as practical after receipt of the package, 
but not later than 3 hours after the package is received at the 
licensee's facility if it is received during the licensee's normal 
working hours, or not later than 3 hours from the beginning of the next 
working day if it is received after working hours.
    (d) The licensee shall immediately notify the final delivery carrier 
and, by telephone and telegram, mailgram, or facsimile, the 
Administrator of the appropriate NRC Regional Office listed in appendix 
D to part 20 when--
    (1) Removable radioactive surface contamination exceeds the limits 
of Sec. 71.87(i) of this chapter; or
    (2) External radiation levels exceed the limits of Sec. 71.47 of 
this chapter.
    (e) Each licensee shall--
    (1) Establish, maintain, and retain written procedures for safely 
opening packages in which radioactive material is received; and
    (2) Ensure that the procedures are followed and that due 
consideration is given to special instructions for the type of package 
being opened.
    (f) Licensees transferring special form sources in licensee-owned or 
licensee-operated vehicles to and from a work site are exempt from the 
contamination monitoring requirements of paragraph (b) of this section, 
but are not exempt from the survey requirement in paragraph (b) of this 
section for measuring radiation levels that is required to ensure that 
the source is still properly lodged in its shield.

[56 FR 23401, May 21, 1991, as amended at 57 FR 39357, Aug. 31, 1992; 60 
FR 20185, Apr. 25, 1995]



                        Subpart K--Waste Disposal

    Source: 56 FR 23403, May 21, 1991, unless otherwise noted.



Sec. 20.2001  General requirements.

    (a) A licensee shall dispose of licensed material only--
    (1) By transfer to an authorized recipient as provided in 
Sec. 20.2006 or in the regulations in parts 30, 40, 60, 61, 70, or 72 of 
this chapter; or
    (2) By decay in storage; or
    (3) By release in effluents within the limits in Sec. 20.1301; or
    (4) As authorized under Secs. 20.2002, 20.2003, 20.2004, or 
Sec. 20.2005.

[[Page 304]]

    (b) A person must be specifically licensed to receive waste 
containing licensed material from other persons for:
    (1) Treatment prior to disposal; or
    (2) Treatment or disposal by incineration; or
    (3) Decay in storage; or
    (4) Disposal at a land disposal facility licensed under part 61 of 
this chapter; or
    (5) Disposal at a geologic repository under part 60 of this chapter.



Sec. 20.2002  Method for obtaining approval of proposed disposal procedures.

    A licensee or applicant for a license may apply to the Commission 
for approval of proposed procedures, not otherwise authorized in the 
regulations in this chapter, to dispose of licensed material generated 
in the licensee's activities. Each application shall include:
    (a) A description of the waste containing licensed material to be 
disposed of, including the physical and chemical properties important to 
risk evaluation, and the proposed manner and conditions of waste 
disposal; and
    (b) An analysis and evaluation of pertinent information on the 
nature of the environment; and
    (c) The nature and location of other potentially affected licensed 
and unlicensed facilities; and
    (d) Analyses and procedures to ensure that doses are maintained 
ALARA and within the dose limits in this part.



Sec. 20.2003  Disposal by release into sanitary sewerage.

    (a) A licensee may discharge licensed material into sanitary 
sewerage if each of the following conditions is satisfied:
    (1) The material is readily soluble (or is readily dispersible 
biological material) in water; and
    (2) The quantity of licensed or other radioactive material that the 
licensee releases into the sewer in 1 month divided by the average 
monthly volume of water released into the sewer by the licensee does not 
exceed the concentration listed in table 3 of appendix B to part 20; and
    (3) If more than one radionuclide is released, the following 
conditions must also be satisfied:
    (i) The licensee shall determine the fraction of the limit in table 
3 of appendix B to part 20 represented by discharges into sanitary 
sewerage by dividing the actual monthly average concentration of each 
radionuclide released by the licensee into the sewer by the 
concentration of that radionuclide listed in table 3 of appendix B to 
part 20; and
    (ii) The sum of the fractions for each radionuclide required by 
paragraph (a)(3)(i) of this section does not exceed unity; and
    (4) The total quantity of licensed and other radioactive material 
that the licensee releases into the sanitary sewerage system in a year 
does not exceed 5 curies (185 GBq) of hydrogen-3, 1 curie (37 GBq) of 
carbon-14, and 1 curie (37 GBq) of all other radioactive materials 
combined.
    (b) Excreta from individuals undergoing medical diagnosis or therapy 
with radioactive material are not subject to the limitations contained 
in paragraph (a) of this section.

[56 FR 23403, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



Sec. 20.2004  Treatment or disposal by incineration.

    (a) A licensee may treat or dispose of licensed material by 
incineration only:
    (1) As authorized by paragraph (b) of this section; or
    (2) If the material is in a form and concentration specified in 
Sec. 20.2005; or
    (3) As specifically approved by the Commission pursuant to 
Sec. 20.2002.
    (b) (1) Waste oils (petroleum derived or synthetic oils used 
principally as lubricants, coolants, hydraulic or insulating fluids, or 
metalworking oils) that have been radioactively contaminated in the 
course of the operation or maintenance of a nuclear power reactor 
licensed under part 50 of this chapter may be incinerated on the site 
where generated provided that the total radioactive effluents from the 
facility, including the effluents from such incineration, conform to the 
requirements of appendix I to part 50 of this chapter and the effluent 
release limits contained in applicable license conditions other than 
effluent limits specifically related to incineration of waste oil. The 
licensee shall report any

[[Page 305]]

changes or additions to the information supplied under Secs. 50.34 and 
50.34a of this chapter associated with this incineration pursuant to 
Sec. 50.71 of this chapter, as appropriate. The licensee shall also 
follow the procedures of Sec. 50.59 of this chapter with respect to such 
changes to the facility or procedures.
    (2) Solid residues produced in the process of incinerating waste 
oils must be disposed of as provided by Sec. 20.2001.
    (3) The provisions of this section authorize onsite waste oil 
incineration under the terms of this section and supersede any provision 
in an individual plant license or technical specification that may be 
inconsistent.

[57 FR 57656, Dec. 7, 1992]



Sec. 20.2005  Disposal of specific wastes.

    (a) A licensee may dispose of the following licensed material as if 
it were not radioactive:
    (1) 0.05 microcurie (1.85 kBq), or less, of hydrogen-3 or carbon-14 
per gram of medium used for liquid scintillation counting; and
    (2) 0.05 microcurie (1.85 kBq), or less, of hydrogen-3 or carbon-14 
per gram of animal tissue, averaged over the weight of the entire 
animal.
    (b) A licensee may not dispose of tissue under paragraph (a)(2) of 
this section in a manner that would permit its use either as food for 
humans or as animal feed.
    (c) The licensee shall maintain records in accordance with 
Sec. 20.2108.



Sec. 20.2006  Transfer for disposal and manifests.

    (a) The requirements of this section and appendix F to part 20 are 
designed to control transfers of low-level radioactive waste intended 
for disposal at a land disposal facility (as defined in part 61 of this 
chapter), establish a manifest tracking system, and supplement existing 
requirements concerning transfers and recordkeeping for those wastes.
    (b) Each shipment of radioactive waste intended for disposal at a 
licensed land disposal facility must be accompanied by a shipment 
manifest as specified in section I of appendix F to part 20.
    (c) Each shipment manifest must include a certification by the waste 
generator as specified in section II of appendix F to part 20.
    (d) Each person involved in the transfer for disposal and disposal 
of waste, including the waste generator, waste collector, waste 
processor, and disposal facility operator, shall comply with the 
requirements specified in section III of appendix F to part 20.

[56 FR 23403, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]

    Effective Date Note: At 60 FR 15663, Mar. 27, 1995, Sec. 20.2006 was 
revised, effective March 1, 1998. For the convenience of the reader, the 
revised text is set forth below:

Sec. 20.2006  Transfer for disposal and manifests.
    (a)(1) The requirements of this section and appendices F and G to 10 
CFR part 20 are designed to
    (i) Control transfers of low-level radioactive waste by any waste 
generator, waste collector, or waste processor licensee, as defined in 
this part, who ships low-level waste either directly, or indirectly 
through a waste collector or waste processor, to a licensed low-level 
waste land disposal facility (as defined in part 61 of this chapter);
    (ii) Establish a manifest tracking system; and
    (iii) Supplement existing requirements concerning transfers and 
recordkeeping for those wastes.
    (2) Beginning March 1, 1998, all affected licensees must use 
appendix G. Prior to March 1, 1998, a LLW disposal facility operator or 
its regulatory authority may require the shipper to use appendix F or 
appendix G. Licensees using appendix F shall comply with paragraph 
(b)(1) of this section. Licensees using appendix G shall comply with 
paragraph (b)(2) of this section.
    (b)(1) Each shipment of radioactive waste intended for disposal at a 
licensed land disposal facility must be accompanied by a shipment 
manifest in accordance with section I of appendix F to 10 CFR part 20.
    (2) Any licensee shipping radioactive waste intended for ultimate 
disposal at a licensed land disposal facility must document the 
information required on NRC's Uniform Low-Level Radioactive Waste 
Manifest and transfer this recorded manifest information to the intended 
consignee in accordance with appendix G to 10 CFR part 20.
    (c) Each shipment manifest must include a certification by the waste 
generator as specified in section II of appendix F or appendix G to 10 
CFR part 20, as appropriate. See paragraph (a)(2) of this section to 
determine the appropriate appendix.
    (d) Each person involved in the transfer for disposal and disposal 
of waste, including the

[[Page 306]]

waste generator, waste collector, waste processor, and disposal facility 
operator, shall comply with the requirements specified in section III of 
appendix F or appendix G to 10 CFR part 20, as appropriate. See 
paragraph (a)(2) of this section to determine the appropriate appendix.

[60 FR 15663, Mar. 27, 1995]



Sec. 20.2007  Compliance with environmental and health protection regulations.

    Nothing in this subpart relieves the licensee from complying with 
other applicable Federal, State, and local regulations governing any 
other toxic or hazardous properties of materials that may be disposed of 
under this subpart.



                           Subpart L--Records

    Source: 56 FR 23404, May 21, 1991, unless otherwise noted.



Sec. 20.2101  General provisions.

    (a) Each licensee shall use the units: curie, rad, rem, including 
multiples and subdivisions, and shall clearly indicate the units of all 
quantities on records required by this part.
    (b) Not withstanding the requirements of paragraph (a) of this 
section, when recording information on shipment manifests, as required 
in Sec. 20.2006(b), information must be recorded in the International 
System of Units (SI) or in SI and units as specified in paragraph (a) of 
this section.
    (c) The licensee shall make a clear distinction among the quantities 
entered on the records required by this part (e.g., total effective dose 
equivalent, shallow-dose equivalent, eye dose equivalent, deep-dose 
equivalent, committed effective dose equivalent).

[56 FR 23404, May 21, 1991, as amended at 60 FR 15663, Mar. 27, 1995]

    Effective Date Note: At 60 FR 15663, Mar. 27, 1995, in Sec. 20.2101, 
paragraph (b) was redesignated as (c) and a new paragraph (b) was added, 
effective March 1, 1998.



Sec. 20.2102  Records of radiation protection programs.

    (a) Each licensee shall maintain records of the radiation protection 
program, including:
    (1) The provisions of the program; and
    (2) Audits and other reviews of program content and implementation.
    (b) The licensee shall retain the records required by paragraph 
(a)(1) of this section until the Commission terminates each pertinent 
license requiring the record. The licensee shall retain the records 
required by paragraph (a)(2) of this section for 3 years after the 
record is made.



Sec. 20.2103  Records of surveys.

    (a) Each licensee shall maintain records showing the results of 
surveys and calibrations required by Secs. 20.1501 and 20.1906(b). The 
licensee shall retain these records for 3 years after the record is 
made.
    (b) The licensee shall retain each of the following records until 
the Commission terminates each pertinent license requiring the record:
    (1) Records of the results of surveys to determine the dose from 
external sources and used, in the absence of or in combination with 
individual monitoring data, in the assessment of individual dose 
equivalents. This includes those records of results of surveys to 
determine the dose from external sources and used, in the absence of or 
in combination with individual monitoring data, in the assessment of 
individual dose equivalents required under the standards for protection 
against radiation in effect prior to January 1, 1994; and
    (2) Records of the results of measurements and calculations used to 
determine individual intakes of radioactive material and used in the 
assessment of internal dose. This includes those records of the results 
of measurements and calculations used to determine individual intakes of 
radioactive material and used in the assessment of internal dose 
required under the standards for protection against radiation in effect 
prior to January 1, 1994; and
    (3) Records showing the results of air sampling, surveys, and 
bioassays required pursuant to Sec. 20.1703(a)(3) (i) and (ii). This 
includes those records showing the results of air sampling, surveys, and 
bioassays required under the standards for protection against radiation 
in effect prior to January 1, 1994; and

[[Page 307]]

    (4) Records of the results of measurements and calculations used to 
evaluate the release of radioactive effluents to the environment. This 
includes those records of the results of measurements and calculations 
used to evaluate the release of radioactive effluents to the environment 
required under the standards for protection against radiation in effect 
prior to January 1, 1994.

[56 FR 23404, May 21, 1991, as amended at 60 FR 20185, Apr. 25, 1995]



Sec. 20.2104  Determination of prior occupational dose.

    (a) For each individual who is likely to receive in a year, an 
occupational dose requiring monitoring pursuant to Sec. 20.1502 the 
licensee shall--
    (1) Determine the occupational radiation dose received during the 
current year; and
    (2) Attempt to obtain the records of cumulative occupational 
radiation dose.
    (b) Prior to permitting an individual to participate in a planned 
special exposure, the licensee shall determine--
    (1) The internal and external doses from all previous planned 
special exposures; and
    (2) All doses in excess of the limits (including doses received 
during accidents and emergencies) received during the lifetime of the 
individual.
    (c) In complying with the requirements of paragraph (a) of this 
section, a licensee may--
    (1) Accept, as a record of the occupational dose that the individual 
received during the current year, a written signed statement from the 
individual, or from the individual's most recent employer for work 
involving radiation exposure, that discloses the nature and the amount 
of any occupational dose that the individual may have received during 
the current year;
    (2) Accept, as the record of cumulative radiation dose, an up-to-
date NRC Form 4, or equivalent, signed by the individual and 
countersigned by an appropriate official of the most recent employer for 
work involving radiation exposure, or the individual's current employer 
(if the individual is not employed by the licensee); and
    (3) Obtain reports of the individual's dose equivalent(s) from the 
most recent employer for work involving radiation exposure, or the 
individual's current employer (if the individual is not employed by the 
licensee) by telephone, telegram, electronic media, or letter. The 
licensee shall request a written verification of the dose data if the 
authenticity of the transmitted report cannot be established.
    (d) The licensee shall record the exposure history of each 
individual, as required by paragraph (a) of this section, on NRC Form 4, 
or other clear and legible record, including all of the information 
required by NRC Form 4 \4\. The form or record must show each period in 
which the individual received occupational exposure to radiation or 
radioactive material and must be signed by the individual who received 
the exposure. For each period for which the licensee obtains reports, 
the licensee shall use the dose shown in the report in preparing the NRC 
Form 4. For any period in which the licensee does not obtain a report, 
the licensee shall place a notation on the NRC Form 4 indicating the 
periods of time for which data are not available.
---------------------------------------------------------------------------

    \4\ Licensees are not required to partition historical dose between 
external dose equivalent(s) and internal committed dose equivalent(s). 
Further, occupational exposure histories obtained and recorded on NRC 
Form 4 before January 1, 1994, might not have included effective dose 
equivalent, but may be used in the absence of specific information on 
the intake of radionuclides by the individual.
---------------------------------------------------------------------------

    (e) If the licensee is unable to obtain a complete record of an 
individual's current and previously accumulated occupational dose, the 
licensee shall assume--
    (1) In establishing administrative controls under Sec. 20.1201(f) 
for the current year, that the allowable dose limit for the individual 
is reduced by 1.25 rems (12.5 mSv) for each quarter for which records 
were unavailable and the individual was engaged in activities that could 
have resulted in occupational radiation exposure; and
    (2) That the individual is not available for planned special 
exposures.
    (f) The licensee shall retain the records on NRC Form 4 or 
equivalent until the Commission terminates each pertinent license 
requiring this record.

[[Page 308]]

The licensee shall retain records used in preparing NRC Form 4 for 3 
years after the record is made. This includes records required under the 
standards for protection against radiation in effect prior to January 1, 
1994.

[56 FR 23404, May 21, 1991, as amended at 57 FR 57878, Dec. 8, 1992; 60 
FR 20186, Apr. 25, 1995; 60 FR 36043, July 13, 1995]



Sec. 20.2105  Records of planned special exposures.

    (a) For each use of the provisions of Sec. 20.1206 for planned 
special exposures, the licensee shall maintain records that describe--
    (1) The exceptional circumstances requiring the use of a planned 
special exposure; and
    (2) The name of the management official who authorized the planned 
special exposure and a copy of the signed authorization; and
    (3) What actions were necessary; and
    (4) Why the actions were necessary; and
    (5) How doses were maintained ALARA; and
    (6) What individual and collective doses were expected to result, 
and the doses actually received in the planned special exposure.
    (b) The licensee shall retain the records until the Commission 
terminates each pertinent license requiring these records.



Sec. 20.2106  Records of individual monitoring results.

    (a) Recordkeeping requirement. Each licensee shall maintain records 
of doses received by all individuals for whom monitoring was required 
pursuant to Sec. 20.1502, and records of doses received during planned 
special exposures, accidents, and emergency conditions. These records 
\5\ must include, when applicable--
---------------------------------------------------------------------------

    \5\ Assessments of dose equivalent and records made using units in 
effect before the licensee's adoption of this part need not be changed.
---------------------------------------------------------------------------

    (1) The deep-dose equivalent to the whole body, eye dose equivalent, 
shallow-dose equivalent to the skin, and shallow-dose equivalent to the 
extremities; and
    (2) The estimated intake or body burden of radionuclides (see 
Sec. 20.1202); and
    (3) The committed effective dose equivalent assigned to the intake 
or body burden of radionuclides; and
    (4) The specific information used to calculate the committed 
effective dose equivalent pursuant to Sec. 20.1204(c); and
    (5) The total effective dose equivalent when required by 
Sec. 20.1202; and
    (6) The total of the deep-dose equivalent and the committed dose to 
the organ receiving the highest total dose.
    (b) Recordkeeping frequency. The licensee shall make entries of the 
records specified in paragraph (a) of this section at least annually.
    (c) Recordkeeping format. The licensee shall maintain the records 
specified in paragraph (a) of this section on NRC Form 5, in accordance 
with the instructions for NRC Form 5, or in clear and legible records 
containing all the information required by NRC Form 5.
    (d) Privacy protection. The records required under this section 
should be protected from public disclosure because of their personal 
privacy nature. These records are protected by most State privacy laws 
and, when transferred to the NRC, are protected by the Privacy Act of 
1974, Public Law 93-579, 5 U.S.C. 552a, and the Commission's regulations 
in 10 CFR part 9.
    (e) The licensee shall maintain the records of dose to an embryo/
fetus with the records of dose to the declared pregnant woman. The 
declaration of pregnancy shall also be kept on file, but may be 
maintained separately from the dose records.
    (f) The licensee shall retain the required form or record until the 
Commission terminates each pertinent license requiring this record. This 
includes records required under the standards for protection against 
radiation in effect prior to January 1, 1994.

[56 FR 23404, May 21, 1991, as amended at 60 FR 20186, Apr. 25, 1995]



Sec. 20.2107  Records of dose to individual members of the public.

    (a) Each licensee shall maintain records sufficient to demonstrate 
compliance with the dose limit for individual members of the public (see 
Sec. 20.1301).

[[Page 309]]

    (b) The licensee shall retain the records required by paragraph (a) 
of this section until the Commission terminates each pertinent license 
requiring the record.



Sec. 20.2108  Records of waste disposal.

    (a) Each licensee shall maintain records of the disposal of licensed 
materials made under Secs. 20.2002, 20.2003, 20.2004, 20.2005, 10 CFR 
part 61 and disposal by burial in soil, including burials authorized 
before January 28, 1981.\6\
---------------------------------------------------------------------------

    \6\ A previous Sec. 20.304 permitted burial of small quantities of 
licensed materials in soil before January 28, 1981, without specific 
Commission authorization.
---------------------------------------------------------------------------

    (b) The licensee shall retain the records required by paragraph (a) 
of this section until the Commission terminates each pertinent license 
requiring the record. Requirements for disposition of these records, 
prior to license termination, are located in Secs. 30.51, 40.61, 70.51, 
and 72.80 for activities licensed under these parts.

[56 FR 23404, May 21, 1991, as amended at 60 FR 20186, Apr. 25, 1995; 61 
FR 24673, May 16, 1996]
Sec. 20.2109  [Reserved]



Sec. 20.2110  Form of records.

    Each record required by this part must be legible throughout the 
specified retention period. The record may be the original or a 
reproduced copy or a microform provided that the copy or microform is 
authenticated by authorized personnel and that the microform is capable 
of producing a clear copy throughout the required retention period. The 
record may also be stored in electronic media with the capability for 
producing legible, accurate, and complete records during the required 
retention period. Records, such as letters, drawings, and 
specifications, must include all pertinent information, such as stamps, 
initials, and signatures. The licensee shall maintain adequate 
safeguards against tampering with and loss of records.



                           Subpart M--Reports

    Source: 56 FR 23406, May 21, 1991, unless otherwise noted.



Sec. 20.2201  Reports of theft or loss of licensed material.

    (a) Telephone reports. (1) Each licensee shall report by telephone 
as follows:
    (i) Immediately after its occurrence becomes known to the licensee, 
any lost, stolen, or missing licensed material in an aggregate quantity 
equal to or greater than 1,000 times the quantity specified in appendix 
C to part 20 under such circumstances that it appears to the licensee 
that an exposure could result to persons in unrestricted areas; or
    (ii) Within 30 days after the occurrence of any lost, stolen, or 
missing licensed material becomes known to the licensee, all licensed 
material in a quantity greater than 10 times the quantity specified in 
appendix C to part 20 that is still missing at this time.
    (2) Reports must be made as follows:
    (i) Licensees having an installed Emergency Notification System 
shall make the reports to the NRC Operations Center in accordance with 
Sec. 50.72 of this chapter, and
    (ii) All other licensees shall make reports by telephone to the NRC 
Operations Center (301-951-0550).
    (b) Written reports. (1) Each licensee required to make a report 
under paragraph (a) of this section shall, within 30 days after making 
the telephone report, make a written report setting forth the following 
information:
    (i) A description of the licensed material involved, including kind, 
quantity, and chemical and physical form; and
    (ii) A description of the circumstances under which the loss or 
theft occurred; and
    (iii) A statement of disposition, or probable disposition, of the 
licensed material involved; and
    (iv) Exposures of individuals to radiation, circumstances under 
which the exposures occurred, and the possible total effective dose 
equivalent to persons in unrestricted areas; and
    (v) Actions that have been taken, or will be taken, to recover the 
material; and
    (vi) Procedures or measures that have been, or will be, adopted to 
ensure

[[Page 310]]

against a recurrence of the loss or theft of licensed material.
    (2) Reports must be made as follows:
    (i) For holders of an operating license for a nuclear power plant, 
the events included in paragraph (b) of this section must be reported in 
accordance with the procedures described in Sec. 50.73(b), (c), (d), 
(e), and (g) of this chapter and must include the information required 
in paragraph (b)(1) of this section, and
    (ii) All other licensees shall make reports to the Administrator of 
the appropriate NRC Regional Office listed in appendix D to part 20.
    (c) A duplicate report is not required under paragraph (b) of this 
section if the licensee is also required to submit a report pursuant to 
Secs. 30.55(c), 40.64(c), 50.72, 50.73, 70.52, 73.27(b), 
73.67(e)(3)(vi), 73.67(g)(3)(iii), 73.71, or Sec. 150.19(c) of this 
chapter.
    (d) Subsequent to filing the written report, the licensee shall also 
report any additional substantive information on the loss or theft 
within 30 days after the licensee learns of such information.
    (e) The licensee shall prepare any report filed with the Commission 
pursuant to this section so that names of individuals who may have 
received exposure to radiation are stated in a separate and detachable 
part of the report.

[56 FR 23406, May 21, 1991, as amended at 58 FR 69220, Dec. 30, 1993; 60 
FR 20186, Apr. 25, 1995]



Sec. 20.2202  Notification of incidents.

    (a) Immediate notification. Notwithstanding any other requirements 
for notification, each licensee shall immediately report any event 
involving byproduct, source, or special nuclear material possessed by 
the licensee that may have caused or threatens to cause any of the 
following conditions--
    (1) An individual to receive--
    (i) A total effective dose equivalent of 25 rems (0.25 Sv) or more; 
or
    (ii) An eye dose equivalent of 75 rems (0.75 Sv) or more; or
    (iii) A shallow-dose equivalent to the skin or extremities of 250 
rads (2.5 Gy) or more; or
    (2) The release of radioactive material, inside or outside of a 
restricted area, so that, had an individual been present for 24 hours, 
the individual could have received an intake five times the annual limit 
on intake (the provisions of this paragraph do not apply to locations 
where personnel are not normally stationed during routine operations, 
such as hot-cells or process enclosures).
    (b) Twenty-four hour notification. Each licensee shall, within 24 
hours of discovery of the event, report any event involving loss of 
control of licensed material possessed by the licensee that may have 
caused, or threatens to cause, any of the following conditions:
    (1) An individual to receive, in a period of 24 hours--
    (i) A total effective dose equivalent exceeding 5 rems (0.05 Sv); or
    (ii) An eye dose equivalent exceeding 15 rems (0.15 Sv); or
    (iii) A shallow-dose equivalent to the skin or extremities exceeding 
50 rems (0.5 Sv); or
    (2) The release of radioactive material, inside or outside of a 
restricted area, so that, had an individual been present for 24 hours, 
the individual could have received an intake in excess of one 
occupational annual limit on intake (the provisions of this paragraph do 
not apply to locations where personnel are not normally stationed during 
routine operations, such as hot-cells or process enclosures).
    (c) The licensee shall prepare any report filed with the Commission 
pursuant to this section so that names of individuals who have received 
exposure to radiation or radioactive material are stated in a separate 
and detachable part of the report.
    (d) Reports made by licensees in response to the requirements of 
this section must be made as follows:
    (1) Licensees having an installed Emergency Notification System 
shall make the reports required by paragraphs (a) and (b) of this 
section to the NRC Operations Center in accordance with 10 CFR 50.72; 
and
    (2) All other licensees shall make the reports required by paragraph 
(a) and (b) of this section by telephone to the NRC Operations Center 
(301) 816-5100 and by telegram, mailgram, or facsimile to the 
Administrator of the appropriate NRC Regional Office listed in appendix 
D to 10 CFR part 20.

[[Page 311]]

    (e) The provisions of this section do not include doses that result 
from planned special exposures, that are within the limits for planned 
special exposures, and that are reported under Sec. 20.2204.

[56 FR 23406, May 21, 1991, as amended at 56 FR 40766, Aug. 16, 1991; 57 
FR 57879, Dec. 8, 1992; 59 FR 14086, Mar. 25, 1994]



Sec. 20.2203  Reports of exposures, radiation levels, and concentrations of radioactive material exceeding the constraints or limits.

    (a) Reportable events. In addition to the notification required by 
Sec. 20.2202, each licensee shall submit a written report within 30 days 
after learning of any of the following occurrences:
    (1) Any incident for which notification is required by Sec. 20.2202; 
or
    (2) Doses in excess of any of the following:
    (i) The occupational dose limits for adults in Sec. 20.1201; or
    (ii) The occupational dose limits for a minor in Sec. 20.1207; or
    (iii) The limits for an embryo/fetus of a declared pregnant woman in 
Sec. 20.1208; or
    (iv) The limits for an individual member of the public in 
Sec. 20.1301; or
    (v) Any applicable limit in the license; or
    (vi) The ALARA constraints for air emissions established under 
Sec. 20.1101(d); or
    (3) Levels of radiation or concentrations of radioactive material 
in--
    (i) A restricted area in excess of any applicable limit in the 
license; or
    (ii) An unrestricted area in excess of 10 times any applicable limit 
set forth in this part or in the license (whether or not involving 
exposure of any individual in excess of the limits in Sec. 20.1301); or
    (4) For licensees subject to the provisions of EPA's generally 
applicable environmental radiation standards in 40 CFR part 190, levels 
of radiation or releases of radioactive material in excess of those 
standards, or of license conditions related to those standards.
    (b) Contents of reports. (1) Each report required by paragraph (a) 
of this section must describe the extent of exposure of individuals to 
radiation and radioactive material, including, as appropriate:
    (i) Estimates of each individual's dose; and
    (ii) The levels of radiation and concentrations of radioactive 
material involved; and
    (iii) The cause of the elevated exposures, dose rates, or 
concentrations; and
    (iv) Corrective steps taken or planned to ensure against a 
recurrence, including the schedule for achieving conformance with 
applicable limits, ALARA constraints, generally applicable environmental 
standards, and associated license conditions.
    (2) Each report filed pursuant to paragraph (a) of this section must 
include for each occupationally overexposed \7\ individual: the name, 
Social Security account number, and date of birth. The report must be 
prepared so that this information is stated in a separate and detachable 
part of the report.
---------------------------------------------------------------------------

    \7\ With respect to the limit for the embryo-fetus (Sec. 20.1208), 
the identifiers should be those of the declared pregnant woman.
---------------------------------------------------------------------------

    (c) For holders of an operating license for a nuclear power plant, 
the occurrences included in paragraph (a) of this section must be 
reported in accordance with the procedures described in Sec. 50.73(b), 
(c), (d), (e), and (g) of this chapter and must also include the 
information required by paragraph (b) of this section. Occurrences 
reported in accordance with Sec. 50.73 of this chapter need not be 
reported by a duplicate report under paragraph (a) of this section.
    (d) All licensees, other than those holding an operating license for 
a nuclear power plant, who make reports under paragraph (a) of this 
section shall submit the report in writing to the U.S. Nuclear 
Regulatory Commission, Document Control Desk, Washington, DC 20555, with 
a copy to the appropriate NRC Regional Office listed in appendix D to 
part 20.

[56 FR 23406, May 21, 1991, as amended at 60 FR 20186, Apr. 25, 1995; 61 
FR 65127, Dec. 10, 1996]

    Effective Date Note: At 61 FR 65127, Dec. 10, 1996, Sec. 20.2203 was 
amended by revising the section heading, and paragraphs (b)(1)(iv) and 
(2); and adding paragraph (a)(2), effective

[[Page 312]]

Jan. 9, 1997. For the convenience of the user, the superseded text is 
set forth as follows:
Sec. 20.2203  Reports of exposures, radiation levels, and concentrations 
of radioactive material exceeding the limits.

                                * * * * *

    (b) * * *
    (1) * * *
    (iv) Corrective steps taken or planned to ensure against a 
recurrence, including the schedule for achieving conformance with 
applicable limits, generally applicable environmental standards, and 
associated license conditions.
    (2) Each report filed pursuant to paragraph (a) of this section must 
include for each individual \7\ exposed: the name, Social Security 
account number, and date of birth. The report must be prepared so that 
this information is stated in a separate and detachable part of the 
report.

                                * * * * *



Sec. 20.2204  Reports of planned special exposures.

    The licensee shall submit a written report to the Administrator of 
the appropriate NRC Regional Office listed in appendix D to part 20 
within 30 days following any planned special exposure conducted in 
accordance with Sec. 20.1206, informing the Commission that a planned 
special exposure was conducted and indicating the date the planned 
special exposure occurred and the information required by Sec. 20.2105.

[56 FR 23406, May 21, 1991, as amended at 60 FR 20186, Apr. 25, 1995]



Sec. 20.2205  Reports to individuals of exceeding dose limits.

    When a licensee is required, pursuant to the provisions of 
Secs. 20.2203, 20.2204, or 20.2206, to report to the Commission any 
exposure of an identified occupationally exposed individual, or an 
identified member of the public, to radiation or radioactive material, 
the licensee shall also provide a copy of the report submitted to the 
Commission to the individual. This report must be transmitted at a time 
no later than the transmittal to the Commission.

[60 FR 36043, July 13, 1995]



Sec. 20.2206  Reports of individual monitoring.

    (a) This section applies to each person licensed by the Commission 
to--
    (1) Operate a nuclear reactor designed to produce electrical or heat 
energy pursuant to Sec. 50.21(b) or Sec. 50.22 of this chapter or a 
testing facility as defined in Sec. 50.2 of this chapter; or
    (2) Possess or use byproduct material for purposes of radiography 
pursuant to Parts 30 and 34 of this chapter; or
    (3) Possess or use at any one time, for purposes of fuel processing, 
fabricating, or reprocessing, special nuclear material in a quantity 
exceeding 5,000 grams of contained uranium-235, uranium-233, or 
plutonium, or any combination thereof pursuant to part 70 of this 
chapter; or
    (4) Possess high-level radioactive waste at a geologic repository 
operations area pursuant to part 60 of this chapter; or
    (5) Possess spent fuel in an independent spent fuel storage 
installation (ISFSI) pursuant to part 72 of this chapter; or
    (6) Receive radioactive waste from other persons for disposal under 
part 61 of this chapter; or
    (7) Possess or use at any time, for processing or manufacturing for 
distribution pursuant to parts 30, 32, 33 or 35 of this chapter, 
byproduct material in quantities exceeding any one of the following 
quantitites:

------------------------------------------------------------------------
                                                           Quantity of  
                     Radionuclide                       radionuclide \1\
                                                            in curies   
------------------------------------------------------------------------
Cesium-137............................................                 1
Cobalt-60.............................................                 1
Gold-198..............................................               100
Iodine-131............................................                 1
Iridium-192...........................................                10
Krypton-85............................................             1,000
Promethium-147........................................                10
Techetium-99m.........................................             1,000
------------------------------------------------------------------------
\1\ The Commission may require as a license condition, or by rule,      
  regulation, or order pursuant to Sec.  20.2302, reports from licensees
  who are licensed to use radionuclides not on this list, in quantities 
  sufficient to cause comparable radiation levels.                      

    (b) Each licensee in a category listed in paragraph (a) of this 
section shall submit an annual report of the results of individual 
monitoring carried out by the licensee for each individual for whom 
monitoring was required by Sec. 20.1502 during that year. The licensee

[[Page 313]]

may include additional data for individuals for whom monitoring was 
provided but not required. The licensee shall use Form NRC 5 or 
electronic media containing all the information required by Form NRC 5.
    (c) The licensee shall file the report required by Sec. 20.2206(b), 
covering the preceding year, on or before April 30 of each year. The 
licensee shall submit the report to the REIRS Project Manager, Office of 
Nuclear Regulatory Research, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555.

[56 FR 23406, May 21, 1991, as amended at 56 FR 32072, July 15, 1991]



            Subpart N--Exemptions and Additional Requirements

    Source: 56 FR 23408, May 21, 1991, unless otherwise noted.



Sec. 20.2301  Applications for exemptions.

    The Commission may, upon application by a licensee or upon its own 
initiative, grant an exemption from the requirements of the regulations 
in this part if it determines the exemption is authorized by law and 
would not result in undue hazard to life or property.



Sec. 20.2302  Additional requirements.

    The Commission may, by rule, regulation, or order, impose 
requirements on a licensee, in addition to those established in the 
regulations in this part, as it deems appropriate or necessary to 
protect health or to minimize danger to life or property.



                         Subpart O--Enforcement



Sec. 20.2401  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107 or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section; and
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
Section 186 of the Atomic Energy Act of 1954, as amended.

[56 FR 23408, May 21, 1991; 56 FR 61352, Dec. 3, 1991, as amended at 57 
FR 55071, Nov. 24, 1992]



Sec. 20.2402  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in Secs. 20.1001 through 20.2402 are issued under 
one or more of sections 161b, 161i, or 161o, except for the sections 
listed in paragraph (b) this section.
    (b) The regulations in Secs. 20.1001 through 20.2402 that are not 
issued under Sections 161b, 161i, or 161o for the purposes of Section 
223 are as follows: Secs. 20.1001, 20.1002, 20.1003, 20.1004, 20.1005, 
20.1006, 20.1007, 20.1008, 20.1009, 20.1704, 20.1903, 20.1905, 20.2002, 
20.2007, 20.2301, 20.2302, 20.2401, and 20.2402.

[57 FR 55071, Nov. 24, 1992]

[[Page 314]]



                           Appendix A to Part 20--Protection Factors for Respirators a                          
                                                                                                                
                                            Protection Factors d                 Tested & Certified Equipment   
                              ----------------------------------------------------------------------------------
                                                                                    National Institute for      
        Description b                                          Particulates,    Occupational Safety and Health/ 
                                  Modes c      Particulates      gases, &           Mine Safety and Health      
                                                   only          vapors e          Administration tests for     
                                                                                        permissibility          
I. Air-Purifying Respirators:                                                                                   
 f                                                                                                              
    Facepiece, half-mask g...  NP                         10  ..............  30 CFR Part 11, Subpart K.        
    Facepiece, full..........  NP                         50  ..............  ..................................
    Facepiece, half-mask       PP                       1000  ..............  ..................................
     full, or hood.                                                                                             
II. Atmosphere-Supplying                                                                                        
 Respirators:                                                                                                   
    1. Air-line respirator:                                                                                     
        Facepiece, half-mask.  CF             ..............            1000  30 CFR Part 11, Subpart J.        
        Facepiece, half-mask.  D              ..............               5  ..................................
        Facepiece, full......  CF             ..............            2000  ..................................
        Facepiece, full......  D              ..............               5  ..................................
        Facepiece, full......  PD             ..............            2000  ..................................
        Hood.................  CF             ..............             (h)  ..................................
        Suit.................  CF             ..............             (i)  (j)                               
    2. Self-contained                                                                                           
     breathing apparatus                                                                                        
     (SCBA):                                                                                                    
        Facepiece, full......  D              ..............              50  30 CFR Part 11, Subpart H.        
        Facepiece, full......  PD             ..............        k 10,000  ..................................
        Facepiece, full......  RD             ..............              50  ..................................
        Facepiece, full......  RP             ..............         l 5,000  ..................................


III. Combination Respirators:                                                                                   
    Any combination of air-       ................  Protection factor for type     30 CFR Part 11, Sec.         
     purifying and atmosphere-                       and mode of operation as       11.63(b).                   
     supplying respirators.                          listed above.                                              
----------------------------------------------------------------------------------------------------------------
Footnotes                                                                                                       
a. For use in the selection of respiratory protective devices to be used only where the contaminants have been  
  identified and the concentrations (or possible concentrations) are known.                                     
b. Only for shaven faces and where nothing interferes with the seal of tight-fitting facepieces against the     
  skin. (Hoods and suits are excepted.)                                                                         
c. The mode symbols are defined as follows:                                                                     
                                                                                                                
  CF=continuous flow                                                                                            
  D=demand                                                                                                      
  NP=negative pressure (i.e., negative phase during inhalation)                                                 
  PD=pressure demand (i.e., always positive pressure)                                                           
  PP=positive pressure                                                                                          
  RD=demand, recirculating (closed circuit)                                                                     
  RP=pressure demand, recirculating (closed circuit)                                                            
                                                                                                                
  d.1. The protection factor is a measure of the degree of protection afforded by a respirator, defined as the  
  ratio of the concentration of airborne radioactive material outside the respiratory protective equipment to   
  that inside the equipment (usually inside the facepiece) under conditions of use. It is applied to the ambient
  airborne concentration to estimate the concentrations inhaled by the wearer according to the following        
  formula:                                                                                                      

  [GRAPHIC] [TIFF OMITTED] TC02OC91.001
  
    2. The protection factors apply:
    (a) Only for individuals trained in using respirators and wearing 
properly fitted respirators that are used and maintained under 
supervision in a well-planned respiratory protective program.
    (b) For air-purifying respirators only when high efficiency 
particulate filters (above 99.97% removal efficiency by thermally 
generated 0.3 m dioctyl phthalate (DOP) test or equivalent) are 
used in atmospheres not deficient in oxygen and not containing 
radioactive gas or vapor respiratory hazards.
    (c) No adjustment is to be made for the use of sorbents against 
radioactive material in the form of gases or vapors.
    (d) For atmosphere-supplying respirators only when supplied with 
adequate respirable air. Respirable air shall be provided of the quality 
and quantity required in accordance with NIOSH/MSHA certification 
(described in 30 CFR part 11). Oxygen and air shall not be used in the 
same apparatus.
    (e) Excluding radioactive contaminants that present an absorption or 
submersion hazard. For tritium oxide, approximately one-third of the 
intake occurs by absorption through the skin so that an overall 
protection factor of less than 2 is appropriate when atmosphere-
supplying respirators are used to

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protect against tritium oxide. If the protection factor for a device is 
5 the effective protection factor for tritium is about 1.4; for devices 
with protection factors of 10 the effective factor for tritium oxide is 
about 1.7, and for devices with protection factors of 100 or more the 
effective factor for tritium oxide is about 1.9. Air-purifying 
respirators are not suitable for protection against tritium oxide. See 
also footnote i concerning supplied-air suits.
    (f) Canisters and cartridges shall not be used beyond service-life 
limitations.
    (g) Under-chin type only. This type of respirator is not 
satisfactory for use where it might be possible (e.g., if an accident or 
emergency were to occur) for the ambient airborne concentrations to 
reach instantaneous values greater than 10 times the pertinent values in 
table 1, column 3 of appendix B to Secs. 20.1001--20.2401 of this part. 
This type of respirator is not suitable for protection against plutonium 
or other high-toxicity materials. The mask is to be tested for fit prior 
to use, each time it is donned.
    (h)(1) Equipment shall be operated in a manner that ensures that 
proper air flow-rates are maintained. A protection factor of no more 
than 1000 may be utilized for tested-and-certified supplied-air hoods 
when a minimum air flow of 6 cubic feet (0.17 cubic meters) per minute 
is maintained and calibrated air-line pressure gauges or flow measuring 
devices are used. A protection factor of up to 2000 may be used for 
tested and certified hoods only when the air flow is maintained at the 
manufacturer's recommended maximum rate for the equipment, this rate is 
greater than 6 cubic feet (0.17 cubic meters) per minute, and calibrated 
air-line pressure gauges or flow measuring devices are used.
    (2) The design of the supplied-air hood or helmet (with a minimum 
flow of 6 cfm (0.17 m3 per minute) of air) may determine its 
overall efficiency and the protection it provides. For example, some 
hoods aspirate contaminated air into the breathing zone when the wearer 
works with hands-over-head. This aspiration may be overcome if a short 
cape-like extension to the hood is worn under a coat or overalls. Other 
limitations specified by the approval agency shall be considered before 
using a hood in certain types of atmospheres (see footnote i).
    (i) Appropriate protection factors shall be determined, taking into 
account the design of the suit and its permeability to the contaminant 
under conditions of use. There shall be a standby rescue person equipped 
with a respirator or other apparatus appropriate for the potential 
hazards and communications equipment whenever supplied-air suits are 
used.
    (j) No approval schedules are currently available for this 
equipment. Equipment is to be evaluated by testing or on the basis of 
reliable test information.
    (k) This type of respirator may provide greater protection and be 
used as an emergency device in unknown concentrations for protection 
against inhalation hazards. External radiation hazards and other 
limitations to permitted exposure, such as skin absorption, must be 
taken into account in such circumstances.
    (l) Quantitative fit testing shall be performed on each individual 
and no more than 0.02% leakage is allowed with this type of apparatus. 
Perceptible outward leakage of gas from this or any positive pressure 
self-contained breathing apparatus is unacceptable because service life 
will be reduced substantially. Special training in the use of this type 
of apparatus shall be provided to the wearer.

    Note 1: Protection factors for respirators as may be approved by the 
U.S. Bureau of Mines/National Institute for Occupational Safety and 
Health (NIOSH), according to applicable approvals for respirators for 
type and mode of use to protect against airborne radionuclides, may be 
used to the extent that they do not exceed the protection factors listed 
in this table. The protection factors listed in this table may not be 
appropriate to circumstances where chemical or other respiratory hazards 
exist in addition to radioactive hazards. The selection and use of 
respirators for such circumstances should take into account applicable 
approvals of the U.S. Bureau of Mines/NIOSH.

    Note 2: Radioactive contaminants for which the concentration values 
in Table 1, Column 3 of Appendix B to Secs. 20.1001-20.2401 of this part 
are based on internal dose due to inhalation may, in addition, present 
external exposure hazards at higher concentrations. Under these 
circumstances, limitations on occupancy may have to be governed by 
external dose limits.

[56 FR 23408, May 21, 1991. Redesignated at 58 FR 67659, Dec. 22, 1993]

 Appendix B to Part 20--Annual Limits on Intake (ALIs) and Derived Air 
   Concentrations (DACs) of Radionuclides for Occupational Exposure; 
     Effluent Concentrations; Concentrations for Release to Sewerage

                              Introduction

    For each radionuclide Table 1 indicates the chemical form which is 
to be used for selecting the appropriate ALI or DAC value. The ALIs and 
DACs for inhalation are given for an aerosol with an activity median 
aerodynamic diameter (AMAD) of 1 m and for

[[Page 316]]

three classes (D,W,Y) of radioactive material, which refer to their 
retention (approximately days, weeks or years) in the pulmonary region 
of the lung. This classification applies to a range of clearance half-
times of less than 10 days for D, for W from 10 to 100 days, and for Y 
greater than 100 days. The class (D, W, or Y) given in the column headed 
``Class'' applies only to the inhalation ALIs and DACs given in Table 1, 
columns 2 and 3. Table 2 provides concentration limits for airborne and 
liquid effluents released to the general environment. Table 3 provides 
concentration limits for discharges to sanitary sewer systems.

                                Notation

    The values in Tables 1, 2, and 3 are presented in the computer ``E'' 
notation. In this notation a value of 6E-02 represents a value of 
6 x 10-2 or 0.06, 6E+2 represents 6 x 102 or 600, and 6E+0 
represents 6 x 100 or 6.

                        Table 1 ``Occupational''

    Note that the columns in Table 1, of this appendix captioned ``Oral 
Ingestion ALI,'' ``Inhalation ALI,'' and ``DAC,'' are applicable to 
occupational exposure to radioactive material.
    The ALIs in this appendix are the annual intakes of a given 
radionuclide by ``Reference Man'' which would result in either (1) a 
committed effective dose equivalent of 5 rems (stochastic ALI) or (2) a 
committed dose equivalent of 50 rems to an organ or tissue (non-
stochastic ALI). The stochastic ALIs were derived to result in a risk, 
due to irradiation of organs and tissues, comparable to the risk 
associated with deep dose equivalent to the whole body of 5 rems. The 
derivation includes multiplying the committed dose equivalent to an 
organ or tissue by a weighting factor, wT. This weighting factor is 
the proportion of the risk of stochastic effects resulting from 
irradiation of the organ or tissue, T, to the total risk of stochastic 
effects when the whole body is irradiated uniformly. The values of 
wT are listed under the definition of weighting factor in 
Sec. 20.1003. The non-stochastic ALIs were derived to avoid non-
stochastic effects, such as prompt damage to tissue or reduction in 
organ function.
    A value of wT=0.06 is applicable to each of the five organs or 
tissues in the ``remainder'' category receiving the highest dose 
equivalents, and the dose equivalents of all other remaining tissues may 
be disregarded. The following parts of the GI tract--stomach, small 
intestine, upper large intestine, and lower large intestine--are to be 
treated as four separate organs.
    Note that the dose equivalents for extremities (hands and forearms, 
feet and lower legs), skin, and lens of the eye are not considered in 
computing the committed effective dose equivalent, but are subject to 
limits that must be met separately.
    When an ALI is defined by the stochastic dose limit, this value 
alone, is given. When an ALI is determined by the non-stochastic dose 
limit to an organ, the organ or tissue to which the limit applies is 
shown, and the ALI for the stochastic limit is shown in parentheses. 
(Abbreviated organ or tissue designations are used: LLI wall = lower 
large intestine wall; St. wall = stomach wall; Blad wall = bladder wall; 
and Bone surf = bone surface.)
    The use of the ALIs listed first, the more limiting of the 
stochastic and non-stochastic ALIs, will ensure that non-stochastic 
effects are avoided and that the risk of stochastic effects is limited 
to an acceptably low value. If, in a particular situation involving a 
radionuclide for which the non-stochastic ALI is limiting, use of that 
non-stochastic ALI is considered unduly conservative, the licensee may 
use the stochastic ALI to determine the committed effective dose 
equivalent. However, the licensee shall also ensure that the 50-rem dose 
equivalent limit for any organ or tissue is not exceeded by the sum of 
the external deep dose equivalent plus the internal committed dose to 
that organ (not the effective dose). For the case where there is no 
external dose contribution, this would be demonstrated if the sum of the 
fractions of the nonstochastic ALIs (ALIns) that contribute to the 
committed dose equivalent to the organ receiving the highest dose does 
not exceed unity (i.e.,  (intake (in Ci) of each 
radionuclide/ALIns) <1.0). If there is an external deep dose 
equivalent contribution of Hd then this sum must be less than 
l-(Hd/50) instead of being <1.0.
    The derived air concentration (DAC) values are derived limits 
intended to control chronic occupational exposures. The relationship 
between the DAC and the ALI is given by: DAC=ALI(in Ci)/(2000 
hours per working year x 60 minutes/hour x 2 x 104 ml per 
minute)=[ALI/2.4 x 109] Ci/ml, where 2 x 104 ml is 
the volume of air breathed per minute at work by ``Reference Man'' under 
working conditions of ``light work.''
    The DAC values relate to one of two modes of exposure: either 
external submersion or the internal committed dose equivalents resulting 
from inhalation of radioactive materials. Derived air concentrations 
based upon submersion are for immersion in a semi-infinite cloud of 
uniform concentration and apply to each radionuclide separately.
    The ALI and DAC values relate to exposure to the single radionuclide 
named, but also include contributions from the in-growth of any daughter 
radionuclide produced in the body by the decay of the parent. However, 
intakes that include both the parent and daughter radionuclides should 
be treated by the general method appropriate for mixtures.

[[Page 317]]

    The value of ALI and DAC do not apply directly when the individual 
both ingests and inhales a radionuclide, when the individual is exposed 
to a mixture of radionuclides by either inhalation or ingestion or both, 
or when the individual is exposed to both internal and external 
radiation (see Sec. 20.1202). When an individual is exposed to 
radioactive materials which fall under several of the translocation 
classifications (i.e., Class D, Class W, or Class Y) of the same 
radionuclide, the exposure may be evaluated as if it were a mixture of 
different radionuclides.
    It should be noted that the classification of a compound as Class D, 
W, or Y is based on the chemical form of the compound and does not take 
into account the radiological half-life of different radioisotopes. For 
this reason, values are given for Class D, W, and Y compounds, even for 
very short-lived radionuclides.

                                 Table 2

    The columns in Table 2 of this appendix captioned ``Effluents,'' 
``Air,'' and ``Water,'' are applicable to the assessment and control of 
dose to the public, particularly in the implementation of the provisions 
of Sec. 20.1302. The concentration values given in Columns 1 and 2 of 
Table 2 are equivalent to the radionuclide concentrations which, if 
inhaled or ingested continuously over the course of a year, would 
produce a total effective dose equivalent of 0.05 rem (50 millirem or 
0.5 millisieverts).
    Consideration of non-stochastic limits has not been included in 
deriving the air and water effluent concentration limits because non-
stochastic effects are presumed not to occur at the dose levels 
established for individual members of the public. For radionuclides, 
where the non-stochastic limit was governing in deriving the 
occupational DAC, the stochastic ALI was used in deriving the 
corresponding airborne effluent limit in Table 2. For this reason, the 
DAC and airborne effluent limits are not always proportional as was the 
case in appendix B to Secs. 20.1-20.601.
    The air concentration values listed in Table 2, Column 1, were 
derived by one of two methods. For those radionuclides for which the 
stochastic limit is governing, the occupational stochastic inhalation 
ALI was divided by 2.4 x 109 ml, relating the inhalation ALI to the 
DAC, as explained above, and then divided by a factor of 300. The factor 
of 300 includes the following components: a factor of 50 to relate the 
5-rem annual occupational dose limit to the 0.1-rem limit for members of 
the public, a factor of 3 to adjust for the difference in exposure time 
and the inhalation rate for a worker and that for members of the public; 
and a factor of 2 to adjust the occupational values (derived for adults) 
so that they are applicable to other age groups.
    For those radionuclides for which submersion (external dose) is 
limiting, the occupational DAC in Table 1, Column 3, was divided by 219. 
The factor of 219 is composed of a factor of 50, as described above, and 
a factor of 4.38 relating occupational exposure for 2,000 hours per year 
to full-time exposure (8,760 hours per year). Note that an additional 
factor of 2 for age considerations is not warranted in the submersion 
case.
    The water concentrations were derived by taking the most restrictive 
occupational stochastic oral ingestion ALI and dividing by 7.3 x 
107. The factor of 7.3 x 107 (ml) includes the following 
components: the factors of 50 and 2 described above and a factor of 7.3 
x 105 (ml) which is the annual water intake of ``Reference Man.''
    Note 2 of this appendix provides groupings of radionuclides which 
are applicable to unknown mixtures of radionuclides. These groupings 
(including occupational inhalation ALIs and DACs, air and water effluent 
concentrations and sewerage) require demonstrating that the most 
limiting radionuclides in successive classes are absent. The limit for 
the unknown mixture is defined when the presence of one of the listed 
radionuclides cannot be definitely excluded either from knowledge of the 
radionuclide composition of the source or from actual measurements.

                       Table 3 ``Sewer Disposal''

    The monthly average concentrations for release to sanitary sewers 
are applicable to the provisions in Sec. 20.2003. The concentration 
values were derived by taking the most restrictive occupational 
stochastic oral ingestion ALI and dividing by 7.3 x 106(ml). The 
factor of 7.3 x 106(ml) is composed of a factor of 7.3 x 
105(ml), the annual water intake by ``Reference Man,'' and a factor 
of 10, such that the concentrations, if the sewage released by the 
licensee were the only source of water ingested by a reference man 
during a year, would result in a committed effective dose equivalent of 
0.5 rem.

                            List of Elements                            
------------------------------------------------------------------------
                                                      Atomic            
                  Name                   -------------------------------
                                                 Symbol            No.  
------------------------------------------------------------------------
Actinium................................  Ac                          89
Aluminum................................  Al                          13
Americium...............................  Am                          95
Antimony................................  Sb                          51
Argon...................................  Ar                          18
Arsenic.................................  As                          33
Astatine................................  At                          85
Barium..................................  Ba                          56
Berkelium...............................  Bk                          97
Beryllium...............................  Be                           4
Bismuth.................................  Bi                          83
Bromine.................................  Br                          35
Cadmium.................................  Cd                          48
Calcium.................................  Ca                          20

[[Page 318]]

                                                                        
Californium.............................  Cf                          98
Carbon..................................  C                            6
Cerium..................................  Ce                          58
Cesium..................................  Cs                          55
Chlorine................................  Cl                          17
Chromium................................  Cr                          24
Cobalt..................................  Co                          27
Copper..................................  Cu                          29
Curium..................................  Cm                          96
Dysprosium..............................  Dy                          66
Einsteinium.............................  Es                          99
Erbium..................................  Er                          68
Europium................................  Eu                          63
Fermium.................................  Fm                         100
Fluorine................................  F                            9
Francium................................  Fr                          87
Gadolinium..............................  Gd                          64
Gallium.................................  Ga                          31
Germanium...............................  Ge                          32
Gold....................................  Au                          79
Hafnium.................................  Hf                          72
Holmium.................................  Ho                          67
Hydrogen................................  H                            1
Indium..................................  In                          49
Iodine..................................  I                           53
Iridium.................................  Ir                          77
Iron....................................  Fe                          26
Krypton.................................  Kr                          36
Lanthanum...............................  La                          57
Lead....................................  Pb                          82
Lutetium................................  Lu                          71
Magnesium...............................  Mg                          12
Manganese...............................  Mn                          25
Mendelevium.............................  Md                         101
Mercury.................................  Hg                          80
Molybdenum..............................  Mo                          42
Neodymium...............................  Nd                          60
Neptunium...............................  Np                          93
Nickel..................................  Ni                          28
Niobium.................................  Nb                          41
Osmium..................................  Os                          76
Palladium...............................  Pd                          46
Phosphorus..............................  P                           15
Platinum................................  Pt                          78
Plutonium...............................  Pu                          94
Polonium................................  Po                          84
Potassium...............................  K                           19
Praseodymium............................  Pr                          59
Promethium..............................  Pm                          61
Protactinium............................  Pa                          91
Radium..................................  Ra                          88
Radon...................................  Rn                          86
Rhenium.................................  Re                          75
Rhodium.................................  Rh                          45
Rubidium................................  Rb                          37
Ruthenium...............................  Ru                          44
Samarium................................  Sm                          62
Scandium................................  Sc                          21
Selenium................................  Se                          34
Silicon.................................  Si                          14
Silver..................................  Ag                          47
Sodium..................................  Na                          11
Strontium...............................  Sr                          38
Sulfur..................................  S                           16
Tantalum................................  Ta                          73
Technetium..............................  Tc                          43
Tellurium...............................  Te                          52
Terbium.................................  Tb                          65
Thallium................................  Tl                          81
Thorium.................................  Th                          90
Thalium.................................  Tm                          69
Tin.....................................  Sn                          50
Titanium................................  Ti                          22
Tungsten................................  W                           74
Uranium.................................  U                           92
Vanadium................................  V                           23
Xenon...................................  Xe                          54
Ytterbium...............................  Yb                          70
Yttrium.................................  Y                           39
Zinc....................................  Zn                          30
Zirconium...............................  Zr                          40
------------------------------------------------------------------------


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[56 FR 23409, May 21, 1991; 56 FR 61352, Dec. 3, 1991, as amended at 57 
FR 57879, Dec. 8, 1992. Redesignated at 58 FR 67659, Dec. 22, 1993]

[[Page 372]]



  Appendix C to Part 20--Quantities \1\ of Licensed Material Requiring  
                                Labeling                                
------------------------------------------------------------------------
                                                              Quantity  
                       Radionuclide                        (Ci)
------------------------------------------------------------------------
Hydrogen-3...............................................     1,000     
Beryllium-7..............................................     1,000     
Beryllium-10.............................................         1     
Carbon-11................................................     1,000     
Carbon-14................................................       100     
Fluorine-18..............................................     1,000     
Sodium-22................................................        10     
Sodium-24................................................       100     
Magnesium-28.............................................       100     
Aluminum-26..............................................        10     
Silicon-31...............................................     1,000     
Silicon-32...............................................         1     
Phosphorus-32............................................        10     
Phosphorus-33............................................       100     
Sulfur-35................................................       100     
Chlorine-36..............................................        10     
Chlorine-38..............................................     1,000     
Chlorine-39..............................................     1,000     
Argon-39.................................................     1,000     
Argon-41.................................................     1,000     
Potassium-40.............................................       100     
Potassium-42.............................................     1,000     
Potassium-43.............................................     1,000     
Potassium-44.............................................     1,000     
Potassium-45.............................................     1,000     
Calcium-41...............................................       100     
Calcium-45...............................................       100     
Calcium-47...............................................       100     
Scandium-43..............................................     1,000     
Scandium-44m.............................................       100     
Scandium-44..............................................       100     
Scandium-46..............................................        10     
Scandium-47..............................................       100     
Scandium-48..............................................       100     
Scandium-49..............................................     1,000     
Titanium-44..............................................         1     
Titanium-45..............................................     1,000     
Vanadium-47..............................................     1,000     
Vanadium-48..............................................       100     
Vanadium-49..............................................     1,000     
Chromium-48..............................................     1,000     
Chromium-49..............................................     1,000     
Chromium-51..............................................     1,000     
Manganese-51.............................................     1,000     
Manganese-52m............................................     1,000     
Manganese-52.............................................       100     
Manganese-53.............................................     1,000     
Manganese-54.............................................       100     
Manganese-56.............................................     1,000     
Iron-52..................................................       100     
Iron-55..................................................       100     
Iron-59..................................................        10     
Iron-60..................................................         1     
Cobalt-55................................................       100     
Cobalt-56................................................        10     
Cobalt-57................................................       100     
Cobalt-58m...............................................     1,000     
Cobalt-58................................................       100     
Cobalt-60m...............................................     1,000     
Cobalt-60................................................         1     
Cobalt-61................................................     1,000     
Cobalt-62m...............................................     1,000     
Nickel-56................................................       100     
Nickel-57................................................       100     
Nickel-59................................................       100     
Nickel-63................................................       100     
Nickel-65................................................     1,000     
Nickel-66................................................        10     
Copper-60................................................     1,000     
Copper-61................................................     1,000     
Copper-64................................................     1,000     
Copper-67................................................     1,000     
Zinc-62..................................................       100     
Zinc-63..................................................     1,000     
Zinc-65..................................................        10     
Zinc-69m.................................................       100     
Zinc-69..................................................     1,000     
Zinc-71m.................................................     1,000     
Zinc-72..................................................       100     
Gallium-65...............................................     1,000     
Gallium-66...............................................       100     
Gallium-67...............................................     1,000     
Gallium-68...............................................     1,000     
Gallium-70...............................................     1,000     
Gallium-72...............................................       100     
Gallium-73...............................................     1,000     
Germanium-66.............................................     1,000     
Germanium-67.............................................     1,000     
Germanium-68.............................................        10     
Germanium-69.............................................     1,000     
Germanium-71.............................................     1,000     
Germanium-75.............................................     1,000     
Germanium-77.............................................     1,000     
Germanium-78.............................................     1,000     
Arsenic-69...............................................     1,000     
Arsenic-70...............................................     1,000     
Arsenic-71...............................................       100     
Arsenic-72...............................................       100     
Arsenic-73...............................................       100     
Arsenic-74...............................................       100     
Arsenic-76...............................................       100     
Arsenic-77...............................................       100     
Arsenic-78...............................................     1,000     
Selenium-70..............................................     1,000     
Selenium-73m.............................................     1,000     
Selenium-73..............................................       100     
Selenium-75..............................................       100     
Selenium-79..............................................       100     
Selenium-81m.............................................     1,000     
Selenium-81..............................................     1,000     
Selenium-83..............................................     1,000     
Bromine-74m..............................................     1,000     
Bromine-74...............................................     1,000     
Bromine-75...............................................     1,000     
Bromine-76...............................................       100     
Bromine-77...............................................     1,000     
Bromine-80m..............................................     1,000     
Bromine-80...............................................     1,000     
Bromine-82...............................................       100     
Bromine-83...............................................     1,000     
Bromine-84...............................................     1,000     
Krypton-74...............................................     1,000     
Krypton-76...............................................     1,000     
Krypton-77...............................................     1,000     
Krypton-79...............................................     1,000     
Krypton-81...............................................     1,000     
Krypton-83m..............................................     1,000     
Krypton-85m..............................................     1,000     
Krypton-85...............................................     1,000     
Krypton-87...............................................     1,000     
Krypton-88...............................................     1,000     
Rubidium-79..............................................     1,000     
Rubidium-81m.............................................     1,000     
Rubidium-81..............................................     1,000     
Rubidium-82m.............................................     1,000     
Rubidium-83..............................................       100     
Rubidium-84..............................................       100     
Rubidium-86..............................................       100     
Rubidium-87..............................................       100     

[[Page 373]]

                                                                        
Rubidium-88..............................................     1,000     
Rubidium-89..............................................     1,000     
Strontium-80.............................................       100     
Strontium-81.............................................     1,000     
Strontium-83.............................................       100     
Strontium-85m............................................     1,000     
Strontium-85.............................................       100     
Strontium-87m............................................     1,000     
Strontium-89.............................................        10     
Strontium-90.............................................         0.1   
Strontium-91.............................................       100     
Strontium-92.............................................       100     
Yttrium-86m..............................................     1,000     
Yttrium-86...............................................       100     
Yttrium-87...............................................       100     
Yttrium-88...............................................        10     
Yttrium-90m..............................................     1,000     
Yttrium-90...............................................        10     
Yttrium-91m..............................................     1,000     
Yttrium-91...............................................        10     
Yttrium-92...............................................       100     
Yttrium-93...............................................       100     
Yttrium-94...............................................     1,000     
Yttrium-95...............................................     1,000     
Zirconium-86.............................................       100     
Zirconium-88.............................................        10     
Zirconium-89.............................................       100     
Zirconium-93.............................................         1     
Zirconium-95.............................................        10     
Zirconium-97.............................................       100     
Niobium-88...............................................     1,000     
Niobium-89m (66 min).....................................     1,000     
Niobium-89 (122 min).....................................     1,000     
Niobium-90...............................................       100     
Niobium-93m..............................................        10     
Niobium-94...............................................         1     
Niobium-95m..............................................       100     
Niobium-95...............................................       100     
Niobium-96...............................................       100     
Niobium-97...............................................     1,000     
Niobium-98...............................................     1,000     
Molybdenum-90............................................       100     
Molybdenum-93m...........................................       100     
Molybdenum-93............................................        10     
Molybdenum-99............................................       100     
Molybdenum-101...........................................     1,000     
Technetium-93m...........................................     1,000     
Technetium-93............................................     1,000     
Technetium-94m...........................................     1,000     
Technetium-94............................................     1,000     
Technetium-96m...........................................     1,000     
Technetium-96............................................       100     
Technetium-97m...........................................       100     
Technetium-97............................................     1,000     
Technetium-98............................................        10     
Technetium-99m...........................................     1,000     
Technetium-99............................................       100     
Technetium-101...........................................     1,000     
Technetium-104...........................................     1,000     
Ruthenium-94.............................................     1,000     
Ruthenium-97.............................................     1,000     
Ruthenium-103............................................       100     
Ruthenium-105............................................     1,000     
Ruthenium-106............................................         1     
Rhodium-99m..............................................     1,000     
Rhodium-99...............................................       100     
Rhodium-100..............................................       100     
Rhodium-101m.............................................     1,000     
Rhodium-101..............................................        10     
Rhodium-102m.............................................        10     
Rhodium-102..............................................        10     
Rhodium-103m.............................................     1,000     
Rhodium-105..............................................       100     
Rhodium-106m.............................................     1,000     
Rhodium-107..............................................     1,000     
Palladium-100............................................       100     
Palladium-101............................................     1,000     
Palladium-103............................................       100     
Palladium-107............................................        10     
Palladium-109............................................       100     
Silver-102...............................................     1,000     
Silver-103...............................................     1,000     
Silver-104m..............................................     1,000     
Silver-104...............................................     1,000     
Silver-105...............................................       100     
Silver-106m..............................................       100     
Silver-106...............................................     1,000     
Silver-108m..............................................         1     
Silver-110m..............................................        10     
Silver-111...............................................       100     
Silver-112...............................................       100     
Silver-115...............................................     1,000     
Cadmium-104..............................................     1,000     
Cadmium-107..............................................     1,000     
Cadmium-109..............................................         1     
Cadmium-113m.............................................         0.1   
Cadmium-113..............................................       100     
Cadmium-115m.............................................        10     
Cadmium-115..............................................       100     
Cadmium-117m.............................................     1,000     
Cadmium-117..............................................     1,000     
Indium-109...............................................     1,000     
Indium-110 (69.1min.)....................................     1,000     
Indium-110...............................................  .............
  (4.9h).................................................     1,000     
Indium-111...............................................       100     
Indium-112...............................................     1,000     
Indium-113m..............................................     1,000     
Indium-114m..............................................        10     
Indium-115m..............................................     1,000     
Indium-115...............................................       100     
Indium-116m..............................................     1,000     
Indium-117m..............................................     1,000     
Indium-117...............................................     1,000     
Indium-119m..............................................     1,000     
Tin-110..................................................       100     
Tin-111..................................................     1,000     
Tin-113..................................................       100     
Tin-117m.................................................       100     
Tin-119m.................................................       100     
Tin-121m.................................................       100     
Tin-121..................................................     1,000     
Tin-123m.................................................     1,000     
Tin-123..................................................        10     
Tin-125..................................................        10     
Tin-126..................................................        10     
Tin-127..................................................     1,000     
Tin-128..................................................     1,000     
Antimony-115.............................................     1,000     
Antimony-116m............................................     1,000     
Antimony-116.............................................     1,000     
Antimony-117.............................................     1,000     
Antimony-118m............................................     1,000     
Antimony-119.............................................     1,000     
Antimony-120 (16min.)....................................     1,000     
Antimony-120 (5.76d).....................................       100     
Antimony-122.............................................       100     
Antimony-124m............................................     1,000     

[[Page 374]]

                                                                        
Antimony-124.............................................        10     
Antimony-125.............................................       100     
Antimony-126m............................................     1,000     
Antimony-126.............................................       100     
Antimony-127.............................................       100     
Antimony-128 (10.4min.)..................................     1,000     
Antimony-128 (9.01h).....................................       100     
Antimony-129.............................................       100     
Antimony-130.............................................     1,000     
Antimony-131.............................................     1,000     
Tellurium-116............................................     1,000     
Tellurium-121m...........................................        10     
Tellurium-121............................................       100     
Tellurium-123m...........................................        10     
Tellurium-123............................................       100     
Tellurium-125m...........................................        10     
Tellurium-127m...........................................        10     
Tellurium-127............................................     1,000     
Tellurium-129m...........................................        10     
Tellurium-129............................................     1,000     
Tellurium-131m...........................................        10     
Tellurium-131............................................       100     
Tellurium-132............................................        10     
Tellurium-133m...........................................       100     
Tellurium-133............................................     1,000     
Tellurium-134............................................     1,000     
Iodine-120m..............................................     1,000     
Iodine-120...............................................       100     
Iodine-121...............................................     1,000     
Iodine-123...............................................       100     
Iodine-124...............................................        10     
Iodine-125...............................................         1     
Iodine-126...............................................         1     
Iodine-128...............................................     1,000     
Iodine-129...............................................         1     
Iodine-130...............................................        10     
Iodine-131...............................................         1     
Iodine-132m..............................................       100     
Iodine-132...............................................       100     
Iodine-133...............................................        10     
Iodine-134...............................................     1,000     
Iodine-135...............................................       100     
Xenon-120................................................     1,000     
Xenon-121................................................     1,000     
Xenon-122................................................     1,000     
Xenon-123................................................     1,000     
Xenon-125................................................     1,000     
Xenon-127................................................     1,000     
Xenon-129m...............................................     1,000     
Xenon-131m...............................................     1,000     
Xenon-133m...............................................     1,000     
Xenon-133................................................     1,000     
Xenon-135m...............................................     1,000     
Xenon-135................................................     1,000     
Xenon-138................................................     1,000     
Cesium-125...............................................     1,000     
Cesium-127...............................................     1,000     
Cesium-129...............................................     1,000     
Cesium-130...............................................     1,000     
Cesium-131...............................................     1,000     
Cesium-132...............................................       100     
Cesium-134m..............................................     1,000     
Cesium-134...............................................        10     
Cesium-135m..............................................     1,000     
Cesium-135...............................................       100     
Cesium-136...............................................        10     
Cesium-137...............................................        10     
Cesium-138...............................................     1,000     
Barium-126...............................................     1,000     
Barium-128...............................................       100     
Barium-131m..............................................     1,000     
Barium-131...............................................       100     
Barium-133m..............................................       100     
Barium-133...............................................       100     
Barium-135m..............................................       100     
Barium-139...............................................     1,000     
Barium-140...............................................       100     
Barium-141...............................................     1,000     
Barium-142...............................................     1,000     
Lanthanum-131............................................     1,000     
Lanthanum-132............................................       100     
Lanthanum-135............................................     1,000     
Lanthanum-137............................................        10     
Lanthanum-138............................................       100     
Lanthanum-140............................................       100     
Lanthanum-141............................................       100     
Lanthanum-142............................................     1,000     
Lanthanum-143............................................     1,000     
Cerium-134...............................................       100     
Cerium-135...............................................       100     
Cerium-137m..............................................       100     
Cerium-137...............................................     1,000     
Cerium-139...............................................       100     
Cerium-141...............................................       100     
Cerium-143...............................................       100     
Cerium-144...............................................         1     
Praseodymium-136.........................................     1,000     
Praseodymium-137.........................................     1,000     
Praseodymium-138m........................................     1,000     
Praseodymium-139.........................................     1,000     
Praseodymium-142m........................................     1,000     
Praseodymium-142.........................................       100     
Praseodymium-143.........................................       100     
Praseodymium-144.........................................     1,000     
Praseodymium-145.........................................       100     
Praseodymium-147.........................................     1,000     
Neodymium-136............................................     1,000     
Neodymium-138............................................       100     
Neodymium-139m...........................................     1,000     
Neodymium-139............................................     1,000     
Neodymium-141............................................     1,000     
Neodymium-147............................................       100     
Neodymium-149............................................     1,000     
Neodymium-151............................................     1,000     
Promethium-141...........................................     1,000     
Promethium-143...........................................       100     
Promethium-144...........................................        10     
Promethium-145...........................................        10     
Promethium-146...........................................         1     
Promethium-147...........................................        10     
Promethium-148m..........................................        10     
Promethium-148...........................................        10     
Promethium-149...........................................       100     
Promethium-150...........................................     1,000     
Promethium-151...........................................       100     
Samarium-141m............................................     1,000     
Samarium-141.............................................     1,000     
Samarium-142.............................................     1,000     
Samarium-145.............................................       100     
Samarium-146.............................................         1     
Samarium-147.............................................       100     
Samarium-151.............................................        10     
Samarium-153.............................................       100     
Samarium-155.............................................     1,000     
Samarium-156.............................................     1,000     
Europium-145.............................................       100     
Europium-146.............................................       100     
Europium-147.............................................       100     

[[Page 375]]

                                                                        
Europium-148.............................................        10     
Europium-149.............................................       100     
Europium-150 (12.62h)....................................       100     
Europium-150 (34.2y).....................................         1     
Europium-152m............................................       100     
Europium-152.............................................         1     
Europium-154.............................................         1     
Europium-155.............................................        10     
Europium-156.............................................       100     
Europium-157.............................................       100     
Europium-158.............................................     1,000     
Gadolinium-145...........................................     1,000     
Gadolinium-146...........................................        10     
Gadolinium-147...........................................       100     
Gadolinium-148...........................................         0.001 
Gadolinium-149...........................................       100     
Gadolinium-151...........................................        10     
Gadolinium-152...........................................       100     
Gadolinium-153...........................................        10     
Gadolinium-159...........................................       100     
Terbium-147..............................................     1,000     
Terbium-149..............................................       100     
Terbium-150..............................................     1,000     
Terbium-151..............................................       100     
Terbium-153..............................................     1,000     
Terbium-154..............................................       100     
Terbium-155..............................................     1,000     
Terbium-156m (5.0h)......................................     1,000     
Terbium-156m (24.4h).....................................     1,000     
Terbium-156..............................................       100     
Terbium-157..............................................        10     
Terbium-158..............................................         1     
Terbium-160..............................................        10     
Terbium-161..............................................       100     
Dysprosium-155...........................................     1,000     
Dysprosium-157...........................................     1,000     
Dysprosium-159...........................................       100     
Dysprosium-165...........................................     1,000     
Dysprosium-166...........................................       100     
Holmium-155..............................................     1,000     
Holmium-157..............................................     1,000     
Holmium-159..............................................     1,000     
Holmium-161..............................................     1,000     
Holmium-162m.............................................     1,000     
Holmium-162..............................................     1,000     
Holmium-164m.............................................     1,000     
Holmium-164..............................................     1,000     
Holmium-166m.............................................         1     
Holmium-166..............................................       100     
Holmium-167..............................................     1,000     
Erbium-161...............................................     1,000     
Erbium-165...............................................     1,000     
Erbium-169...............................................       100     
Erbium-171...............................................       100     
Erbium-172...............................................       100     
Thulium-162..............................................     1,000     
Thulium-166..............................................       100     
Thulium-167..............................................       100     
Thulium-170..............................................        10     
Thulium-171..............................................        10     
Thulium-172..............................................       100     
Thulium-173..............................................       100     
Thulium-175..............................................     1,000     
Ytterbium-162............................................     1,000     
Ytterbium-166............................................       100     
Ytterbium-167............................................     1,000     
Ytterbium-169............................................       100     
Ytterbium-175............................................       100     
Ytterbium-177............................................     1,000     
Ytterbium-178............................................     1,000     
Lutetium-169.............................................       100     
Lutetium-170.............................................       100     
Lutetium-171.............................................       100     
Lutetium-172.............................................       100     
Lutetium-173.............................................        10     
Lutetium-174m............................................        10     
Lutetium-174.............................................        10     
Lutetium-176m............................................     1,000     
Lutetium-176.............................................       100     
Lutetium-177m............................................        10     
Lutetium-177.............................................       100     
Lutetium-178m............................................     1,000     
Lutetium-178.............................................     1,000     
Lutetium-179.............................................     1,000     
Hafnium-170..............................................       100     
Hafnium-172..............................................         1     
Hafnium-173..............................................     1,000     
Hafnium-175..............................................       100     
Hafnium-177m.............................................     1,000     
Hafnium-178m.............................................         0.1   
Hafnium-179m.............................................        10     
Hafnium-180m.............................................     1,000     
Hafnium-181..............................................        10     
Hafnium-182m.............................................     1,000     
Hafnium-182..............................................         0.1   
Hafnium-183..............................................     1,000     
Hafnium-184..............................................       100     
Tantalum-172.............................................     1,000     
Tantalum-173.............................................     1,000     
Tantalum-174.............................................     1,000     
Tantalum-175.............................................     1,000     
Tantalum-176.............................................       100     
Tantalum-177.............................................     1,000     
Tantalum-178.............................................     1,000     
Tantalum-179.............................................       100     
Tantalum-180m............................................     1,000     
Tantalum-180.............................................       100     
Tantalum-182m............................................     1,000     
Tantalum-182.............................................        10     
Tantalum-183.............................................       100     
Tantalum-184.............................................       100     
Tantalum-185.............................................     1,000     
Tantalum-186.............................................     1,000     
Tungsten-176.............................................     1,000     
Tungsten-177.............................................     1,000     
Tungsten-178.............................................     1,000     
Tungsten-179.............................................     1,000     
Tungsten-181.............................................     1,000     
Tungsten-185.............................................       100     
Tungsten-187.............................................       100     
Tungsten-188.............................................        10     
Rhenium-177..............................................     1,000     
Rhenium-178..............................................     1,000     
Rhenium-181..............................................     1,000     
Rhenium-182 (12.7h)......................................     1,000     
Rhenium-182 (64.0h)......................................       100     
Rhenium-184m.............................................        10     
Rhenium-184..............................................       100     
Rhenium-186m.............................................        10     
Rhenium-186..............................................       100     
Rhenium-187..............................................     1,000     
Rhenium-188m.............................................     1,000     
Rhenium-188..............................................       100     
Rhenium-189..............................................       100     
Osmium-180...............................................     1,000     
Osmium-181...............................................     1,000     
Osmium-182...............................................       100     
Osmium-185...............................................       100     

[[Page 376]]

                                                                        
Osmium-189m..............................................     1,000     
Osmium-191m..............................................     1,000     
Osmium-191...............................................       100     
Osmium-193...............................................       100     
Osmium-194...............................................         1     
Iridium-182..............................................     1,000     
Iridium-184..............................................     1,000     
Iridium-185..............................................     1,000     
Iridium-186..............................................       100     
Iridium-187..............................................     1,000     
Iridium-188..............................................       100     
Iridium-189..............................................       100     
Iridium-190m.............................................     1,000     
Iridium-190..............................................       100     
Iridium-192 (73.8d)......................................         1     
Iridium-192m (1.4min.)...................................        10     
Iridium-194m.............................................        10     
Iridium-194..............................................       100     
Iridium-195m.............................................     1,000     
Iridium-195..............................................     1,000     
Platinum-186.............................................     1,000     
Platinum-188.............................................       100     
Platinum-189.............................................     1,000     
Platinum-191.............................................       100     
Platinum-193m............................................       100     
Platinum-193.............................................     1,000     
Platinum-195m............................................       100     
Platinum-197m............................................     1,000     
Platinum-197.............................................       100     
Platinum-199.............................................     1,000     
Platinum-200.............................................       100     
Gold-193.................................................     1,000     
Gold-194.................................................       100     
Gold-195.................................................        10     
Gold-198m................................................       100     
Gold-198.................................................       100     
Gold-199.................................................       100     
Gold-200m................................................       100     
Gold-200.................................................     1,000     
Gold-201.................................................     1,000     
Mercury-193m.............................................       100     
Mercury-193..............................................     1,000     
Mercury-194..............................................         1     
Mercury-195m.............................................       100     
Mercury-195..............................................     1,000     
Mercury-197m.............................................       100     
Mercury-197..............................................     1,000     
Mercury-199m.............................................     1,000     
Mercury-203..............................................       100     
Thallium-194m............................................     1,000     
Thallium-194.............................................     1,000     
Thallium-195.............................................     1,000     
Thallium-197.............................................     1,000     
Thallium-198m............................................     1,000     
Thallium-198.............................................     1,000     
Thallium-199.............................................     1,000     
Thallium-200.............................................     1,000     
Thallium-201.............................................     1,000     
Thallium-202.............................................       100     
Thallium-204.............................................       100     
Lead-195m................................................     1,000     
Lead-198.................................................     1,000     
Lead-199.................................................     1,000     
Lead-200.................................................       100     
Lead-201.................................................     1,000     
Lead-202m................................................     1,000     
Lead-202.................................................        10     
Lead-203.................................................     1,000     
Lead-205.................................................       100     
Lead-209.................................................     1,000     
Lead-210.................................................         0.01  
Lead-211.................................................       100     
Lead-212.................................................         1     
Lead-214.................................................       100     
Bismuth-200..............................................     1,000     
Bismuth-201..............................................     1,000     
Bismuth-202..............................................     1,000     
Bismuth-203..............................................       100     
Bismuth-205..............................................       100     
Bismuth-206..............................................       100     
Bismuth-207..............................................        10     
Bismuth-210m.............................................         0.1   
Bismuth-210..............................................         1     
Bismuth-212..............................................        10     
Bismuth-213..............................................        10     
Bismuth-214..............................................       100     
Polonium-203.............................................     1,000     
Polonium-205.............................................     1,000     
Polonium-207.............................................     1,000     
Polonium-210.............................................         0.1   
Astatine-207.............................................       100     
Astatine-211.............................................        10     
Radon-220................................................         1     
Radon-222................................................         1     
Francium-222.............................................       100     
Francium-223.............................................       100     
Radium-223...............................................         0.1   
Radium-224...............................................         0.1   
Radium-225...............................................         0.1   
Radium-226...............................................         0.1   
Radium-227...............................................     1,000     
Radium-228...............................................         0.1   
Actinium-224.............................................         1     
Actinium-225.............................................         0.01  
Actinium-226.............................................         0.1   
Actinium-227.............................................         0.001 
Actinium-228.............................................         1     
Thorium-226..............................................        10     
Thorium-227..............................................         0.01  
Thorium-228..............................................         0.001 
Thorium-229..............................................         0.001 
Thorium-230..............................................         0.001 
Thorium-231..............................................       100     
Thorium-232..............................................       100     
Thorium-234..............................................        10     
Thorium-natural..........................................       100     
Protactinium-227.........................................        10     
Protactinium-228.........................................         1     
Protactinium-230.........................................         0.1   
Protactinium-231.........................................         0.001 
Protactinium-232.........................................         1     
Protactinium-233.........................................       100     
Protactinium-234.........................................       100     
Uranium-230..............................................         0.01  
Uranium-231..............................................       100     
Uranium-232..............................................         0.001 
Uranium-233..............................................         0.001 
Uranium-234..............................................         0.001 
Uranium-235..............................................         0.001 
Uranium-236..............................................         0.001 
Uranium-237..............................................       100     
Uranium-238..............................................       100     
Uranium-239..............................................     1,000     
Uranium-240..............................................       100     
Uranium-natural..........................................       100     
Neptunium-232............................................       100     
Neptunium-233............................................     1,000     
Neptunium-234............................................       100     

[[Page 377]]

                                                                        
Neptunium-235............................................       100     
Neptunium-236 (1.15x105y)................................         0.001 
Neptunium-236 (22.5h)....................................         1     
Neptunium-237............................................         0.001 
Neptunium-238............................................        10     
Neptunium-239............................................       100     
Neptunium-240............................................     1,000     
Plutonium-234............................................        10     
Plutonium-235............................................     1,000     
Plutonium-236............................................         0.001 
Plutonium-237............................................       100     
Plutonium-238............................................         0.001 
Plutonium-239............................................         0.001 
Plutonium-240............................................         0.001 
Plutonium-241............................................         0.01  
Plutonium-242............................................         0.001 
Plutonium-243............................................     1,000     
Plutonium-244............................................         0.001 
Plutonium-245............................................       100     
Americium-237............................................     1,000     
Americium-238............................................       100     
Americium-239............................................     1,000     
Americium-240............................................       100     
Americium-241............................................         0.001 
Americium-242m...........................................         0.001 
Americium-242............................................        10     
Americium-243............................................         0.001 
Americium-244m...........................................       100     
Americium-244............................................        10     
Americium-245............................................     1,000     
Americium-246m...........................................     1,000     
Americium-246............................................     1,000     
Curium-238...............................................       100     
Curium-240...............................................         0.1   
Curium-241...............................................         1     
Curium-242...............................................         0.01  
Curium-243...............................................         0.001 
Curium-244...............................................         0.001 
Curium-245...............................................         0.001 
Curium-246...............................................         0.001 
Curium-247...............................................         0.001 
Curium-248...............................................         0.001 
Curium-249...............................................     1,000     
Berkelium-245............................................       100     
Berkelium-246............................................       100     
Berkelium-247............................................         0.001 
Berkelium-249............................................         0.1   
Berkelium-250............................................        10     
Californium-244..........................................       100     
Californium-246..........................................         1     
Californium-248..........................................         0.01  
Californium-249..........................................         0.001 
Californium-250..........................................         0.001 
Californium-251..........................................         0.001 
Californium-252..........................................         0.001 
Californium-253..........................................         0.1   
Californium-254..........................................         0.001 
Any alpha emitting radionuclide not listed above or                     
 mixtures of alpha emitters of unknown composition.......         0.001 
Einsteinium-250..........................................       100     
Einsteinium-251..........................................       100     
Einsteinium-253..........................................         0.1   
Einsteinium-254m.........................................         1     
Einsteinium-254..........................................         0.01  
Fermium-252..............................................         1     
Fermium-253..............................................         1     
Fermium-254..............................................        10     
Fermium-255..............................................         1     
Fermium-257..............................................         0.01  
Mendelevium-257..........................................        10     
Mendelevium-258..........................................         0.01  
Any radionuclide other than alpha emitting radionuclides                
 not listed above, or mixtures of beta emitters of                      
 unknown composition.....................................         0.01  
------------------------------------------------------------------------
\1\ The quantities listed above were derived by taking \1/10\th of the  
  most restrictive ALI listed in table 1, columns 1 and 2, of appendix B
  to Secs.  20.1001-20.2401 of this part, rounding to the nearest factor
  of 10, and arbitrarily constraining the values listed between 0.001   
  and 1,000 Ci. Values of 100 Ci have been assigned   
  for radionuclides having a radioactive half-life in excess of 109     
  years (except rhenium, 1000 Ci) to take into account their   
  low specific activity.                                                
Note: For purposes of Secs.  20.1902(e), 20.1905(a), and 20.2201(a)     
  where there is involved a combination of radionuclides in known       
  amounts, the limit for the combination should be derived as follows:  
  determine, for each radionuclide in the combination, the ratio between
  the quantity present in the combination and the limit otherwise       
  established for the specific radionuclide when not in combination. The
  sum of such ratios for all radionuclides in the combination may not   
  exceed ``1'' (i.e., ``unity'').                                       


[56 FR 23465, May 21, 1991; 56 FR 61352, Dec. 3, 1991. Redesignated and 
amended at 58 FR 67659, Dec. 22, 1993; 60 FR 20186, Apr. 25, 1995]

               Appendix D to Part 20--United States Nuclear Regulatory Commission Regional Offices              
----------------------------------------------------------------------------------------------------------------
                                                        Address                     Telephone (24 hour)         
----------------------------------------------------------------------------------------------------------------
Region I: Connecticut, Delaware, District    USNRC, Region I, 475          (610) 337-5000,                      
 of Columbia, Maine, Maryland,                Allendale Road, King of      (FTS) 346-5000.                      
 Massachusetts, New Hampshire, New Jersey,    Prussia, PA 19406.                                                
 New York, Pennsylvania, Rhode Island, and                                                                      
 Vermont.                                                                                                       
Region II: Alabama, Florida, Georgia,        USNRC, Region II, 101         (404) 331-4503,                      
 Kentucky, Mississippi, North Carolina,       Marietta Street, NW., Suite  (FTS) 841-4503.                      
 Puerto Rico, South Carolina, Tennessee,      2900, Atlanta, GA 30323.                                          
 Virginia, Virgin Islands, and West                                                                             
 Virginia.                                                                                                      
Region III: Illinois, Indiana, Iowa,         USNRC, Region III, 801        (708) 829-9500,                      
 Michigan, Minnesota, Missouri, Ohio, and     Warrenville Road, Lisle, IL  (FTS) 829-9500.                      
 Wisconsin.                                   60532-4351.                                                       
Region IV: Alaska, Arizona, Arkansas,        USNRC, Region IV, 611 Ryan    (817) 860-8100,                      
 California, Colorado, Hawaii, Idaho,         Plaza Drive, Suite 400,      (FTS) 728-8100.                      
 Kansas, Louisiana, Montana, Nebraska,        Arlington, TX 76011.                                              
 Nevada, New Mexico, North Dakota,                                                                              
 Oklahoma, Oregon, South Dakota, Texas,                                                                         
 Utah, Washington, Wyoming, and the U.S.                                                                        
 territories and possessions in the Pacific.                                                                    

[[Page 378]]

                                                                                                                
Region IV: Field Office....................  USNRC, Region IV, Walnut      (510) 975-0200.                      
                                              Creek Field Office, 1450                                          
                                              Maria Lane, Suite 300,                                            
                                              Walnut Creek, CA 94596.                                           
----------------------------------------------------------------------------------------------------------------


[56 FR 23468, May 21, 1991, as amended at 56 FR 41449, Aug. 21, 1991; 58 
FR 64111, Dec. 6, 1993; 59 FR 17465, Apr. 13, 1994; 60 FR 24551, May 9, 
1995]

                    Appendix E to Part 20 [Reserved]

  Appendix F to Part 20--Requirements for Low-Level-Waste Transfer for 
           Disposal at Land Disposal Facilities and Manifests

                               I. Manifest

    The shipment manifest shall contain the name, address, and telephone 
number of the person generating the waste. The manifest shall also 
include the name, address, and telephone number or the name and EPA 
hazardous waste identification number of the person transporting the 
waste to the land disposal facility. The manifest must also indicate as 
completely as practical: a physical description of the waste, the 
volume, radionuclide identity and quantity, the total radioactivity, and 
the principal chemical form. The solidification agent must be specified. 
Waste containing more than 0.1% chelating agents by weight must be 
identified and the weight percentage of the chelating agent estimated. 
Wastes classified as Class A, Class B, or Class C in Sec. 61.55 of this 
chapter must be clearly identified as such in the manifest. The total 
quantity of the radionuclides \3\H, \14\C, \99\Tc, and \129\I must be 
shown. The manifest required by this paragraph may be shipping papers 
used to meet Department of Transportation or Environmental Protection 
Agency regulations or requirements of the receiver, provided all the 
required information is included. Copies of manifests required by this 
section may be legible carbon copies or legible photocopies.

                            II. Certification

    The waste generator shall include in the shipment manifest a 
certification that the transported materials are properly classified, 
described, packaged, marked, and labeled and are in proper condition for 
transportation according to the applicable regulations of the Department 
of Transportation and the Commission. An authorized representative of 
the waste generator shall sign and date the manifest.

                        III. Control and Tracking

    A. Any generating licensee who transfers radioactive waste to a land 
disposal facility or a licensed waste collector shall comply with the 
requirements in paragraphs A.1 through 8 of this section. Any generating 
licensee who transfers waste to a licensed waste processor who treats or 
repackages waste shall comply with the requirements of paragraphs A.4 
through 8 of this section. A licensee shall:
    1. Prepare all wastes so that the waste is classified according to 
Sec. 61.55 of this chapter and meets the waste characteristics 
requirements in Sec. 61.56 of this chapter;
    2. Label each package of waste to identify whether it is Class A 
waste, Class B waste, or Class C waste, in accordance with Sec. 61.55 of 
this chapter;
    3. Conduct a quality control program to ensure compliance with 
Secs. 61.55 and 61.56 of this chapter; the program must include 
management evaluation of audits;
    4. Prepare shipping manifests to meet the requirements of sections I 
and II of this appendix;
    5. Forward a copy of the manifest to the intended recipient, at the 
time of shipment, or deliver to a collector at the time the waste is 
collected, obtaining acknowledgment of receipt in the form of a signed 
copy of the manifest or equivalent documentation from the collector;
    6. Include one copy of the manifest with the shipment;
    7. Retain a copy of the manifest and documentation of 
acknowledgement of receipt as the record of transfer of licensed 
material as required by parts 30, 40, and 70 of this chapter. This 
includes those manifests and documents required under the standards for 
protection against radiation in effect prior to January 1, 1994; and
    8. For any shipments or any part of a shipment for which 
acknowledgment of receipt has not been received within the times set 
forth in this section, conduct an investigation in accordance with 
paragraph E of this appendix.
    B. Any waste collector licensee who handles only prepackaged waste 
shall:

[[Page 379]]

    1. Acknowledge receipt of the waste from the generator within 1 week 
of receipt by returning a signed copy of the manifest or equivalent 
documentation;
    2. Prepare a new manifest to reflect consolidated shipments; the new 
manifest shall serve as a listing or index for the detailed generator 
manifests. Copies of the generator manifests shall be a part of the new 
manifest. The waste collector may prepare a new manifest without 
attaching the generator manifests, provided the new manifest contains 
for each package the information specified in section I of this 
appendix. The collector licensee shall certify that nothing has been 
done to the waste that would invalidate the generator's certification;
    3. Forward a copy of the new manifest to the land disposal facility 
operator at the time of shipment;
    4. Include the new manifest with the shipment to the disposal site;
    5. Retain a copy of the manifest and documentation of 
acknowledgement of receipt as the record of transfer of licensed 
material as required by parts 30, 40, and 70 of this chapter, and retain 
information from generator manifest until the license is terminated. 
This includes those manifests and documents of acknowledgement of 
receipt required under the standards for protection against radiation in 
effect prior to January 1, 1994; and
    6. For any shipments or any part of a shipment for which 
acknowledgment of receipt is not received within the times set forth in 
this section, conduct an investigation in accordance with section III, E 
of this appendix.
    C. Any licensed waste processor who treats or repackages wastes 
shall:
    1. Acknowledge receipt of the waste from the generator within 1 week 
of receipt by returning a signed copy of the manifest or equivalent 
documentation;
    2. Prepare a new manifest that meets the requirements of sections I 
and II of this appendix. Preparation of the new manifest reflects that 
the processor is responsible for the waste;
    3. Prepare all wastes so that the waste is classified according to 
Sec. 61.55 of this chapter and meets the waste characteristics 
requirements in Sec. 61.56 of this chapter;
    4. Label each package of waste to identify whether it is Class A 
waste, Class B waste, or Class C waste, in accordance with Secs. 61.55 
and 61.57 of this chapter;
    5. Conduct a quality control program to ensure compliance with 
Secs. 61.55 and 61.56 of this chapter. The program shall include 
management evaluation of audits;
    6. Forward a copy of the new manifest to the disposal site operator 
or waste collector at the time of shipment, or deliver to a collector at 
the time the waste is collected, obtaining acknowledgment of receipt in 
the form of a signed copy of the manifest or equivalent documentation by 
the collector;
    7. Include the new manifest with the shipment;
    8. Retain copies of original manifests and new manifests and 
documentation of acknowledgement of receipt as the record of transfer of 
licensed material as required by parts 30, 40, and 70 of this chapter. 
This includes those manifests and documents of acknowledgement of 
receipt required under the standards for protection against radiation in 
effect prior to January 1, 1994; and
    9. For any shipment or part of a shipment for which acknowledgment 
is not received within the times set forth in this section, conduct an 
investigation in accordance with section III. E of this appendix.
    D. The land disposal facility operator shall:
    1. Acknowledge receipt of the waste within 1 week of receipt by 
returning a signed copy of the manifest or equivalent documentation to 
the shipper. The shipper to be notified is the licensee who last 
possessed the waste and transferred the waste to the operator. The 
returned copy of the manifest or equivalent documentation shall indicate 
any discrepancies between materials listed on the manifest and materials 
received;
    2. Maintain copies of all completed manifests or equivalent 
documentation until the license is terminated. This includes those 
manifests or equivalent documents required under the standards for 
protection against radiation in effect prior to January 1, 1994; and
    3. Notify the shipper (i.e., the generator, the collector, or 
processor) and the Administrator of the nearest Commission Regional 
Office listed in appendix D to this part when any shipment or part of a 
shipment has not arrived within 60 days after the advance manifest was 
received.
    E. Any shipment or part of a shipment for which acknowledgment is 
not received within the times set forth in this section must:
    1. Be investigated by the shipper if the shipper has not received 
notification or receipt within 20 days after transfer; and
    2. Be traced and reported. The investigation shall include tracing 
the shipment and filing a report with the nearest Commission Regional 
Office listed in appendix D to this part. Each licensee who conducts a 
trace investigation shall file a written report with the appropriate NRC 
Regional Office within 2 weeks of completion of the investigation.

[56 FR 23468, May 21, 1991, as amended at 57 FR 57879, Dec. 8, 1992. 
Redesignated at 58 FR 67659, Dec. 22, 1993, and amended at 60 FR 20186, 
Apr. 25, 1995]

[[Page 380]]



     Appendix G to Part 20--Requirements for Transfers of Low-Level 
   Radioactive Waste Intended for Disposal at Licensed Land Disposal 
                        Facilities and Manifests

                               I. Manifest

    A waste generator, collector, or processor who transports, or offers 
for transportation, low-level radioactive waste intended for ultimate 
disposal at a licensed low-level radioactive waste land disposal 
facility must prepare a Manifest (OMB Control Numbers 3150-0164, -0165, 
and -0166) reflecting information requested on applicable NRC Forms 540 
(Uniform Low-Level Radioactive Waste Manifest (Shipping Paper)) and 541 
(Uniform Low-Level Radioactive Waste Manifest (Container and Waste 
Description)) and, if necessary, on an applicable NRC Form 542 (Uniform 
Low-Level Radioactive Waste Manifest (Manifest Index and Regional 
Compact Tabulation)). NRC Forms 540 and 540A must be completed and must 
physically accompany the pertinent low-level waste shipment. Upon 
agreement between shipper and consignee, NRC Forms 541 and 541A and 542 
and 542A may be completed, transmitted, and stored in electronic media 
with the capability for producing legible, accurate, and complete 
records on the respective forms. Licensees are not required by NRC to 
comply with the manifesting requirements of this part when they ship:
    (a) LLW for processing and expect its return (i.e., for storage 
under their license) prior to disposal at a licensed land disposal 
facility;
    (b) LLW that is being returned to the licensee who is the ``waste 
generator'' or ``generator,'' as defined in this part; or
    (c) Radioactively contaminated material to a ``waste processor'' 
that becomes the processor's ``residual waste.''
    For guidance in completing these forms, refer to the instructions 
that accompany the forms. Copies of manifests required by this appendix 
may be legible carbon copies, photocopies, or computer printouts that 
reproduce the data in the format of the uniform manifest.
    NRC Forms 540, 540A, 541, 541A, 542 and 542A, and the accompanying 
instructions, in hard copy, may be obtained from the Information and 
Records Management Branch, Office of Information Resources Management, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone 
(301) 415-7232.
    This appendix includes information requirements of the Department of 
Transportation, as codified in 49 CFR part 172. Information on 
hazardous, medical, or other waste, required to meet Environmental 
Protection Agency regulations, as codified in 40 CFR parts 259, 261 or 
elsewhere, is not addressed in this section, and must be provided on the 
required EPA forms. However, the required EPA forms must accompany the 
Uniform Low-Level Radioactive Waste Manifest required by this chapter.
    As used in this appendix, the following definitions apply:
    Chelating agent has the same meaning as that given in Sec. 61.2 of 
this chapter.
    Chemical description means a description of the principal chemical 
characteristics of a low-level radioactive waste.
    Computer-readable medium means that the regulatory agency's computer 
can transfer the information from the medium into its memory.
    Consignee means the designated receiver of the shipment of low-level 
radioactive waste.
    Decontamination facility means a facility operating under a 
Commission or Agreement State license whose principal purpose is 
decontamination of equipment or materials to accomplish recycle, reuse, 
or other waste management objectives, and, for purposes of this part, is 
not considered to be a consignee for LLW shipments.
    Disposal container means a container principally used to confine 
low-level radioactive waste during disposal operations at a land 
disposal facility (also see ``high integrity container''). Note that for 
some shipments, the disposal container may be the transport package.
    EPA identification number means the number received by a transporter 
following application to the Administrator of EPA as required by 40 CFR 
part 263.
    Generator means a licensee operating under a Commission or Agreement 
State license who (1) is a waste generator as defined in this part, or 
(2) is the licensee to whom waste can be attributed within the context 
of the Low-Level Radioactive Waste Policy Amendments Act of 1985 (e.g., 
waste generated as a result of decontamination or recycle activities).
    High integrity container (HIC) means a container commonly designed 
to meet the structural stability requirements of Sec. 61.56 of this 
chapter, and to meet Department of Transportation requirements for a 
Type A package.
    Land disposal facility has the same meaning as that given in 
Sec. 61.2 of this chapter.
    NRC Forms 540, 540A, 541, 541A, 542, and 542A are official NRC Forms 
referenced in this appendix. Licensees need not use originals of these 
NRC Forms as long as any substitute forms are equivalent to the original 
documentation in respect to content, clarity, size, and location of 
information. Upon agreement between the shipper and consignee, NRC Forms 
541 (and 541A) and NRC Forms 542 (and 542A) may be completed, 
transmitted, and stored in electronic media.

[[Page 381]]

The electronic media must have the capability for producing legible, 
accurate, and complete records in the format of the uniform manifest.
    Package means the assembly of components necessary to ensure 
compliance with the packaging requirements of DOT regulations, together 
with its radioactive contents, as presented for transport.
    Physical description means the items called for on NRC Form 541 to 
describe a low-level radioactive waste.
    Residual waste means low-level radioactive waste resulting from 
processing or decontamination activities that cannot be easily separated 
into distinct batches attributable to specific waste generators. This 
waste is attributable to the processor or decontamination facility, as 
applicable.
    Shipper means the licensed entity (i.e., the waste generator, waste 
collector, or waste processor) who offers low-level radioactive waste 
for transportation, typically consigning this type of waste to a 
licensed waste collector, waste processor, or land disposal facility 
operator.
    Shipping paper means NRC Form 540 and, if required, NRC Form 540A 
which includes the information required by DOT in 49 CFR part 172.
    Source material has the same meaning as that given in Sec. 40.4 of 
this chapter.
    Special nuclear material has the same meaning as that given in 
Sec. 70.4 of this chapter.
    Uniform Low-Level Radioactive Waste Manifest or uniform manifest 
means the combination of NRC Forms 540, 541, and, if necessary, 542, and 
their respective continuation sheets as needed, or equivalent.
    Waste collector means an entity, operating under a Commission or 
Agreement State license, whose principal purpose is to collect and 
consolidate waste generated by others, and to transfer this waste, 
without processing or repackaging the collected waste, to another 
licensed waste collector, licensed waste processor, or licensed land 
disposal facility.
    Waste description means the physical, chemical and radiological 
description of a low-level radioactive waste as called for on NRC Form 
541.
    Waste generator means an entity, operating under a Commission or 
Agreement State license, who (1) possesses any material or component 
that contains radioactivity or is radioactively contaminated for which 
the licensee foresees no further use, and (2) transfers this material or 
component to a licensed land disposal facility or to a licensed waste 
collector or processor for handling or treatment prior to disposal. A 
licensee performing processing or decontamination services may be a 
``waste generator'' if the transfer of low-level radioactive waste from 
its facility is defined as ``residual waste.''
    Waste processor means an entity, operating under a Commission or 
Agreement State license, whose principal purpose is to process, 
repackage, or otherwise treat low-level radioactive material or waste 
generated by others prior to eventual transfer of waste to a licensed 
low-level radioactive waste land disposal facility.
    Waste type means a waste within a disposal container having a unique 
physical description (i.e., a specific waste descriptor code or 
description; or a waste sorbed on or solidified in a specifically 
defined media).

                        Information Requirements

                         A. General Information

    The shipper of the radioactive waste, shall provide the following 
information on the uniform manifest:
    1. The name, facility address, and telephone number of the licensee 
shipping the waste;
    2. An explicit declaration indicating whether the shipper is acting 
as a waste generator, collector, processor, or a combination of these 
identifiers for purposes of the manifested shipment; and
    3. The name, address, and telephone number, or the name and EPA 
identification number for the carrier transporting the waste.

                         B. Shipment Information

    The shipper of the radioactive waste shall provide the following 
information regarding the waste shipment on the uniform manifest:
    1. The date of the waste shipment;
    2. The total number of packages/disposal containers;
    3. The total disposal volume and disposal weight in the shipment;
    4. The total radionuclide activity in the shipment;
    5. The activity of each of the radionuclides H-3, C-14, Tc-99, and 
I-129 contained in the shipment; and
    6. The total masses of U-233, U-235, and plutonium in special 
nuclear material, and the total mass of uranium and thorium in source 
material.

               C. Disposal Container and Waste Information

    The shipper of the radioactive waste shall provide the following 
information on the uniform manifest regarding the waste and each 
disposal container of waste in the shipment:
    1. An alphabetic or numeric identification that uniquely identifies 
each disposal container in the shipment;
    2. A physical description of the disposal container, including the 
manufacturer and model of any high integrity container;
    3. The volume displaced by the disposal container;

[[Page 382]]

    4. The gross weight of the disposal container, including the waste;
    5. For waste consigned to a disposal facility, the maximum radiation 
level at the surface of each disposal container;
    6. A physical and chemical description of the waste;
    7. The total weight percentage of chelating agent for any waste 
containing more than 0.1% chelating agent by weight, plus the identity 
of the principal chelating agent;
    8. The approximate volume of waste within a container;
    9. The sorbing or solidification media, if any, and the identity of 
the solidification media vendor and brand name;
    10. The identities and activities of individual radionuclides 
contained in each container, the masses of U-233, U-235, and plutonium 
in special nuclear material, and the masses of uranium and thorium in 
source material. For discrete waste types (i.e., activated materials, 
contaminated equipment, mechanical filters, sealed source/devices, and 
wastes in solidification/stabilization media), the identities and 
activities of individual radionuclides associated with or contained on 
these waste types within a disposal container shall be reported;
    11. The total radioactivity within each container; and
    12. For wastes consigned to a disposal facility, the classification 
of the waste pursuant to Sec. 61.55 of this chapter. Waste not meeting 
the structural stability requirements of Sec. 61.56(b) of this chapter 
must be identified.

                  D. Uncontainerized Waste Information

    The shipper of the radioactive waste shall provide the following 
information on the uniform manifest regarding a waste shipment delivered 
without a disposal container:
    1. The approximate volume and weight of the waste;
    2. A physical and chemical description of the waste;
    3. The total weight percentage of chelating agent if the chelating 
agent exceeds 0.1% by weight, plus the identity of the principal 
chelating agent;
    4. For waste consigned to a disposal facility, the classification of 
the waste pursuant to Sec. 61.55 of this chapter. Waste not meeting the 
structural stability requirements of Sec. 61.56(b) of this chapter must 
be identified;
    5. The identities and activities of individual radionuclides 
contained in the waste, the masses of U-233, U-235, and plutonium in 
special nuclear material, and the masses of uranium and thorium in 
source material; and
    6. For wastes consigned to a disposal facility, the maximum 
radiation levels at the surface of the waste.

            E. Multi-Generator Disposal Container Information

    This section applies to disposal containers enclosing mixtures of 
waste originating from different generators. (Note: The origin of the 
LLW resulting from a processor's activities may be attributable to one 
or more ``generators'' (including ``waste generators'') as defined in 
this part). It also applies to mixtures of wastes shipped in an 
uncontainerized form, for which portions of the mixture within the 
shipment originate from different generators.
    1. For homogeneous mixtures of waste, such as incinerator ash, 
provide the waste description applicable to the mixture and the volume 
of the waste attributed to each generator.
    2. For heterogeneous mixtures of waste, such as the combined 
products from a large compactor, identify each generator contributing 
waste to the disposal container, and, for discrete waste types (i.e., 
activated materials, contaminated equipment, mechanical filters, sealed 
source/devices, and wastes in solidification/stabilization media), the 
identities and activities of individual radionuclides contained on these 
waste types within the disposal container. For each generator, provide 
the following:
    (a) The volume of waste within the disposal container;
    (b) A physical and chemical description of the waste, including the 
solidification agent, if any;
    (c) The total weight percentage of chelating agents for any disposal 
container containing more than 0.1% chelating agent by weight, plus the 
identity of the principal chelating agent;
    (d) The sorbing or solidification media, if any, and the identity of 
the solidification media vendor and brand name if the media is claimed 
to meet stability requirements in 10 CFR 61.56(b); and
    (e) Radionuclide identities and activities contained in the waste, 
the masses of U-233, U-235, and plutonium in special nuclear material, 
and the masses of uranium and thorium in source material if contained in 
the waste.

                            II. Certification

    An authorized representative of the waste generator, processor, or 
collector shall certify by signing and dating the shipment manifest that 
the transported materials are properly classified, described, packaged, 
marked, and labeled and are in proper condition for transportation 
according to the applicable regulations of the Department of 
Transportation and the Commission. A collector in signing the 
certification is certifying that nothing has been done to the collected 
waste which would invalidate the waste generator's certification.

[[Page 383]]

                        III. Control and Tracking

    A. Any licensee who transfers radioactive waste to a land disposal 
facility or a licensed waste collector shall comply with the 
requirements in paragraphs A.1 through 9 of this section. Any licensee 
who transfers waste to a licensed waste processor for waste treatment or 
repackaging shall comply with the requirements of paragraphs A.4 through 
9 of this section. A licensee shall:
    1. Prepare all wastes so that the waste is classified according to 
Sec. 61.55 and meets the waste characteristics requirements in 
Sec. 61.56 of this chapter;
    2. Label each disposal container (or transport package if potential 
radiation hazards preclude labeling of the individual disposal 
container) of waste to identify whether it is Class A waste, Class B 
waste, Class C waste, or greater then Class C waste, in accordance with 
Sec. 61.55 of this chapter;
    3. Conduct a quality assurance program to assure compliance with 
Secs. 61.55 and 61.56 of this chapter (the program must include 
management evaluation of audits);
    4. Prepare the NRC Uniform Low-Level Radioactive Waste Manifest as 
required by this appendix;
    5. Forward a copy or electronically transfer the Uniform Low-Level 
Radioactive Waste Manifest to the intended consignee so that either (i) 
receipt of the manifest precedes the LLW shipment or (ii) the manifest 
is delivered to the consignee with the waste at the time the waste is 
transferred to the consignee. Using both (i) and (ii) is also 
acceptable;
    6. Include NRC Form 540 (and NRC Form 540A, if required) with the 
shipment regardless of the option chosen in paragraph A.5 of this 
section;
    7. Receive acknowledgement of the receipt of the shipment in the 
form of a signed copy of NRC Form 540;
    8. Retain a copy of or electronically store the Uniform Low-Level 
Radioactive Waste Manifest and documentation of acknowledgement of 
receipt as the record of transfer of licensed material as required by 10 
CFR Parts 30, 40, and 70 of this chapter; and
    9. For any shipments or any part of a shipment for which 
acknowledgement of receipt has not been received within the times set 
forth in this appendix, conduct an investigation in accordance with 
paragraph E of this appendix.
    B. Any waste collector licensee who handles only prepackaged waste 
shall:
    1. Acknowledge receipt of the waste from the shipper within one week 
of receipt by returning a signed copy of NRC Form 540;
    2. Prepare a new manifest to reflect consolidated shipments that 
meet the requirements of this appendix. The waste collector shall ensure 
that, for each container of waste in the shipment, the manifest 
identifies the generator of that container of waste;
    3. Forward a copy or electronically transfer the Uniform Low-Level 
Radioactive Waste Manifest to the intended consignee so that either: (i) 
Receipt of the manifest precedes the LLW shipment or (ii) the manifest 
is delivered to the consignee with the waste at the time the waste is 
transferred to the consignee. Using both (i) and (ii) is also 
acceptable;
    4. Include NRC Form 540 (and NRC Form 540A, if required) with the 
shipment regardless of the option chosen in paragraph B.3 of this 
section;
    5. Receive acknowledgement of the receipt of the shipment in the 
form of a signed copy of NRC Form 540;
    6. Retain a copy of or electronically store the Uniform Low-Level 
Radioactive Waste Manifest and documentation of acknowledgement of 
receipt as the record of transfer of licensed material as required by 10 
CFR parts 30, 40, and 70 of this chapter;
    7. For any shipments or any part of a shipment for which 
acknowledgement of receipt has not been received within the times set 
forth in this appendix, conduct an investigation in accordance with 
paragraph E of this appendix; and
    8. Notify the shipper and the Administrator of the nearest 
Commission Regional Office listed in appendix D of this part when any 
shipment, or part of a shipment, has not arrived within 60 days after 
receipt of an advance manifest, unless notified by the shipper that the 
shipment has been cancelled.
    C. Any licensed waste processor who treats or repackages waste 
shall:
    1. Acknowledge receipt of the waste from the shipper within one week 
of receipt by returning a signed copy of NRC Form 540;
    2. Prepare a new manifest that meets the requirements of this 
appendix. Preparation of the new manifest reflects that the processor is 
responsible for meeting these requirements. For each container of waste 
in the shipment, the manifest shall identify the waste generators, the 
preprocessed waste volume, and the other information as required in 
paragraph I.E. of this appendix;
    3. Prepare all wastes so that the waste is classified according to 
Sec. 61.55 of this chapter and meets the waste characteristics 
requirements in Sec. 61.56 of this chapter;
    4. Label each package of waste to identify whether it is Class A 
waste, Class B waste, or Class C waste, in accordance with Secs. 61.55 
and 61.57 of this chapter;
    5. Conduct a quality assurance program to assure compliance with 
Secs. 61.55 and 61.56 of this chapter (the program shall include 
management evaluation of audits);
    6. Forward a copy or electronically transfer the Uniform Low-Level 
Radioactive Waste Manifest to the intended consignee so

[[Page 384]]

that either: (i) Receipt of the manifest precedes the LLW shipment or 
(ii) the manifest is delivered to the consignee with the waste at the 
time the waste is transferred to the consignee. Using both (i) and (ii) 
is also acceptable;
    7. Include NRC Form 540 (and NRC Form 540A, if required) with the 
shipment regardless of the option chosen in paragraph C.6 of this 
section;
    8. Receive acknowledgement of the receipt of the shipment in the 
form of a signed copy of NRC Form 540;
    9. Retain a copy of or electronically store the Uniform Low-Level 
Radioactive Waste Manifest and documentation of acknowledgement of 
receipt as the record of transfer of licensed material as required by 10 
CFR parts 30, 40, and 70 of this chapter;
    10. For any shipment or any part of a shipment for which 
acknowledgement of receipt has not been received within the times set 
forth in this appendix, conduct an investigation in accordance with 
paragraph E of this appendix; and
    11. Notify the shipper and the Administrator of the nearest 
Commission Regional Office listed in appendix D of this part when any 
shipment, or part of a shipment, has not arrived within 60 days after 
receipt of an advance manifest, unless notified by the shipper that the 
shipment has been cancelled.
    D. The land disposal facility operator shall:
    1. Acknowledge receipt of the waste within one week of receipt by 
returning, as a minimum, a signed copy of NRC Form 540 to the shipper. 
The shipper to be notified is the licensee who last possessed the waste 
and transferred the waste to the operator. If any discrepancy exists 
between materials listed on the Uniform Low-Level Radioactive Waste 
Manifest and materials received, copies or electronic transfer of the 
affected forms must be returned indicating the discrepancy;
    2. Maintain copies of all completed manifests and electronically 
store the information required by 10 CFR 61.80(l) until the Commission 
terminates the license; and
    3. Notify the shipper and the Administrator of the nearest 
Commission Regional Office listed in appendix D of this part when any 
shipment, or part of a shipment, has not arrived within 60 days after 
receipt of an advance manifest, unless notified by the shipper that the 
shipment has been cancelled.
    E. Any shipment or part of a shipment for which acknowledgement is 
not received within the times set forth in this section must:
    1. Be investigated by the shipper if the shipper has not received 
notification or receipt within 20 days after transfer; and
    2. Be traced and reported. The investigation shall include tracing 
the shipment and filing a report with the nearest Commission Regional 
Office listed in Appendix D to this part. Each licensee who conducts a 
trace investigation shall file a written report with the appropriate NRC 
Regional Office within 2 weeks of completion of the investigation.

[60 FR 15664, Mar. 27, 1995, as amended at 60 FR 25983, May 16, 1995]

    Effective Date Note: At 60 FR 15664, Mar. 27, 1995, appendix G to 
part 20 was added, effective March 1, 1998, and at 60 FR 25983, May 16, 
1995, III E. was added to appendix G, effective March 1, 1998.



PART 21--REPORTING OF DEFECTS AND NONCOMPLIANCE--Table of Contents




                           General Provisions

Sec.
21.1  Purpose.
21.2  Scope.
21.3  Definitions.
21.4  Interpretations.
21.5  Communications.
21.6  Posting requirements.
21.7  Exemptions.
21.8  Information collection requirements: OMB approval.

                              Notification

21.21  Notification of failure to comply or existence of a defect and 
          its evaluation.

                          Procurement Documents

21.31  Procurement documents.

                          Inspections, Records

21.41  Inspections.
21.51  Maintenance and inspection of records.

                               Enforcement

21.61  Failure to notify.
21.62  Criminal penalties.

    Authority: Sec. 161, 68 Stat. 948, as amended, sec. 234, 83 Stat. 
444, as amended, sec. 1701, 106 Stat. 2951, 2953 (42 U.S.C. 2201, 2282, 
2297f); secs. 201, as amended, 206, 88 Stat. 1242, as amended, 1246 (42 
U.S.C. 5841, 5846).

    Section 21.2 also issued under secs. 135, 141, Pub. L. 97-425, 96 
Stat. 2232, 2241 (42 U.S.C. 10155, 10161).

    Source: 42 FR 28893, June 6, 1977, unless otherwise noted.

                           General Provisions



Sec. 21.1  Purpose.

    The regulations in this part establish procedures and requirements 
for implementation of section 206 of the Energy

[[Page 385]]

Reorganization Act of 1974. That section requires any individual 
director or responsible officer of a firm constructing, owning, 
operating or supplying the components of any facility or activity which 
is licensed or otherwise regulated pursuant to the Atomic Energy Act of 
1954, as amended, or the Energy Reorganization Act of 1974, who obtains 
information reasonably indicating: (a) That the facility, activity or 
basic component supplied to such facility or activity fails to comply 
with the Atomic Energy Act of 1954, as amended, or any applicable rule, 
regulation, order, or license of the Commission relating to substantial 
safety hazards or (b) that the facility, activity, or basic component 
supplied to such facility or activity contains defects, which could 
create a substantial safety hazard, to immediately notify the Commission 
of such failure to comply or such defect, unless he has actual knowledge 
that the Commission has been adequately informed of such defect or 
failure to comply.



Sec. 21.2  Scope.

    (a) The regulations in this part apply, except as specifically 
provided otherwise in parts 31, 34, 35, 39, 40, 60, 61, 70, or part 72 
of this chapter, to each individual, partnership, corporation, or other 
entity licensed pursuant to the regulations in this chapter to possess, 
use, or transfer within the United States source material, byproduct 
material, special nuclear material, and/or spent fuel and high level 
radioactive waste, or to construct, manufacture, possess, own, operate 
or transfer within the United States, any production or utilization 
facility or independent spent fuel storage installation (ISFSI) or 
monitored retrievable storage installation (MRS); and to each director 
and responsible officer of such a licensee. The regulations in this part 
apply also to each individual, corporation, partnership or other entity 
doing business within the United States, and each director and 
responsible officer of such organization, that constructs a production 
or utilization facility licensed for manufacture, construction, or 
operation pursuant to part 50 of this chapter, an ISFSI for the storage 
of spent fuel licensed pursuant to part 72 of this chapter, a MRS for 
the storage of spent fuel or high level radioactive waste pursuant to 
part 72 of this chapter, or a geologic repository for the disposal of 
high-level radioactive waste under part 60 of this chapter; or supplies 
basic components for a facility or activity licensed, other than for 
export, under parts 30, 40, 50, 60, 61, 70, 71, or part 72 of this 
chapter.
    (b) For persons licensed to construct a facility under a 
construction permit issued under Sec. 50.23 of this chapter, evaluation 
of potential defects and failures to comply and reporting of defects and 
failures to comply under Sec. 50.55(e) of this chapter satisfies each 
person's evaluation, notification, and reporting obligation to report 
defects and failures to comply under this part and the responsibility of 
individual directors and responsible officers of such licensees to 
report defects under section 206 of the Energy Reorganization Act of 
1974.
    (c) For persons licensed to operate a nuclear power plant under part 
50 of this chapter, evaluation of potential defects and appropriate 
reporting of defects under Secs. 50.72, 50.73 or Sec. 73.71 of this 
chapter satisfies each person's evaluation, notification, and reporting 
obligation to report defects under this part and the responsibility of 
individual directors and responsible officers of such licensees to 
report defects under section 206 of the Energy Reorganization Act of 
1974.
    (d) Nothing in these regulations should be deemed to preclude either 
an individual, a manufacturer, or a supplier of a commercial grade item 
(as defined in Sec. 21.3) not subject to the regulations in this part 
from reporting to the Commission, a known or suspected defect or failure 
to comply and, as authorized by law, the identity of anyone so reporting 
will be withheld from disclosure. NRC regional offices and headquarters 
will accept collect telephone calls from individuals who wish to speak 
to NRC representatives concerning nuclear safety-related problems. The 
location and telephone numbers of the four regions (answered during 
regular working hours), are listed in appendix D to part 20 of this 
chapter. The telephone number of the NRC Operations Center (answered 24 
hours a

[[Page 386]]

day--including holidays) is (301) 816-5100.
    (e) The regulations in this part apply in accordance with 10 CFR 
76.60 to each individual, partnership, corporation, or other entity 
required to obtain a certificate of compliance or an approved compliance 
plan under part 76 of this chapter.

[56 FR 36089, July 31, 1991, as amended at 59 FR 14086, Mar. 25, 1994; 
59 FR 48959, Sept. 23, 1994; 60 FR 48373, Sept. 19, 1995]



Sec. 21.3  Definitions.

    As used in this part:
    Basic component. (1)(i) When applied to nuclear power plants 
licensed pursuant to 10 CFR Part 50 of this chapter, basic component 
means a structure, system, or component, or part thereof that affects 
its safety function necessary to assure:
    (A) The integrity of the reactor coolant pressure boundary;
    (B) The capability to shut down the reactor and maintain it in a 
safe shutdown condition; or
    (C) The capability to prevent or mitigate the consequences of 
accidents which could result in potential offsite exposures comparable 
to those referred to in Sec. 50.34(a)(1) or Sec. 100.11 of this chapter, 
as applicable.
    (ii) Basic components are items designed and manufactured under a 
quality assurance program complying with 10 CFR Part 50, appendix B, or 
commercial grade items which have successfully completed the dedication 
process.
    (2) When applied to other facilities and when applied to other 
activities licensed pursuant to 10 CFR Parts 30, 40, 50 (other than 
nuclear power plants), 60, 61, 70, 71, or 72 of this chapter, basic 
component means a structure, system, or component, or part thereof that 
affects their safety function, that is directly procured by the licensee 
of a facility or activity subject to the regulations in this part and in 
which a defect or failure to comply with any applicable regulation in 
this chapter, order, or license issued by the Commission could create a 
substantial safety hazard.
    (3) In all cases, basic component includes safety-related design, 
analysis, inspection, testing, fabrication, replacement of parts, or 
consulting services that are associated with the component hardware 
whether these services are performed by the component supplier or 
others.
    Commercial grade item. (1) When applied to nuclear power plants 
licensed pursuant to 10 CFR Part 50, commercial grade item means a 
structure, system, or component, or part thereof that affects its safety 
function, that was not designed and manufactured as a basic component. 
Commercial grade items do not include items where the design and 
manufacturing process require in-process inspections and verifications 
to ensure that defects or failures to comply are identified and 
corrected (i.e., one or more critical characteristics of the item cannot 
be verified).
    (2) When applied to facilities and activities licensed pursuant to 
10 CFR Parts 30, 40, 50 (other than nuclear power plants), 60, 61, 70, 
71, or 72, commercial grade item means an item that is:
    (i) Not subject to design or specification requirements that are 
unique to those facilities or activities;
    (ii) Used in applications other than those facilities or activities; 
and
    (iii) To be ordered from the manufacturer/supplier on the basis of 
specifications set forth in the manufacturer's published product 
description (for example, a catalog).
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Constructing or construction means the analysis, design, 
manufacture, fabrication, placement, erection, installation, 
modification, inspection, or testing of a facility or activity which is 
subject to the regulations in this part and consulting services related 
to the facility or activity that are safety related.
    Critical characteristics. When applied to nuclear power plants 
licensed pursuant to 10 CFR Part 50, critical characteristics are those 
important design, material, and performance characteristics of a 
commercial grade item that, once verified, will provide reasonable 
assurance that the item will perform its intended safety function.
    Dedicating entity. When applied to nuclear power plants licensed 
pursuant to 10 CFR Part 50, dedicating entity

[[Page 387]]

means the organization that performs the dedication process. Dedication 
may be performed by the manufacturer of the item, a third-party 
dedicating entity, or the licensee itself. The dedicating entity, 
pursuant to Sec. 21.21(c) of this part, is responsible for identifying 
and evaluating deviations, reporting defects and failures to comply for 
the dedicated item, and maintaining auditable records of the dedication 
process.
    Dedication. (1) When applied to nuclear power plants licensed 
pursuant to 10 CFR Part 50, dedication is an acceptance process 
undertaken to provide reasonable assurance that a commercial grade item 
to be used as a basic component will perform its intended safety 
function and, in this respect, is deemed equivalent to an item designed 
and manufactured under a 10 CFR Part 50, appendix B, quality assurance 
program. This assurance is achieved by identifying the critical 
characteristics of the item and verifying their acceptability by 
inspections, tests, or analyses performed by the purchaser or third-
party dedicating entity after delivery, supplemented as necessary by one 
or more of the following: commercial grade surveys; product inspections 
or witness at holdpoints at the manufacturer's facility, and analysis of 
historical records for acceptable performance. In all cases, the 
dedication process must be conducted in accordance with the applicable 
provisions of 10 CFR Part 50, appendix B. The process is considered 
complete when the item is designated for use as a basic component.
    (2) When applied to facilities and activities licensed pursuant to 
10 CFR Parts 30, 40, 50 (other than nuclear power plants), 60, 61, 70, 
71, or 72, dedication occurs after receipt when that item is designated 
for use as a basic component.
    Defect means:
    (1) A deviation in a basic component delivered to a purchaser for 
use in a facility or an activity subject to the regulations in this part 
if, on the basis of an evaluation, the deviation could create a 
substantial safety hazard; or
    (2) The installation, use, or operation of a basic component 
containing a defect as defined in this section; or
    (3) A deviation in a portion of a facility subject to the 
construction permit or manufacturing licensing requirements of part 50 
of this chapter provided the deviation could, on the basis of an 
evaluation, create a substantial safety hazard and the portion of the 
facility containing the deviation has been offered to the purchaser for 
acceptance; or
    (4) A condition or circumstance involving a basic component that 
could contribute to the exceeding of a safety limit, as defined in the 
technical specifications of a license for operation issued pursuant to 
part 50 of this chapter.
    Deviation means a departure from the technical requirements included 
in a procurement document.
    Director means an individual, appointed or elected according to law, 
who is authorized to manage and direct the affairs of a corporation, 
partnership or other entity. In the case of an individual 
proprietorship, director means the individual.
    Discovery means the completion of the documentation first 
identifying the existence of a deviation or failure to comply 
potentially associated with a substantial safety hazard within the 
evaluation procedures discussed in Sec. 21.21. (a).
    Evaluation means the process of determining whether a particular 
deviation could create a substantial hazard or determining whether a 
failure to comply is associated with a substantial safety hazard.
    Notification means the telephonic communication to the NRC 
Operations Center or written transmittal of information to the NRC 
Document Control Desk.
    Operating or operation means the operation of a facility or the 
conduct of a licensed activity which is subject to the regulations in 
this part and consulting services related to operations that are safety 
related.
    Procurement document means a contract that defines the requirements 
which facilities or basic components must meet in order to be considered 
acceptable by the purchaser.
    Responsible officer means the president, vice-president or other 
individual in the organization of a corporation,

[[Page 388]]

partnership, or other entity who is vested with executive authority over 
activities subject to this part.
    Substantial safety hazard means a loss of safety function to the 
extent that there is a major reduction in the degree of protection 
provided to public health and safety for any facility or activity 
licensed, other than for export, pursuant to parts 30, 40, 50, 60, 61, 
70, 71, or 72 of this chapter.
    Supplying or supplies means contractually responsible for a basic 
component used or to be used in a facility or activity which is subject 
to the regulations in this part.

[42 FR 28893, June 6, 1977; 42 FR 36803, July 18, 1977, as amended at 43 
FR 48622, Oct. 19, 1978; 46 FR 58283, Dec. 1, 1981; 47 FR 57480, Dec. 
27, 1982; 56 FR 36089, July 31, 1991; 59 FR 5519, Feb. 7, 1994; 60 FR 
48373, Sept. 19, 1995; 61 FR 65171, Dec. 11, 1996]

Effective Date Note: At 61 FR 65171, December 11, 1996, Sec. 21.3 was 
amended by revising paragraph (1)(i)(C) in the definition for Basic 
component, effective Jan. 10, 1997. For the convenience of the user, the 
superseded text is set forth as follows:
Sec. 21.3  Definitions.

                                * * * * *

    Basic component. (1)(i) * * *

                                * * * * *

    (C) The capability to prevent or mitigate the consequences of 
accidents which could result in potential offsite exposures comparable 
to those referred to in Sec. 100.11 of this chapter.

                                * * * * *



Sec. 21.4  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 21.5  Communications.

    Except where otherwise specified in this part, all written 
communications and reports concerning the regulations in this part must 
be addressed to the Document Control Desk, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555. In the case of a licensee, a copy must 
also be sent to the appropriate Regional Administrator at the address 
specified in appendix D to part 20 of this chapter.

[56 FR 36089, July 31, 1991]



Sec. 21.6  Posting requirements.

    (a)(1) Each individual, partnership, corporation, dedicating entity, 
or other entity subject to the regulations in this part shall post 
current copies of--
    (i) The regulations in this part;
    (ii) Section 206 of the Energy Reorganization Act of 1974; and
    (iii) Procedures adopted pursuant to the regulations in this part.
    (2) These documents must be posted in a conspicuous position on any 
premises within the United States where the activities subject to this 
part are conducted.
    (b) If posting of the regulations in this part or the procedures 
adopted pursuant to the regulations in this part is not practicable, the 
licensee or firm subject to the regulations in this part may, in 
addition to posting section 206, post a notice which describes the 
regulations/procedures, including the name of the individual to whom 
reports may be made, and states where they may be examined.
    (c) The effective date of this section has been deferred until 
January 6, 1978.

[42 FR 28893, June 6, 1977, as amended at 60 FR 48374, Sept. 19, 1995]



Sec. 21.7  Exemptions.

    The Commission may, upon application of any interested person or 
upon its own initiative, grant such exemptions from the requirements of 
the regulations in this part as it determines are authorized by law and 
will not endanger life or property or the common defense and security 
and are otherwise in the public interest. Suppliers of commercial grade 
items are exempt from the provisions of this part to the extent that 
they supply commercial grade items.

[42 FR 28893, June 6, 1977, as amended at 43 FR 48622, Oct. 19, 1978]

[[Page 389]]



Sec. 21.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0035.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 21.21 and 21.51.

[49 FR 19624, May 9, 1984]

                              Notification



Sec. 21.21   Notification of failure to comply or existence of a defect and its evaluation.

    (a) Each individual, corporation, partnership, dedicating entity, or 
other entity subject to the regulations in this part shall adopt 
appropriate procedures to--
    (1) Evaluate deviations and failures to comply to identify defects 
and failures to comply associated with substantial safety hazards as 
soon as practicable, and, except as provided in paragraph (a)(2) of this 
section, in all cases within 60 days of discovery, in order to identify 
a reportable defect or failure to comply that could create a substantial 
safety hazard, were it to remain uncorrected, and
    (2) Ensure that if an evaluation of an identified deviation or 
failure to comply potentially associated with a substantial safety 
hazard cannot be completed within 60 days from discovery of the 
deviation or failure to comply, an interim report is prepared and 
submitted to the Commission through a director or responsible officer or 
designated person as discussed in Sec. 21.21(c)(5). The interim report 
should describe the deviation or failure to comply that is being 
evaluated and should also state when the evaluation will be completed. 
This interim report must be submitted in writing within 60 days of 
discovery of the deviation or failure to comply.
    (3) Ensure that a director or responsible officer subject to the 
regulations of this part is informed as soon as practicable, and, in all 
cases, within the 5 working days after completion of the evaluation 
described in Sec. 21.21(a)(1) or Sec. 21.21(a)(2) if the construction or 
operation of a facility or activity, or a basic component supplied for 
such facility or activity--
    (i) Fails to comply with the Atomic Energy Act of 1954, as amended, 
or any applicable rule, regulation, order, or license of the Commission 
relating to a substantial safety hazard, or
    (ii) Contains a defect.
    (b) If the deviation or failure to comply is discovered by a 
supplier of basic components, or services associated with basic 
components, and the supplier determines that it does not have the 
capability to perform the evaluation to determine if a defect exists, 
then the supplier must inform the purchasers or affected licensees 
within five working days of this determination so that the purchasers or 
affected licensees may evaluate the deviation or failure to comply, 
pursuant to Sec. 21.21(a).
    (c) A dedicating entity is responsible for--
    (1) Identifying and evaluating deviations and reporting defects and 
failures to comply associated with substantial safety hazards for 
dedicated items; and
    (2) Maintaining auditable records for the dedication process.
    (d)(1) A director or responsible officer subject to the regulations 
of this part or a person designated under Sec. 21.21(c)(5) must notify 
the Commission when he or she obtains information reasonably indicating 
a failure to comply or a defect affecting--
    (i) The construction or operation of a facility or an activity 
within the United States that is subject to the licensing requirements 
under parts 30, 40, 50, 60, 61, 70, 71, or 72 of this chapter and that 
is within his or her organization's responsibility; or
    (ii) A basic component that is within his or her organization's 
responsibility and is supplied for a facility or an activity within the 
United States that is subject to the licensing requirements under parts 
30, 40, 50, 60, 61, 70, 71, or 72 of this chapter.
    (2) The notification to NRC of a failure to comply or of a defect 
under paragraph (c)(1) of this section and the

[[Page 390]]

evaluation of a failure to comply or a defect under paragraphs (a)(1) 
and (a)(2) of this section, are not required if the director or 
responsible officer has actual knowledge that the Commission has been 
notified in writing of the defect or the failure to comply.
    (3) Notification required by paragraph (c)(1) of this section must 
be made as follows--
    (i) Initial notification by facsimile, which is the preferred method 
of notification, to the NRC Operations Center at (301) 816-5151 or by 
telephone at (301) 816-5100 within two days following receipt of 
information by the director or responsible corporate officer under 
paragraph (a)(1) of this section, on the identification of a defect or a 
failure to comply. Verification that the facsimile has been received 
should be made by calling the NRC Operations Center. This paragraph does 
not apply to interim reports described in Sec. 21.21(a)(2).
    (ii) Written notification to the NRC at the address specified in 
Sec. 21.5 within 30 days following receipt of information by the 
director or responsible corporate officer under paragraph (a)(3) of this 
section, on the identification of a defect or a failure to comply.
    (4) The written report required by this paragraph shall include, but 
need not be limited to, the following information, to the extent known:
    (i) Name and address of the individual or individuals informing the 
Commission.
    (ii) Identification of the facility, the activity, or the basic 
component supplied for such facility or such activity within the United 
States which fails to comply or contains a defect.
    (iii) Identification of the firm constructing the facility or 
supplying the basic component which fails to comply or contains a 
defect.
    (iv) Nature of the defect or failure to comply and the safety hazard 
which is created or could be created by such defect or failure to 
comply.
    (v) The date on which the information of such defect or failure to 
comply was obtained.
    (vi) In the case of a basic component which contains a defect or 
fails to comply, the number and location of all such components in use 
at, supplied for, or being supplied for one or more facilities or 
activities subject to the regulations in this part.
    (vii) The corrective action which has been, is being, or will be 
taken; the name of the individual or organization responsible for the 
action; and the length of time that has been or will be taken to 
complete the action.
    (viii) Any advice related to the defect or failure to comply about 
the facility, activity, or basic component that has been, is being, or 
will be given to purchasers or licensees.
    (5) The director or responsible officer may authorize an individual 
to provide the notification required by this paragraph, provided that, 
this shall not relieve the director or responsible officer of his or her 
responsibility under this paragraph.
    (e) Individuals subject to this part may be required by the 
Commission to supply additional information related to a defect or 
failure to comply. Commission action to obtain additional information 
may be based on reports of defects from other reporting entities.

[42 FR 28893, June 6, 1977, as amended at 46 FR 58283, Dec. 1, 1981; 47 
FR 57480, Dec. 27, 1982; 52 FR 31611, Aug. 21, 1987; 56 FR 36089, July 
31, 1991; 59 FR 14086, Mar. 25, 1994; 60 FR 48374, Sept. 19, 1995]

                          Procurement Documents



Sec. 21.31  Procurement documents.

    Each individual, corporation, partnership, dedicating entity, or 
other entity subject to the regulations in this part shall ensure that 
each procurement document for a facility, or a basic component issued by 
him, her or it on or after January 6, 1978, specifies, when applicable, 
that the provisions of 10 CFR Part 21 apply.

[60 FR 48374, Sept. 19, 1995]

                          Inspections, Records



Sec. 21.41  Inspections.

    Each individual, corporation, partnership, dedicating entity, or 
other entity subject to the regulations in this part shall permit the 
Commission to inspect records, premises, activities, and basic 
components as necessary to accomplish the purposes of this part.

[60 FR 48374, Sept. 19, 1995]

[[Page 391]]



Sec. 21.51  Maintenance and inspection of records.

    (a) Each individual, corporation, partnership, dedicating entity, or 
other entity subject to the regulations in this part shall prepare and 
maintain records necessary to accomplish the purposes of this part, 
specifically--
    (1) Retain evaluations of all deviations and failures to comply for 
a minimum of five years after the date of the evaluation;
    (2) Suppliers of basic components must retain any notifications sent 
to purchasers and affected licensees for a minimum of five years after 
the date of the notification.
    (3) Suppliers of basic components must retain a record of the 
purchasers of basic components for 10 years after delivery of the basic 
component or service associated with a basic component.
    (b) Each individual, corporation, partnership, dedicating entity, or 
other entity subject to the regulations in this part shall permit the 
Commission the opportunity to inspect records pertaining to basic 
components that relate to the identification and evaluation of 
deviations, and the reporting of defects and failures to comply, 
including any advice given to purchasers or licensees on the placement, 
erection, installation, operation, maintenance, modification, or 
inspection of a basic component.

[56 FR 36090, July 31, 1991, as amended at 60 FR 48374, Sept. 19, 1995]

                               Enforcement



Sec. 21.61  Failure to notify.

    (a) Any director or responsible officer of an entity (including 
dedicating entity) that is not otherwise subject to the deliberate 
misconduct provisions of this chapter but is subject to the regulations 
in this part who knowingly and consciously fails to provide the notice 
required as by Sec. 21.21 shall be subject to a civil penalty equal to 
the amount provided by section 234 of the Atomic Energy Act of 1954, as 
amended.
    (b) Any NRC licensee subject to the regulations in this part who 
fails to provide the notice required by Sec. 21.21 or otherwise fails to 
comply with the applicable requirements of this part shall be subject to 
a civil penalty as provided by section 234 of the Atomic Energy Act of 
1954, as amended.
    (c) The dedicating entity, pursuant to Sec. 21.21(c) of this part, 
is responsible for identifying and evaluating deviations, reporting 
defects and failures to comply for the dedicated item, and maintaining 
auditable records of the dedication process. NRC enforcement action can 
be taken for failure to identify and evaluate deviations, failure to 
report defects and failures to comply, or failure to maintain auditable 
records.

[60 FR 48374, Sept. 19, 1995]



Sec. 21.62  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 21 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 21 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 21.1, 21.2, 21.3, 21.4 21.5, 21.7, 21.8, 21.61, and 21.62.

[57 FR 55071, Nov. 24, 1992]



PART 25--ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL--Table of Contents




                           General Provisions

Sec.
25.1  Purpose.
25.3  Scope.
25.5  Definitions.
25.7  Interpretations.
25.8  Information collection requirements: OMB approval.
25.9  Communications.
25.11  Specific exemptions.
25.13  Maintenance of records.

                          Access Authorizations

25.15  Access permitted under ``Q'' or ``L'' access authorization.
25.17  Approval for processing applicants for access authorization.
25.19  Processing applications.
25.21  Determination of initial and continued eligibility for access 
          authorization.

[[Page 392]]

25.23  Notification of grant of access authorization.
25.25  Cancellation of requests for access authorization.
25.27  Reopening of cases in which requests for access authorizations 
          are cancelled.
25.29  Reinstatement of access authorization.
25.31  Extensions and transfers of access authorizations.
25.33  Termination of access authorizations.

                            Classified Visits

25.35  Classified visits.

                               Violations

25.37  Violations.
25.39  Criminal penalties.

Appendix A to Part 25--Fees for NRC Access Authorization

    Authority: Secs. 145, 161, 68 Stat. 942, 948, as amended (42 U.S.C. 
2165, 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); E.O. 
10865, as amended, 3 CFR 1959-1963 COMP., p. 398 (50 U.S.C. 401, note); 
E.O. 12356, 47 FR 14874, April 6, 1982.

    Appendix A also issued under 96 Stat. 1051 (31 U.S.C. 9701).

    Source: 45 FR 14481, Mar. 5, 1980, unless otherwise noted.

                           General Provisions



Sec. 25.1  Purpose.

    This part establishes procedures for granting, reinstating, 
extending, transferring and terminating access authorizations of 
licensee personnel, licensee contractors or agents and other persons 
(e.g, individuals involved in adjudicatory procedures as set forth in 10 
CFR part 2, subpart I) who may require access to information classified 
at the Secret and Confidential National Security Information and/or 
Restricted Data level.



Sec. 25.3  Scope.

    The regulations in this part apply to licensees and others who may 
require access to National Security Information and/or Restricted Data 
related to a license or application for a license.



Sec. 25.5  Definitions.

    Access authorization means an administrative determination that an 
individual (including a consultant) who is employed by or an applicant 
for employment with the NRC, NRC contractors, agents, and licensees of 
the NRC, or other person designated by the Executive Director for 
Operations, is eligible for a security clearance for access to 
Restricted Data or national security information.
    Act means the Atomic Energy Act of 1954 (68 Stat. 919), as amended.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    L access authorization means an access authorization granted by the 
Commission which is normally based on a national agency check and credit 
investigation (NAC&C) or national agency check, inquiries and credit 
investigation (NACIC) conducted by the Office of Personnel Management.
    License means a license issued pursuant to 10 CFR parts 50, 70, or 
72.
    Matter means documents or material.
    National Security Information means information that has been 
determined pursuant to Executive Order 12356 or any predecessor order to 
require protection against unauthorized disclosure and that is so 
designated.
    Need-to-know means a determination by persons having responsibility 
for classified information or matter, that a proposed recipient's access 
to such classified information or matter is necessary in the performance 
of his official, contractual, or licensee duties of employment under the 
cognizance of the Commission.
    Person means (1) any individual, corporation, partnership, firm, 
association, trust, estate, public or private institution, group, 
government agency other than the Commission or the Department of Energy 
(DOE), except that the DOE shall be considered a person to the extent 
that its facilities are subject to the licensing and related regulatory 
authority of the Commission pursuant to section 202 of the Energy 
Reorganization Act of 1974 and sections 104, 105 and 202 of the Uranium 
Mill Tailings Radiation Control Act of 1978, any State or any political 
subdivision of, or any political entity within a State, any foreign 
government or nation or any political subdivision of any such government 
or nation, or other entity; and (2) any legal successor, representative, 
agent, or agency of the foregoing.

[[Page 393]]

    Q Access Authorization means an access authorization granted by the 
Commission based on a full field investigation conducted by the Office 
of Personnel Management, the Federal Bureau of Investigation, or other 
U.S. Government agency which conducts personnel security investigations.
    Restricted Data means all data concerning design, manufacture or 
utilization of atomic weapons, the production of special nuclear 
material, or the use of special nuclear material in the production of 
energy, but shall not include data declassified or removed from the 
Restricted Data category pursuant to section 142 of the Act.

[45 FR 14481, Mar. 5, 1980, as amended at 46 FR 58283, Dec. 1, 1981; 47 
FR 38683, Sept. 2, 1982; 48 FR 24320, June 1, 1983; 50 FR 36984, Sept. 
11, 1985; 55 FR 11574, Mar. 29, 1990]



Sec. 25.7  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 25.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0046.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 25.11, 25.17, 25.21, 25.23, 25.25, 25.27, 
25.29, 25.31, 25.33, and 25.35.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Secs. 25.17(b), 25.21(c), 25.27(a), 25.29, and 25.31, NRC 
Form 237 is approved under control number 3150-0050.
    (2) In Secs. 25.17(c), 25.21(c), 25.27(b), 25.29, 25.31, SF-86 is 
approved under control number 3150-0007.
    (3) In Sec. 25.21(b), NRC Form 354 is approved under control number 
3150-0026.
    (4) In Sec. 25.33, NRC Form 136 is approved under control number 
3150-0049.
    (5) In Sec. 25.35, NRC Form 277 is approved under control number 
3150-0051.

[49 FR 19624, May 9, 1984, as amended at 57 FR 3720, Jan. 31, 1992]



Sec. 25.9  Communications.

    Except where otherwise specified, all communications and reports 
concerning the regulations in this part should be addressed to the 
Director, Division of Security, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555.



Sec. 25.11  Specific exemptions.

    The Commission may, upon application of any interested party, grant 
an exemption from the requirements of this part 25. Exemptions will be 
granted only if they are authorized by law and will not constitute an 
undue risk to the common defense and security. Documentation related to 
the request, notification and processing of an exemption shall be 
maintained for three years beyond the period covered by the exemption.

[45 FR 14481, Mar. 5, 1980, as amended at 53 FR 19245, May 27, 1988]



Sec. 25.13  Maintenance of records.

    (a) Each licensee or organization employing individuals approved for 
personnel security access authorization under this part, shall maintain 
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 period specified by each Commission regulation. The record may 
be the original or a reproduced copy or a microform provided that the 
copy or microform is authenticated by authorized personnel and that the 
microform is capable of producing a clear copy throughout the required 
retention period. The record may also be stored in electronic media with 
the capability for producing legible, accurate, and

[[Page 394]]

complete records during the required retention period. Records such as 
letters, drawings, specifications, must include all pertinent 
information such as stamps, initials, and signatures. The licensee shall 
maintain adequate safeguards against tampering with and loss of records.

[45 FR 14481, Mar. 5, 1980, as amended at 53 FR 19245, May 27, 1988]

                          Access Authorizations



Sec. 25.15  Access permitted under ``Q'' or ``L'' access authorization.

    (a) A ``Q'' access authorization permits an individual access on a 
need-to-know basis to (1) Secret and Confidential Restricted Data and 
(2) Secret and Confidential National Security Information including 
intelligence information, CRYPTO (i.e., cryptographic information) or 
other classified communications security (COMSEC) information.
    (b) An ``L'' access authorization permits an individual access on a 
need-to-know basis to Confidential Restricted Data and Secret and 
Confidential National Security Information other than the categories 
specifically included in paragraph (a) of this section. In addition, 
access to certain Confidential COMSEC information is permitted as 
authorized by a National Communications Security Committee waiver dated 
February 14, 1985.
    (c) Each employee of the Commission is processed for one of the two 
levels of access authorization. Licensees and other persons will furnish 
National Security Information and/or Restricted Data to a Commission 
employee on official business when the employee has the appropriate 
level of NRC access authorization and need-to-know. Some individuals are 
permitted to begin NRC employment without an access authorization. 
However, no NRC employee shall be permitted access to any classified 
information until the appropriate level of access authorization has been 
granted to that employee by NRC.

[45 FR 14481, Mar. 5, 1980, as amended at 47 FR 9195, Mar. 4, 1982; 50 
FR 36984, Sept. 11, 1985]



Sec. 25.17  Approval for processing applicants for access authorization.

    (a) Access authorizations shall be requested for licensee employees 
or other persons (e.g., 10 CFR part 2, subpart I) who need access to 
National Security Information and/or Restricted Data in connection with 
activities under parts 50, 70, or 72.
    (b) The request must include a completed personnel security packet 
(see Sec. 25.17(c)) and request form (NRC-237) signed by a licensee or 
licensee contractor official.
    (c)(1) Each personnel security packet submitted, must include the 
following completed forms:
    (i) Questionnaire for Sensitive Positions (SF-86, parts 1 and 2);
    (ii) Two Standard fingerprint cards (FD-258);
    (iii) Security Acknowledgment (NRC Form 176); and
    (iv) Other related forms where specified in accompanying 
instructions (NRC-254).
    (2) Only a Security Acknowledgment (NRC Form 176) need be completed 
by any person possessing an active access authorization, or who is being 
processed for an access authorization, by another Federal agency. The 
active or pending access authorization must be at an equivalent level to 
that required by the NRC and be based on an adequate investigation not 
more than five years old.
    (d) To avoid delays in processing requests for access 
authorizations, each security packet should be reviewed for completeness 
and correctness (including legibility of response on the forms) prior to 
submittal.
    (e) Applications for access authorization or access authorization 
renewal processing must be accompanied by a check or money order, 
payable to the United States Nuclear Regulatory Commission, representing 
the current cost for the processing of each ``Q'' and ``L'' access 
authorization, or renewal request. Access authorization and access 
authorization renewal fees will be published each time the Office of 
Personnel Management notifies NRC of a change in the rates it charges 
NRC for the conduct of investigations. Any such changed access 
authorization or access authorization renewal fees will

[[Page 395]]

be applicable to each access authorization or access authorization 
renewal request received upon or after the date of publication. 
Applications from individuals having current Federal access 
authorizations may be processed more expeditiously and at less cost, 
since the Commission may accept the certification of access 
authorization and investigative data from other Federal Government 
agencies that grant personnel access authorizations.

[45 FR 14481, Mar. 5, 1980, as amended at 47 FR 9195, Mar. 4, 1982; 48 
FR 24320, June 1, 1983; 53 FR 30830, Aug. 16, 1988; 57 FR 3720, Jan. 31, 
1992]



Sec. 25.19  Processing applications.

    Each application for access authorization or access authorization 
renewal, together with its accompanying fee, must be submitted to the 
NRC Division of Security. If necessary, the NRC Division of Security may 
obtain approval from the appropriate Commission office exercising 
licensing or regulatory authority before processing the access 
authorization or access authorization renewal request. If the applicant 
is disapproved for processing, the NRC Division of Security shall notify 
the submitter in writing and return the original application (security 
packet) and its accompanying fee.

[57 FR 3720, Jan. 31, 1992]



Sec. 25.21  Determination of initial and continued eligibility for access authorization.

    (a) Following receipt by the NRC Division of Security of the reports 
of the personnel security investigations, the record will be reviewed to 
determine that granting an access authorization or renewal of access 
authorization will not endanger the common defense and security and is 
clearly consistent with the national interest. If such a determination 
is made, access authorization will be granted or renewed. Questions as 
to initial or continued eligibility will be determined in accordance 
with part 10 of chapter I.
    (b) The NRC Division of Security must be promptly notified of 
developments that bear on continued eligibility for access authorization 
throughout the period for which the authorization is active (e.g., 
persons who marry subsequent to the completion of a personnel security 
packet must report this change by submitting a completed NRC Form 354, 
``Data Report on Spouse'').
    (c)(1) Except as provided in paragraph (c)(2) of this section, NRC 
``Q'' and ``L'' access authorizations must be renewed every five years 
from the date of issuance. An application for renewal must be submitted 
at least 120 days before the expiration of the five year period, and 
must include:
    (i) A statement by the licensee or other person that the individual 
continues to require access to classified National Security Information 
or Restricted Data; and
    (ii) A personnel security packet as described in Sec. 25.17(c).
    (2) Renewal applications and the paperwork required for renewal 
applications are not required for individuals who have a current and 
active access authorization from another Federal agency and who are 
subject to a reinvestigation program by that agency that is determined 
by NRC to meet NRC's requirements (the DOE Reinvestigation Program has 
been determined to meet NRC's requirements). For such individuals, the 
submission of the SF-86 by the licensee or other person to the other 
government agency pursuant to their reinvestigation requirements will 
satisfy the NRC renewal submission and paperwork requirements, even if 
less than five years has passed since the date of issuance or renewal of 
the NRC ``Q'' or ``L'' access authorization. Any NRC access 
authorization continued in response to the provisions of this paragraph 
will, thereafter, not be due for renewal until the date set by the other 
government agency for the next reinvestigation of the individual 
pursuant to the other agency's reinvestigation program. However, the 
period of time for the initial and each subsequent NRC ``Q'' or NRC 
``L'' renewal application to NRC may not exceed seven years. Any 
individual who is subject to the reinvestigation program requirements of 
another Federal agency but, for administrative or other reasons, does 
not submit reinvestigation forms to that agency within seven years of 
the previous submission, shall submit a renewal application to NRC

[[Page 396]]

using the forms prescribed in Sec. 25.17(c) before the expiration of the 
seven year period.

[45 FR 14481, Mar. 5, 1980, as amended at 57 FR 3720, Jan. 31, 1992; 57 
FR 41376, Sept. 10, 1992; 60 FR 26357, May 17, 1995]



Sec. 25.23  Notification of grant of access authorization.

    The determination to grant or renew access authorization will be 
furnished in writing to the licensee or organization that initiated the 
request. Upon receipt of the notification of original grant of access 
authorization, the licensee or organization shall obtain, as a condition 
for grant of access authorization and access to classified information, 
an executed ``Classified Information Nondisclosure Agreement'' (SF-312) 
from the affected individual. The individual shall also be given a 
security orientation briefing in accordance with Sec. 95.33 of this 
chapter. The signed SF-312 must be promptly forwarded to the NRC 
Division of Security. Records of access authorization grant and renewal 
notification must be maintained by the licensee or other organization 
for three years after the access authorization has been terminated by 
the NRC Division of Security. This information may also be furnished to 
other representatives of the Commission, to licensees, contractors, or 
other Federal agencies. Notifications of access authorization will not 
be given in writing to the affected individual except:
    (a) In those cases in which the determination was made as a result 
of a Personnel Security Hearing or by Personnel Security Review 
Examiners, or
    (b) When the individual also is the official designated by the 
licensee to whom written NRC notifications are forwarded.

[57 FR 3721, Jan. 31, 1992]



Sec. 25.25  Cancellation of requests for access authorization.

    When a request for an individual's access authorization or renewal 
of access authorization is withdrawn or cancelled, the requestor shall 
notify the NRC Division of Security immediately by telephone so that the 
full field investigation, National Agency Check with Credit 
Investigation or other personnel security action may be discontinued. 
The requestor shall identify the full name and date of birth of the 
individual, the date of request, and the type of access authorization 
(``Q'' or ``L'') or access authorization renewal requested. The 
requestor shall confirm each telephone notification promptly in writing.

[57 FR 3721, Jan. 31, 1992]



Sec. 25.27  Reopening of cases in which requests for access authorizations are cancelled.

    (a) In conjunction with a new request for access authorization (NRC 
Form 237) for individuals whose cases were previously cancelled, new 
fingerprint cards (FD-257) in duplicate and a new Security 
Acknowledgment (NRC Form 176) must be furnished to the NRC Division of 
Security along with the request.
    (b) Additionally, if 90 days or more have elapsed since the date of 
the last Questionnaire for Sensitive Positions (SF-86), the individual 
must complete a personnel security packet (see Sec. 25.17(c)). The NRC 
Division of Security, based on investigative or other needs, may require 
a complete personnel security packet in other cases as well. A fee, 
equal to the amount paid for an initial request, will be charged only if 
a new or updating investigation is required.

[57 FR 41376, Sept. 10, 1992]



Sec. 25.29  Reinstatement of access authorization.

    An up-to-date personnel security packet will be furnished with a 
request for reinstatement of an access authorization if 6 months or more 
have elapsed since termination of access authorization and a year or 
more has elapsed since the date of the previous Questionnaire for 
Sensitive Positions, or if any significant changes are known to have 
occurred since the termination. A new Security Acknowledgment will be 
obtained in all cases. Where personnel security packets are not 
required, a request for reinstatement shall state the level of access 
authorization to be reinstated and the full name and date of birth of 
the individual in order to establish positive identification. A fee,

[[Page 397]]

equal to the amount paid for an initial request, will be charged only if 
a new or updating investigation is required.

[45 FR 14481, Mar. 5, 1980, as amended at 53 FR 30830, Aug. 16, 1988]



Sec. 25.31  Extensions and transfers of access authorizations.

    (a) The NRC Division of Security may, on request, extend the 
authorization of an individual who possesses an access authorization in 
connection with a particular employer or activity, to permit access to 
National Security Information and/or Restricted Data in connection with 
an assignment with another employer or activity.
    (b) The NRC Division of Security may, on request, transfer an access 
authorization when an individual's access authorization under one 
employer or activity is terminated, simultaneously with the individual 
being granted access authorization for another employer or activity.
    (c) Requests for extension or transfer of access authorization shall 
state the full name of the person, his date of birth and level of access 
authorization. The Director, Division of Security, may require a new 
personnel security packet (see Sec. 25.17(c)) to be completed by the 
applicant. A fee, equal to the amount paid for an initial request, will 
be charged only if a new or updating investigation is required.
    (d) The date of an extension or transfer of access authorization may 
not be used to determine when a request for renewal of access 
authorization is required. Access authorization renewal requests must be 
timely submitted, in accordance with Sec. 25.21(c).

[45 FR 14481, Mar. 5, 1980, as amended at 48 FR 24320, June 1, 1983; 57 
FR 3721, Jan. 31, 1992]



Sec. 25.33  Termination of access authorizations.

    (a) Access authorizations will be terminated when:
    (1) Access authorization is no longer required, or
    (2) An individual is separated from the employment or the activity 
for which he obtained an access authorization for a period of 90 days or 
more, or
    (3) An individual, pursuant to 10 CFR part 10, is no longer eligible 
for access authorization.
    (b) A representative of the licensee or other organization which 
employs the individual whose access authorization will be terminated 
shall immediately notify the NRC Division of Security when the 
circumstances noted in paragraph (a)(1) or (a)(2) of this section exist; 
inform the individual that his access authorization is being terminated, 
and the reason; and that he will be considered for reinstatement of 
access authorization if he resumes work requiring it.
    (c) When an access authorization is to be terminated, a 
representative of the licensee or other organization shall conduct a 
security termination briefing of the individual involved, explain the 
Security Termination Statement (NRC Form 136) and have the individual 
complete the form. The representative shall promptly forward the 
original copy of the completed Security Termination Statement to the NRC 
Division of Security, Office of Administration, Washington, DC 20555.

[45 FR 14481, Mar. 5, 1980, as amended at 48 FR 24320, June 1, 1983; 52 
FR 31611, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989]

                            Classified Visits



Sec. 25.35  Classified visits.

    Visits to NRC, NRC contractor, licensee or licensee related 
facilities, or other government agencies or their contractors involving 
access to classified information by individuals covered by this part 
require advance certification of ``need-to-know'' and verification of 
NRC access authorization. Individuals planning these visits shall 
complete NRC Form 277, ``Request for Visit or Access Approval,'' with 
the ``need-to-know'' certified by the appropriate NRC office exercising 
licensing or regulatory authority. This NRC office shall then forward 
the request to the NRC Division of Security at least 15 days in advance 
of the date of the visit for appropriate verification of NRC access 
authorization. The Division of Security shall forward the form to the 
facility to be visited. Records related to these

[[Page 398]]

visits must be maintained by the facility for three years following the 
expiration date of the visit authorization.

[48 FR 24320, June 1, 1983, as amended at 53 FR 19245, May 27, 1988]

                               Violations



Sec. 25.37  Violations.

    (a) An injunction or other court order may be obtained to prohibit a 
violation of any provision of:
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) Any regulation or order issued under these Acts.
    (b) National Security Information is protected under the 
requirements and sanctions of Executive Order 12356.

[48 FR 24320, June 1, 1983, as amended at 57 FR 55072, Nov. 24, 1992]



Sec. 25.39  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 25 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 25 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 25.1, 25.3, 25.5, 25.7, 25.8, 25.9, 25.11, 25.19, 25.25, 25.27, 
25.29, 25.31, 25.37, and 25.39.

[57 FR 55072, Nov. 24, 1992]

        Appendix A to Part 25--Fees for NRC Access Authorization

------------------------------------------------------------------------
                           Category                               Fee   
------------------------------------------------------------------------
Initial ``L'' Access Authorization...........................    \1\ $67
Reinstatement of ``L'' Access Authorization..................     \1\ 67
Extension or Transfer of ``L'' Access Authorization..........     \1\ 67
Initial ``Q'' Access Authorization...........................      3,800
Initial ``Q'' Access Authorization (expedited processing)....      4,300
Reinstatement of ``Q'' Access Authorization..................  \2\ 3,800
Reinstatement of ``Q'' Access Authorization (expedited                  
 processing).................................................  \2\ 4,300
Extension or Transfer of ``Q''...............................  \2\ 3,800
Extension or Transfer of ``Q'' (expedited processing)........  \2\ 4,300
                                                                        
------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a
  full field investigation is necessary, a fee of $3,800 will be        
  assessed prior to the conduct of the investigation.                   
\2\ Full fee will only be charged if investigation is required.         


[58 FR 44436, Aug. 23, 1993]



PART 26--FITNESS FOR DUTY PROGRAMS--Table of Contents




                           General Provisions

Sec.
26.1  Purpose.
26.2  Scope.
26.3  Definitions.
26.4  Interpretations.
26.6  Exemptions.
26.8  Information collection requirements: OMB approval.

                     General Performance Objectives

26.10  General performance objectives.

                     Program Elements and Procedures

26.20  Written policy and procedures.
26.21  Policy communications and awareness training.
26.22  Training of supervisors and escorts.
26.23  Contractors and vendors.
26.24  Chemical and alcohol testing.
26.25  Employee assistance programs (EAP).
26.27  Management actions and sanctions to be imposed.
26.28  Appeals.
26.29  Protection of information.

                    Inspections, Records and Reports

26.70  Inspections.
26.71  Recordkeeping requirements.
26.73  Reporting requirements.

                                 Audits

26.80  Audits.

                               Enforcement

26.90  Violations.
26.91  Criminal penalties.

Appendix A to Part 26--Guidelines for Drug and Alcohol Testing Programs

    Authority: Secs. 53, 81, 103, 104, 107, 161, 68 Stat. 930, 935, 936, 
937, 948, as amended, sec. 1701, 106 Stat. 2951, 2952, 2953 (42 U.S.C. 
2073, 2111, 2112, 2133, 2134, 2137, 2201, 2297f); secs. 201, 202, 206, 
88 Stat. 1242, 1244, 1246, as amended (42 U.S.C. 5841, 5842, 5846).

    Source: 54 FR 24494, June 7, 1989, unless otherwise noted.

[[Page 399]]

                           General Provisions



Sec. 26.1  Purpose.

    This part prescribes requirements and standards for the 
establishment and maintenance of certain aspects of fitness-for-duty 
programs and procedures by the licensed nuclear power industry, and by 
licensees authorized to possess, use, or transport formula quantities of 
strategic special nuclear material (SSNM).

[58 FR 31469, June 3, 1993]



Sec. 26.2  Scope.

    (a) The regulations in this part apply to licensees authorized to 
operate a nuclear power reactor, to possess or use formula quantities of 
SSNM, or to transport formula quantities of SSNM. Each licensee shall 
implement a fitness-for-duty program which complies with this part. The 
provisions of the fitness-for-duty program must apply to all persons 
granted unescorted access to nuclear power plant protected areas, to 
licensee, vendor, or contractor personnel required to physically report 
to a licensee's Technical Support Center (TSC) or Emergency Operations 
Facility (EOF) in accordance with licensee emergency plans and 
procedures, and to SSNM licensee and transporter personnel who:
    (1) Are granted unescorted access to Category IA Material;
    (2) Create or have access to procedures or records for safeguarding 
SSNM;
    (3) Make measurements of Category IA Material;
    (4) Transport or escort Category IA Material; or
    (5) Guard Category IA Material.
    (b) The regulations in this part do not apply to NRC employees, to 
law enforcement personnel, or offsite emergency fire and medical 
response personnel while responding onsite, or SSNM transporters who are 
subject to U.S. Department of Transportation drug or alcohol fitness 
programs that require random testing for drugs and alcohol. The 
regulations in this part also do not apply to spent fuel storage 
facility licensees or non-power reactor licensees who possess, use, or 
transport formula quantities of irradiated SSNM as these materials are 
exempt from the Category I physical protection requirements as set forth 
in 10 CFR 73.6.
    (c) Certain regulations in this part apply to licensees holding 
permits to construct a nuclear power plant. Each construction permit 
holder, with a plant under active construction, shall comply with 
Secs. 26.10, 26.20, 26.23, 26.70, and 26.73 of this part; shall 
implement a chemical testing program, including random tests; and shall 
make provisions for employee assistance programs, imposition of 
sanctions, appeals procedures, the protection of information, and 
recordkeeping.
    (d) The regulations in this part apply to the Corporation required 
to obtain a certificate of compliance or an approved compliance plan 
under part 76 of this chapter only if the Corporation elects to engage 
in activities involving formula quantities of strategic special nuclear 
material. When applicable, the requirements apply only to the 
Corporation and personnel carrying out the activities specified in 
Sec. 26.2(a)(1) through (5).

[58 FR 31469, June 3, 1993, as amended at 59 FR 48959, Sept. 23, 1994]



Sec. 26.3  Definitions.

    Aliquot means a portion of a specimen used for testing.
    Category IA Material means strategic special nuclear material (SSNM) 
directly useable in the manufacture of a nuclear explosive device, 
except if:
    (1) The dimensions are large enough (at least 2 meters in one 
dimension, greater than 1 meter in each of two dimensions, or greater 
than 25 cm in each of three dimensions) to preclude hiding the item on 
an individual;
    (2) The total weight of 5 formula kilograms of SSNM plus its matrix 
(at least 50 kilograms) cannot be carried inconspicuously by one person; 
or
    (3) The quantity of SSNM (less than 0.05 formula kilogram) in each 
container requires protracted diversions in order to accumulate 5 
formula kilograms.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Confirmatory test means a second analytical procedure to identify 
the presence of a specific drug or drug metabolite which is independent 
of the

[[Page 400]]

initial screening test and which uses a different technique and chemical 
principle from that of the initial screening test in order to ensure 
reliability and accuracy. For determining blood alcohol levels, a 
``confirmatory test'' means a second test using another breath alcohol 
analysis device. Further confirmation upon demand will be by gas 
chromatography analysis of blood.
    Confirmed positive test means the result of a confirmatory test that 
has established the presence of drugs, drug metabolites, or alcohol in a 
specimen at or above the cut-off level, and that has been deemed 
positive by the Medical Review Officer (MRO) after evaluation. A 
``confirmed positive test'' for alcohol can also be obtained as a result 
of a confirmation of blood alcohol levels with a second breath analysis 
without MRO evaluation.
    Contractor means any company or individual with which the licensee 
has contracted for work or service to be performed inside the protected 
area boundary, either by contract, purchase order, or verbal agreement.
    Cut-off level means the value set for designating a test result as 
positive.
    Follow-up testing means chemical testing at unannounced intervals, 
to ensure that an employee is maintaining abstinence from the abuse of 
drugs or alcohol.
    Illegal drugs means those drugs included in Schedules I through V of 
the Controlled Substances Act (CSA), but not when used pursuant to a 
valid prescription or when used as otherwise authorized by law.
    Initial or screening tests means an immunoassay screen for drugs or 
drug metabolites to eliminate ``negative'' urine specimens from further 
consideration or the first breathalyzer test for alcohol. Initial 
screening may be performed at the licensee's testing facility; a second 
screen and confirmation testing for drugs or drug metabolites must be 
conducted by a HHS-certified laboratory.
    Medical Review Officer means a licensed physician responsible for 
receiving laboratory results generated by an employer's drug testing 
program who has knowledge of substance abuse disorders and has 
appropriate medical training to interpret and evaluate an individual's 
positive test result together with his or her medical history and any 
other relevant biomedical information.
    Protected area has the same meaning as in Sec. 73.2(g) of this 
chapter, an area encompassed by physical barriers and to which access is 
controlled.
    Random test means a system of unannounced drug testing administered 
in a statistically random manner to a group so that all persons within 
that group have an equal probability of selection.
    Suitable inquiry means best-effort verification of employment 
history for the past five years, but in no case less than three years, 
obtained through contacts with previous employers to determine if a 
person was, in the past, tested positive for illegal drugs, subject to a 
plan for treating substance abuse, removed from, or made ineligible for 
activities within the scope of 10 CFR part 26, or denied unescorted 
access at any other nuclear power plant or other employment in 
accordance with a fitness-for-duty policy.
    Transporter means a general licensee pursuant to 10 CFR 70.20a, who 
is authorized to possess formula quantities of SSNM in the regular 
course of carriage for another or storage incident thereto, and includes 
the driver or operator of any conveyance, and the accompanying guards or 
escorts.
    Vendor means any company or individual, not under contract to a 
licensee, providing services in protected areas.

[54 FR 24494, June 7, 1989, as amended at 58 FR 31469, June 3, 1993]



Sec. 26.4  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 26.6  Exemptions.

    The Commission may, upon application of any interested person or 
upon its own initiative, grant such exemptions from the requirements of 
the regulations in this part as it determines

[[Page 401]]

are authorized by law and will not endanger life or property or the 
common defense and security and are otherwise in the public interest.



Sec. 26.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0146.
    (b) The approved information collection requirements contained in 
this part appear in Secs.  26.20, 26.21, 26.22, 26.23, 26.24, 26.27, 
26.29, 26.70, 26.71, 26.73, 26.80 and appendix A.
    (c) The total burden for these recordkeeping requirements is 
estimated to be 313 hours per site per year. In implementing the 
recordkeeping requirements the affected licensee shall report to the 
Commission any comments concerning the accuracy of the estimate and any 
suggestions for reducing the burden.

                     General Performance Objectives



Sec. 26.10  General performance objectives.

    Fitness-for-duty programs must:
    (a) Provide reasonable assurance that nuclear power plant personnel, 
transporter personnel, and personnel of licensees authorized to possess 
or use formula quantities of SSNM, will perform their tasks in a 
reliable and trustworthy manner and are not under the influence of any 
substance, legal or illegal, or mentally or physically impaired from any 
cause, which in any way adversely affects their ability to safely and 
competently perform their duties;
    (b) Provide reasonable measures for the early detection of persons 
who are not fit to perform activities within the scope of this part; and
    (c) Have a goal of achieving a drug-free workplace and a workplace 
free of the effects of such substances.

[54 FR 24494, June 7, 1989, as amended at 58 FR 31469, June 3, 1993]

                     Program Elements and Procedures



Sec. 26.20  Written policy and procedures.

    Each licensee subject to this part shall establish and implement 
written policies and procedures designed to meet the general performance 
objectives and specific requirements of this part. Each licensee shall 
retain a copy of the current written policy and procedures as a record 
until the Commission terminates each license for which the policy and 
procedures were developed and, if any portion of the policies and 
procedures are superseded, retain the superseded material for three 
years after each change. As a minimum, written policies and procedures 
must address fitness for duty through the following:
    (a) An overall description of licensee policy on fitness for duty. 
The policy must address use of illegal drugs and abuse of legal drugs 
(e.g., alcohol, prescription and over-the-counter drugs). Written policy 
documents must be in sufficient detail to provide affected individuals 
with information on what is expected of them, and what consequences may 
result from lack of adherence to the policy. As a minimum, the written 
policy must prohibit the consumption of alcohol--
    (1) Within an abstinence period of at least 5 hours preceding any 
scheduled working tour, and
    (2) During the period of any working tour.

 Licensee policy should also address other factors that could affect 
fitness for duty such as mental stress, fatigue and illness.
    (b) A description of programs which are available to personnel 
desiring assistance in dealing with drug, alcohol, or other problems 
that could adversely affect the performance of activities within the 
scope of this part.
    (c) Procedures to be utilized in testing for drugs and alcohol, 
including procedures for protecting the employee and the integrity of 
the specimen, and the quality controls used to ensure the test results 
are valid and attributable to the correct individual.
    (d) A description of immediate and follow-on actions which will be 
taken, and the procedures to be utilized, in those cases where 
employees, vendors,

[[Page 402]]

or contractors assigned to duties within the scope of this part are 
determined to have been involved in the use, sale, or possession of 
illegal drugs; or to have consumed alcohol during the mandatory pre-work 
abstinence period, while on duty, or to excess prior to reporting to 
duty as demonstrated with a test that can be used to determine blood 
alcohol concentration.
    (e) A procedure that will ensure that persons called in to perform 
an unscheduled working tour are fit to perform the task assigned. As a 
minimum, this procedure must--
    (1) Require a statement to be made by a called-in person as to 
whether he or she has consumed alcohol within the length of time stated 
in the pre-duty abstinence policy;
    (2) If alcohol has been consumed within this period, require a 
determination of fitness for duty by breath analysis or other means; and
    (3) Require the establishment of controls and conditions under which 
a person who has been called-in can perform work, if necessary, although 
alcohol has been consumed. Consumption of alcohol during the abstinence 
period shall not by itself preclude a licensee from using individuals 
needed to respond to an emergency.
    (f) The Commission may at any time review the licensee's written 
policy and procedures to assure that they meet the performance 
objectives of this part.



Sec. 26.21  Policy communications and awareness training.

    (a) Persons assigned to activities within the scope of this part 
shall be provided with appropriate training to ensure they understand--
    (1) Licensee policy and procedures, including the methods that will 
be used to implement the policy;
    (2) The personal and public health and safety hazards associated 
with abuse of drugs and misuse of alcohol;
    (3) The effect of prescription and over-the-counter drugs and 
dietary conditions on job performance and on chemical test results, and 
the role of the Medical Review Officer;
    (4) Employee assistance programs provided by the licensee; and
    (5) What is expected of them and what consequences may result from 
lack of adherence to the policy,
    (b) Initial training must be completed prior to assignment to 
activities within the scope of this part. Refresher training must be 
completed on a nominal 12 month frequency or more frequently where the 
need is indicated. A record of the training must be retained for a 
period of at least three years.



Sec. 26.22   Training of supervisors and escorts.

    (a) Managers and supervisors of activities within the scope of this 
Part must be provided appropriate training to ensure they understand--
    (1) Their role and responsibilities in implementing the program;
    (2) The roles and responsibilities of others, such as the personnel, 
medical, and employee assistance program staffs;
    (3) Techniques for recognizing drugs and indications of the use, 
sale, or possession of drugs;
    (4) Behavioral observation techniques for detecting degradation in 
performance, impairment, or changes in employee behavior; and
    (5) Procedures for initiating appropriate corrective action, to 
include referral to the employee assistance program.
    (b) Persons assigned to escort duties shall be provided appropriate 
training in techniques for recognizing drugs and indications of the use, 
sale, or possession of drugs, techniques for recognizing aberrant 
behavior, and the procedures for reporting problems to supervisory or 
security personnel.
    (c) Initial training must be completed prior to assignment of duties 
within the scope of this part and within 3 months after initial 
supervisory assignment, as applicable. Refresher training must be 
completed on a nominal 12 month frequency, or more frequently where the 
need is indicated. A record of the training must be retained for a 
period of at least three years.



Sec. 26.23   Contractors and vendors.

    (a) All contractor and vendor personnel performing activities within 
the scope of this part for a licensee must be subject to either the 
licensee's program

[[Page 403]]

relating to fitness for duty, or to a program, formally reviewed and 
approved by the licensee, which meets the requirements of this part. 
Written agreements between licensees and contractors or vendors for 
activities within the scope of this part must be retained for the life 
of the contract and will clearly show that--
    (1) The contractor or vendor is responsible to the licensee for 
adhering to the licensee's fitness-for-duty policy, or maintaining and 
adhering to an effective fitness-for-duty program; which meets the 
standards of this part; and
    (2) Personnel having been denied access or removed from activities 
within the scope of this part at any nuclear power plant for violations 
of a fitness-for-duty policy will not be assigned to work within the 
scope of this part without the knowledge and consent of the licensee.
    (b) Each licensee subject to this part shall assure that contractors 
whose own fitness-for-duty programs are relied on by the licensee adhere 
to an effective program, which meets the requirements of this part, and 
shall conduct audits pursuant to Sec. 26.80 for this purpose.



Sec. 26.24  Chemical and alcohol testing.

    (a) To provide a means to deter and detect substance abuse, the 
licensee shall implement the following chemical testing programs for 
persons subject to this part:
    (1) Testing within 60 days prior to the initial granting of 
unescorted access to protected areas or assignment to activities within 
the scope of this part.
    (2) Unannounced drug and alcohol tests imposed in a statistically 
random and unpredictable manner so that all persons in the population 
subject to testing have an equal probability of being selected and 
tested. The tests must be administered so that a person completing a 
test is immediately eligible for another unannounced test. As a minimum, 
tests must be administered on a nominal weekly frequency and at various 
times during the day. Random testing must be conducted at an annual rate 
equal to at least 50 percent of the workforce.
    (3) Testing for-cause, i.e., as soon as possible following any 
observed behavior indicating possible substance abuse; after accidents 
involving a failure in individual performance resulting in personal 
injury, in a radiation exposure or release of radioactivity in excess of 
regulatory limits, or actual or potential substantial degradations of 
the level of safety of the plant if there is reasonable suspicion that 
the worker's behavior contributed to the event; or after receiving 
credible information that an individual is abusing drugs or alcohol.
    (4) Follow-up testing on an unannounced basis to verify continued 
abstention from the use of substances covered under this part.
    (b) Testing for drugs and alcohol, at a minimum, must conform to the 
``Guidelines for Drug and Alcohol Testing Programs,'' issued by the 
Nuclear Regulatory Commission and appearing in appendix A to this part, 
hereinafter referred to as the NRC Guidelines. Licensees, at their 
discretion, may implement programs with more stringent standards (e.g., 
lower cutoff levels, broader panel of drugs). All requirements in this 
part still apply to persons who fail a more stringent standard, but do 
not test positive under the NRC Guidelines. Management actions must be 
the same with the more stringent standards as if the individual had 
failed the NRC standards.
    (c) Licensees shall test for all substances described in paragraph 
2.1(a) of the NRC Guidelines. In addition, licensees may consult with 
local law enforcement authorities, hospitals, and drug counseling 
services to determine whether other substances with abuse potential are 
being used in the geographical locale of the facility and the local 
workforce. When appropriate, other substances so identified may be added 
to the panel of substances for testing. Appropriate cutoff limits must 
be established by the licensee for these substances.
    (d)(1) Licensees may conduct initial screening tests of an aliquot 
before forwarding selected specimens to a laboratory certified by the 
Department of Health and Human Services (HHS), provided the licensee's 
staff possesses the necessary training and skills for the

[[Page 404]]

tasks assigned, the staff's qualifications are documented, and adequate 
quality controls for the testing are implemented. Quality control 
procedures for initial screening tests by a licensee's testing facility 
must include the processing of blind performance test specimens and the 
submission to the HHS-certified laboratory of a sampling of specimens 
initially tested as negative. Except for the purposes discussed below, 
access to the results of preliminary tests must be limited to the 
licensee's testing staff, the Medical Review Officer (MRO), the Fitness-
for-Duty Program Manager, and the employee assistance program staff, 
when appropriate.
    (2) No individual may be removed or temporarily suspended from 
unescorted access or be subjected to other administrative action based 
solely on an unconfirmed positive result from any drug test, other than 
for marijuana (THC) or cocaine, unless other evidence indicates that the 
individual is impaired or might otherwise pose a safety hazard. With 
respect to onsite initial screening tests for marijuana (THC) and 
cocaine, licensee management may be informed and licensees may 
temporarily suspend individuals from unescorted access or from normal 
duties or take lesser administrative actions against the individual 
based on an unconfirmed presumptive positive result provided the 
licensee complies with the following conditions:
    (i) For the drug for which action will be taken, at least 85 percent 
of the specimens which were determined to be presumptively positive as a 
result of preliminary onsite screening tests during the last 6-month 
data reporting period submitted to the Commission under Sec. 26.71(d) 
were subsequently reported as positive by the HHS-certified laboratory 
as the result of a GC/MS confirmatory test.
    (ii) There is no loss of compensation or benefits to the tested 
person during the period of temporary administrative action.
    (iii) Immediately upon receipt of a negative report from the HHS-
certified laboratory, any matter which could link the individual to a 
temporary suspension is eliminated from the tested individual's 
personnel record or other records.
    (iv) No disclosure of the temporary removal or suspension of, or 
other administrative action against, an individual whose test is not 
subsequently confirmed as positive by the MRO may be made in response to 
a suitable inquiry conducted under the provisions of Sec. 26.27(a), a 
background investigation conducted under the provisions of Sec. 73.56, 
or to any other inquiry or investigation. For the purpose of assuring 
that no records have been retained, access to the system of files and 
records must be provided to licensee personnel conducting appeal 
reviews, inquiries into an allegation, or audits under the provisions of 
Sec. 26.80, or to an NRC inspector or other Federal officials. The 
tested individual must be provided a statement that the records in 
paragraph (d)(2)(iii) of this section have not been retained and must be 
informed in writing that the temporary removal or suspension or other 
administrative action that was taken will not be disclosed, and need not 
be disclosed by the individual, in response to requests for information 
concerning removals, suspensions, administrative actions or history of 
substance abuse.
    (e) The Medical Review Officer's review of the test results must be 
completed and licensee management notified within 10 days of the initial 
presumptive positive screening test.
    (f) All testing of specimens for urine drug testing, except onsite 
testing under paragraph (d) above, must be performed in a laboratory 
certified by the U.S. Department of Health and Human Services for that 
purpose consistent with its standards and procedures for certification. 
Except for suspect specimens submitted for special processing (Section 
2.7(d) of appendix A), all specimens sent to certified laboratories 
shall be subject to initial screening by the laboratory and all 
specimens screened as presumptively positive shall be subject to 
confirmation testing by the laboratory. Licensees shall submit blind 
performance test specimens to certified laboratories in accordance with 
the NRC Guidelines (appendix A).
    (g) Tests for alcohol must be administered by breath analysis using 
breath

[[Page 405]]

alcohol analyses devices meeting evidential standards described in 
section 2.7(O)(3) of appendix A. A breath alcohol content indicating a 
blood alcohol concentration of 0.04 percent or greater must be a 
positive test result. The confirmatory test for alcohol shall be done 
with another breath measurement instrument. Should the person demand 
further confirmation, the test must be a gas chromatography analysis of 
blood.

[54 FR 24494, June 7, 1989, as amended at 56 FR 41926, Aug. 26, 1991; 58 
FR 31469, June 3, 1993; 59 FR 507, Jan. 5, 1994]



Sec. 26.25  Employee assistance programs (EAP).

    Each licensee subject to this part shall maintain an employee 
assistance program to strengthen fitness-for-duty programs by offering 
assessment, short-term counseling, referral services, and treatment 
monitoring to employees with problems that could adversely affect the 
performance of activities within the scope of this part. Employee 
assistance programs should be designed to achieve early intervention and 
provide for confidential assistance. The employee assistance program 
staff shall inform licensee management when a determination has been 
made that any individual's condition constitutes a hazard to himself or 
herself or others (including those who have self-referred).



Sec. 26.27  Management actions and sanctions to be imposed.

    (a)(1) The licensee shall obtain a written statement from the 
individual as to whether activities within the scope of this part were 
ever denied the individual before the initial--
    (i) Granting of unescorted access to a nuclear power plant protected 
area;
    (ii) Granting of unescorted access by a formula quantity SSNM 
licensee to Category IA Material;
    (iii) Assignment to create or the initial granting of access to 
safeguards of procedures for SSNM;
    (iv) Assignment to measure Category IA Material;
    (v) Assignment to transport or escort Category IA Material;
    (vi) Assignment to guard Category IA Material; or
    (vii) Assignment to activities within the scope of this part to any 
person.
    (2) The licensee, as applicable, shall complete a suitable inquiry 
on a best-efforts basis to determine if that person was, in the past--
    (i) Tested positive for drugs or use of alcohol that resulted in on-
duty impairment;
    (ii) Subject to a plan for treating substance abuse (except for 
self-referral for treatment);
    (iii) Removed from activities within the scope of this part;
    (iv) Denied unescorted access at any other nuclear power plant;
    (v) Denied unescorted access to SSNM;
    (vi) Removed from responsibilities to create or have access to 
safeguards records or procedures for SSNM;
    (vii) Removed from responsibilities to measure SSNM;
    (viii) Removed from the responsibilities of transporting or 
escorting SSNM; or
    (ix) Removed from the responsibilities of guarding SSNM at any other 
facility in accordance with a fitness-for-duty policy.
    (3) If a record of the type described in paragraph (a)(2) of this 
section is established, the new assignment to activities within the 
scope of this part or granting of unescorted access must be based upon a 
management and medical determination of fitness for duty and the 
establishment of an appropriate follow-up testing program, provided the 
restrictions of paragraph (b) of this section are observed. To meet this 
requirement, the identity of persons denied unescorted access or removed 
under the provisions of this part and the circumstances for the denial 
or removal, including test results, will be made available in response 
to a licensee's, contractor's or vendor's inquiry supported by a signed 
release from the individual.
    (4) Failure to list reasons for removal or revocation of unescorted 
access is sufficient cause for denial of unescorted access. Temporary 
access provisions are not affected by this part if the prospective 
worker passes a chemical test conducted according to the requirements of 
Sec. 26.24(a)(1).

[[Page 406]]

    (b) Each licensee subject to this part shall, as a minimum, take the 
following actions. Nothing herein shall prohibit the licensee from 
taking more stringent action.
    (1) Impaired workers, or those whose fitness may be questionable, 
shall be removed from activities within the scope of this part, and may 
be returned only after determined to be fit to safely and competently 
perform activities within the scope of this part.
    (2) Lacking any other evidence to indicate the use, sale, or 
possession of illegal drugs onsite, a confirmed positive test result 
must be presumed to be an indication of offsite drug use. The first 
confirmed positive test must, as a minimum, result in immediate removal 
from activities within the scope of this part for at least 14 days and 
referral to the EAP for assessment and counseling during any suspension 
period. Plans for treatment, follow-up, and future employment must be 
developed, and any rehabilitation program deemed appropriate must be 
initiated during such suspension period. Satisfactory management and 
medical assurance of the individual's fitness to adequately perform 
activities within the scope of this part must be obtained before 
permitting the individual to be returned to these activities. Any 
subsequent confirmed positive test must result in, as applicable--
    (i) Removal from unescorted access to nuclear power plant protected 
areas;
    (ii) Removal from unescorted access to Category IA Material;
    (iii) Removal from responsibilities to create or have access to 
records or procedures for safeguarding SSNM;
    (iv) Removal from responsibilities to measure Category IA Material;
    (v) Removal from the responsibilities of transporting or escorting 
Category IA Material;
    (vi) Removal from the responsibilities of guarding Category IA 
Material at any other licensee facility; and
    (vii) Removal from activities within the scope of this part for a 
minimum of 3 years from the date of removal.
    (3) Any individual determined to have been involved in the sale, 
use, or possession of illegal drugs, while, as applicable, within a 
protected area of any nuclear power plant, within a facility that is 
licensed to possess or use SSNM, or within a transporter's facility or 
vehicle, must be removed from activities within the scope of this part. 
The individual may not--
    (i) Be granted unescorted access to nuclear power plant protected 
areas;
    (ii) Be granted unescorted access to Category IA Material;
    (iii) Be given responsibilities to create or have access to 
safeguards records or procedures for SSNM;
    (iv) Be given responsibilities to measure Category IA Material;
    (v) Be given responsibilities to transport or escort Category IA 
Material;
    (vi) Be given responsibilities to guard Category IA Material; or
    (vii) Be assigned to activities within the scope of this part for a 
minimum of 5 years from the date of removal.
    (4) Persons removed for periods of three years or more under the 
provisions of paragraphs (b) (2) and (3) of this section for the illegal 
sale, use or possession of drugs and who would have been removed under 
the current standards of a hiring licensee, may be granted unescorted 
access and assigned duties within the scope of this part by a licensee 
subject to this part only when the hiring licensee receives satisfactory 
medical assurance that the person has abstained from drugs for at least 
three years. Satisfactory management and medical assurance of the 
individual's fitness to adequately perform activities within the scope 
of this part must be obtained before permitting the individual to 
perform activities within the scope of this part. Any person granted 
unescorted access or whose access is reinstated under these provisions 
must be given unannounced follow-up tests at least once every month for 
four months and at least once every three months for the next two years 
and eight months after unescorted access is reinstated to verify 
continued abstinence from proscribed substances. Any confirmed use of 
drugs through this process or any other determination of subsequent 
involvement in the sale, use or possession of illegal substances must 
result in permanent denial of unescorted access.
    (5) Paragraphs (b) (2), (3), and (4) of this section do not apply to 
alcohol, valid prescriptions, or over-the-counter

[[Page 407]]

drugs. Licensee sanctions for confirmed misuse of alcohol, valid 
prescription, and over-the-counter drugs shall be sufficient to deter 
abuse of legally obtainable substances as a substitute for abuse of 
proscribed drugs.
    (c) Refusal to provide a specimen for testing and resignation prior 
to removal for violation of company fitness-for-duty policy concerning 
drugs must be recorded as removals for cause. These records must be 
retained for the purpose of meeting the requirements of Sec. 26.27(a).
    (d) If a licensee has a reasonable belief that an NRC employee may 
be under the influence of any substance, or otherwise unfit for duty, 
the licensee may not deny access but shall escort the individual. In any 
instance of this occurrence, the appropriate Regional Administrator must 
be notified immediately by telephone. During other than normal working 
hours, the NRC Operations Center must be notified.

[54 FR 24494, June 7, 1989, as amended at 58 FR 31470, June 3, 1993]



Sec. 26.28  Appeals.

    Each licensee subject to this part, and each contractor or vendor 
implementing a fitness-for-duty program under the provisions of 
Sec. 26.23, shall establish a procedure for licensee and contractor or 
vendor employees to appeal a positive alcohol or drug determination. The 
procedure must provide notice and an opportunity to respond and may be 
an impartial internal management review. A licensee review procedure 
need not be provided to employees of contractors or vendors when the 
contractor or vendor is administering his own alcohol and drug testing.



Sec. 26.29  Protection of information.

    (a) Each licensee subject to this part, who collects personal 
information on an individual for the purpose of complying with this 
part, shall establish and maintain a system of files and procedures for 
the protection of the personal information. This system must be 
maintained until the Commission terminates each license for which the 
system was developed.
    (b) Licensees, contractors, and vendors shall not disclose the 
personal information collected and maintained to persons other than 
assigned Medical Review Officers, other licensees or their authorized 
representatives legitimately seeking the information as required by this 
part for unescorted access decisions and who have obtained a release 
from current or prospective employees or contractor personnel, NRC 
representatives, appropriate law enforcement officials under court 
order, the subject individual or his or her representative, or to those 
licensee representatives who have a need to have access to the 
information in performing assigned duties, including audits of 
licensee's, contractor's, and vendor's programs, to persons deciding 
matters on review or appeal, and to other persons pursuant to court 
order. This section does not authorize the licensee, contractor, or 
vendor to withhold evidence of criminal conduct from law enforcement 
officials.

                    Inspections, Records, and Reports



Sec. 26.70  Inspections.

    (a) Each licensee subject to this part shall permit duly authorized 
representatives of the Commission to inspect, copy, or take away copies 
of its records and inspect its premises, activities, and personnel as 
may be necessary to accomplish the purposes of this part.
    (b) Written agreements between licensees and their contractors and 
vendors must clearly show that the--
    (1) Licensee is responsible to the Commission for maintaining an 
effective fitness-for-duty program in accordance with this part; and
    (2) Duly authorized representatives of the Commission may inspect, 
copy, or take away copies of any licensee, contractor, or vendor's 
documents, records, and reports related to implementation of the 
licensee's, contractor's, or vendor's fitness-for-duty program under the 
scope of the contracted activities.



Sec. 26.71  Recordkeeping requirements.

    Each licensee subject to this part and each contractor and vendor 
implementing a licensee approved program under the provisions of 
Sec. 26.23 shall--
    (a) Retain records of inquiries conducted in accordance with 
Sec. 26.27(a),

[[Page 408]]

that result in the granting of unescorted access to protected areas, 
until five years following termination of such access authorizations;
    (b) Retain records of confirmed positive test results which are 
concurred in by the Medical Review Officer, and the related personnel 
actions for a period of at least five years;
    (c) Retain records of persons made ineligible for three years or 
longer for assignment to activities within the scope of this part under 
the provisions of Sec. 26.27(b) (2), (3), (4) or (c), until the 
Commission terminates each license under which the records were created; 
and
    (d) Collect and compile fitness-for-duty program performance data on 
a standard form and submit this data to the Commission within 60 days of 
the end of each 6-month reporting period (January-June and July-
December). The data for each site (corporate and other support staff 
locations may be separately consolidated) must include: random testing 
rate; drugs tested for and cut-off levels, including results of tests 
using lower cut-off levels and tests for other drugs; workforce 
populations tested; numbers of tests and results by population, and type 
of test (i.e., pre-access, random, for-cause, etc.); substances 
identified; summary of management actions; and a list of events 
reported. The data must be analyzed and appropriate actions taken to 
correct program weaknesses. The data and analysis must be retained for 
three years. Any licensee choosing to temporarily suspend individuals 
under the provisions of Sec. 26.24(d) must report test results by 
process stage (i.e., onsite screening, laboratory screening, 
confirmatory tests, and MRO determinations) and the number of temporary 
suspensions or other administrative actions taken against individuals 
based on onsite unconfirmed screening positives for marijuana (THC) and 
for cocaine.

[54 FR 24494, June 7, 1989, as amended at 57 FR 55444, Nov. 25, 1992]



Sec. 26.73  Reporting requirements.

    (a) Each licensee subject to this part shall inform the Commission 
of significant fitness-for-duty events including:
    (1) Sale, use, or possession of illegal drugs within the protected 
area and,
    (2) Any acts by any person licensed under 10 CFR part 55 to operate 
a power reactor or by any supervisory personnel assigned to perform 
duties within the scope of this part--
    (i) Involving the sale, use, or possession of a controlled 
substance,
    (ii) Resulting in confirmed positive tests on such persons,
    (iii) Involving use of alcohol within the protected area, or
    (iv) Resulting in a determination of unfitness for scheduled work 
due to the consumption of alcohol.
    (b) Notifications must be made to the NRC Operations Center by 
telephone within 24 hours of the discovery of the event by the licensee.
    (c) Fitness-for-duty events shall be reported under this section 
rather than reported under the provisions of Sec. 73.71.
    (d) By November 30, 1993 each licensee who is authorized to possess, 
use, or transport formula quantities of SSNM shall certify to the NRC 
that it has implemented a fitness-for-duty program that meets the 
requirements of 10 CFR part 26. The certification shall describe any 
licensee cut-off levels more stringent than those imposed by this part.

[54 FR 24494, June 7, 1989; 54 FR 47451, Nov. 14, 1989, as amended at 58 
FR 31470, June 3, 1993]

                                 Audits



Sec. 26.80  Audits.

    (a) Each licensee subject to this part shall audit the fitness-for-
duty program nominally every 12 months. In addition, audits must be 
conducted, nominally every 12 months, of those portions of fitness-for-
duty programs implemented by contractors and vendors. Licensees may 
accept audits of contractors and vendors conducted by other licensees 
and need not re-audit the same contractor or vendor for the same period 
of time. Each sharing utility shall maintain a copy of the audit report, 
to include findings, recommendations and corrective actions. Licensees 
retain responsibility for the effectiveness of contractor and vendor 
programs and the implementation of appropriate corrective action.

[[Page 409]]

    (b) Audits must focus on the effectiveness of the program and be 
conducted by individuals qualified in the subject(s) being audited, and 
independent of both fitness-for-duty program management and personnel 
directly responsible for implementation of the fitness-for-duty program.
    (c) The result of the audit, along with recommendations, if any, 
must be documented and reported to senior corporate and site management. 
The resolution of the audit findings and corrective actions must be 
documented. These documents must be retained for three years. NRC 
Guidelines require licensee audits of HHS-certified laboratories as 
described in appendix A.

                               Enforcement



Sec. 26.90  Violations.

    (a) An injunction or other court order may be obtained to prohibit a 
violation of any provision of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974; or
    (3) Any regulation or order issued under these Acts.
    (b) A court order may be obtained for the payment of a civil penalty 
imposed under section 234 of the Atomic Energy Act of 1954, for 
violations of--
    (1) Section 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Act;
    (2) Section 206 of the Energy Reorganization Act of 1974;
    (3) Any rule, regulation, or order issued under these Sections;
    (4) Any term, condition, or limitation of any license issued under 
these Sections; or
    (5) Any provisions for which a license may be revoked under section 
186 of the Atomic Energy Act of 1954.

[54 FR 24494, June 7, 1989, as amended at 57 FR 55072, Nov. 24, 1992]



Sec. 26.91  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 26 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 26 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 26.1, 26.2, 26.3, 26.4, 26.6, 26.8, 26.90, and 26.91.

[57 FR 55072, Nov. 24, 1992]

 Appendix A to Part 26--Guidelines for Drug and Alcohol Testing Programs

                           Subpart A--General

1.1  Applicability
1.2  Definitions

            Subpart B--Scientific and Technical Requirements

2.1  The Substances
2.2  General Administration of Testing
2.3  Preventing Subversion of Testing
2.4  Specimen Collection Procedures
2.5  HHS-Certified Laboratory Personnel
2.6  Licensee Testing Facility Personnel
2.7  Laboratory and Testing Facility Analysis Procedures
2.8  Quality Assurance and Quality Control
2.9  Reporting and Review of Results

                     Subpart C--Employee Protection

3.1  Protection of Employee Records
3.2  Individual Access to Test and Laboratory Certification Results

  Subpart D--Certification of Laboratories Engaged in Chemical Testing

4.1  Use of DHHS-Certified Laboratories

                           Subpart A--General

                           1.1  Applicability.

    (1) These guidelines apply to licensees authorized to operate 
nuclear power reactors and licensees who are authorized to possess, use, 
or transport formula quantities of strategic special nuclear material 
(SSNM).
    (2) Licensees may set more stringent cut-off levels than specified 
herein or test for substances other than specified herein and shall 
inform the Commission of such deviation within 60 days of implementing 
such change. Licensees may not deviate from the provisions of these 
guidelines without the written approval of the Commission.
    (3) Only laboratories which are HHS-certified are authorized to 
perform urine drug testing for NRC licensees, vendors, and licensee 
contractors.

                            1.2  Definitions.

    For the purposes of this part, the following definitions apply:

[[Page 410]]

    ``Aliquot.'' A portion of a specimen used for testing.
    ``BAC.'' Blood alcohol concentration (BAC), which can be measured 
directly from blood or derived from a measure of the concentration of 
alcohol in a breath specimen, is a measure of the mass of alcohol in a 
volume of blood such that an individual with 100 mg of alcohol per 100 
ml of blood has a BAC of 0.10 percent.
    ``Commission.'' The U.S. Nuclear Regulatory Commission or its duly 
authorized representatives.
    ``Chain-of-custody.'' Procedures to account for the integrity of 
each specimen by tracking its handling and storage from the point of 
specimen collection to final disposition of the specimen.
    ``Collection site.'' A place designated by the licensee where 
individuals present themselves for the purpose of providing a specimen 
of their urine, breath, and/or blood to be analyzed for the presence of 
drugs or alcohol.
    ``Collection site person.'' A person who instructs and assists 
individuals at a collection site and who receives and makes an initial 
examination of the specimen(s) provided by those individuals. A 
collection site person shall have successfully completed training to 
carry out this function or shall be a licensed medical professional or 
technician who is provided instructions for collection under this part 
and certifies completion as required herein. In any case where: (a) a 
collection is observed or (b) collection is monitored by nonmedical 
personnel, the collection site person must be a person of the same 
gender as the donor.
    ``Confirmatory test.'' A second analytical procedure to identify the 
presence of a specific drug or drug metabolite which is independent of 
the initial screening test and which uses a different technique and 
chemical principle from that of the initial test in order to ensure 
reliability and accuracy. (At this time gas chromatography/mass 
spectrometry [GC/MS] is the only authorized confirmation method for 
cocaine, marijuana, opiates, amphetamines, phencyclidine). For 
determining blood alcohol levels, a ``confirmatory test'' means a second 
test using another breath alcohol analysis device. Further confirmation 
upon demand will be by gas chromatography analysis of blood.
    ``Confirmed positive test.'' The result of a confirmatory test that 
has established the presence of drugs, drug metabolites, or alcohol in a 
specimen at or above the cut-off level, and that has been deemed 
positive by the Medical Review Officer (MRO) after evaluation. A 
``confirmed positive test'' for alcohol can also be obtained as a result 
of a confirmation of blood alcohol levels with a second breath analysis 
without MRO evaluation.
    ``HHS-certified laboratory.'' A urine and blood testing laboratory 
that maintains certification to perform drug testing under the 
Department of Health and Human Services (HHS) ``Mandatory Guidelines for 
Federal Workplace Drug Testing Programs'' (53 FR 11970).
    ``Illegal drugs.'' Those drugs included in Schedules I through V of 
the Controlled Substances Act (CSA), but not when used pursuant to a 
valid prescription or when used as otherwise authorized by law.
    ``Initial or screening test.'' An immunoassay screen for drugs or 
drug metabolites to eliminate ``negative'' urine specimens from further 
consideration or the first breathalyzer test for alcohol.
    ``Licensee's testing facility.'' A drug testing facility operated by 
the licensee or one of its vendors or contractors to perform the initial 
testing of urine samples and to perform initial breath tests for 
alcohol. Such a testing facility is optional and not required to 
maintain HHS certification under this part.
    ``Medical Review Officer.'' A licensed physician responsible for 
receiving laboratory results generated by an employer's drug testing 
program who has knowledge of substance abuse disorders and has 
appropriate medical training to interpret and evaluate an individual's 
positive test result together with his or her medical history and any 
other relevant biomedical information.
    ``Permanent record book.'' A permanently bound book in which 
identifying data on each specimen collected at a collection site are 
permanently recorded in the sequence of collection.
    ``Reason to believe.'' Reason to believe that a particular 
individual may alter or substitute the urine specimen.
    ``Split sample.'' A portion of a urine specimen that may be stored 
by the licensee to be tested in the event of appeal.

            Subpart B--Scientific and Technical Requirements

                          2.1  The Substances.

    (a) Licensees shall, as a minimum, test for marijuana, cocaine, 
opiates, amphetamines, phencyclidine, and alcohol for pre-access, for-
cause, random, and follow-up tests.
    (b) Licensees may test for any illegal drugs during a for-cause 
test, or analysis of any specimen suspected of being adulterated or 
diluted through hydration or other means.
    (c) Licensees shall establish rigorous testing procedures that are 
consistent with the intent of these guidelines for any other drugs not 
specified in these guidelines for which testing is authorized under 10 
CFR 26, so that the appropriateness of the use of these substances can 
be evaluated by the Medical Review Officer to ensure that individuals 
granted unescorted access are fit for maintaining access to and for 
performing duties in protected areas.

[[Page 411]]

    (d) Specimens collected under NRC regulations requiring compliance 
with this part may only be designated or approved for testing as 
described in this part and shall not be used to conduct any other 
analysis or test without the permission of the tested individual.
    (e) This section does not prohibit procedures reasonably incident to 
analysis of a specimen for controlled substances (e.g., determination of 
pH on tests for specific gravity, creatinine concentration, or presence 
of adulterants).

                 2.2  General Administration of Testing.

    The licensee testing facilities and HHS-certified laboratories 
described in this part shall develop and maintain clear and well-
documented procedures for collection, shipment, and accession of urine 
and blood specimens under this part. Such procedures shall include, as a 
minimum, the following:
    (a) Use of a chain-of-custody form. The original shall accompany the 
specimen to the HHS-certified laboratory. A copy shall accompany any 
split sample. The form shall be a permanent record on which is retained 
identity data (or codes) on the employee and information on the specimen 
collection process and transfers of custody of the specimen.
    (b) Use of a tamperevident sealing system designed in a manner such 
that the specimen container top can be sealed against undetected 
opening, the container can be identified with a unique identifying 
number identical to that appearing on the chain-of-custody form, and 
space has been provided to initial the container affirming its identity. 
For purposes of clarity, this requirement assumes use of a system made 
up of one or more pre-printed labels and seals (or a unitary label/
seal), but use of other, equally effective technologies is authorized.
    (c) Use of a shipping container in which one or more specimens and 
associated paperwork may be transferred and which can be sealed and 
initialled to prevent undetected tampering.
    (d) Written procedures, instructions, and training shall be provided 
as follows:
    (1) Licensee collection site procedures and training of collection 
site personnel shall clearly emphasize that the collection site person 
is responsible for maintaining the integrity of the specimen collection 
and transfer process, carefully ensuring the modesty and privacy of the 
individual tested, and is to avoid any conduct or remarks that might be 
construed as accusatorial or otherwise offensive or inappropriate.
    (2) A non-medical collection site person shall receive training in 
compliance with this appendix and shall demonstrate proficiency in the 
application of this appendix prior to serving as a collection site 
person. A medical professional, technologist, or technician licensed or 
otherwise approved to practice in the jurisdiction in which collection 
occurs may serve as a collection site person if that person is provided 
the instructions described in 2.2(3) and performs collections in 
accordance with those instructions.
    (3) Collection site persons shall be provided with detailed, 
clearly-illustrated, written instructions on the collection of specimens 
in compliance with this part. Individuals subject to testing shall also 
be provided standard written instructions setting forth their 
responsibilities.
    (4) The option to provide a blood specimen for confirmatory analysis 
following a positive breath test shall be specified in the written 
instructions provided to individuals tested. The instructions shall also 
state that failure to request a confirmatory blood test indicates that 
the individual accepts the breath test results.

                 2.3  Preventing Subversion of Testing.

    Licensees shall carefully select and monitor persons responsible for 
administering the testing program (e.g., collection site persons, 
laboratory technicians, specimen couriers, and those selecting and 
notifying personnel to be tested), based upon the highest standards for 
honesty and integrity, and shall implement measures to ensure that these 
standards are maintained. As a minimum, these measures shall ensure that 
the integrity of such persons is not compromised or subject to efforts 
to compromise due to personal relationships with any individuals subject 
to testing.
    As a minimum:
    (1) Supervisors, co-workers, and relatives of the individual being 
tested shall not perform any collection, assessment, or evaluation 
procedures.
    (2) Appropriate background checks and psychological evaluations 
shall be completed prior to assignment of any tasks associated with the 
administration of the program, and shall be conducted at least once 
every three years.
    (3) Persons responsible for administering the testing program shall 
be subjected to a behavioral observation program designed to assure that 
they continue to meet the highest standards for honesty and integrity.

                  2.4  Specimen Collection Procedures.

    (a) ``Designation of Collection Site.'' Each drug testing program 
shall have one or more designated collection sites which have all 
necessary personnel, materials, equipment, facilities, and supervision 
to provide for the collection, security, temporary storage, and shipping 
or transportation of urine or blood specimens to a drug testing 
laboratory. A properly equipped mobile facility that meets the 
requirements of this part is an acceptable collection site.

[[Page 412]]

    (b) ``Collection Site Person.'' A collection site person shall have 
successfully completed training to carry out this function. In any case 
where the collection of urine is observed, the collection site person 
must be a person of the same gender as the donor. Persons drawing blood 
shall be qualified to perform that task.
    (c) ``Security.'' The purpose of this paragraph is to prevent 
unauthorized access which could compromise the integrity of the 
collection process or the specimen. Security procedures shall provide 
for the designated collection site to be secure. If a collection site 
facility cannot be dedicated solely to drug and alcohol testing, the 
portion of the facility used for testing shall be secured during that 
testing.
    (1) A facility normally used for other purposes, such as a public 
rest room or hospital examining room, may be secured by visual 
inspection to ensure other persons are not present, and that undetected 
access (e.g., through a rear door not in the view of the collection site 
person) is impossible. Security during collection may be maintained by 
effective restriction of access to collection materials and specimens. 
In the case of a public rest room, the facility must be posted against 
access during the entire collection procedure to avoid embarrassment to 
the individual or distraction of the collection site person.
    (2) If it is impractical to maintain continuous physical security of 
a collection site from the time the specimen is presented until the 
sealed container is transferred for shipment, the following minimum 
procedures shall apply: The specimen shall remain under the direct 
control of the collection site person from delivery to its being sealed 
in a mailer or secured for shipment. The mailer shall be immediately 
mailed, maintained in secure storage, or remain until mailed under the 
personal control of the collection site person. These minimum procedures 
shall apply to the mailing of specimens to licensee testing facilities 
from collection sites (except where co-located) as well as to the 
mailing of specimens to HHS-certified laboratories. As an option, 
licensees may ship several specimens via courier in a locked or sealed 
shipping container.
    (d) ``Chain-of-Custody.'' Licensee chain-of-custody forms shall be 
properly executed by authorized collection site personnel upon receipt 
of specimens. Handling and transportation of urine and blood specimens 
from one authorized individual or place to another shall always be 
accomplished through chain-of-custody procedures. Every effort shall be 
made to minimize the number of persons handling the specimens.
    (e) ``Access to Authorized Personnel Only.'' No unauthorized 
personnel shall be permitted in any part of the designated collection 
site where specimens are collected or stored. Only the collection site 
person may handle specimens prior to their securement in the mailing or 
shipping container or monitor or observe specimen collection (under the 
conditions specified in this part). In order to promote security of 
specimens, avoid distraction of the collection site person, and ensure 
against any confusion in the identification of specimens, a collection 
site person shall conduct only one collection procedure at any given 
time. For this purpose, a collection procedure is complete when the 
specimen container has been sealed and initialed, the chain-of-custody 
form has been executed, and the individual has departed the collection 
site.
    (f) ``Privacy.'' Procedures for collecting urine specimens shall 
allow individual privacy unless there is reason to believe that a 
particular individual may alter or substitute the specimen to be 
provided. For purposes of this appendix the following circumstances are 
the exclusive grounds constituting a reason to believe that the 
individual may alter or substitute a urine specimen:
    (1) The individual has presented a urine specimen that falls outside 
the normal temperature range, and the individual declines to provide a 
measurement of oral body temperature by sterile thermometer, as provided 
in paragraph (g)(14) of this appendix, or the oral temperature does not 
equal or exceed that of the specimen.
    (2) The last urine specimen provided by the individual (i.e., on a 
previous occasion) was determined by the laboratory to have a specific 
gravity of less than 1.003 or a creatinine concentration below .2 g/L.
    (3) The collection site person observes conduct clearly and 
unequivocally indicating an attempt to substitute or adulterate the 
sample (e.g., substitute urine in plain view, blue dye in specimen 
presented, etc.).
    (4) The individual has previously been determined to have used a 
substance inappropriately or without medical authorization and the 
particular test is being conducted as a part of a rehabilitation program 
or on return to service after evaluation and/or treatment for a 
confirmed positive test result.
    (g) ``Integrity and Identity of Specimens.'' Licensees shall take 
precautions to ensure that a urine specimen is not adulterated or 
diluted during the collection procedure, that a blood sample or breath 
exhalent tube cannot be substituted or tampered with, and that the 
information on the specimen container and in the record book can 
identify the individual from whom the specimen was collected. The 
following minimum precautions shall be taken to ensure that authentic 
specimens are obtained and correctly identified:
    (1) To deter the dilution of urine specimens at the collection site, 
toilet bluing agents shall be placed in toilet tanks wherever possible, 
so the reservoir of water in the toilet

[[Page 413]]

bowl always remains blue. There shall be no other source of water (e.g., 
no shower or sink) in the enclosure where urination occurs. If there is 
another source of water in the enclosure, it shall be effectively 
secured or monitored to ensure it is not used (undetected) as a source 
for diluting the specimen.
    (2) When an individual arrives at the collection site for a urine or 
breath test, the collection site person shall ensure that the individual 
is positively identified as the person selected for testing (e.g., 
through presentation of photo identification or identification by the 
employer's representative). If the individual's identity cannot be 
established, the collection site person shall not proceed with the 
collection.
    (3) If the individual fails to arrive for a urine or breath test at 
the assigned time, the collection site person shall contact the 
appropriate authority to obtain guidance on the action to be taken.
    (4) After the individual has been positively identified, the 
collection site person shall ask the individual to sign a consent-to-
testing form and to list all of the prescription medications and over-
the-counter preparations that he or she can remember using within the 
past 30 days.
    (5) The collection site person shall ask the individual to remove 
any unnecessary outer garments such as a coat or jacket that might 
conceal items or substances that could be used to tamper with or 
adulterate the individual's urine, breath, or blood specimen. The 
collection site person shall ensure that all personal belongings such as 
a purse or briefcase remain with the outer garments outside of the room 
in which the blood, breath, or urine sample is collected. The individual 
may retain his or her wallet.
    (6) The individual shall be instructed to wash and dry his or her 
hands prior to urination.
    (7) After washing hands prior to urination, the individual shall 
remain in the presence of the collection site person and shall not have 
access to any water fountain, faucet, soap dispenser, cleaning agent or 
any other materials which could be used to adulterate the urine 
specimen.
    (8) The individual may provide his/her urine specimen in the privacy 
of a stall or otherwise partitioned areas that allows for individual 
privacy.
    (9) The collection site person shall note any unusual behavior or 
appearance in the permanent record book and on the chain-of-custody 
form.
    (10) In the exceptional event that a designated collection site is 
inaccessible and there is an immediate requirement for urine specimen 
collection (e.g., an accident investigation), a public or on-site rest 
room may be used according to the following procedures. A collection 
site person of the same gender as the individual shall accompany the 
individual into the rest room which shall be made secure during the 
collection procedure. If possible, a toilet bluing agent shall be placed 
in the bowl and any accessible toilet tank. The collection site person 
shall remain in the rest room, but outside the stall, until the specimen 
is collected. If no bluing agent is available to deter specimen 
dilution, the collection site person shall instruct the individual not 
to flush the toilet until the specimen is delivered to the collection 
site person. After the collection site person has possession of the 
specimen, the individual will be instructed to flush the toilet and to 
participate with the collection site person in completing the chain-of-
custody procedures.
    (11) Upon receiving a urine specimen from the individual, the 
collection site person shall determine that it contains at least 60 
milliliters of urine. If there is less than 60 milliliters of urine in 
the container, additional urine shall be collected in a separate 
container to reach a total of 60 milliliters. (The temperature of the 
partial specimen in each separate container shall be measured in 
accordance with paragraph (f)(13) of this section, and the partial 
specimens shall be combined in one container.) The individual may be 
given a reasonable amount of liquid to drink for this purpose (e.g., a 
glass of water). If the individual fails for any reason to provide 60 
milliliters of urine, the collection site person shall contact the 
appropriate authority to obtain guidance on the action to be taken.
    (12) After the urine specimen has been provided and submitted to the 
collection site person, the individual shall be allowed to wash his or 
her hands.
    (13) Immediately after the urine specimen is collected, the 
collection site person shall measure the temperature of the specimen. 
The temperature measuring device used must accurately reflect the 
temperature of the specimen and not contaminate the specimen. The time 
from urination to temperature measurement is critical and in no case 
shall exceed 4 minutes.
    (14) If the temperature of a urine specimen is outside the range of 
32.5 deg.- 37.7  deg.C/90.5 deg.-99.8  deg.F, that is a reason to 
believe that the individual may have altered or substituted the 
specimen, and another specimen shall be collected under direct 
observation of a same gender collection site person and both specimens 
shall be forwarded to the laboratory for testing. An individual may 
volunteer to have his or her oral temperature taken to provide evidence 
to counter the reason to believe the individual may have altered or 
substituted the specimen caused by the specimen's temperature falling 
outside the prescribed range.
    (15) Immediately after a urine specimen is collected, the collection 
site person shall also inspect the specimen to determine its

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color and look for any signs of contaminants. Any unusual findings shall 
be noted in the permanent record book.
    (16) All urine specimens suspected of being adulterated or found to 
be diluted shall be forwarded to the laboratory for testing.
    (17) Whenever there is reason to believe that a particular 
individual may alter or substitute the urine specimen to be provided, a 
second specimen shall be obtained as soon as possible under the direct 
observation of a same gender collection site person. Where appropriate, 
measures will be taken to prevent additional hydration.
    (18) Alcohol breath tests shall be delayed at least 15 minutes if 
any source of mouth alcohol (e.g., breath fresheners) or any other 
substances are ingested (e.g., eating, smoking, regurgitation of stomach 
contents from vomiting or burping). The collection site person shall 
ensure that each breath specimen taken comes from the end, rather than 
the beginning, of the breath expiration. For each screening test, two 
breath specimens shall be collected from each individual no less than 
two minutes apart and no more than 10 minutes apart. The test results 
shall be considered accurate if the result of each measurement is within 
plus or minus 10 percent of the average of the two measurements. If the 
two tests do not agree, the breath tests shall be repeated on another 
evidential-grade breath analysis device. Confirmatory testing is 
accomplished by repeating the above procedure on another evidential-
grade breath analysis device.
    (19) If the alcohol breath tests indicates that the individual is 
positive for a BAC at or above the 0.04 percent cut-off level, the 
individual may request a confirmatory blood test, at his or her 
discretion. All vacuum tube and needle assemblies used for blood 
collection shall be factory-sterilized. The collection site person shall 
ensure that they remain properly sealed until used. Antiseptic swabbing 
of the skin shall be performed with a nonethanol antiseptic. Sterile 
procedures shall be followed when drawing blood and transferring the 
blood to a storage container; in addition, the container must be sterile 
and sealed.
    (20) Both the individual being tested and the collection site person 
shall keep urine and blood specimens in view at all times prior to their 
being sealed and labeled. If a urine specimen is split (as described in 
Section 2.7(j)) and if any specimen is transferred to a second 
container, the collection site person shall request the individual to 
observe the splitting of the urine sample or the transfer of the 
specimen and the placement of the tamperevident seal over the container 
caps and down the sides of the containers.
    (21) The collection site person and the individual shall be present 
at the same time during procedures outlined in paragraphs (h) through 
(j) of this section.
    (22) The collection site person shall place securely on each 
container an identification label which contains the date, the 
individual's specimen number, and any other identification information 
provided or required by the drug testing program. If separate from the 
labels, the tamperevident seals shall also be applied.
    (23) The individual shall initial the identification labels on the 
specimen containers for the purpose of certifying that it is the 
specimen collected from him or her.
    (i) The individual shall be asked to read and sign a statement on 
either the chain-of-custody form or in the permanent record book 
certifying that the specimens identified as having been collected from 
him or her are in fact the specimen he or she provided.
    (ii) The individual shall be provided an opportunity to set forth on 
the urine chain-of-custody form information concerning medications taken 
or administered in the past 30 days.
    (24) The collection site person shall enter in the permanent record 
book all information identifying the specimens. The collection site 
person shall sign the permanent record book next to the identifying 
information.
    (25) A higher level supervisor in the drug testing program shall 
review and concur in advance with any decision by a collection site 
person to obtain a urine specimen under the direct observation of a same 
gender collection site person based on a reason to believe that the 
individual may alter or substitute the specimen to be provided.
    (26) The collection site person shall complete the chain-of-custody 
forms for both the aliquot and the split sample, if collected, and shall 
certify proper completion of the collection.
    (27) The specimens and chain-of-custody forms are now ready for 
transfer to the laboratory or the licensee's testing facility. If the 
specimens are not immediately prepared for shipment, they shall be 
appropriately safeguarded during temporary storage.
    (28) While any part of the above chain-of-custody procedures is 
being performed, it is essential that the specimens and custody 
documents be under the control of the involved collection site person. 
The collection site person shall not leave the collection site in the 
interval between presentation of the specimen by the individual and 
securement of the samples with identifying labels bearing the 
individual's specimen identification numbers and seals initialled by the 
individual. If the involved collection site person leaves his or her 
work station momentarily, the specimens and chain-of-custody forms shall 
be taken with him or her or shall be secured. If the collection site 
person is leaving for an extended period of time, the specimens shall be 
packaged for transfer to the laboratory before he or she leaves the 
site.

[[Page 415]]

    (h) ``Collection Control.'' To the maximum extent possible, 
collection site personnel shall keep the individual's specimen 
containers within sight both before and after the individual has 
urinated or provided a breath or blood sample. After the specimen is 
collected and whenever urine specimens are split, they shall be properly 
sealed and labeled. A chain-of-custody form shall be used for 
maintaining control and accountability of each specimen from the point 
of collection to final disposition of the specimen. The date and purpose 
shall be documented on the chain-of-custody form each time a specimen is 
handled or transferred, and every individual in the chain of custody 
shall be identified. Every effort shall be made to minimize the number 
of persons handling specimens.
    (i) ``Transportation to Laboratory or Testing Facility.'' Collection 
site personnel shall arrange to transfer the collected specimens to the 
drug testing laboratory or licensee testing facility. To transfer 
specimens off-site for initial screening and for a second screen and 
confirmatory analysis of presumptive positive specimens and for 
transferring suspect specimens to a laboratory for analysis under 
special processing [Section 2.7(d)], the specimens shall be placed in 
containers designed to minimize the possibility of damage during 
shipment (e.g., specimen boxes, padded mailers, or bulk shipping 
containers with that capability) and those containers shall be securely 
sealed to eliminate the possibility of undetected tampering. On the tape 
sealing the container, the collection site person shall sign and enter 
the date specimens were sealed in the containers for shipment. The 
collection site personnel shall ensure that the chain-of-custody 
documentation is attached to each container sealed for shipment to the 
drug testing laboratory.
    (j) ``Failure to Cooperate.'' If the individual refuses to cooperate 
with the urine collection or breath analysis process (e.g., refusal to 
provide a complete specimen, complete paperwork, initial specimen), then 
the collection site person shall inform the Medical Review Officer and 
shall document the non-cooperation in the permanent record book and on 
the specimen custody and control form. The Medical Review Officer shall 
report the failure to cooperate to the appropriate management. The 
provision of blood specimens for use to confirm a positive breath test 
for alcohol shall be entirely voluntary, at the individual's discretion. 
In the absence of a voluntary blood test the second positive breath test 
shall be considered a confirmed positive.

                2.5.  HHS-certified Laboratory Personnel.

    (a) ``Day-to-Day Management of the HHS-certified Laboratories.''
    (1) The HHS-certified laboratory shall have a qualified individual 
to assume professional, organizational, educational, and administrative 
responsibility for the laboratories' drug testing facilities.
    (2) This individual shall have documented scientific qualifications 
in analytical forensic toxicology. Minimum qualifications are:
    (i) Certification as a laboratory director by the appropriate State 
in forensic or clinical laboratory toxicology; or
    (ii) A Ph.D. in one of the natural sciences with an adequate 
undergraduate and graduate education in biology, chemistry, and 
pharmacology or toxicology, or
    (iii) Training and experience comparable to a Ph.D. in one of the 
natural sciences, such as a medical or scientific degree with additional 
training and laboratory/research experience in biology, chemistry, and 
pharmacology or toxicology, and
    (iv) In addition to the requirements in (i), (ii), and (iii) above, 
minimum qualifications also require:
    (A) Appropriate experience in analytical forensic toxicology 
including experience with the analysis of biological material for drugs 
of abuse; and
    (B) Appropriate training and/or experience in forensic applications 
of analytical toxicology, e.g., publications, court testimony, research 
concerning analytical toxicology of drugs of abuse, or other factors 
which qualify the individual as an expert witness in forensic 
toxicology.
    (3) This individual shall be engaged in and responsible for the day-
to-day management of the testing laboratory even where another 
individual has overall responsibility for an entire multispecialty 
laboratory.
    (4) This individual shall be responsible for ensuring that there are 
enough personnel with adequate training and experience to supervise and 
conduct the work of their testing laboratories. He or she shall assure 
the continued competency of laboratory personnel by documenting their 
inservice training, reviewing their work performance, and verifying 
their skills.
    (5) This individual shall be responsible for the laboratory's having 
a procedure manual which is complete, up-to-date, available for 
personnel performing tests, and followed by those personnel. The 
procedure manual shall be reviewed, signed, and dated by this 
responsible individual whenever procedures are first placed into use or 
changed or when a new individual assumes responsibility for management 
of the laboratory. Copies of all procedures and dates on which they are 
in effect shall be maintained. (Specific contents of the procedure 
manual are described in Section 2.7(0) of this appendix).
    (6) This individual shall be responsible for maintaining a quality 
assurance program to assure the proper performance and reporting of all 
test results; for maintaining acceptable analytical performance for all 
controls

[[Page 416]]

and standards; for maintaining quality control testing; and for assuring 
and documenting the validity, reliability, accuracy, precision, and 
performance characteristics of each test and test system.
    (7) This individual shall be responsible for taking all remedial 
actions necessary to maintain satisfactory operation and performance of 
the laboratory in response to quality control systems not being within 
performance specifications, errors in result reporting or in analysis of 
performance testing results. This individual shall ensure that test 
results are not reported until all corrective actions have been taken 
and he or she can assure that the test results provided are accurate and 
reliable.
    (b) ``Test Validation.'' The laboratory's urine drug testing 
facility shall have a qualified individual(s) who reviews all pertinent 
data and quality control results in order to attest to the validity of 
the laboratory's test reports. A laboratory may designate more than one 
person to perform this function. This individual(s) may be any employee 
who is qualified to be responsible for day-to-day management or 
operation of the drug testing laboratory.
    (c) ``Day-to-Day Operations and Supervision of Analysts.'' The 
laboratory's urine drug testing facility shall have an individual to be 
responsible for day-to-day operations and to supervise the technical 
analysts. This individual(s) shall have at least a bachelor's degree in 
the chemical or biological sciences or medical technology or equivalent. 
He or she shall have training and experience in the theory and practice 
of the procedures used in the laboratory, resulting in his or her 
thorough understanding of quality control practices and procedures; the 
review, interpretation, and reporting of test results; maintenance of 
chain-of-custody; and proper remedial actions to be taken in response to 
test systems being out of control limits or detecting aberrant test or 
quality control results.
    (d) ``Other Personnel.'' Other technicians or nontechnical staff 
shall have the necessary training and skills for the tasks assigned.
    (e) ``Training.'' The laboratory's testing program shall make 
available continuing education programs to meet the needs of laboratory 
personnel.
    (f) ``Files.'' Laboratory personnel files shall include: resume of 
training and experience; certification or license, if any; references; 
job descriptions; records of performance evaluation and advancement; 
incident reports; and results of tests which establish employee 
competency for the position he or she holds, such as a test for color 
blindness, if appropriate.

                2.6  Licensee Testing Facility Personnel.

    (a) ``Day-to-Day Management of Operations.'' Any licensee testing 
facility shall have an individual to be responsible for day-to-day 
operations and to supervise the testing technicians. This individual(s) 
shall have at least a bachelor's degree in the chemical or biological 
sciences or medical technology or equivalent. He or she shall have 
training and experience in the theory and practice of the procedures 
used in the licensee testing facility, resulting in his or her thorough 
understanding of quality control practices and procedures; the review, 
interpretation, and reporting of test results; and proper remedial 
actions to be taken in response to detecting aberrant test or quality 
control results.
    (b) ``Other Personnel.'' Other technicians or nontechnical staff 
shall have the necessary training and skills for the tasks assigned.
    (c) ``Files.'' Licensees' testing facility personnel files shall 
include: resume of training and experience; certification or license, if 
any; references; job descriptions; records of performance evaluation and 
advancement; incident reports; results of tests which establish employee 
competency for the position he or she holds, such as a test for color 
blindness, if appropriate and appropriate data to support determinations 
of honesty and integrity conducted in accordance with Section 2.3 of 
this appendix.

        2.7  Laboratory and Testing Facility Analysis Procedures.

    (a) ``Security and Chain-of-Custody.''
    (1) HHS-certified drug testing laboratories and any licensee testing 
facility shall be secure at all times. They shall have in place 
sufficient security measures to control access to the premises and to 
ensure that no unauthorized personnel handle specimens or gain access to 
the laboratory processes or to areas where records and split samples are 
stored. Access to these secured areas shall be limited to specifically 
authorized individuals whose authorization is documented. All authorized 
visitors and maintenance and service personnel shall be escorted at all 
times in the HHS-certified laboratory and in the licensee's testing 
facility. Documentation of individuals accessing these areas, dates, and 
times of entry and purpose of entry must be maintained.
    (2) Laboratories and testing facilities shall use chain-of-custody 
procedures to maintain control and accountability of specimens from 
receipt through completion of testing, reporting of results, during 
storage, and continuing until final disposition of specimens. The date 
and purpose shall be documented on an appropriate chain-of-custody form 
each time a specimen is handled or transferred, and every individual in 
the chain shall be

[[Page 417]]

identified. Accordingly, authorized technicians shall be responsible for 
each urine specimen or aliquot in their possession and shall sign and 
complete chain-of-custody forms for those specimens or aliquots as they 
are received.
    (b) ``Receiving.''
    (1) When a shipment of specimens is received, laboratory and 
licensee's testing facility personnel shall inspect each package for 
evidence of possible tampering and compare information on specimen 
containers within each package to the information on the accompanying 
chain-of-custody forms. Any direct evidence of tampering or 
discrepancies in the information on specimen containers and the 
licensee's chain-of-custody forms attached to the shipment shall be 
reported within 24 hours to the licensee, in the case of HHS-certified 
laboratories, and shall be noted on the laboratory's chain-of-custody 
form which shall accompany the specimens while they are in the 
laboratory's possession. Indications of tampering with specimens at a 
testing facility operated by a licensee shall be reported within 8 hours 
to senior licensee management.
    (2) Specimen containers will normally be retained within the 
laboratory's or testing facility's accession area until all analyses 
have been completed. Aliquots and the chain-of-custody forms shall be 
used by laboratory or testing facility personnel for conducting initial 
and confirmatory tests, as appropriate.
    (c) ``Short-Term Refrigerated Storage.'' Specimens that do not 
receive an initial test within 7 days of arrival at the laboratory or 
are not shipped within 6 hours from the licensee's testing facility and 
any retained split samples shall be placed in secure refrigeration 
units. Temperatures shall not exceed 6  deg.C. Emergency power equipment 
shall be available in case of prolonged power failure.
    (d) ``Specimen Processing.'' Urine specimens identified as 
presumptive positive by a licensee's testing facility shall be shipped 
to an HHS-certified laboratory for testing. Laboratory facilities for 
drug testing will normally process urine specimens by grouping them into 
batches. The number of specimens in each batch may vary significantly 
depending on the size of the laboratory and its workload. When 
conducting either initial or confirmatory tests at either the licensee's 
testing facility or an HHS-certified laboratory, every batch shall 
contain an appropriate number of standards for calibrating the 
instrumentation and a minimum of 10 percent controls. Both quality 
control and blind performance test samples shall appear as ordinary 
samples to laboratory analysts. Special processing may be conducted to 
analyze specimens suspected of being adulterated or diluted (including 
hydration). Any evidence of adulteration or dilution, and any detected 
trace amounts of drugs or metabolites, shall be reported to the Medical 
Review Officer.
    (e) ``Preliminary Initial Test.''
    (1) For the analysis of urine specimens, any preliminary test 
performed by a licensee's testing facility and the initial screening 
test performed by a HHS-certified laboratory shall use an immunoassay 
which meets the requirements of the Food and Drug Administration for 
commercial distribution. The initial test of breath for alcohol 
performed at the collection site shall use a breath measurement device 
which meets the requirements of Section 2.7(o)(3). The following initial 
cut-off levels shall be used when screening specimens to determine 
whether they are negative for the indicated substances:

    Initial test cut-off level (ng/ml)

 Marijuana metabolites...............................................100
Cocaine metabolites..................................................300
Opiate metabolites..................................................300*
Phencyclidine.........................................................25
Amphetamines.......................................................1,000
Alcohol........................................................0.04% BAC

    *25 ng/ml is immunoassay specific for free morphine.

    In addition, licensees may specify more stringent cutoff levels. 
Results shall be reported for both levels in such cases.

    (2) The list of substances to be tested and the cut-off levels are 
subject to change by the NRC in response to industry experience and 
changes to the HHS Guidelines made by the Department of Health and Human 
Services as advances in technology, additional experience, or other 
considerations warrant the inclusion of additional substances and other 
concentration levels.
    (f) ``Confirmatory Test.''
    (1) Specimens which test negative as a result of this second 
screening shall be reported as negative to the licensee and will not be 
subject to any further testing unless special processing of the specimen 
is desired because adulteration or dilution is suspected.
    (2) All urine samples identified as presumptive positive on the 
screening test performed by a HHS-certified laboratory shall be 
confirmed using gas chromatography/mass spectrometry (GC/MS) techniques 
at the cut-off values listed in this paragraph for each drug, and at the 
cut-off values required by the licensee's unique program, where 
differences exist. All confirmations shall be by quantitative analysis. 
Concentrations which exceed the linear region of the standard curve 
shall be documented in the laboratory record as ``greater than highest 
standard curve value.''

    Confirmatory test cut-off level (ng/ml)

Marijuana metabolite.................................................15*
Cocaine metabolite.................................................150**
Opiates:
  Morphine...........................................................300

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  Codeine............................................................300
Phencyclidine.........................................................25
Amphetamines:
  Amphetamine........................................................500
  Methamphetamine....................................................500
Alcohol........................................................0.04% BAC

    *Delta-9-tetrahydrocannabinol-9-carboxylic acid.
    **Benzoylecgonine.

    In addition, licensees may specify more stringent cut-off levels. 
Results shall be reported for both levels in such cases.
    (3) The analytic procedure for confirmatory analysis of blood 
specimens voluntarily provided by individuals testing positive for 
alcohol on a breath test shall be gas chromatography analysis.
    (4) The list of substances to be tested and the cut-off levels are 
subject to change by the NRC in response to industry experience and 
changes to the HHS Guidelines made by the Department of Health and Human 
Services as advances in technology, additional experience, or other 
considerations warrant the inclusion of additional substances and other 
concentration levels.
    (5) Confirmatory tests for opiates shall include a test for 6-
monoacetylmorphine (MAM) if the screening test is presumptive positive 
for morphine.
    (g) ``Reporting Results.''
    (1) The HHS-certified laboratory shall report test results to the 
licensee's Medical Review Officer within 5 working days after receipt of 
the specimen by the laboratory. Before any test result is reported (the 
results of initial tests, confirmatory tests, or quality control data), 
it shall be reviewed and the test certified as an accurate report by the 
responsible individual at the laboratory. The report shall identify the 
substances tested for, whether positive or negative, the cut-off(s) for 
each, the specimen number assigned by the licensee, and the drug testing 
laboratory specimen identification number. The results (positive and 
negative) for all specimens submitted at the same time to the laboratory 
shall be reported back to the Medical Review Officer at the same time 
when possible.
    (2) The HHS-certified laboratory and any licensee testing facility 
shall report as negative all specimens, except suspect specimens being 
analyzed under special processing, which are negative on the initial 
test or negative on the confirmatory test. Specimens testing positive on 
the confirmatory analysis shall be reported positive for a specific 
substance. Except as provided in Sec. 26.24(d), presumptive positive 
results of preliminary testing at the licensee's testing facility will 
not be reported to licensee management.
    (3) The Medical Review Officer may routinely obtain from the HHS-
certified laboratory, and the laboratory shall provide, quantitation of 
test results. The Medical Review Officer may only disclose quantitation 
of test results for an individual to licensee management, if required in 
an appeals process, or to the individual under the provisions of Section 
3.2. (This does not preclude the provision of program performance data 
under the provisions of 10 CFR 26.71(d).) Quantitation of negative tests 
for urine specimens shall not be disclosed, except where deemed 
appropriate by the Medical Review Officer for proper disposition of the 
results of tests of suspect specimens. Alcohol quantitation for a blood 
specimen shall be provided to licensee management with the Medical 
Review Officer's evaluation.
    (4) The laboratory may transmit results to the Medical Review 
Officer by various electronic means (e.g., teleprinters, facsimile, or 
computer) in a manner designed to ensure confidentiality of the 
information. Results may not be provided verbally by telephone from HHS-
certified laboratory personnel to the Medical Review Officer. The HHS-
certified laboratory must ensure the security of the data transmission 
and limit access to any data transmission, storage, and retrieval 
system.
    (5) The laboratory shall send only to the Medical Review Officer a 
certified copy of the original chain-of-custody form signed by the 
individual responsible for day-to-day management of the drug testing 
laboratory or the individual responsible for attesting to the validity 
of the test reports and attached to which shall be a copy of the test 
report.
    (6) The HHS-certified laboratory and the licensee's testing facility 
shall provide to the licensee official responsible for coordination of 
the fitness-for-duty program a monthly statistical summary of urinalysis 
and blood testing and shall not include in the summary any personal 
identifying information. Initial test data from the licensee's testing 
facility and the HHS-certified laboratory, and confirmation data from 
HHS-certified laboratories shall be included for test results reported 
within that month. Normally this summary shall be forwarded from HHS-
certified laboratories by registered or certified mail and from the 
licensee's testing facility not more than 14 calendar days after the end 
of the month covered by the summary. The summary shall contain the 
following information:
    (i) Initial Testing:
    (A) Number of specimens received;
    (B) Number of specimens reported out; and
    (C) Number of specimens screened
positive for:

Marijuana metabolites
Cocaine metabolites
Opiate metabolites
Phencyclidine
Amphetamines
Alcohol

    (ii) Confirmatory Testing:

[[Page 419]]

    (A) Number of specimens received for confirmation;
    (B) Number of specimens confirmed positive for:

Marijuana metabolite
Cocaine metabolite
Morphine, codeine
Phencyclidine
Amphetamine
Methamphetamine
Alcohol

    (7) The statistics shall be presented for both the cut-off levels in 
these guidelines and any more stringent cut-off levels which licensees 
may specify. The HHS-certified laboratory and the licensee's testing 
facility shall make available quantitative results for all samples 
tested when requested by the NRC or the licensee for which the 
laboratory is performing drug testing services.
    (8) Unless otherwise instructed by the licensee in writing, all 
records pertaining to a given urine or blood specimen shall be retained 
by the HHS-certified drug testing laboratory and the licensee's testing 
facility for a minimum of 2 years.
    (h) ``Long-Term Storage.'' Long-term frozen storage (-20  deg.C or 
less) ensures that positive urine specimens will be available for any 
necessary retest during administrative or disciplinary proceedings. 
Unless otherwise authorized in writing by the licensee, HHS-certified 
laboratories shall retain and place in properly secured long-term frozen 
storage for a minimum of 1 year all specimens confirmed positive. Within 
this 1-year period a licensee or the NRC may request the laboratory to 
retain the specimen for an additional period of time, but if no such 
request is received, the laboratory may discard the specimen after the 
end of 1 year, except that the laboratory shall be required to maintain 
any specimens under legal challenge for an indefinite period. Any split 
samples retained by the licensee shall be transferred into long-term 
storage upon determination by the Medical Review Officer that the 
specimen has a confirmed positive test.
    (i) ``Retesting Specimens.'' Because some analytes deteriorate or 
are lost during freezing and/or storage, quantitation for a retest is 
not subject to a specific cut-off requirement but must provide data 
sufficient to confirm the presence of the drug or metabolite.
    (j) ``Split Samples.'' Urine specimens may be split, at the 
licensee's discretion, into two parts at the collection site. One half 
of such samples (hereafter called the aliquot) shall be analyzed by the 
licensee's testing facility or the HHS-certified laboratory for the 
licensee's purposes as described in this appendix. The other half of the 
sample (hereafter called the split sample) may be withheld from transfer 
to the laboratory, sealed, and stored in a secure manner by the licensee 
until the aliquot has been determined to be negative or until the 
positive result of a screening test has been confirmed. As soon as the 
aliquot has tested negative, the split sample in storage may be 
destroyed. If the aliquot tests positive by confirmatory testing, then, 
at the tested individual's request, the split sample may be forwarded on 
that day to another HHS-certified laboratory that did not test the 
aliquot. The chain-of-custody and testing procedures to which the split 
sample is subject, shall be the same as those used to test the initial 
aliquot and shall meet the standards for retesting specimens [Section 
2.7(i)]. The quantitative results of any second testing process shall be 
made available to the Medical Review Officer and to the individual 
tested.
    (k) ``Subcontracting.'' HHS-certified laboratories shall not 
subcontract and shall perform all work with their own personnel and 
equipment unless otherwise authorized by the licensee. The laboratory 
must be capable of performing testing of the five classes of drugs 
(marijuana, cocaine, opiates, phencyclidine, and amphetamines) and of 
whole blood and confirmatory GC/MS methods specified in these 
guidelines.
    (l) ``Laboratory Facilities.''
    (1) HHS-certified laboratories shall comply with applicable 
provisions of any State licensure requirements.
    (2) HHS-certified laboratories shall have the capability, at the 
same laboratory premises, of performing initial tests for each drug and 
drug metabolite for which service is offered, and for performing 
confirmatory tests for alcohol and for each drug and drug metabolite for 
which service is offered. Any licensee testing facilities shall have the 
capability, at the same premises, of performing initial screening tests 
for each drug and drug metabolite for which testing is conducted. Breath 
tests for alcohol may be performed at the collection site.
    (m) ``Inspections.'' The NRC and any licensee utilizing an HHS-
certified laboratory shall reserve the right to inspect the laboratory 
at any time. Licensee contracts with HHS-certified laboratories for drug 
testing and alcohol confirmatory testing, as well as contracts for 
collection site services, shall permit the NRC and the licensee to 
conduct unannounced inspections. In addition, prior to the award of a 
contract, the licensee shall carry out pre-award inspections and 
evaluation of the procedural aspects of the laboratory's drug testing 
operation. The NRC shall reserve the right to inspect a licensee's 
testing facility at any time.
    (n) ``Documentation.'' HHS-certified laboratories and the licensee's 
testing facility shall maintain and make available for at least 2 years 
documentation of all aspects of the testing process. This 2-year period 
may be extended upon written notification by the NRC or by any licensee 
for which laboratory

[[Page 420]]

services are being provided. The required documentation shall include 
personnel files on all individuals authorized to have access to 
specimens; chain-of-custody documents; quality assurance/quality control 
records; procedure manuals; all test data (including calibration curves 
and any calculations used in determining test results); reports; 
performance records on performance testing; performance on certification 
inspections; and hard copies of computer-generated data. The HHS-
certified laboratory and the licensee's testing facility shall be 
required to maintain documents for any specimen under legal challenge 
for an indefinite period.
    (o) ``Additional Requirements for HHS-certified Laboratories and 
Licensee's Testing Facilities.''
    (1) ``Procedure manual.'' Each laboratory and licensee's testing 
facility shall have a procedure manual which includes the principles of 
each test, preparation of reagents, standards and controls, calibration 
procedures, derivation of results, linearity of methods, sensitivity of 
the methods, cutoff values, mechanisms for reporting results, controls, 
criteria for unacceptable specimens and results, remedial actions to be 
taken when the test systems are outside of acceptable limits, reagents 
and expiration dates, and references. Copies of all procedures and dates 
on which they are in effect shall be maintained as part of the manual. 
Superseded material must be retained for three years.
    (2) ``Standards and controls.'' HHS-certified laboratory standards 
shall be prepared with pure drug standards which are properly labeled as 
to content and concentration. The standards shall be labeled with the 
following dates: when received; when prepared or opened; when placed in 
service; and expiration date.
    (3) ``Instruments and equipment.''
    (i) Volumetric pipettes and measuring devices shall be certified for 
accuracy or be checked by gravimetric, colorimetric, or other 
verification procedure. Automatic pipettes and dilutors shall be checked 
for accuracy and reproducibility before being placed in service and 
checked periodically thereafter.
    (ii) Alcohol breath analysis equipment shall be an evidental-grade 
breath alcohol analysis device of a brand and model that conforms to 
National Highway Traffic Safety Administration (NHTSA) standards (49 FR 
48855) and to any applicable State statutes.
    (iii) There shall be written procedures for instrument set-up and 
normal operation, a schedule for checking critical operating 
characteristics for all instruments, tolerance limits for acceptable 
function checks, and instructions for major troubleshooting and repair. 
Records shall be available on preventive maintenance.
    (4) ``Remedial actions.'' There shall be written procedures for the 
actions to be taken when systems are out of acceptable limits or errors 
are detected. There shall be documentation that these procedures are 
followed and that all necessary corrective actions are taken. There 
shall also be in place systems to verify all stages of testing and 
reporting and documentation that these procedures are followed.
    (5) ``Personnel available to testify at proceedings.'' The 
licensee's testing facility and HHS-certified laboratory shall have 
qualified personnel available to testify in an administrative or 
disciplinary proceeding against an individual when that proceeding is 
based on positive breath analysis or urinalysis results reported by the 
licensee's testing facility or the HHS-certified laboratory.

               2.8  Quality Assurance and Quality Control.

    (a) ``General.'' HHS-certified laboratories and the licensee's 
testing facility shall have a quality assurance program which 
encompasses all aspects of the testing process including but not limited 
to specimen acquisition, chain-of-custody, security, reporting of 
results, initial and confirmatory testing, and validation of analytical 
procedures. Quality assurance procedures shall be designed, implemented, 
and reviewed to monitor the conduct of each step of the process of 
testing for drugs.
    (b) ``Licensee's Testing Facility Quality Control Requirements for 
Initial Tests.'' Because all positive preliminary tests for drugs are 
forwarded to an HHS-certified laboratory for screening and confirmatory 
testing when appropriate, the NRC does not require licensees to assess 
their testing facility's false positive rates for drugs. To ensure that 
the rate of false negative tests is kept to the minimum that the 
immunoassay technology supports, licensees shall process blind 
performance test specimens and submit a sampling of specimens screened 
as negative from every test run to the HHS-certified laboratory. In 
addition, the manufacturer-required performance tests of the breath 
analysis equipment used by the licensee shall be conducted as set forth 
in the manufacturer's specifications.
    (c) ``Laboratory Quality Control Requirements for Initial Tests at 
HHS-Certified Laboratories.'' Each analytical run of specimens to be 
screened shall include:
    (1) Urine specimens certified to contain no drug;
    (2) Urine specimens fortified with known standards; and
    (3) Positive controls with the drug or metabolite at or near the 
threshold (cut-off).
    In addition, with each batch of samples, a sufficient number of 
standards shall be included to ensure and document the linearity

[[Page 421]]

of the assay method over time in the concentration area of the cut-off. 
After acceptable values are obtained for the known standards, those 
values will be used to calculate sample data. Implementation of 
procedures to ensure that carryover does not contaminate the testing of 
an individual's specimen shall be documented. A minimum of 10 percent of 
all test samples shall be quality control specimens. Laboratory quality 
control samples, prepared from spiked urine samples of determined 
concentration, shall be included in the run and should appear as normal 
samples to laboratory analysts. One percent of each run, with a minimum 
of at least one sample, shall be the laboratory's own quality control 
samples.
    (d) ``Laboratory Quality Control Requirements for Confirmation 
Tests.'' Each analytical run of specimens to be confirmed shall include:
    (1) Urine specimens certified to contain no drug;
    (2) Urine specimens fortified with known standards; and
    (3) Positive controls with the drug or metabolite at or near the 
threshold (cut-off).
    The linearity and precision of the method shall be periodically 
documented. Implementation of procedures to ensure that carryover does 
not contaminate the testing of an individual's specimen shall also be 
documented.
    (e) ``Licensee Blind Performance Test Procedures.''
    (1) Licensees shall purchase chemical testing services only from 
laboratories certified by DHHS or a DHHS-recognized certification 
program in accordance with the HHS Guidelines. Laboratory participation 
is encouraged in other performance testing surveys by which the 
laboratory's performance is compared with peers and reference 
laboratories.
    (2) During the initial 90-day period of any new drug testing 
program, each licensee shall submit blind performance test specimens to 
each HHS-certified laboratory it contracts within the amount of at least 
50 percent of the total number of samples submitted (up to a maximum of 
500 samples) and thereafter a minimum of 10 percent of all samples (to a 
maximum of 250) submitted per quarter.
    (3) Approximately 80 percent of the blind performance test samples 
shall be blank (i.e., certified to contain no drug) and the remaining 
samples shall be positive for one or more drugs per sample in a 
distribution such that all the drugs to be tested are included in 
approximately equal frequencies of challenge. The positive samples shall 
be spiked only with those drugs for which the licensee is testing.
    (4) The licensee shall investigate, or shall refer to DHHS for 
investigation, any unsatisfactory performance testing result, and based 
on this investigation, the laboratory shall take action to correct the 
cause of the unsatisfactory performance test result. A record shall be 
made of the investigative findings and the corrective action taken by 
the laboratory, and that record shall be dated and signed by the 
individuals responsible for the day-to-day management and operation of 
the HHS-certified laboratory. Then the licensee shall send the document 
to the NRC as a report of the unsatisfactory performance testing 
incident within 30 days. The NRC shall ensure notification of the 
finding to DHHS.
    (5) Should a false positive error occur on a blind performance test 
specimen and the error is determined to be an administrative error 
(clerical, sample mixup, etc.), the licensee shall promptly notify the 
NRC. The licensees shall require the laboratory to take corrective 
action to minimize the occurrence of the particular error in the future; 
and, if there is reason to believe the error could have been systematic, 
the licensee may also require review and reanalysis of previously run 
specimens.
    (6) Should a false positive error occur on a blind performance test 
specimen and the error is determined to be a technical or methodological 
error, the licensee shall instruct the laboratory to submit to them all 
quality control data from the batch of specimens which included the 
false positive specimen. In addition, the licensee shall require the 
laboratory to retest all specimens analyzed positive for that drug or 
metabolite from the time of final resolution of the error back to the 
time of the last satisfactory performance test cycle. This retesting 
shall be documented by a statement signed by the individual responsible 
for day-to-day management of the laboratory's substance testing program. 
The licensee and the NRC may require an on-site review of the laboratory 
which may be conducted unannounced during any hours of operation of the 
laboratory. Based on information provided by the NRC, DHHS has the 
option of revoking or suspending the laboratory's certification or 
recommending that no further action be taken if the case is one of less 
serious error in which corrective action has already been taken, thus 
reasonably assuring that the error will not occur again.

                  2.9  Reporting and Review of Results

    (a) ``Medical Review Officer shall review results.'' An essential 
part of the licensees' testing programs is the final review of results. 
A positive test result does not automatically identify a nuclear power 
plant worker as having used substances in violation of the NRC's 
regulations or the licensee's company policies. An individual with a 
detailed knowledge of possible alternate medical explanations is 
essential to the review of results. This review shall be performed by 
the Medical Review Officer prior

[[Page 422]]

to the transmission of results to licensee management officials.
    (b) ``Medical Review Officer--qualifications and responsibilities.'' 
The Medical Review Officer shall be a licensed physician with knowledge 
of substance abuse disorders and may be a licensee or contract employee. 
The role of the Medical Review Officer is to review and interpret 
positive test results obtained through the licensee's testing program. 
In carrying out this responsibility, the Medical Review Officer shall 
examine alternate medical explanations for any positive test result 
(this does not include confirmation of blood alcohol levels obtained 
through the use of a breath alcohol anaylsis device). This action could 
include conducting a medical interview with the individual, review of 
the individual's medical history, or review of any other relevant 
biomedical factors. The Medical Review Officer shall review all medical 
records made available by the tested individual when a confirmed 
positive test could have resulted from legally prescribed medication. 
The Medical Review Officer shall not consider the results of tests that 
are not obtained or processed in accordance with these Guidelines, 
although he or she may consider the results of tests on split samples in 
making his or her determination, as long as those split samples have 
been stored and tested in accordance with the procedures described in 
these Guidelines.
    (c) ``Positive Test Results.'' Prior to making a final decision to 
verify a positive test result, the Medical Review Officer shall give the 
individual an opportunity to discuss the test result with him or her. 
Following verification of a positive test result, the Medical Review 
Officer shall, as provided in the licensee's policy, notify the 
applicable employee assistance program and the licensee's management 
official empowered to recommend or take administrative action (or the 
official's designated agent).
    (d) ``Verification for opiates; review for prescription 
medication.'' Before the Medical Review Officer verifies a confirmed 
positive result and the licensee takes action for opiates, he or she 
shall determine that there is clinical evidence--in addition to the 
urine test--of unauthorized use of any opium, opiate, or opium 
derivative (e.g., morphine/codeine). Clinical signs of abuse include 
recent needle tracks or behavioral and psychological signs of acute 
opiate intoxication or withdrawal. This requirement does not apply if 
the GC/MS confirmation testing for opiates confirms the presence of 6-
monoacetylmorphine. For other drugs that are commonly prescribed or 
commonly included in over-the-counter preparations (e.g., 
benzodiazepines in the first case, barbiturates in the second) and that 
are listed in the licensee's panel of substances to be tested, the 
Medical Review Officer shall also determine whether there is clinical 
evidence--in addition to the urine test--of unauthorized use of any of 
these substances or their derivatives.
    (e) ``Reanalysis authorized.'' Should any question arise as to the 
accuracy or validity of a positive test result, only the Medical Review 
Officer is authorized to order a reanalysis of the original sample and 
such retests are authorized only at laboratories certified by DHHS. The 
Medical Review Officer shall authorize a reanalysis of the original 
aliquot on timely request of the individual tested, and shall also 
authorize an analysis of any sample stored by the licensee.
    (f) ``Results consistent with responsible substance use.'' If the 
Medical Review Officer determines that there is a legitimate medical 
explanation for the positive test result and that use of the substance 
identified through testing in the manner and at the dosage prescribed 
does not reflect a lack of reliability and is unlikely to create on-the-
job impairment, the Medical Review Officer shall report the test result 
to the licensee as negative.
    (g) ``Result scientifically insufficient.'' Additionally, the 
Medical Review Officer, based on review of inspection reports, quality 
control data, multiple samples, and other pertinent results, may 
determine that the result is scientifically insufficient for further 
action and declare the test specimen negative. In this situation, the 
Medical Review Officer may request reanalysis of the original sample 
before making this decision. (The Medical Review Officer may request 
that reanalysis be performed by the same laboratory or, that an aliquot 
of the original specimen be sent for reanalysis to an alternate 
laboratory which is certified in accordance with the HHS Guidelines.) 
The licensee's testing facility and the HHS-certified laboratory shall 
assist in this review process as requested by the Medical Review Officer 
by making available the individual(s) responsible for day-to-day 
management of the licensee's test facility, of the HHS-certified 
laboratory or other individuals who are forensic toxicologists or who 
have equivalent forensic experience in urine drug testing, to provide 
specific consultation as required by the licensee. The licensee shall 
maintain records that summarize any negative findings based on 
scientific insufficiency and shall make them available to the NRC on 
request, but shall not include any personal identifying information in 
such reports.

                     Subpart C--Employee Protection

                   3.1  Protection of Employee Records

    Licensee contracts with HHS certified laboratories and procedures 
for the licensee's testing facility shall require that test

[[Page 423]]

records be maintained in confidence, as provided in 10 CFR 26.29. 
Records shall be maintained and used with the highest regard for 
individual privacy.

   3.2  Individual Access to Test and Laboratory Certification Results

    Any individual who is the subject of a drug or alcohol test under 
this part shall, upon written request, have access to any records 
relating to his or her tests and any records relating to the results of 
any relevant laboratory certification, review, or revocation-of-
certification proceedings.

  Subpart D--Certification of Laboratories Engaged in Chemical Testing

                 4.1  Use of DHHS-certified laboratories

    (a) Licensees subject to this part and their contractors shall use 
only laboratories certified under the DHHS ``Mandatory Guidelines for 
Federal Workplace Drug Testing Programs'', Subpart C--``Certification of 
Laboratories Engaged in Urine Drug Testing for Federal Agencies,'' (53 
FR 11970, 11986-11989) dated April 11, 1988, and subsequent amendments 
thereto for screening and confirmatory testing except for initial 
screening tests at a licensee's testing facility conducted in accordance 
with 10 CFR 26.24(d). Information concerning the current certification 
status of laboratories is available from: The Office of Workplace 
Initiatives, National Institute on Drug Abuse, 5600 Fishers Lane, 
Rockville, Maryland 20857.
    (b) Licensees or their contractors may use only HHS-certified 
laboratories that agree to follow the same rigorous chemical testing, 
quality control, and chain-of-custody procedures when testing for more 
stringent cut-off levels as may be specified by licensees for the 
classes of drugs identified in this Part, for analysis of blood 
specimens for alcohol, and for any other substances included in 
licensees' drug panels.

[54 FR 24494, June 7, 1989, as amended at 56 FR 41927, Aug. 26, 1991; 58 
FR 31470, June 3, 1993]



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




                           General Provisions

Sec.
30.1  Scope.
30.2  Resolution of conflict.
30.3  Activities requiring license.
30.4  Definitions.
30.5  Interpretations.
30.6  Communications.
30.7  Employee protection.
30.8  Information collection requirements: OMB approval.
30.9  Completeness and accuracy of information.
30.10  Deliberate misconduct.

                               Exemptions

30.11  Specific exemptions.
30.12  Persons using byproduct material under certain Department of 
          Energy and Nuclear Regulatory Commission contracts.
30.13  Carriers.
30.14  Exempt concentrations.
30.15  Certain items containing byproduct material.
30.16  Resins containing scandium-46 and designed for sand-consolidation 
          in oil wells.
30.18  Exempt quantities.
30.19  Self-luminous products containing tritium, krypton-85, or 
          promethium-147.
30.20  Gas and aerosol detectors containing byproduct material.

                                Licenses

30.31  Types of licenses.
30.32  Application for specific licenses.
30.33  General requirements for issuance of specific licenses.
30.34  Terms and conditions of licenses.
30.35  Financial assurance and recordkeeping for decommissioning.
30.36  Expiration and termination of licenses and decommissioning of 
          sites and separate buildings or outdoor areas.
30.37  Application for renewal of licenses.
30.38  Application for amendment of licenses.
30.39  Commission action on applications to renew or amend.
30.41  Transfer of byproduct material.

                Records, Inspections, Tests, and Reports

30.50  Reporting requirements.
30.51  Records.
30.52  Inspections.
30.53  Tests.
30.55  Tritium reports.

                               Enforcement

30.61  Modification and revocation of licenses.
30.62  Right to cause the withholding or recall of byproduct material.
30.63  Violations.
30.64  Criminal penalties.

                                Schedules

30.70  Schedule A--exempt concentrations.
30.71  Schedule B.
30.72  Schedule C--Quantities of radioactive materials requiring 
          consideration of the need for an emergency plan for responding 
          to a release.


[[Page 424]]


Appendix A to Part 30--Criteria Relating to Use of Financial Tests and 
          Parent Company Guarantees for Providing Reasonable Assurance 
          of Funds for Decommissioning
Appendix B to Part 30--Quantities of Licensed Material Requiring 
          Labeling
Appendix C to Part 30--Criteria Relating to Use of Financial Tests and 
          Self Guarantees for Providing Reasonable Assurance of Funds 
          for Decommissioning

    Authority: Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, 953, 
954, 955, as amended, sec. 234, 83, Stat. 444, as amended (42 U.S.C. 
2111, 2112, 2201, 2232, 2233, 2236, 2282); secs. 201 as amended, 202, 
206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846).
    Section 30.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 
2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 
U.S.C. 5851). Section 30.34(b) also issued under sec. 184, 68 Stat. 954, 
as amended (42 U.S.C. 2234). Section 30.61 also issued under sec. 187, 
68 Stat. 955 (42 U.S.C. 2237).

                           General Provisions



Sec. 30.1   Scope.

    This part prescribes rules applicable to all persons in the United 
States governing domestic licensing of byproduct material under the 
Atomic Energy Act of 1954, as amended (68 Stat. 919), and under title II 
of the Energy Reorganization Act of 1974 (88 Stat. 1242), and exemptions 
from the domestic licensing requirements permitted by section 81 of the 
Act. This part also gives notice to all persons who knowingly provide to 
any licensee, contractor, or subcontractor, components, equipment, 
materials, or other goods or services, that relate to a licensee's 
activities subject to this part, that they may be individually subject 
to NRC enforcement action for violation of Sec. 30.10.

[56 FR 40689, Aug. 15, 1991]



Sec. 30.2   Resolution of conflict.

    The requirements of this part are in addition to, and not in 
substitution for, other requirements of this chapter. In any conflict 
between the requirements in this part and a specific requirement in 
another part of the regulations in this chapter, the specific 
requirement governs.

[30 FR 8185, June 26, 1965]



Sec. 30.3   Activities requiring license.

    Except for persons exempt as provided in this part and part 150 of 
this chapter, no person shall manufacture, produce, transfer, receive, 
acquire, own, possess, or use byproduct material except as authorized in 
a specific or general license issued pursuant to the regulations in this 
chapter.

[30 FR 8185, June 26, 1965, as amended at 43 FR 6921, Feb. 17, 1978]



Sec. 30.4   Definitions.

    Act means the Atomic Energy Act of 1954 (68 Stat. 919), including 
any amendments thereto;
    Agreement State means any state with which the Atomic Energy 
Commission or the Nuclear Regulatory Commission has entered into an 
effective agreement under subsection 274b. of the Act. Non-agreement 
State means any other State;
    Alert means events may occur, are in progress, or have occurred that 
could lead to a release of radioactive material but that the release is 
not expected to require a response by offsite response organizations to 
protect persons offsite.
     Byproduct material means any radioactive material (except special 
nuclear material) yielded in or made radioactive by exposure to the 
radiation incident to the process of producing or utilizing special 
nuclear material;
    Commencement of construction means any clearing of land, excavation, 
or other substantial action that would adversely affect the natural 
environment of a site but does not include changes desirable for the 
temporary use of the land for public recreational uses, necessary 
borings to determine site characteristics or other preconstruction 
monitoring to establish background information related to the 
suitability of a site or to the protection of environmental values.
    Commission means the Nuclear Regulatory Commission and its duly 
authorized representatives;
    Curie means that amount of radioactive material which disintegrates 
at the rate of 37 billion atoms per second;
    Decommission means to remove (as a facility) safely from service and 
reduce residual radioactivity to a level that

[[Page 425]]

permits release of the property for unrestricted use and termination of 
license.
    Dentist means an individual licensed by a State or Territory of the 
United States, the District of Columbia, or the Commonwealth of Puerto 
Rico to practice dentistry.
    Department and Department of Energy means the Department of Energy 
established by the Department of Energy Organization Act (Pub. L. 95-91, 
91 Stat. 565, 42 U.S.C. 7101 et seq.) to the extent that the Department, 
or its duly authorized representatives, exercises functions formerly 
vested in the U.S. Atomic Energy Commission, its Chairman, members, 
officers and components and transferred to the U.S. Energy Research and 
Development Administration and to the Administrator thereof pursuant to 
sections 104 (b), (c) and (d) of the Energy Reorganization Act of 1974 
(Pub. L. 93-438, 88 Stat. 1233 at 1237, 42 U.S.C. 5814) and 
retransferred to the Secretary of Energy pursuant to section 301(a) of 
the Department of Energy Organization Act (Pub. L. 95-91, 91 Stat. 565 
at 577-578, 42 U.S.C. 7151).
    Effective dose equivalent means the sum of the products of the dose 
equivalent to the organ or tissue and the weighting factors applicable 
to each of the body organs or tissues that are irradiated. Weighting 
factors are: 0.25 for gonads, 0.15 for breast, 0.12 for red bone marrow, 
0.12 for lungs, 0.03 for thyroid, 0.03 for bone surface, and 0.06 for 
each of the other five organs receiving the highest dose equivalent.
    Government agency means any executive department, commission, 
independent establishment, corporation, wholly or partly owned by the 
United States of America which is an instrumentality of the United 
States, or any board, bureau, division, service, office, officer, 
authority, administration, or other establishment in the executive 
branch of the Government;
    License, except where otherwise specified means a license for by-
product material issued pursuant to the regulations in this part and 
parts 31 through 36 and 39 of this chapter;
    Medical use means the intentional internal or external 
administration of byproduct material or the radiation therefrom to 
patients or human research subjects under the supervision of an 
authorized user as defined in 10 CFR Part 35.
    Microcurie means that amount of radioactive material which 
disintegrates at the rate of 37 thousand atoms per second;
    Millicurie means that amount of radioactive material which 
disintegrates at the rate of 37 million atoms per second;
    Person means: (1) Any individual, corporation, partnership, firm, 
association, trust, estate, public or private institution, group, 
Government agency other than the Commission or the Department, except 
that the Department shall be considered a person within the meaning of 
the regulations in this part to the extent that its facilities and 
activities are subject to the licensing and related regulatory authority 
of the Commission pursuant to section 202 of the Energy Reorganization 
Act of 1974 (88 Stat. 1244),1 any State or any political 
subdivision of or any political entity within a State, any foreign 
government or nation or any political subdivision of any such government 
or nation, or other entity; and (2) any legal successor, representative, 
agent, or agency of the foregoing;
---------------------------------------------------------------------------

    1The Department facilities and activities identified in section 
202 are:
    (1) Demonstration Liquid Metal Fast Breeder reactors when operated 
as part of the power generation facilities of an electric utility 
system, or when operated in any other manner for the purpose of 
demonstrating the suitability for commercial application of such a 
reactor.
    (2) Other demonstration nuclear reactors, except those in existence 
on January 19, 1975, when operated as part of the power generation 
facilities of an electric utility system, or when operated in any other 
manner for the purpose of demonstrating the suitability for commercial 
application of such a reactor.
    (3) Facilities used primarily for the receipt and storage of high-
level radioactive wastes resulting from licensed activities.
    (4) Retrievable Surface Storage Facilities and other facilities 
authorized for the express purpose of subsequent long-term storage of 
high-level radioactive waste generated by the Department, which are not 
used for, or are part of, research and development activities.
---------------------------------------------------------------------------

    Physician means a medical doctor or doctor of osteopathy licensed by 
a State or Territory of the United

[[Page 426]]

States, the District of Columbia, or the Commonwealth of Puerto Rico to 
prescribe drugs in the practice of medicine;
    Podiatrist means an individual licensed by a State or Territory of 
the United States, the District of Columbia, or the Commonwealth of 
Puerto Rico to practice podiatry.
    Principal activities, as used in this part, means activities 
authorized by the license which are essential to achieving the 
purpose(s) for which the license was issued or amended. Storage during 
which no licensed material is accessed for use or disposal and 
activities incidental to decontamination or decommissioning are not 
principal activities.
    Production facility means production facility as defined in the 
regulations contained in part 50 of this chapter;
    Radiographer means any individual who performs or who, in attendance 
at the site where the sealed source or sources are being used, 
personally supervises radiographic operations and who is responsible to 
the licensee for assuring compliance with the requirements of the 
Commission's regulations and the conditions of the license;
    Radiographer's assistant means any individual who, under the 
personal supervision of a radiographer, uses radiographic exposure 
devices, sealed sources or related handling tools, or radiation survey 
instruments in radiography;
    Radiography means the examination of the structure of materials by 
nondestructive methods, utilizing sealed sources of byproduct materials;
    Research and development means: (1) Theoretical analysis, 
exploration, or experimentation; or (2) the extension of investigative 
findings and theories of a scientific or technical nature into practical 
application for experimental and demonstration purposes, including the 
experimental production and testing of models, devices, equipment, 
materials and processes. ``Research and development'' as used in this 
part and parts 31 through 35 does not include the internal or external 
administration of byproduct material, or the radiation therefrom, to 
human beings;
    Sealed source means any byproduct material that is encased in a 
capsule designed to prevent leakage or escape of the byproduct material;
    Site area emergency means events may occur, are in progress, or have 
occurred that could lead to a significant release of radioactive 
material and that could require a response by offsite response 
organizations to protect persons offsite.
    Source material means source material as defined in the regulations 
contained in part 40 of this chapter;
    Special nuclear material means special nuclear material as defined 
in the regulations contained in part 70 of this chapter;
    United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States;
    Utilization facility means a utilization facility as defined in the 
regulations contained in part 50 of this chapter;

[30 FR 8185, June 26, 1965, as amended at 36 FR 1466, Jan. 30, 1971; 37 
FR 5746, Mar. 21, 1972; 38 FR 29314, Oct. 24, 1973; 40 FR 8784, Mar. 3, 
1975; 43 FR 6921, Feb. 17, 1978; 45 FR 14200, Mar. 5, 1980; 45 FR 18905, 
Mar. 24, 1980; 48 FR 39037, Aug. 29, 1983; 51 FR 36967, Oct. 16, 1986; 
52 FR 8241, Mar. 17, 1987; 53 FR 24044, June 27, 1988; 54 FR 14059, Apr. 
7, 1989; 58 FR 7736, Feb. 9, 1993; 59 FR 36034, July 15, 1994; 59 FR 
61780, Dec. 2, 1994]



Sec. 30.5   Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part and parts 
31 through 36 and 39 by any officer or employee of the Commission other 
than a written interpretation by the General Counsel will be recognized 
to be binding upon the Commission.

[30 FR 8185, June 26, 1965, as amended at 43 FR 6921, Feb. 17, 1978; 52 
FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]



Sec. 30.6  Communications.

    (a) Unless otherwise specified or covered under the regional 
licensing program as provided in paragraph (b) of this section, any 
communication or report concerning the regulations in parts 30 through 
36 and 39 of this chapter and any application filed under these 
regulations may be submitted to the Commission as follows:

[[Page 427]]

    (1) By mail addressed to: Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555.
    (2) By delivery in person to the Commission's offices to the 
Director, Office of Nuclear Material Safety and Safeguards at:
    (i) 2120 L Street, NW., Washington, DC; or
    (ii) 11545 Rockville Pike, Two White Flint North, Rockville, 
Maryland.
    (b) The Commission has delegated to the five Regional Administrators 
licensing authority for selected parts of its decentralized licensing 
program for nuclear materials as described in paragraph (b)(1) of this 
section. Any communication, report, or application covered under this 
licensing program must be submitted as specified in paragraph (b)(2) of 
this section.
    (1) The delegated licensing program includes authority to issue, 
renew, amend, cancel, modify, suspend, or revoke licenses for nuclear 
materials issued pursuant to 10 CFR parts 30 through 36, 39, 40, and 70 
to all persons for academic, medical, and industrial uses, with the 
following exceptions:
    (i) Activities in the fuel cycle and special nuclear material in 
quantities sufficient to constitute a critical mass in any room or area. 
This exception does not apply to license modifications relating to 
termination of special nuclear material licenses that authorize 
possession of larger quantities when the case is referred for action 
from NRC's Headquarters to the Regional Administrators.
    (ii) Health and safety design review of sealed sources and devices 
and approval, for licensing purposes, of sealed sources and devices.
    (iii) Processing of source material for extracting of metallic 
compounds (including Zirconium, Hafnium, Tantalum, Titanium, Niobium, 
etc.).
    (iv) Distribution of products containing radioactive material to 
persons exempt pursuant 10 CFR 32.11 through 32.26.
    (v) New uses or techniques for use of byproducts, source, or special 
nuclear material.
    (2) Submissions--(i) Region I. The regional licensing program 
involves all Federal facilities in the region and non-Federal licensees 
in the following Region I non-Agreement States and the District of 
Columbia: Connecticut, Delaware, Maine, Massachusetts, New Jersey, 
Pennsylvania, and Vermont. All inquiries, communications, and 
application for a new license or an amendment or renewal of an existing 
license specified in paragraph (b)(1) of this section must be sent to: 
U.S. Nuclear Regulatory Commission, Region I, Nuclear Material Section 
B, 475 Allendale Road, King of Prussia, Pennsylvania 19406.
    (ii) Region II. The regional licensing program involves all Federal 
facilities in the region and non-Federal licensees in the following 
Region II non-Agreement States and territories: Virginia, West Virginia, 
Puerto Rico, and the Virgin Islands. All inquiries, communications, and 
applications for a new license or an amendment or renewal of an existing 
license specified in paragraph (b)(1) of this section must be sent to 
U.S. Nuclear Regulatory Commission, Region II, Material Radiation 
Protection Section, 101 Marietta Street, NW., Suite 2900, Atlanta, 
Georgia 30323.
    (iii) Region III. The regional licensing program involves all 
Federal facilities in the region and non-Federal licensees in the 
following Region III non-Agreement States: Indiana, Michigan, Minnesota, 
Missouri, Ohio, and Wisconsin. All inquiries, communications, and 
applications for a new license or an amendment or renewal of an existing 
license specified in paragraph (b)(1) of this section must be sent to: 
U.S. Nuclear Regulatory Commission, Region III, Material Licensing 
Section, 801 Warrenville Road, Lisle, Illinois 60532-4351.
    (iv) Region IV. The regional licensing program involves all Federal 
facilities in the region and non-Federal licensees in the following 
Region IV non-Agreement States and a territory: Alaska, Hawaii, Montana, 
Oklahoma, South Dakota, Wyoming, and Guam. All inquiries, 
communications, and applications for a new license or an amendment or 
renewal of an existing license specified in paragraph (b)(1) of this 
section must be sent to: U.S. Nuclear Regulatory Commission, Region IV, 
Material Radiation Protection Section, 611

[[Page 428]]

Ryan Plaza Drive, Suite 400, Arlington, Texas 76011.

[48 FR 16031, Apr. 14, 1983, as amended at 49 FR 19630, May 9, 1984; 49 
FR 47824, Dec. 7, 1984; 50 FR 14693, Apr. 11, 1985; 51 FR 36000, Oct. 8, 
1986; 52 FR 8241, Mar. 17, 1987; 52 FR 38392, Oct. 16, 1987; 52 FR 
48093, Dec. 18, 1987; 53 FR 3862, Feb. 10, 1988; 53 FR 43420, Oct. 27, 
1988; 58 FR 7736, Feb. 9, 1993; 58 FR 64111, Dec. 6, 1993; 59 FR 17465, 
Apr. 13, 1994; 60 FR 24551, May 9, 1995]



Sec. 30.7  Employee protection.

    (a) Discrimination by a Commission licensee, an applicant for a 
Commission license, or a contractor or subcontractor of a Commission 
licensee or applicant against an employee for engaging in certain 
protected activities is prohibited. Discrimination includes discharge 
and other actions that relate to compensation, terms, conditions, or 
privileges of employment. The protected activities are established in 
section 211 of the Energy Reorganization Act of 1974, as amended, and in 
general are related to the administration or enforcement of a 
requirement imposed under the Atomic Energy Act or the Energy 
Reorganization Act.
    (1) The protected activities include but are not limited to:
    (i) Providing the Commission or his or her employer information 
about alleged violations of either of the statutes named in paragraph 
(a) introductory text of this section or possible violations of 
requirements imposed under either of those statutes;
    (ii) Refusing to engage in any practice made unlawful under either 
of the statutes named in paragraph (a) introductory text or under these 
requirements if the employee has identified the alleged illegality to 
the employer;
    (iii) Requesting the Commission to institute action against his or 
her employer for the administration or enforcement of these 
requirements;
    (iv) Testifying in any Commission proceeding, or before Congress, or 
at any Federal or State proceeding regarding any provision (or proposed 
provision) of either of the statutes named in paragraph (a) introductory 
text.
    (v) Assisting or participating in, or is about to assist or 
participate in, these activities.
    (2) These activities are protected even if no formal proceeding is 
actually initiated as a result of the employee assistance or 
participation.
    (3) This section has no application to any employee alleging 
discrimination prohibited by this section who, acting without direction 
from his or her employer (or the employer's agent), deliberately causes 
a violation of any requirement of the Energy Reorganization Act of 1974, 
as amended, or the Atomic Energy Act of 1954, as amended.
    (b) Any employee who believes that he or she has been discharged or 
otherwise discriminated against by any person for engaging in protected 
activities specified in paragraph (a)(1) of this section may seek a 
remedy for the discharge or discrimination through an administrative 
proceeding in the Department of Labor. The administrative proceeding 
must be initiated within 180 days after an alleged violation occurs. The 
employee may do this by filing a complaint alleging the violation with 
the Department of Labor, Employment Standards Administration, Wage and 
Hour Division. The Department of Labor may order reinstatement, back 
pay, and compensatory damages.
    (c) A violation of paragraphs (a), (e), or (f) of this section by a 
Commission licensee, an applicant for a Commission license, or a 
contractor or subcontractor of a Commission licensee or applicant may be 
grounds for--
    (1) Denial, revocation, or suspension of the license.
    (2) Imposition of a civil penalty on the licensee or applicant.
    (3) Other enforcement action.
    (d) Actions taken by an employer, or others, which adversely affect 
an employee may be predicated upon nondiscriminatory grounds. The 
prohibition applies when the adverse action occurs because the employee 
has engaged in protected activities. An employee's engagement in 
protected activities does not automatically render him or her immune 
from discharge or discipline for legitimate reasons or from adverse 
action dictated by nonprohibited considerations.
    (e)(1) Each specific licensee, each applicant for a specific 
license, and each general licensee subject to part 19 shall prominently 
post the revision of NRC

[[Page 429]]

Form 3, ``Notice to Employees,'' referenced in 10 CFR 19.11(c).
    (2) The posting of NRC Form 3 must be at locations sufficient to 
permit employees protected by this section to observe a copy on the way 
to or from their place of work. Premises must be posted not later than 
30 days after an application is docketed and remain posted while the 
application is pending before the Commission, during the term of the 
license, and for 30 days following license termination.
    (3) Copies of NRC Form 3 may be obtained by writing to the Regional 
Administrator of the appropriate U.S. Nuclear Regulatory Commission 
Regional Office listed in Appendix D to Part 20 of this chapter or by 
calling the NRC Information and Records Management Branch at (301) 415-
7230.
    (f) No agreement affecting the compensation, terms, conditions, or 
privileges of employment, including an agreement to settle a complaint 
filed by an employee with the Department of Labor pursuant to section 
211 of the Energy Reorganization Act of 1974, as amended, may contain 
any provision which would prohibit, restrict, or otherwise discourage an 
employee from participating in protected activity as defined in 
paragraph (a)(1) of this section including, but not limited to, 
providing information to the NRC or to his or her employer on potential 
violations or other matters within NRC's regulatory responsibilities.

[58 FR 52408, Oct. 8, 1993, as amended at 60 FR 24551, May 9, 1995; 61 
FR 6764, Feb. 22, 1996]



Sec. 30.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 (U.S.C. 3501 et seq). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0017.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 30.9, 30.11, 30.15, 30.19, 30.20, 30.32, 
30.34, 30.35, 30.36, 30.37, 30.38, 30.41, 30.50, 30.51, 30.55, and 
appendix A.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Secs. 30.32, 30.37, and 30.38, NRC Form 313 is approved under 
control number 3150-0120.
    (2) In Sec. 30.36, NRC Form 314 is approved under control number 
3150-0028.

[49 FR 19625, May 9, 1984, as amended at 59 FR 61780, Dec. 2, 1994]



Sec. 30.9  Completeness and accuracy of information.

    (a) Information provided to the Commission by an applicant for a 
license or by a licensee or information required by statute or by the 
Commission's regulations, orders, or license conditions to be maintained 
by the applicant or the licensee shall be complete and accurate in all 
material respects.
    (b) Each applicant or licensee shall notify the Commission of 
information identified by the applicant or licensee as having for the 
regulated activity a significant implication for public health and 
safety or common defense and security. An applicant or licensee violates 
this paragraph only if the applicant or licensee fails to notify the 
Commission of information that the applicant or licensee has identified 
as having a significant implication for public health and safety or 
common defense and security. Notification shall be provided to the 
Administrator of the appropriate Regional Office within two working days 
of identifying the information. This requirement is not applicable to 
information which is already required to be provided to the Commission 
by other reporting or updating requirements.

[52 FR 49371, Dec. 31, 1987]



Sec. 30.10  Deliberate misconduct.

    (a) Any licensee or any employee of a licensee; and any contractor 
(including a supplier or consultant), subcontractor, or any employee of 
a contractor or subcontractor, of any licensee, who knowingly provides 
to any licensee,

[[Page 430]]

contractor, or subcontractor, components, equipment, materials, or other 
goods or services, that relate to a licensee's activities subject to 
this part; may not:
    (1) Engage in deliberate misconduct that causes or, but for 
detection, would have caused, a licensee to be in violation of any rule, 
regulation, or order, or any term, condition, or limitation of any 
license, issued by the Commission, or
    (2) Deliberately submit to the NRC, a licensee, or a licensee's 
contractor or subcontractor, information that the person submitting the 
information knows to be incomplete or inaccurate in some respect 
material to the NRC.
    (b) A person who violates paragraph (a)(1) or (a)(2) of this section 
may be subject to enforcement action in accordance with the procedures 
in 10 CFR part 2, subpart B.
    (c) For purposes of paragraph (a)(1) of this section, deliberate 
misconduct by a person means an intentional act or omission that the 
person knows:
    (1) Would cause a licensee to be in violation of any rule, 
regulation, or order, or any term, condition, or limitation, of any 
license issued by the Commission, or
    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order or policy of a licensee, 
contractor, or subcontractor.

[56 FR 40689, Aug. 15, 1991]

                               Exemptions



Sec. 30.11   Specific exemptions.

    (a) The Commission may, upon application of any interested person or 
upon its own initiative, grant such exemptions from the requirements of 
the regulations in this part and parts 31 through 36 and 39 of this 
chapter as it determines are authorized by law and will not endanger 
life or property or the common defense and security and are otherwise in 
the public interest.
    (b) [Reserved]
    (c) The DOE is exempt from the requirements of this part to the 
extent that its activities are subject to the requirements of part 60 of 
this chapter.
    (d) Except as specifically provided in part 61 of this chapter, any 
licensee is exempt from the requirements of this part to the extent that 
its activities are subject to the requirements of part 61 of this 
chapter.

[37 FR 5746, Mar. 21, 1972, as amended at 39 FR 26279, July 18, 1974; 40 
FR 8784, Mar. 3, 1975; 43 FR 6921, Feb. 21, 1978; 45 FR 65530, Oct. 3, 
1980; 46 FR 13979, Feb. 25, 1981; 47 FR 57480, Dec. 27, 1982; 52 FR 
8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]



Sec. 30.12   Persons using byproduct material under certain Department of Energy and Nuclear Regulatory Commission contracts.

    Except to the extent that Department facilities or activities of the 
types subject to licensing pursuant to section 202 of the Energy 
Reorganization Act of 1974 are involved, any prime contractor of the 
Department is exempt from the requirements for a license set forth in 
sections 81 and 82 of the Act and from the regulations in this part to 
the extent that such contractor, under his prime contract with the 
Department manufactures, produces, transfers, receives, acquires, owns, 
possesses, or uses byproduct material for:
    (a) The performance of work for the Department at a United States 
Government-owned or controlled site, including the transportation of 
byproduct material to or from such site and the performance of contract 
services during temporary interruptions of such transportation;
    (b) Research in, or development, manufacture, storage, testing or 
transportation of, atomic weapons or components thereof; or
    (c) The use or operation of nuclear reactors or other nuclear 
devices in a United States Government-owned vehicle or vessel.

In addition to the foregoing exemptions and subject to the requirement 
for licensing of Department facilities and activities pursuant to 
section 202 of the Energy Reorganization Act of 1974, any prime 
contractor or subcontractor of the Department or the Commission is 
exempt from the requirements for a license set forth in sections 81 and 
82 of the Act and from the regulations in this part to the extent that 
such prime contractor or subcontractor manufacturers, produces,

[[Page 431]]

transfers, receives, acquires, owns, possesses, or uses byproduct 
material under his prime contract or subcontract when the Commission 
determines that the exemption of the prime contractor or subcontractor 
is authorized by law; and that, under the terms of the contract or 
subcontract, there is adequate assurance that the work thereunder can be 
accomplished without undue risk to the public health and safety.

[40 FR 8784, Mar. 3, 1975, as amended at 43 FR 6921, Feb. 17, 1978]



Sec. 30.13   Carriers.

    Common and contract carriers, freight forwarders, warehousemen, and 
the U.S. Postal Service are exempt from the regulations in this part and 
parts 31 through 36 and 39 of this chapter and the requirements for a 
license set forth in section 81 of the Act to the extent that they 
transport or store byproduct material in the regular course of carriage 
for another or storage incident thereto.

[37 FR 3985, Feb. 25, 1972, as amended at 43 FR 6921, Feb. 17, 1978; 52 
FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]



Sec. 30.14   Exempt concentrations.

    (a) Except as provided in paragraphs (c) and (d) of this section, 
any person is exempt from the requirements for a license set forth in 
section 81 of the Act and from the regulations in this part and parts 31 
through 36 and 39 of this chapter to the extent that such person 
receives, possesses, uses, transfers, owns or acquires products or 
materials containing byproduct material in concentrations not in excess 
of those listed in Sec. 30.70.
    (b) This section shall not be deemed to authorize the import of 
byproduct material or products containing byproduct material.
    (c) A manufacturer, processor, or producer of a product or material 
in an agreement State is exempt from the requirements for a license set 
forth in section 81 of the Act and from the regulations in this part and 
parts 31, 32, 33, 34, 36 and 39 of this chapter to the extent that he 
transfers byproduct material contained in a product or material in 
concentrations not in excess of those specified in Sec. 30.70 and 
introduced into the product or material by a licensee holding a specific 
license issued by an agreement State, the Commission, or the Atomic 
Energy Commission expressly authorizing such introduction. This 
exemption does not apply to the transfer of byproduct material contained 
in any food, beverage, cosmetic, drug, or other commodity or product 
designed for ingestion or inhalation by, or application to, a human 
being.
    (d) No person may introduce byproduct material into a product or 
material knowing or having reason to believe that it will be transferred 
to persons exempt under this section or equivalent regulations of an 
Agreement State, except in accordance with a license issued pursuant to 
Sec. 32.11 of this chapter or the general license provided in 
Sec. 150.20 of this chapter.

[30 FR 8185, June 26, 1965, as amended at 40 FR 8785, Mar. 3, 1975; 43 
FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 
1993]



Sec. 30.15   Certain items containing byproduct material.

    (a) Except for persons who apply byproduct material to, or persons 
who incorporate byproduct material into, the following products, or 
persons who initially transfer for sale or distribution the following 
products containing byproduct material, any person is exempt from the 
requirements for a license set forth in section 81 of the Act and from 
the regulations in parts 20 and 30 through 36 and 39 of this chapter to 
the extent that such person receives, possesses, uses, transfers, owns, 
or acquires the following products:
    (1) Timepieces or hands or dials containing not more than the 
following specified quantities of byproduct material and not exceeding 
the following specified levels of radiation:
    (i) 25 millicuries of tritium per timepiece,
    (ii) 5 millicuries of tritium per hand,
    (iii) 15 millicuries of tritium per dial (bezels when used shall be 
considered as part of the dial),
    (iv) 100 microcuries of promethium 147 per watch or 200 microcuries 
of promethium 147 per any other timepiece,
    (v) 20 microcuries of promethium 147 per watch hand or 40 
microcuries of

[[Page 432]]

promethium 147 per other timepiece hand,
    (vi) 60 microcuries of promethium 147 per watch dial or 120 
microcuries of promethium 147 per other timepiece dial (bezels when used 
shall be considered as part of the dial),
    (vii) The levels of radiation from hands and dials containing 
promethium 147 will not exceed, when measured through 50 milligrams per 
square centimeter of absorber:
    (A) For wrist watches, 0.1 millirad per hour at 10 centimeters from 
any surface,
    (B) For pocket watches, 0.1 millirad per hour at 1 centimeter from 
any surface,
    (C) For any other timepiece, 0.2 millirad per hour at 10 centimeters 
from any surface.
    (2) Lock illuminators containing not more than 15 millicuries of 
tritium or not more than 2 millicuries of promethium 147 installed in 
automobile locks. The levels of radiation from each lock illuminator 
containing promethium 147 will not exceed 1 millirad per hour at 1 
centimeter from any surface when measured through 50 milligrams per 
square centimeter of absorber.
    (3) Balances of precision containing not more than 1 millicurie of 
tritium per balance or not more than 0.5 millicurie of tritium per 
balance part.
    (4) Automobile shift quadrants containing not more than 25 
millicuries of tritium.
    (5) Marine compasses containing not more than 750 millicuries of 
tritium gas and other marine navigational instruments containing not 
more than 250 millicuries of tritium gas.
    (6) Thermostat dials and pointers containing not more than 25 
millicuries of tritium per thermostat.
    (7) [Reserved]
    (8) Electron tubes: Provided, That each tube does not contain more 
than one of the following specified quantities of byproduct material:
    (i) 150 millicuries of tritium per microwave receiver protector tube 
or 10 millicuries of tritium per any other electron tube;
    (ii) 1 microcurie of cobalt-60;
    (iii) 5 microcuries of nickel-63;
    (iv) 30 microcuries of krypton-85;
    (v) 5 microcuries of cesium-137;
    (vi) 30 microcuries of promethium-147;

And provided further, That the levels of radiation from each electron 
tube containing byproduct material do not exceed 1 millirad per hour at 
1 centimeter from any surface when measured through 7 milligrams per 
square centimeter of absorber.1
---------------------------------------------------------------------------

    1For purposes of this paragraph ``electron tubes'' include spark gap 
tubes, power tubes, gas tubes including glow lamps, receiving tubes, 
microwave tubes, indicator tubes, pickup tubes, radiation detection 
tubes, and any other completely sealed tube that is designed to conduct 
or control electrical currents.
---------------------------------------------------------------------------

    (9) Ionizing radiation measuring instruments containing, for 
purposes of internal calibration or standardization, one or more sources 
of byproduct material: Provided, That;
    (i) Each source contains no more than one exempt quantity set forth 
in Sec. 30.71, Schedule B, and
    (ii) Each instrument contains no more than 10 exempt quantities. For 
purposes of this paragraph (a)(9), an instrument's source(s) may contain 
either one type or different types of radionuclides and an individual 
exempt quantity may be composed of fractional parts of one or more of 
the exempt quantities in Sec. 30.71, Schedule B, provided that the sum 
of such fractions shall not exceed unity.
    (iii) For purposes of this paragraph (a)(9), 0.05 microcurie of 
americium-241 is considered an exempt quantity under Sec. 30.71, 
Schedule B.
    (10) Spark gap irradiators containing not more than 1 microcurie of 
cobalt-60 per spark gap irradiator for use in electrically ignited fuel 
oil burners having a firing rate of at least 3 gallons per hour (11.4 
liters per hour).
    (b) Any person who desires to apply byproduct material to, or to 
incorporate byproduct material into, the products exempted in paragraph 
(a) of this section, or who desires to initially transfer for sale or 
distribution such products containing byproduct material, should apply 
for a specific license pursuant to Sec. 32.14 of this chapter, which 
license states that the product may be distributed by the licensee to 
persons exempt from the regulations

[[Page 433]]

pursuant to paragraph (a) of this section.

[31 FR 5316, Apr. 2, 1966, as amended at 31 FR 14349, Nov. 8, 1966; 32 
FR 785, Jan. 24, 1967; 32 FR 6434, Apr. 26, 1967; 32 FR 13921, Oct. 6, 
1967; 34 FR 6651, Apr. 18, 1969; 34 FR 19546, Dec. 11, 1969; 35 FR 6427, 
Apr. 22, 1970; 35 FR 8820, June 6, 1970; 43 FR 2387, Jan. 17, 1978; 43 
FR 6921, Feb. 17, 1978; 46 FR 26471, May 13, 1981; 46 FR 46876, Sept. 
23, 1981; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]



Sec. 30.16   Resins containing scandium-46 and designed for sand-consolidation in oil wells.

    Any person is exempt from the requirements for a license set forth 
in section 81 of the Act and from the regulations in Parts 20 and 30 
through 36 and 39 of this chapter to the extent that such person 
receives, possesses, uses, transfers, owns, or acquires synthetic 
plastic resins containing scandium-46 which are designed for sand-
consolidation in oil wells, and which have been manufactured or 
initially transferred for sale or distribution, in accordance with a 
specific license issued pursuant to Sec. 32.17 of this chapter or 
equivalent regulations of an agreement State. The exemption in this 
section does not authorize the manufacture or initial transfer for sale 
or distribution of any resins containing scandium-46.

[32 FR 4241, Mar. 18, 1967, as amended at 43 FR 6921, Feb. 17, 1978; 52 
FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]



Sec. 30.18   Exempt quantities.

    (a) Except as provided in paragraphs (c) and (d) of this section, 
any person is exempt from the requirements for a license set forth in 
section 81 of the Act and from the regulations in parts 30 through 34, 
36 and 39 of this chapter to the extent that such person receives, 
possesses, uses, transfers, owns, or acquires byproduct material in 
individual quantities each of which does not exceed the applicable 
quantity set forth in Sec. 30.71, Schedule B.
    (b) Any person who possesses byproduct material received or acquired 
prior to September 25, 1971 under the general license then provided in 
Sec. 31.4 of this chapter is exempt from the requirements for a license 
set forth in section 81 of the Act and from the regulations in parts 30 
through 34 of this chapter to the extent that such person possesses, 
uses, transfers, or owns such byproduct material.
    (c) This section does not authorize for purposes of commercial 
distribution the production, packaging, repackaging, or transfer of 
byproduct material or the incorporation of byproduct material into 
products intended for commercial distribution.
    (d) No person may, for purposes of commercial distribution, transfer 
byproduct material in the individual quantities set forth in Sec. 30.71 
Schedule B, knowing or having reason to believe that such quantities of 
byproduct material will be transferred to persons exempt under this 
section or equivalent regulations of an Agreement State, except in 
accordance with a license issued under Sec. 32.18 of this chapter, which 
license states that the byproduct material may be transferred by the 
licensee to persons exempt under this section or the equivalent 
regulations of an Agreement State.

[35 FR 6427, Apr. 22, 1970, as amended at 36 FR 16898, Aug. 26, 1971; 43 
FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 
1993]



Sec. 30.19   Self-luminous products containing tritium, krypton-85, or promethium-147.

    (a) Except for persons who manufacture, process, produce, or 
initially transfer for sale or distribution self-luminous products 
containing tritium, krypton-85, or promethium-147, and except as 
provided in paragraph (c) of this section, any person is exempt from the 
requirements for a license set forth in section 81 of the Act and from 
the regulations in parts 20 and 30 through 36 and 39 of this chapter to 
the extent that such person receives, possesses, uses, transfers, owns, 
or acquires tritium, krypton-85, or promethium-147 in self-luminous 
products manufactured, processed, produced, or initially transferred in 
accordance with a specific license issued pursuant to Sec. 32.22 of this 
chapter, which license authorizes the initial transfer of the product 
for use under this section.
    (b) Any person who desires to manufacture, process, or produce self-
luminous products containing tritium,

[[Page 434]]

krypton-85, or promethium-147, or to transfer such products for use 
pursuant to paragraph (a) of this section, should apply for a license 
pursuant to Sec. 32.22 of this chapter, which license states that the 
product may be transferred by the licensee to persons exempt from the 
regulations pursuant to paragraph (a) of this section or equivalent 
regulations of an Agreement State.
    (c) The exemption in paragraph (a) of this section does not apply to 
tritium, krypton-85, or promethium-147 used in products primarily for 
frivolous purposes or in toys or adornments.

[34 FR 9026, June 6, 1969, as amended at 40 FR 8785, Mar. 3, 1975; 43 FR 
6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 
1993]



Sec. 30.20   Gas and aerosol detectors containing byproduct material.

    (a) Except for persons who manufacture, process, produce, or 
initially transfer for sale or distribution gas and aerosol detectors 
containing byproduct material, any person is exempt from the 
requirements for a license set forth in section 81 of the Act and from 
the regulations in parts 20 and 30 through 36 and 39 of this chapter to 
the extent that such person receives, possesses, uses, transfers, owns, 
or acquires byproduct material, in gas and aerosol detectors designed to 
protect life or property from fires and airborne hazards, and 
manufactured, processed, produced, or initially transferred in 
accordance with a specific license issued pursuant to Sec. 32.26 of this 
chapter, which license authorizes the initial transfer of the product 
for use under this section.
    (b) Any person who desires to manufacture, process, or produce gas 
and aerosol detectors containing byproduct material, or to initially 
transfer such products for use pursuant to paragraph (a) of this 
section, should apply for a license pursuant to Sec. 32.26 of this 
chapter, which license states that the product may be initially 
transferred by the licensee to persons exempt from the regulations 
pursuant to paragraph (a) of this section or equivalent regulations of 
an Agreement State.

[34 FR 6653, Apr. 18, 1969, as amended at 40 FR 8785, Mar. 3, 1975; 43 
FR 6921, Feb. 17, 1978; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 
1993]

                                Licenses



Sec. 30.31   Types of licenses.

    Licenses for byproduct material are of two types: General and 
specific. Specific licenses are issued to named persons upon 
applications filed pursuant to the regulations in this part and parts 32 
through 36 and 39 of this chapter. General licenses are effective 
without the filing of applications with the Commission or the issuance 
of licensing documents to particular persons.

[30 FR 8185, June 26, 1965, as amended at 43 FR 6922, Feb. 17, 1978; 52 
FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]



Sec. 30.32  Application for specific licenses.

    (a) A person may file an application in duplicate on NRC Form 313, 
``Application for Material License,'' in accordance with the 
instructions in Sec. 30.6 of this chapter. Information contained in 
previous applications, statements or reports filed with the Commission 
or the Atomic Energy Commission may be incorporated by reference, 
provided that the reference is clear and specific.
    (b) The Commission may at any time after the filing of the original 
application, and before the expiration of the license, require further 
statements in order to enable the Commission to determine whether the 
application should be granted or denied or whether a license should be 
modified or revoked.
    (c) Each application shall be signed by the applicant or licensee or 
a person duly authorized to act for and on his behalf.
    (d) An application for license filed pursuant to the regulations in 
this part and parts 32 through 35 of this chapter will be considered 
also as an application for licenses authorizing other activities for 
which licenses are required by the Act, provided that the application 
specifies the additional activities for which licenses are requested and 
complies with regulations of the Commission as to applications for such 
licenses.
    (e) Each application for a byproduct material license, other than a 
license exempted from part 170 of this chapter, shall be accompanied by 
the fee prescribed in Sec. 170.31 of this chapter. No fee

[[Page 435]]

will be required to accompany an application for renewal or amendment of 
a license, except as provided in Sec. 170.31 of this chapter.
    (f) An application for a license to receive and possess byproduct 
material for the conduct of any activity which the Commission has 
determined pursuant to subpart A of part 51 of this chapter will 
significantly affect the quality of the environment shall be filed at 
least 9 months prior to commencement of construction of the plant or 
facility in which the activity will be conducted and shall be 
accompanied by any Environmental Report required pursuant to subpart A 
of part 51 of this chapter.
    (g) An application for a specific license to use byproduct material 
in the form of a sealed source or in a device that contains the sealed 
source must either--
    (1) Identify the source or device by manufacturer and model number 
as registered with the Commission under Sec. 32.210 of this chapter or 
with an Agreement State; or
    (2) Contain the information identified in Sec. 32.210(c).
    (h) As provided by Sec. 30.35, certain applications for specific 
licenses filed under this part and parts 32 through 35 of this chapter 
must contain a proposed decommissioning funding plan or a certification 
of financial assurance for decommissioning. In the case of renewal 
applications submitted before July 27, 1990, this submittal may follow 
the renewal application but must be submitted on or before July 27, 
1990.
    (i)(1) Each application to possess radioactive materials in unsealed 
form, on foils or plated sources, or sealed in glass in excess of the 
quantities in Sec. 30.72, ``Schedule C--Quantities of Radioactive 
Materials Requiring Consideration of the Need for an Emergency Plan for 
Responding to a Release,'' must contain either:
    (i) An evaluation showing that the maximum dose to a person offsite 
due to a release of radioactive materials would not exceed 1 rem 
effective dose equivalent or 5 rems to the thyroid; or
    (ii) An emergency plan for responding to a release of radioactive 
material.
    (2) One or more of the following factors may be used to support an 
evaluation submitted under paragraph (i)(1)(i) of this section:
    (i) The radioactive material is physically separated so that only a 
portion could be involved in an accident;
    (ii) All or part of the radioactive material is not subject to 
release during an accident because of the way it is stored or packaged;
    (iii) The release fraction in the respirable size range would be 
lower than the release fraction shown Sec. 30.72 due to the chemical or 
physical form of the material;
    (iv) The solubility of the radioactive material would reduce the 
dose received;
    (v) Facility design or engineered safety features in the facility 
would cause the release fraction to be lower than shown in Sec. 30.72;
    (vi) Operating restrictions or procedures would prevent a release 
fraction as large as that shown in Sec. 30.72; or
    (vii) Other factors appropriate for the specific facility.
    (3) An emergency plan for responding to a release of radioactive 
material submitted under paragraph (i)(1)(ii) of this section must 
include the following information:
    (i) Facility description. A brief description of the licensee's 
facility and area near the site.
    (ii) Types of accidents. An identification of each type of radio-
active materials accident for which protective actions may be needed.
    (iii) Classification of accidents. A classification system for 
classifying accidents as alerts or site area emergencies.
    (iv) Detection of accidents. Identification of the means of 
detecting each type of accident in a timely manner.
    (v) Mitigation of consequences. A brief description of the means and 
equipment for mitigating the consequences of each type of accident, 
including those provided to protect workers onsite, and a description of 
the program for maintaining the equipment.
    (vi) Assessment of releases. A brief description of the methods and 
equipment to assess releases of radioactive materials.
    (vii) Responsibilities. A brief description of the responsibilities 
of licensee

[[Page 436]]

personnel should an accident occur, including identification of 
personnel responsible for promptly notifying offsite response 
organizations and the NRC; also responsibilities for developing, 
maintaining, and updating the plan.
    (viii) Notification and coordination. A commitment to and a brief 
description of the means to promptly notify offsite response 
organizations and request offsite assistance, including medical 
assistance for the treatment of contaminated injured onsite workers when 
appropriate. A control point must be established. The notification and 
coordination must be planned so that unavailability of some personnel, 
parts of the facility, and some equipment will not prevent the 
notification and coordination. The licensee shall also commit to notify 
the NRC operations center immediately after notification of the 
appropriate offsite response organizations and not later than one hour 
after the licensee declares an emergency.\1\
---------------------------------------------------------------------------

    \1\ These reporting requirements do not superceed or release 
licensees of complying with the requirements under the Emergency 
Planning and Community Right-to-Know Act of 1986, Title III, Pub. L. 99-
499 or other state or federal reporting requirements.
---------------------------------------------------------------------------

    (ix) Information to be communicated. A brief description of the 
types of information on facility status, radioactive releases, and 
recommended protective actions, if necessary, to be given to offsite 
response organizations and to the NRC.
    (x) Training. A brief description of the frequency, performance 
objectives and plans for the training that the licensee will provide 
workers on how to respond to an emergency including any special 
instructions and orientation tours the licensee would offer to fire, 
police, medical and other emergency personnel. The training shall 
familiarize personnel with site-specific emergency procedures. Also, the 
training shall thoroughly prepare site personnel for their 
responsibilities in the event of accident scenarios postulated as most 
probable for the specific site, including the use of team training for 
such scenarios.
    (xi) Safe shutdown. A brief description of the means of restoring 
the facility to a safe condition after an accident.
    (xii) Exercises. Provisions for conducting quarterly communications 
checks with offsite response organizations and biennial onsite exercises 
to test response to simulated emergencies. Quarterly communications 
checks with offsite response organizations must include the check and 
update of all necessary telephone numbers. The licensee shall invite 
offsite response organizations to participate in the biennial exercises. 
Participation of offsite response organizations in biennial exercises 
although recommended is not required. Exercises must use accident 
scenarios postulated as most probable for the specific site and the 
scenarios shall not be known to most exercise participants. The licensee 
shall critique each exercise using individuals not having direct 
implementation responsibility for the plan. Critiques of exercises must 
evaluate the appropriateness of the plan, emergency procedures, 
facilities, equipment, training of personnel, and overall effectiveness 
of the response. Deficiencies found by the critiques must be corrected.
    (xiii) Hazardous chemicals. A certification that the applicant has 
met its responsibilities under the Emergency Planning and Community 
Right-to-Know Act of 1986, title III, Pub. L. 99-499, if applicable to 
the applicant's activities at the proposed place of use of the byproduct 
material.
    (4) The licensee shall allow the offsite response organizations 
expected to respond in case of an accident 60 days to comment on the 
licensee's emergency plan before submitting it to NRC. The licensee 
shall provide any comments received within the 60 days to the NRC with 
the emergency plan.

[30 FR 8185, June 26, 1965, as amended at 36 FR 145, Jan. 6, 1971; 37 FR 
5747, Mar. 21, 1972; 43 FR 6922, Feb. 17, 1978; 49 FR 9403, Mar. 12, 
1984; 49 FR 27924, July 9, 1984; 52 FR 27786, July 24, 1987; 53 FR 
24044, June 27, 1988; 54 FR 14060, Apr. 7, 1989]



Sec. 30.33   General requirements for issuance of specific licenses.

    (a) An application for a specific license will be approved if:

[[Page 437]]

    (1) The application is for a purpose authorized by the Act;
    (2) The applicant's proposed equipment and facilities are adequate 
to protect health and minimize danger to life or property;
    (3) The applicant is qualified by training and experience to use the 
material for the purpose requested in such manner as to protect health 
and minimize danger to life or property;
    (4) The applicant satisfies any special requirements contained in 
parts 32 through 36 and 39; and
    (5) In the case of an application for a license to receive and 
possess byproduct material for the conduct of any activity which the 
Commission determines will significantly affect the quality of the 
environment, the Director of Nuclear Material Safety and Safeguards or 
his designee, before commencement of construction of the plant or 
facility in which the activity will be conducted, on the basis of 
information filed and evaluations made pursuant to subpart A of part 51 
of this chapter, has concluded, after weighing the environmental, 
economic, technical, and other benefits against environmental costs and 
considering available alternatives, that the action called for is the 
issuance of the proposed license, with any appropriate conditions to 
protect environmental values. Commencement of construction prior to such 
conclusion shall be grounds for denial of a license to receive and 
possess byproduct material in such plant or facility. As used in this 
paragraph the term ``commencement of construction'' means any clearing 
of land, excavation, or other substantial action that would adversely 
affect the environment of a site. The term does not mean site 
exploration, necessary roads for site exploration, borings to determine 
foundation conditions, or other preconstruction monitoring or testing to 
establish background information related to the suitability of the site 
or the protection of environmental values.
    (b) Upon a determination that an application meets the requirements 
of the Act, and the regulations of the Commission, the Commission will 
issue a specific license authorizing the possession and use of byproduct 
material (Form NRC 374, ``Byproduct Material License'').

[30 FR 8185, June 26, 1965, as amended at 36 FR 12731, July 7, 1971; 37 
FR 5747. Mar. 21, 1972; 39 FR 26279, July 18, 1974; 43 FR 6922, Feb. 17, 
1978; 49 FR 9403, Mar. 12, 1984; 52 FR 8241, Mar. 17, 1987; 58 FR 7736, 
Feb. 9, 1993]



Sec. 30.34   Terms and conditions of licenses.

    (a) Each license issued pursuant to the regulations in this part and 
the regulations in parts 31 through 36 and 39 of this chapter shall be 
subject to all the provisions of the Act, now or hereafter in effect, 
and to all valid rules, regulations and orders of the Commission.
    (b) No license issued or granted pursuant to the regulations in this 
part and parts 31 through 36, and 39 nor any right under a license shall 
be transferred, assigned or in any manner disposed of, either 
voluntarily or involuntarily, directly or indirectly, through transfer 
of control of any license to any person, unless the Commission shall, 
after securing full information, find that the transfer is in accordance 
with the provisions of the Act and shall give its consent in writing.
    (c) Each person licensed by the Commission pursuant to the 
regulations in this part and parts 31 through 36 and 39 shall confine 
his possession and use of the byproduct material to the locations and 
purposes authorized in the license. Except as otherwise provided in the 
license, a license issued pursuant to the regulations in this part and 
parts 31 through 36 and 39 of this chapter shall carry with it the right 
to receive, acquire, own, and possess byproduct material. Preparation 
for shipment and transport of byproduct material shall be in accordance 
with the provisions of part 71 of this chapter.
    (d) Each license issued pursuant to the regulations in this part and 
parts 31 through 36 and 39 shall be deemed to contain the provisions set 
forth in section 183b.-d., inclusive, of the Act, whether or not these 
provisions are expressly set forth in the license.
    (e) The Commission may incorporate, in any license issued pursuant 
to the regulations in this part and parts 31

[[Page 438]]

through 36 and 39, at the time of issuance, or thereafter by appropriate 
rule, regulation or order, such additional requirements and conditions 
with respect to the licensee's receipt, possession, use and transfer of 
byproduct material as it deems appropriate or necessary in order to:
    (1) Promote the common defense and security;
    (2) Protect health or to minimize danger to life or property;
    (3) Protect restricted data;
    (4) Require such reports and the keeping of such records, and to 
provide for such inspections of activities under the license as may be 
necessary or appropriate to effectuate the purposes of the Act and 
regulations thereunder.
    (f) Licensees required to submit emergency plans by Sec. 30.32(i) 
shall follow the emergency plan approved by the Commission. The licensee 
may change the approved without Commission approval only if the changes 
do not decrease the effectiveness of the plan. The licensee shall 
furnish the change to the appropriate NRC Regional Office specified in 
Sec. 30.6 and to affected offsite response organizations within six 
months after the change is made. Proposed changes that decrease, or 
potentially decrease, the effectiveness of the approved emergency plan 
may not be implemented without prior application to and prior approval 
by the Commission.
    (g) Each licensee preparing technetium-99m radiopharmaceuticals from 
molybdenum-99/technetium-99m generators shall test the generator eluates 
for molybdenum-99 breakthrough in accordance with Sec. 35.204 of this 
chapter. The licensee shall record the results of each test and retain 
each record for three years after the record is made.
    (h)(1) Each licensee shall notify the appropriate NRC Regional 
Administrator, in writing, immediately following the filing of a 
voluntary or involuntary petition for bankruptcy under any chapter of 
title 11 (Bankruptcy) of the United States Code by or against:
    (i) The licensee;
    (ii) An entity (as that term is defined in 11 U.S.C. 101(14)) 
controlling the licensee or listing the license or licensee as property 
of the estate; or
    (iii) An affiliate (as that term is defined in 11 U.S.C. 101(2)) of 
the licensee.
    (2) This notification must indicate:
    (i) The bankruptcy court in which the petition for bankruptcy was 
filed; and
    (ii) The date of the filing of the petition.

[30 FR 8185, June 26, 1965, as amended at 38 FR 33969, Dec. 10, 1973; 43 
FR 6922, Feb. 17, 1978; 48 FR 32328, July 15, 1983; 52 FR 1295, Jan. 12, 
1987; 52 FR 8241, Mar. 17, 1987; 53 FR 19245, May 27, 1988; 53 FR 23383, 
June 22, 1988; 54 FR 14061, Apr. 7, 1989; 58 FR 7736, Feb. 9, 1993; 59 
FR 61780, Dec. 2, 1994]



Sec. 30.35  Financial assurance and recordkeeping for decommissioning.

    (a) Each applicant for a specific license authorizing the possession 
and use of unsealed byproduct material of half-life greater than 120 
days and in quantities exceeding 10 \5\ times the applicable quantities 
set forth in appendix B to part 30 shall submit a decommissioning 
funding plan as described in paragraph (e) of this section. The 
decommissioning funding plan must also be submitted when a combination 
of isotopes is involved if R divided by 10 \5\ is greater than 1 (unity 
rule), where R is defined here as the sum of the ratios of the quantity 
of each isotope to the applicable value in appendix B to part 30.
    (b) Each applicant for a specific license authorizing possession and 
use of byproduct material of half-life greater than 120 days and in 
quantities specified in paragraph (d) of this section shall either--
    (1) Submit a decommissioning funding plan as described in paragraph 
(e) of this section; or
    (2) Submit a certification that financial assurance for 
decommissioning has been provided in the amount prescribed by paragraph 
(d) of this section using one of the methods described in paragraph (f) 
of this section. For an applicant, this certification may state that the 
appropriate assurance will be obtained after the application has been 
approved and the license issued but before the receipt of licensed 
material. If the applicant defers execution of the financial instrument 
until after the license has been issued, a signed original of the 
financial instrument obtained to

[[Page 439]]

satisfy the requirements of paragraph (f) of this section must be 
submitted to NRC before receipt of licensed material. If the applicant 
does not defer execution of the financial instrument, the applicant 
shall submit to NRC, as part of the certification, a signed original of 
the financial instrument obtained to satisfy the requirements of 
paragraph (f) of this section.
    (c)(1) Each holder of a specific license issued on or after July 27, 
1990, which is of a type described in paragraph (a) or (b) of this 
section, shall provide financial assurance for decommissioning in 
accordance with the criteria set forth in this section.
    (2) Each holder of a specific license issued before July 27, 1990, 
and of a type described in paragraph (a) of this section shall submit, 
on or before July 27, 1990, a decommissioning funding plan as described 
in paragraph (e) of this section or a certification of financial 
assurance for decommissioning in an amount at least equal to $750,000 in 
accordance with the criteria set forth in this section. If the licensee 
submits the certification of financial assurance rather than a 
decommissioning funding plan, the licensee shall include a 
decommissioning funding plan in any application for license renewal.
    (3) Each holder of a specific license issued before July 27, 1990, 
and of a type described in paragraph (b) of this section shall submit, 
on or before July 27, 1990, a decommissioning funding plan as described, 
in paragraph (e) of this section, or a certification of financial 
assurance for decommissioning in accordance with the criteria set forth 
in this section.
    (4) Any licensee who has submitted an application before July 27, 
1990, for renewal of license in accordance with Sec. 30.37 shall provide 
financial assurance for decommissioning in accordance with paragraphs 
(a) and (b) of this section. This assurance must be submitted when this 
rule becomes effective November 24, 1995.
    (d) Table of required amounts of financial assurance for 
decommissioning by quantity of material.


greater than 10 \4\ but less than or equal to 10 \5\ times              
 the applicable quantities of appendix B to part 30 in                  
 unsealed form. (For a combination of isotopes, if R, as                
 defined in Sec.  30.35(a), divided by 10 \4\ is greater than           
 1 but R divided by 10 \5\ is less than or equal to 1.)......   $750,000
                                                                        
greater than 10 \3\ but less than or equal to 10 \4\ times              
 the applicable quantities of appendix B to part 30 in                  
 unsealed form. (For a combination of isotopes, if R, as                
 defined in Sec.  30.35(a), divided by 10 \3\ is greater than           
 1 but R divided by 10 \4\ is less than or equal to 1.)......   $150,000
                                                                        
greater than 10 \10\ times the applicable quantities of                 
 appendix B to part 30 in sealed sources or plated foils.               
 (For a combination of isotopes, if R, as defined in Sec.               
 30.35(a), divided by 10 \10\ is greater than 1).............    $75,000
                                                                        


    (e) Each decommissioning funding plan must contain a cost estimate 
for decommissioning and a description of the method of assuring funds 
for decommissioning from paragraph (f) of this section, including means 
for adjusting cost estimates and associated funding levels periodically 
over the life of the facility. The decommissioning funding plan must 
also contain a certification by the licensee that financial assurance 
for decommissioning has been provided in the amount of the cost estimate 
for decommissioning and a signed original of the financial instrument 
obtained to satisfy the requirements of paragraph (f) of this section.
    (f) Financial assurance for decommissioning must be provided by one 
or more of the following methods:
    (1) Prepayment. Prepayment is the deposit prior to the start of 
operation into an account segregated from licensee assets and outside 
the licensee's administrative control of cash or liquid assets such that 
the amount of funds would be sufficient to pay decommissioning costs. 
Prepayment may be in the form of a trust, escrow account, government 
fund, certificate of deposit, or deposit of government securities.
    (2) A surety method, insurance, or other guarantee method. These 
methods guarantee that decommissioning costs will be paid. A surety 
method

[[Page 440]]

may be in the form of a surety bond, letter of credit, or line of 
credit. A parent company guarantee of funds for decommissioning costs 
based on a financial test may be used if the guarantee and test are as 
contained in appendix A of this part. A parent company guarantee may not 
be used in combination with other financial methods to satisfy the 
requirements of this section. A guarantee of funds by the applicant or 
licensee for decommissioning costs based on a financial test may be used 
if the guarantee and test are as contained in appendix C of this part. A 
guarantee by the applicant or licensee may not be used in combination 
with any other financial methods to satisfy the requirements of this 
section or in any situation where the applicant or licensee has a parent 
company holding majority control of the voting stock of the company. Any 
surety method or insurance used to provide financial assurance for 
decommissioning must contain the following conditions:
    (i) The surety method or insurance must be open-ended or, if written 
for a specified term, such as five years, must be renewed automatically 
unless 90 days or more prior to the renewal date, the issuer notifies 
the Commission, the beneficiary, and the licensee of its intention not 
to renew. The surety method or insurance must also provide that the full 
face amount be paid to the beneficiary automatically prior to the 
expiration without proof of forfeiture if the licensee fails to provide 
a replacement acceptable to the Commission within 30 days after receipt 
of notification of cancellation.
    (ii) The surety method or insurance must be payable to a trust 
established for decommissioning costs. The trustee and trust must be 
acceptable to the Commission. An acceptable trustee includes an 
appropriate State or Federal government agency or an entity which has 
the authority to act as a trustee and whose trust operations are 
regulated and examined by a Federal or State agency.
    (iii) The surety method or insurance must remain in effect until the 
Commission has terminated the license.
    (3) An external sinking fund in which deposits are made at least 
annually, coupled with a surety method or insurance, the value of which 
may decrease by the amount being accumulated in the sinking fund. An 
external sinking fund is a fund established and maintained by setting 
aside funds periodically in an account segregated from licensee assets 
and outside the licensee's administrative control in which the total 
amount of funds would be sufficient to pay decommissioning costs at the 
time termination of operation is expected. An external sinking fund may 
be in the form of a trust, escrow account, government fund, certificate 
of deposit, or deposit of government securities. The surety or insurance 
provisions must be as stated in paragraph (f)(2) of this section.
    (4) In the case of Federal, State, or local government licensees, a 
statement of intent containing a cost estimate for decommissioning or an 
amount based on the Table in paragraph (d) of this section, and 
indicating that funds for decommissioning will be obtained when 
necessary.
    (g) Each person licensed under this part or parts 32 through 36 and 
39 of this chapter shall keep records of information important to the 
decommissioning of a facility in an identified location until the site 
is released for unrestricted use. Before licensed activities are 
transferred or assigned in accordance with Sec. 30.34(b), licensees 
shall transfer all records described in this paragraph to the new 
licensee. In this case, the new licensee will be responsible for 
maintaining these records until the license is terminated. If records 
important to the decommissioning of a facility are kept for other 
purposes, reference to these records and their locations may be used. 
Information the Commission considers important to decommissioning 
consists of--
    (1) Records of spills or other unusual occurrences involving the 
spread of contamination in and around the facility, equipment, or site. 
These records may be limited to instances when contamination remains 
after any cleanup procedures or when there is reasonable likelihood that 
contaminants may have spread to inaccessible areas as in the case of 
possible seepage into porous materials such as concrete. These

[[Page 441]]

records must include any known information on identification of involved 
nuclides, quantities, forms, and concentrations.
    (2) As-built drawings and modifications of structures and equipment 
in restricted areas where radioactive materials are used and/or stored, 
and of locations of possible inaccessible contamination such as buried 
pipes which may be subject to contamination. If required drawings are 
referenced, each relevant document need not be indexed individually. If 
drawings are not available, the licensee shall substitute appropriate 
records of available information concerning these areas and locations.
    (3) Except for areas containing only sealed sources (provided the 
sources have not leaked or no contamination remains after any leak) or 
byproduct materials having only half-lives of less than 65 days, a list 
contained in a single document and updated every 2 years, of the 
following:
    (i) All areas designated and formerly designated restricted areas as 
defined in 10 CFR 20.1003 (For requirements prior to January 1, 1994, 
see 10 CFR 20.3 as contained in the CFR edition revised as of January 1, 
1993.);
    (ii) All areas outside of restricted areas that require 
documentation under Sec. 30.35(g)(1).
    (iii) All areas outside of restricted areas where current and 
previous wastes have been buried as documented under 10 CFR 20.2108; and
    (iv) All areas outside of restricted areas which contain material 
such that, if the license expired, the licensee would be required to 
either decontaminate the area to unrestricted release levels or apply 
for approval for disposal under 10 CFR 20.2002.
    (4) Records of the cost estimate performed for the decommissioning 
funding plan or of the amount certified for decommissioning, and records 
of the funding method used for assuring funds if either a funding plan 
or certification is used.

[53 FR 24044, June 27, 1988, as amended at 56 FR 23471, May 21, 1991; 58 
FR 39633, July 26, 1993; 58 FR 67659, Dec. 22, 1993; 58 FR 68730, Dec. 
29, 1993; 59 FR 1618, Jan. 12, 1994; 60 FR 38238, July 26, 1995; 61 FR 
24673, May 16, 1996]



Sec. 30.36  Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas.

    (a)(1) Except as provided in paragraph (a)(2) of this section, each 
specific license expires at the end of the day on the expiration date 
stated in the license unless the licensee has filed an application for 
renewal under Sec. 30.37 not less than 30 days before the expiration 
date stated in the existing license (or, for those licenses subject to 
paragraph (a)(2) of this section, 30 days before the deemed expiration 
date in that paragraph). If an application for renewal has been filed at 
least 30 days before the expiration date stated in the existing license 
(or, for those licenses subject to paragraph (a)(2) of this section, 30 
days before the deemed expiration date in that paragraph), the existing 
license expires at the end of the day on which the Commission makes a 
final determination to deny the renewal application or, if the 
determination states an expiration date, the expiration date stated in 
the determination.
    (2) Each specific license that has an expiration date after July 1, 
1995, and is not one of the licenses described in paragraph (a)(3) of 
this section, shall be deemed to have an expiration date that is five 
years after the expiration date stated in the current license.
    (3) The following specific licenses are not subject to, or otherwise 
affected by, the provisions of paragraph (a)(2) of this section:
    (i) Specific licenses for which, on February 15, 1996, an evaluation 
or an emergency plan is required in accordance with Sec. 30.32(i);
    (ii) Specific licenses whose holders are subject to the financial 
assurance requirements specified in 10 CFR 30.35, and on February 15, 
1996, the holders either:
    (A) Have not submitted a decommissioning funding plan or 
certification of financial assurance for decommissioning; or
    (B) Have not received written notice that the decommissioning 
funding plan or certification of financial assurance for decommissioning 
is acceptable;
    (iii) Specific licenses whose holders are listed in the SDMP List 
published

[[Page 442]]

in NUREG 1444, Supplement 1 (November 1995);
    (iv) Specific licenses whose issuance, amendment, or renewal, as of 
February 15, 1996, is not a categorical exclusion under 10 CFR 
51.22(c)(14) and, therefore, need an environmental assessment or 
environmental impact statement pursuant to Subpart A of Part 51 of this 
chapter;
    (v) Specific licenses whose holders have not had at least one NRC 
inspection of licensed activities before February 15, 1996;
    (vi) Specific licenses whose holders, as the result of the most 
recent NRC inspection of licensed activities conducted before February 
15, 1996, have been:
    (A) Cited for a Severity Level I, II, or III violation in a Notice 
of Violation;
    (B) Subject to an Order issued by the NRC; or
    (C) Subject to a Confirmatory Action Letter issued by the NRC.
    (vii) Specific licenses with expiration dates before July 1, 1995, 
for which the holders have submitted applications for renewal under 10 
CFR 30.37 of this part.
    (b) Each specific license revoked by the Commission expires at the 
end of the day on the date of the Commission's final determination to 
revoke the license, or on the expiration date stated in the 
determination, or as otherwise provided by Commission Order.
    (c) Each specific license continues in effect, beyond the expiration 
date if necessary, with respect to possession of byproduct material 
until the Commission notifies the licensee in writing that the license 
is terminated. During this time, the licensee shall--
    (1) Limit actions involving byproduct material to those related to 
decommissioning; and
    (2) Continue to control entry to restricted areas until they are 
suitable for release in accordance with NRC requirements.
    (d) Within 60 days of the occurrence of any of the following, 
consistent with the administrative directions in Sec. 30.6, each 
licensee shall provide notification to the NRC in writing of such 
occurrence, and either begin decommissioning its site, or any separate 
building or outdoor area that contains residual radioactivity so that 
the building or outdoor area is suitable for release in accordance with 
NRC requirements, or submit within 12 months of notification a 
decommissioning plan, if required by paragraph (g)(1) of this section, 
and begin decommissioning upon approval of that plan if--
    (1) The license has expired pursuant to paragraph (a) or (b) of this 
section; or
    (2) The licensee has decided to permanently cease principal 
activities, as defined in this part, at the entire site or in any 
separate building or outdoor area that contains residual radioactivity 
such that the building or outdoor area is unsuitable for release in 
accordance with NRC requirements; or
    (3) No principal activities under the license have been conducted 
for a period of 24 months; or
    (4) No principal activities have been conducted for a period of 24 
months in any separate building or outdoor area that contains residual 
radioactivity such that the building or outdoor area is unsuitable for 
release in accordance with NRC requirements.
    (e) Coincident with the notification required by paragraph (d) of 
this section, the licensee shall maintain in effect all decommissioning 
financial assurances established by the licensee pursuant to Sec. 30.35 
in conjunction with a license issuance or renewal or as required by this 
section. The amount of the financial assurance must be increased, or may 
be decreased, as appropriate, to cover the detailed cost estimate for 
decommissioning established pursuant to paragraph (g)(4)(v) of this 
section.
    (1) Any licensee who has not provided financial assurance to cover 
the detailed cost estimate submitted with the decommissioning plan shall 
do so when this rule becomes effective November 24, 1995.
    (2) Following approval of the decommissioning plan, a licensee may 
reduce the amount of the financial assurance as decommissioning proceeds 
and radiological contamination is reduced at the site with the approval 
of the Commission.

[[Page 443]]

    (f) The Commission may grant a request to extend the time periods 
established in paragraph (d) if the Commission determines that this 
relief is not detrimental to the public health and safety and is 
otherwise in the public interest. The request must be submitted no later 
than 30 days before notification pursuant to paragraph (d) of this 
section. The schedule for decommissioning set forth in paragraph (d) of 
this section may not commence until the Commission has made a 
determination on the request.
    (g)(1) A decommissioning plan must be submitted if required by 
license condition or if the procedures and activities necessary to carry 
out decommissioning of the site or separate building or outdoor area 
have not been previously approved by the Commission and these procedures 
could increase potential health and safety impacts to workers or to the 
public, such as in any of the following cases:
    (i) Procedures would involve techniques not applied routinely during 
cleanup or maintenance operations;
    (ii) Workers would be entering areas not normally occupied where 
surface contamination and radiation levels are significantly higher than 
routinely encountered during operation;
    (iii) Procedures could result in significantly greater airborne 
concentrations of radioactive materials than are present during 
operation; or
    (iv) Procedures could result in significantly greater releases of 
radioactive material to the environment than those associated with 
operation.
    (2) The Commission may approve an alternate schedule for submittal 
of a decommissioning plan required pursuant to paragraph (d) of this 
section if the Commission determines that the alternative schedule is 
necessary to the effective conduct of decommissioning operations and 
presents no undue risk from radiation to the public health and safety 
and is otherwise in the public interest.
    (3) Procedures such as those listed in paragraph (g)(1) of this 
section with potential health and safety impacts may not be carried out 
prior to approval of the decommissioning plan.
    (4) The proposed decommissioning plan for the site or separate 
building or outdoor area must include:
    (i) A description of the conditions of the site or separate building 
or outdoor area sufficient to evaluate the acceptability of the plan;
    (ii) A description of planned decommissioning activities;
    (iii) A description of methods used to ensure protection of workers 
and the environment against radiation hazards during decommissioning;
    (iv) A description of the planned final radiation survey; and
    (v) An updated detailed cost estimate for decommissioning, 
comparison of that estimate with present funds set aside for 
decommissioning, and a plan for assuring the availability of adequate 
funds for completion of decommissioning.
    (vi) For decommissioning plans calling for completion of 
decommissioning later than 24 months after plan approval, the plan shall 
include a justification for the delay based on the criteria in paragraph 
(i) of this section.
    (5) The proposed decommissioning plan will be approved by the 
Commission if the information therein demonstrates that the 
decommissioning will be completed as soon as practicable and that the 
health and safety of workers and the public will be adequately 
protected.
    (h)(1) Except as provided in paragraph (i) of this section, 
licensees shall complete decommissioning of the site or separate 
building or outdoor area as soon as practicable but no later than 24 
months following the initiation of decommissioning.
    (2) Except as provided in paragraph (i) of this section, when 
decommissioning involves the entire site, the licensee shall request 
license termination as soon as practicable but no later than 24 months 
following the initiation of decommissioning.
    (i) The Commission may approve a request for an alternative schedule 
for completion of decommissioning of the site or separate building or 
outdoor area, and license termination if appropriate, if the Commission 
determines that the alternative is warranted by consideration of the 
following:

[[Page 444]]

    (1) Whether it is technically feasible to complete decommissioning 
within the allotted 24-month period;
    (2) Whether sufficient waste disposal capacity is available to allow 
completion of decommissioning within the allotted 24-month period;
    (3) Whether a significant volume reduction in wastes requiring 
disposal will be achieved by allowing short-lived radionuclides to 
decay;
    (4) Whether a significant reduction in radiation exposure to workers 
can be achieved by allowing short-lived radionuclides to decay; and
    (5) Other site-specific factors which the Commission may consider 
appropriate on a case-by-case basis, such as the regulatory requirements 
of other government agencies, lawsuits, ground-water treatment 
activities, monitored natural ground-water restoration, actions that 
could result in more environmental harm than deferred cleanup, and other 
factors beyond the control of the licensee.
    (j) As the final step in decommissioning, the licensee shall--
    (1) Certify the disposition of all licensed material, including 
accumulated wastes, by submitting a completed NRC Form 314 or equivalent 
information; and
    (2) Conduct a radiation survey of the premises where the licensed 
activities were carried out and submit a report of the results of this 
survey unless the licensee demonstrates that the premises are suitable 
for release in some other manner. The licensee shall, as appropriate--
    (i) Report levels of gamma radiation in units of millisieverts 
(microroentgen) per hour at one meter from surfaces, and report levels 
of radioactivity, including alpha and beta, in units of megabecquerels 
(disintegrations per minute or microcuries) per 100 square centimeters--
removable and fixed--for surfaces, megabecquerels (microcuries) per 
milliliter for water, and becquerels (picocuries) per gram for solids 
such as soils or concrete; and
    (ii) Specify the survey instrument(s) used and certify that each 
instrument is properly calibrated and tested.
    (k) Specific licenses, including expired licenses, will be 
terminated by written notice to the licensee when the Commission 
determines that:
    (1) Byproduct material has been properly disposed;
    (2) Reasonable effort has been made to eliminate residual 
radioactive contamination, if present; and
    (3)(i) A radiation survey has been performed which demonstrates that 
the premises are suitable for release in accordance with NRC 
requirements; or (ii) Other information submitted by the licensee is 
sufficient to demonstrate that the premises are suitable for release in 
accordance with NRC requirements.
    (4) Records required by Sec. 30.51 (d) and (f) have been received.

[59 FR 36034, July 15, 1994, as amended at 60 FR 38238, July 26, 1995; 
61 FR 1114, Jan. 16, 1996; 61 FR 24673, May 16, 1996; 61 FR 29637, June 
12, 1996]



Sec. 30.37   Application for renewal of licenses.

    (a) Application for renewal of a specific license must be filed on 
NRC Form 314 and in accordance with Sec. 30.32.
    (b) If any licensee granted the extension described in 10 CFR 
30.36(a)(2) has a currently pending renewal application for the extended 
license, that application will be considered withdrawn by the licensee 
and any renewal fees paid by the licensee for that application will be 
refunded.

[59 FR 36035, July 15, 1994, as amended at 61 FR 1114, Jan. 16, 1996]



Sec. 30.38  Application for amendment of licenses.

    Applications for amendment of a license shall be filed on Form NRC-
313 in accordance with Sec. 30.32 and shall specify the respects in 
which the licensee desires its license to be amended and the grounds for 
the amendment.

[49 FR 19625, May 9, 1984]



Sec. 30.39   Commission action on applications to renew or amend.

    In considering an application by a licensee to renew or amend his 
license

[[Page 445]]

the Commission will apply the applicable criteria set forth in 
Sec. 30.33 and parts 32 through 36 and 39 of this chapter.

[30 FR 8185, June 26, 1965, as amended at 43 FR 6922, Feb. 17, 1978; 52 
FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]



Sec. 30.41   Transfer of byproduct material.

    (a) No licensee shall transfer byproduct material except as 
authorized pursuant to this section.
    (b) Except as otherwise provided in his license and subject to the 
provisions of paragraphs (c) and (d) of this section, any licensee may 
transfer byproduct material:
    (1) To the Department;
    (2) To the agency in any Agreement State which regulates radioactive 
material pursuant to an agreement under section 274 of the Act;
    (3) To any person exempt from the licensing requirements of the Act 
and regulations in this part, to the extent permitted under such 
exemption;
    (4) To any person in an Agreement State, subject to the jurisdiction 
of that State, who has been exempted from the licensing requirements and 
regulations of that State, to the extent permitted under such exemption;
    (5) To any person authorized to receive such byproduct material 
under terms of a specific license or a general license or their 
equivalents issued by the Atomic Energy Commission, the Commission, or 
an Agreement State;
    (6) To a person abroad pursuant to an export license issued under 
part 110 of this chapter; or
    (7) As otherwise authorized by the Commission in writing.
    (c) Before transferring byproduct material to a specific licensee of 
the Commission or an Agreement State or to a general licensee who is 
required to register with the Commission or with an Agreement State 
prior to receipt of the byproduct material, the licensee transferring 
the material shall verify that the transferee's license authorizes the 
receipt of the type, form, and quantity of byproduct material to be 
transferred.
    (d) The following methods for the verification required by paragraph 
(c) of this section are acceptable:
    (1) The transferor may have in his possession, and read, a current 
copy of the transferee's specific license or registration certificate;
    (2) The transferor may have in his possession a written 
certification by the transferee that he is authorized by license or 
registration certificate to receive the type, form, and quantity of 
byproduct material to be transferred, specifying the license or 
registration certificate number, issuing agency and expiration date;
    (3) For emergency shipments the transferor may accept oral 
certification by the transferee that he is authorized by license or 
registration certificate to receive the type, form, and quantity of 
byproduct material to be transferred, specifying the license or 
registration certificate number, issuing agency and expiration date: 
Provided, That the oral certification is confirmed in writing within 10 
days;
    (4) The transferor may obtain other sources of information compiled 
by a reporting service from official records of the Commission or the 
licensing agency of an Agreement State as to the identity of licensees 
and the scope and expiration dates of licenses and registration; or
    (5) When none of the methods of verification described in paragraphs 
(d)(1) to (4) of this section are readily available or when a transferor 
desires to verify that information received by one of such 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 byproduct material.

[38 FR 33969, Dec. 10, 1973, as amended at 40 FR 8785, Mar. 3, 1975; 43 
FR 6922, Feb. 17, 1978]

                Records, Inspections, Tests, and Reports



Sec. 30.50  Reporting requirements.

    (a) Immediate report. Each licensee shall notify the NRC as soon as 
possible but not later than 4 hours after the discovery of an event that 
prevents immediate protective actions necessary to avoid exposures to 
radiation or radioactive materials that could exceed regulatory limits 
or releases of licensed material that could exceed regulatory limits 
(events may include

[[Page 446]]

fires, explosions, toxic gas releases, etc.).
    (b) Twenty-four hour report. Each licensee shall notify the NRC 
within 24 hours after the discovery of any of the following events 
involving licensed material:
    (1) An unplanned contamination event that:
    (i) Requires access to the contaminated area, by workers or the 
public, to be restricted for more than 24 hours by imposing additional 
radiological controls or by prohibiting entry into the area;
    (ii) Involves a quantity of material greater than five times the 
lowest annual limit on intake specified in appendix B of Secs. 20.1001-
20.2401 of 10 CFR part 20 for the material; and
    (iii) Has access to the area restricted for a reason other than to 
allow isotopes with a half-life of less than 24 hours to decay prior to 
decontamination.
    (2) An event in which equipment is disabled or fails to function as 
designed when:
    (i) The equipment is required by regulation or license condition to 
prevent releases exceeding regulatory limits, to prevent exposures to 
radiation and radioactive materials exceeding regulatory limits, or to 
mitigate the consequences of an accident;
    (ii) The equipment is required to be available and operable when it 
is disabled or fails to function; and
    (iii) No redundant equipment is available and operable to perform 
the required safety function.
    (3) An event that requires unplanned medical treatment at a medical 
facility of an individual with spreadable radioactive contamination on 
the individual's clothing or body.
    (4) An unplanned fire or explosion damaging any licensed material or 
any device, container, or equipment containing licensed material when:
    (i) The quantity of material involved is greater than five times the 
lowest annual limit on intake specified in appendix B of Secs. 20.1001-
20.2401 of 10 CFR part 20 for the material; and
    (ii) The damage affects the integrity of the licensed material or 
its container.
    (c) Preparation and submission of reports. Reports made by licensees 
in response to the requirements of this section must be made as follows:
    (1) Licensees shall make reports required by paragraphs (a) and (b) 
of this section by telephone to the NRC Operations Center.\1\ To the 
extent that the information is available at the time of notification, 
the information provided in these reports must include:
---------------------------------------------------------------------------

    \1\ The commercial telephone number for the NRC Operations Center is 
(301) 816-5100.
---------------------------------------------------------------------------

    (i) The caller's name and call back telephone number;
    (ii) A description of the event, including date and time;
    (iii) The exact location of the event;
    (iv) The isotopes, quantities, and chemical and physical form of the 
licensed material involved; and
    (v) Any personnel radiation exposure data available.
    (2) Written report. Each licensee who makes a report required by 
paragraph (a) or (b) of this section shall submit a written follow-up 
report within 30 days of the initial report. Written reports prepared 
pursuant to other regulations may be submitted to fulfill this 
requirement if the reports contain all of the necessary information and 
the appropriate distribution is made. These written reports must be sent 
to the U.S. Nuclear Regulatory Commission, Document Control Desk, 
Washington, DC 20555, with a copy to the appropriate NRC Regional office 
listed in appendix D of 10 CFR part 20. The reports must include the 
following:
    (i) A description of the event, including the probable cause and the 
manufacturer and model number (if applicable) of any equipment that 
failed or malfunctioned;
    (ii) The exact location of the event;
    (iii) The isotopes, quantities, and chemical and physical form of 
the licensed material involved;
    (iv) Date and time of the event;
    (v) Corrective actions taken or planned and the results of any 
evaluations or assessments; and
    (vi) The extent of exposure of individuals to radiation or to 
radioactive materials without identification of individuals by name.

[[Page 447]]

    (3) The provisions of Sec. 30.50 do not apply to licensees subject 
to the notification requirements in Sec. 50.72. They do apply to those 
part 50 licensees possessing material licensed under part 30, who are 
not subject to the notification requirements in Sec. 50.72.

[56 FR 40767, Aug. 16, 1991, as amended at 59 FR 14086, Mar. 25, 1994]



Sec. 30.51   Records.

    (a) Each person who receives byproduct material pursuant to a 
license issued pursuant to the regulations in this part and parts 31 
through 36 of this chapter shall keep records showing the receipt, 
transfer, and disposal of the byproduct material as follows:
    (1) The licensee shall retain each record of receipt of byproduct 
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 three years after each transfer unless a specific 
requirement in another part of the regulations in this chapter dictates 
otherwise.
    (3) The licensee who disposed of the material shall retain each 
record of disposal of byproduct material until the Commission terminates 
each license that authorizes disposal of the material.
    (b) The licensee shall retain each record that is required by the 
regulations in this part and parts 31 through 36 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.
    (c)(1) Records which must be maintained pursuant to this part and 
parts 31 through 36 of this chapter may be the original or a reproduced 
copy or microform if such reproduced copy or microform is duly 
authenticated by authorized personnel and the microform is capable of 
producing a clear and legible copy after storage for the period 
specified by Commission regulations. The record may also be stored in 
electronic media with the capability for producing legible, accurate, 
and complete records during the required retention period. Records such 
as letters, drawings, specifications, must include all pertinent 
information such as stamps, initials, and signatures. The licensee shall 
maintain adequate safeguards against tampering with and loss of records.
    (2) If there is a conflict between the Commission's regulations in 
this part and parts 31 through 36 and 39 of this chapter, license 
condition, or other written Commission approval or authorization 
pertaining to the retention period for the same type of record, the 
retention period specified in the regulations in this part and parts 31 
through 36 and 39 of this chapter for such records shall apply unless 
the Commission, pursuant to Sec. 30.11, has granted a specific exemption 
from the record retention requirements specified in the regulations in 
this part or parts 31 through 36 and 39 of this chapter.
    (d) Prior to license termination, each licensee authorized to 
possess radioactive material with a half-life greater than 120 days, in 
an unsealed form, shall forward the following records to the appropriate 
NRC Regional Office:
    (1) Records of disposal of licensed material made under 
Secs. 20.2002 (including burials authorized before January 28, 1981 
1), 20.2003, 20.2004, 20.2005; and
---------------------------------------------------------------------------

    \1\ A previous Sec. 20.304 permitted burial of small quantities of 
licensed materials in soil before January 28, 1981, without specific 
Commission authorization. See Sec. 20.304 contained in the 10 CFR, parts 
0 to 199, edition revised as of January 1, 1981.
---------------------------------------------------------------------------

    (2) Records required by Sec. 20.2103(b)(4).
    (e) If licensed activities are transferred or assigned in accordance 
with Sec. 30.34(b), each licensee authorized to possess radioactive 
material, with a half-life greater than 120 days, in an unsealed form, 
shall transfer the following records to the new licensee and the new 
licensee will be responsible for maintaining these records until the 
license is terminated:
    (1) Records of disposal of licensed material made under 
Secs. 20.2002 (including burials authorized before January 28, 1981 
1), 20.2003, 20.2004, 20.2005; and
    (2) Records required by Sec. 20.2103(b)(4).

[[Page 448]]

    (f) Prior to license termination, each licensee shall forward the 
records required by Sec. 30.35(g) to the appropriate NRC Regional 
Office.

[41 FR 18301, May 5, 1976, as amended at 43 FR 6922, Feb. 17, 1978; 52 
FR 8241, Mar. 17, 1987; 53 FR 19245, May 27, 1988; 58 FR 7736, Feb. 9, 
1993; 61 FR 24673, May, 16, 1996]



Sec. 30.52   Inspections.

    (a) Each licensee shall afford to the Commission at all reasonable 
times opportunity to inspect byproduct material and the premises and 
facilities wherein byproduct material is used or stored.
    (b) Each licensee shall make available to the Commission for 
inspection, upon reasonable notice, records kept by him pursuant to the 
regulations in this chapter.

[30 FR 8185, June 26, 1965]



Sec. 30.53   Tests.

    Each licensee shall perform, or permit the Commission to perform, 
such tests as the Commission deems appropriate or necessary for the 
administration of the regulations in this part and parts 31 through 36 
and 39 of this chapter, including tests of:
    (a) Byproduct material;
    (b) Facilities wherein byproduct material is utilized or stored;
    (c) Radiation detection and monitoring instruments; and
    (d) Other equipment and devices used in connection with the 
utilization or storage of byproduct material.

[30 FR 8185, June 26, 1965, as amended by 43 FR 6922, Feb. 17, 1978; 52 
FR 8241, Mar. 17, 1987; 58 FR 7736, Feb. 9, 1993]



Sec. 30.55   Tritium reports.

    (a)-(b) [Reserved]
    (c) Except as specified in paragraph (d) of this section, each 
licensee who is authorized to possess tritium shall report promptly to 
the appropriate NRC Regional Office listed in appendix D of part 20 of 
this chapter by telephone and telegraph, mailgram, or facsimile any 
incident in which an attempt has been made or is believed to have been 
made to commit a theft or unlawful diversion of more than 10 curies of 
such material at any one time or more than 100 curies of such material 
in any one calendar year. The initial report shall be followed within a 
period of fifteen (15) days by a written report submitted to the 
appropriate NRC Regional Office which sets forth the details of the 
incident and its consequences. Copies of such written report shall be 
sent to the Director, Office of Nuclear Material Safety and Safeguards, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555. Subsequent to 
the submission of the written report required by this paragraph, the 
licensee shall promptly inform the Office of Nuclear Material Safety and 
Safeguards by means of a written report of any substantive additional 
information, which becomes available to the licensee, concerning an 
attempted or apparent theft or unlawful diversion of tritium.
    (d) The reports described in this section are not required for 
tritium possessed pursuant to a general license provided in part 31 of 
this chapter or for tritium contained in spent fuel.

[37 FR 9208, May 6, 1972, as amended at 38 FR 1271, Jan. 11, 1973; 38 FR 
2330, Jan. 24, 1973; 41 FR 16446, Apr. 19, 1976; 43 FR 6922, Feb. 17, 
1978; 46 FR 55085, Nov. 6, 1981; 49 FR 24707, June 15, 1984; 52 FR 
31611, Aug. 21, 1987]

                               Enforcement



Sec. 30.61   Modification and revocation of licenses.

    (a) The terms and conditions of each license issued pursuant to the 
regulations in this part and parts 31 through 35 of this chapter shall 
be subject to amendment, revision or modification by reason of 
amendments to the Act, or by reason of rules, regulations and orders 
issued in accordance with the terms of the Act.
    (b) Any license may be revoked, suspended or modified, in whole or 
in part, for any material false statement in the application or any 
statement of fact required under section 182 of the Act, or because of 
conditions revealed by such application or statement of fact or any 
report, record or inspection or other means which would warrant the 
Commission to refuse to grant a license on an original application, or 
for violation of, or failure to observe any of the terms and provisions 
of the Act or of any rule, regulation or order of the Commission.

[[Page 449]]

    (c) Except in cases of willfulness or those in which the public 
health, interest or safety requires otherwise, no license shall be 
modified, suspended or revoked unless, prior to the institution of 
proceedings therefor, facts or conduct which may warrant such action 
shall have been called to the attention of the licensee in writing and 
the licensee shall have been accorded an opportunity to demonstrate or 
achieve compliance with all lawful requirements.

[30 FR 8185, June 26, 1965, as amended at 35 FR 11460, July 17, 1970; 43 
FR 6922, Feb. 17, 1978]



Sec. 30.62   Right to cause the withholding or recall of byproduct material.

    The Commission may cause the withholding or recall of byproduct 
material from any licensee who is not equipped to observe or fails to 
observe such safety standards to protect health as may be established by 
the Commission, or who uses such materials in violation of law or 
regulation of the Commission, or in a manner other than as disclosed in 
the application therefor or approved by the Commission.

[30 FR 8185, June 26, 1965, as amended at 40 FR 8785, Mar. 3, 1975]



Sec. 30.63  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55072, Nov. 24, 1992]



Sec. 30.64  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 30 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 30 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 30.1, 30.2, 30.4, 30.5, 30.6, 30.8, 30.11, 30.12, 30.13, 30.15, 
30.16, 30.31, 30.32, 30.33, 30.37, 30.38, 30.39, 30.61, 30.62, 30.63, 
30.64, 30.70, 30.71, and 30.72.

[57 FR 55072, Nov. 24, 1992]


                                SCHEDULES


Sec. 30.70     Schedule A--exempt concentrations.

                                      [See footnotes at end of this table]                                      
----------------------------------------------------------------------------------------------------------------
                                                                         Col. I                  Col. II        
                                                               -------------------------------------------------
       Element (atomic number)                 Isotope                                       Liquid and solid   
                                                                   Gas concentration      concentration Ci/ml \1\           m>Ci/ml\2\      
----------------------------------------------------------------------------------------------------------------
Antimony (51)........................  Sb 122.................  .......................  3 x 10-4               
                                       Sb 124.................  .......................  2 x 10-4               
                                       Sb 125.................  .......................  1 x 10-3               
Argon (18)...........................  A 37...................  1 x 10-3...............  .......................
                                       A 41...................  4 x 10-7...............  .......................

[[Page 450]]

                                                                                                                
Arsenic (33).........................  As 73..................  .......................  5 x 10-3               
                                       As 74..................  .......................  5 x 10-4               
                                       As 76..................  .......................  2 x 10-4               
                                       As 77..................  .......................  8 x 10-4               
Barium (56)..........................  Ba 131.................  .......................  2 x 10-3               
                                       Ba 140.................  .......................  3 x 10-4               
Beryllium (4)........................  Be 7...................  .......................  2 x 10-2               
Bismuth (83).........................  Bi 206.................  .......................  4 x 10-4               
Bromine (35).........................  Br 82..................  4 x 10-7...............  3 x 10-3               
Cadmium (48).........................  Cd 109.................  .......................  2 x 10-3               
                                       Cd 115m................  .......................  3 x 10-4               
                                       Cd 115.................  .......................  3 x 10-4               
Calcium (20).........................  Ca 45..................  .......................  9 x 10-5               
                                       Ca 47..................  .......................  5 x 10-4               
Carbon (6)...........................  C 14...................  1 x 10-6...............  8 x 10-3               
Cerium (58)..........................  Ce 141.................  .......................  9 x 10-4               
                                       Ce 143.................  .......................  4 x 10-4               
                                       Ce 144.................  .......................  1 x 10-4               
Cesium (55)..........................  Cs 131.................  .......................  2 x 10-2               
                                       Cs 134m................  .......................  6 x 10-2               
                                       Cs 134.................  .......................  9 x 10-5               
Chlorine (17)........................  Cl 38..................  9 x 10-7...............  4 x 10-3               
Chromium (24)........................  Cr 51..................  .......................  2 x 10-2               
Cobalt (27)..........................  Co 57..................  .......................  5 x 10-3               
                                       Co 58..................  .......................  1 x 10-3               
                                       Co 60..................  .......................  5 x 10-4               
Copper (29)..........................  Cu 64..................  .......................  3 x 10-3               
Dysprosium (66)......................  Dy 165.................  .......................  4 x 10-3               
                                       Dy 166.................  .......................  4 x 10-4               
Erbium (68)..........................  Er 169.................  .......................  9 x 10-4               
                                       Er 171.................  .......................  1 x 10-3               
Europium (63)........................  Eu 152.................  .......................  6 x 10-4               
                                       (T/2=9.2 Hrs)..........                                                  
                                       Eu 155.................  .......................  2 x 10-3               
Fluorine (9).........................  F 18...................  2 x 10-6...............  8 x 10-3               
Gadolinium (64)......................  Gd 153.................  .......................  2 x 10-3               
                                       Gd 159.................  .......................  8 x 10-4               
Gallium (31).........................  Ga 72..................  .......................  4 x 10-4               
Germanium (32).......................  Ge 71..................  .......................  2 x 10-2               
Gold (79)............................  Au 196.................  .......................  2 x 10-3               
                                       Au 198.................  .......................  5 x 10-4               
                                       Au 199.................  .......................  2 x 10-3               
Hafnium (72).........................  Hf 181.................  .......................  7 x 10-4               
Hydrogen (1).........................  H 3....................  5 x 10-6...............  3 x 10-2               
Indium (49)..........................  In 113m................  .......................  1 x 10-2               
                                       In 114m................  .......................  2 x 10-4               
Iodine (53)..........................  I 126..................  3 x 10-9...............  2 x 10-5               
                                       I 131..................  3 x 10-9...............  2 x 10-5               
                                       I 132..................  8 x 10-8...............  6 x 10-4               
                                       I 133..................  1 x 10-8...............  7 x 10-5               
                                       I 134..................  2 x 10-7...............  1 x 10-3               
Iridium (77).........................  Ir 190.................  .......................  2 x 10-3               
                                       Ir 192.................  .......................  4 x 10-4               
                                       Ir 194.................  .......................  3 x 10-4               
Iron (26)............................  Fe 55..................  .......................  8 x 10-3               
                                       Fe 59..................  .......................  6 x 10-4               
Krypton (36).........................  Kr 85m.................  1 x 10-6...............  .......................
                                       Kr 85..................  3 x 10-6...............  .......................
Lanthanum (57).......................  La 140.................  .......................  2 x 10-4               
Lead (82)............................  Pb 203.................  .......................  4 x 10-3               
Lutetium (71)........................  Lu 177.................  .......................  1 x 10-3               
Manganese (25).......................  Mn 52..................  .......................  3 x 10-4               
                                       Mn 54..................  .......................  1 x 10-3               
                                       Mn 56..................  .......................  1 x 10-3               
Mercury (80).........................  Hg 197m................  .......................  2 x 10-3               
                                       Hg 197.................  .......................  3 x 10-3               
                                       Hg 203.................  .......................  2 x 10-4               
Molybdenum (42)......................  Mo 99..................  .......................  2 x 10-3               
Neodymium (60).......................  Nd 147.................  .......................  6 x 10-4               

[[Page 451]]

                                                                                                                
                                       Nd 149.................  .......................  3 x 10-3               
Nickel (28)..........................  Ni 65..................  .......................  1 x 10-3               
Niobium (Columbium) (41).............  Nb 95..................  .......................  1 x 10-3               
                                       Nb 97..................  .......................  9 x 10-3               
Osmium (76)..........................  Os 185.................  .......................  7 x 10-4               
                                       Os 191m................  .......................  3 x 10-2               
                                       Os 191.................  .......................  2 x 10-3               
                                       Os 193.................  .......................  6 x 10-4               
Palladium (46).......................  Pd 103.................  .......................  3 x 10-3               
                                       Pd 109.................  .......................  9 x 10-4               
Phosphorus (15)......................  P 32...................  .......................  2 x 10-4               
Platinum (78)........................  Pt 191.................  .......................  1 x 10-3               
                                       Pt 193m................  .......................  1 x 10-2               
                                       Pt 197m................  .......................  1 x 10-2               
                                       Pt 197.................  .......................  1 x 10-3               
Potassium (19).......................  K 42...................  .......................  3 x 10-3               
Praseodymium (59)....................  Pr 142.................  .......................  3 x 10-4               
                                       Pr 143.................  .......................  5 x 10-4               
Promethium (61)......................  Pm 147.................  .......................  2 x 10-3               
                                       Pm 149.................  .......................  4 x 10-4               
Rhenium (75).........................  Re 183.................  .......................  6 x 10-3               
                                       Re 186.................  .......................  9 x 10-4               
                                       Re 188.................  .......................  6 x 10-4               
Rhodium (45).........................  Rh 103m................  .......................  1 x 10-1               
                                       Rh 105.................  .......................  1 x 10-3               
Rubidium (37)........................  Rb 86..................  .......................  7 x 10-4               
Ruthenium (44).......................  Ru 97..................  .......................  4 x 10-4               
                                       Ru 103.................  .......................  8 x 10-4               
                                       Ru 105.................  .......................  1 x 10-3               
                                       Ru 106.................  .......................  1 x 10-4               
Samarium (62)........................  Sm 153.................  .......................  8 x 10-4               
Scandium (21)........................  Sc 46..................  .......................  4 x 10-4               
                                       Sc 47..................  .......................  9 x 10-4               
                                       Sc 48..................  .......................  3 x 10-4               
Selenium (34)........................  Se 75..................  .......................  3 x 10-3               
Silicon (14).........................  Si 31..................  .......................  9 x 10-3               
Silver (47)..........................  Ag 105.................  .......................  1 x 10-3               
                                       Ag 110m................  .......................  3 x 10-4               
                                       Ag 111.................  .......................  4 x 10-4               
Sodium (11)..........................  Na 24..................  .......................  2 x 10-3               
Strontium (38).......................  Sr 85..................  .......................  1 x 10-4               
                                       Sr 89..................  .......................  1 x 10-4               
                                       Sr 91..................  .......................  7 x 10-4               
                                       Sr 92..................  .......................  7 x 10-4               
Sulfur (16)..........................  S 35...................  9 x 10-8...............  6 x 10-4               
Tantalum (73)........................  Ta 182.................  .......................  4 x 10-4               
Technetium (43)......................  Tc 96m.................  .......................  1 x 10-1               
                                       Tc 96..................  .......................  1 x 10-3               
Tellurium (52).......................  Te 125m................  .......................  2 x 10-3               
                                       Te 127m................  .......................  6 x 10-4               
                                       Te 127.................  .......................  3 x 10-3               
                                       Te 129m................  .......................  3 x 10-4               
                                       Te 131m................  .......................  6 x 10-4               
                                       Te 132.................  .......................  3 x 10-4               
Terbium (65).........................  Tb 160.................  .......................  4 x 10-4               
Thallium (81)........................  Tl 200.................  .......................  4 x 10-3               
                                       Tl 201.................  .......................  3 x 10-3               
                                       Tl 202.................  .......................  1 x 10-3               
                                       Tl 204.................  .......................  1 x 10-3               
Thulium (69).........................  Tm 170.................  .......................  5 x 10-4               
                                       Tm 171.................  .......................  5 x 10-3               
Tin (50).............................  Sn 113.................  .......................  9 x 10-4               
                                       Sn 125.................  .......................  2 x 10-4               
Tungsten (Wolfram) (74)..............  W 181..................  .......................  4 x 10-3               
                                       W 187..................  .......................  7 x 10-4               
Vanadium (23)........................  V 48...................  .......................  3 x 10-4               
Xenon (54)...........................  Xe 131m................  4 x 10-6...............  .......................
                                       Xe 133.................  3 x 10-6...............  .......................
                                       Xe 135.................  1 x 10-6...............  .......................

[[Page 452]]

                                                                                                                
Ytterbium (70).......................  Yb 175.................  .......................  1 x 10-3               
Yttrium (39).........................  Y 90...................  .......................  2 x 10-4               
                                       Y 91m..................  .......................  3 x 10-2               
                                       Y 91...................  .......................  3 x 10-4               
                                       Y 92...................  .......................  6 x 10-4               
                                       Y 93...................  .......................  3 x 10-4               
Zinc (30)............................  Zn 65..................  .......................  1 x 10-3               
                                       Zn 69m.................  .......................  7 x 10-4               
                                       Zn 69..................  .......................  2 x 10-2               
Zirconium (40).......................  Zr 95..................  .......................  6 x 10-4               
                                       Zr 97..................  .......................  2 x 10-4               
Beta and/or gamma emitting byproduct   .......................  1 x 10-10..............  1 x 10-6               
 material not listed above with half-                                                                           
 life less than 3 years.                                                                                        
----------------------------------------------------------------------------------------------------------------
Footnotes to Schedule A:                                                                                        
\1\Values are given only for those materials normally used as gases.                                            
\2\Ci/gm for solids.                                                                                   

    Note 1: Many radioisotopes disintegrate into isotopes which are also 
radioactive. In expressing the concentrations in Schedule A, the 
activity stated is that of the parent isotope and takes into account the 
daughters.
    Note 2: For purposes of Sec. 30.14 where there is involved a 
combination of isotopes, the limit for the combination should be derived 
as follows:
    Determine for each isotope in the product the ratio between the 
concentration present in the product and the exempt concentration 
established in Schedule A for the specific isotope when not in 
combination. The sum of such ratios may not exceed ``1'' (i.e., unity).

Example: 


       Concentration of Isotope A in Product                   Concentration of Isotope B in Product            
                      ------                         +                       --------                       
Sec. 30.71   Schedule B.

------------------------------------------------------------------------
                     Byproduct material                      Microcuries
------------------------------------------------------------------------
Antimony 122 (Sb 122)......................................          100
Antimony 124 (Sb 124)......................................           10
Antimony 125 (Sb 125)......................................           10
Arsenic 73 (As 73).........................................          100
Arsenic 74 (As 74).........................................           10
Arsenic 76 (As 76).........................................           10
Arsenic 77 (As 77).........................................          100
Barium 131 (Ba 131)........................................           10
Barium 133 (Ba 133)........................................           10
Barium 140 (Ba 140)........................................           10
Bismuth 210 (Bi 210).......................................            1
Bromine 82 (Br 82).........................................           10
Cadmium 109 (Cd 109).......................................           10
Cadmium 115m (Cd 115m).....................................           10
Cadmium 115 (Cd 115).......................................          100
Calcium 45 (Ca 45).........................................           10
Calcium 47 (Ca 47).........................................           10
Carbon 14 (C 14)...........................................          100
Cerium 141 (Ce 141)........................................          100
Cerium 143 (Ce 143)........................................          100
Cerium 144 (Ce 144)........................................            1
Cesium 131 (Cs 131)........................................        1,000
Cesium 134m (Cs 134m)......................................          100
Cesium 134 (Cs 134)........................................            1
Cesium 135 (Cs 135)........................................           10
Cesium 136 (Cs 136)........................................           10
Cesium 137 (Cs 137)........................................           10
Chlorine 36 (C1 36)........................................           10
Chlorine 38 (Cl 38)........................................           10
Chromium 51 (Cr 51)........................................        1,000
Cobalt 58m (Co 58m)........................................           10
Cobalt 58 (Co 58)..........................................           10
Cobalt 60 (Co 60)..........................................            1
Copper 64 (Cu 64)..........................................          100
Dysprosium 165 (Dy 165)....................................           10
Dysprosium 166 (Dy 166)....................................          100
Erbium 169 (Er 169)........................................          100
Erbium 171 (Er 171)........................................          100
Europium 152 9.2 h (Eu 152 9.2 h)..........................          100
Europium 152 13 yr (Eu 152 13 yr)..........................            1
Europium 154 (Eu 154)......................................            1
Europium 155 (Eu 155)......................................           10
Fluorine 18 (F 18).........................................        1,000
Gadolinium 153 (Gd 153)....................................           10
Gadolinium 159 (Gd 159)....................................          100
Gallium 72 (Ga 72).........................................           10
Germanium 71 (Ge 71).......................................          100
Gold 198 (Au 198)..........................................          100
Gold 199 (Au 199)..........................................          100
Hafnium 181 (Hf 181).......................................           10
Holmium 166 (Ho 166).......................................          100
Hydrogen 3 (H 3)...........................................        1,000
Indium 113m (In 113m)......................................          100
Indium 114m (In 114m)......................................           10

[[Page 453]]

                                                                        
Indium 115m (In 115m)......................................          100
Indium 115 (In 115)........................................           10
Iodine 125 (I 125).........................................            1
Iodine 126 (I 126).........................................            1
Iodine 129 (I 129).........................................          0.1
Iodine 131 (I 131).........................................            1
Iodine 132 (I 132).........................................           10
Iodine 133 (I 133).........................................            1
Iodine 134 (I 134).........................................           10
Iodine 135 (I 135).........................................           10
Iridium 192 (Ir 192).......................................           10
Iridium 194 (Ir 194).......................................          100
Iron 55 (Fe 55)............................................          100
Iron 59 (Fe 59)............................................           10
Krypton 85 (Kr 85).........................................          100
Krypton 87 (Kr 87).........................................           10
Lanthanum 140 (La 140).....................................           10
Lutetium 177 (Lu 177)......................................          100
Manganese 52 (Mn 52).......................................           10
Manganese 54 (Mn 54).......................................           10
Manganese 56 (Mn 56).......................................           10
Mercury 197m (Hg 197m).....................................          100
Mercury 197 (Hg 197).......................................          100
Mercury 203 (Hg 203).......................................           10
Molybdenum 99 (Mo 99)......................................          100
Neodymium 147 (Nd 147).....................................          100
Neodymium 149 (Nd 149).....................................          100
Nickel 59 (Ni 59)..........................................          100
Nickel 63 (Ni 63)..........................................           10
Nickel 65 (Ni 65)..........................................          100
Niobium 93m (Nb 93m).......................................           10
Niobium 95 (Nb 95).........................................           10
Niobium 97 (Nb 97).........................................           10
Osmium 185 (Os 185)........................................           10
Osmium 191m (Os 191m)......................................          100
Osmium 191 (Os 191)........................................          100
Osmium 193 (Os 193)........................................          100
Palladium 103 (Pd 103).....................................          100
Palladium 109 (Pd 109).....................................          100
Phosphorus 32 (P 32).......................................           10
Platinum 191 (Pt 191)......................................          100
Platinum 193m (Pt 193m)....................................          100
Platinum 193 (Pt 193)......................................          100
Platinum 197m (Pt 197m)....................................          100
Platinum 197 (Pt 197)......................................          100
Polonium 210 (Po 210)......................................          0.1
Potassium 42 (K 42)........................................           10
Praseodymium 142 (Pr 142)..................................          100
Praseodymium 143 (Pr 143)..................................          100
Promethium 147 (Pm 147)....................................           10
Promethium 149 (Pm 149)....................................           10
Rhenium 186 (Re 186).......................................          100
Rhenium 188 (Re 188).......................................          100
Rhodium 103m (Rh 103m).....................................          100
Rhodium 105 (Rh 105).......................................          100
Rubidium 86 (Rb 86)........................................           10
Rubidium 87 (Rb 87)........................................           10
Ruthenium 97 (Ru 97).......................................          100
Ruthenium 103 (Ru 103).....................................           10
Ruthenium 105 (Ru 105).....................................           10
Ruthenium 106 (Ru 106).....................................            1
Samarium 151 (Sm 151)......................................           10
Samarium 153 (Sm 153)......................................          100
Scandium 46 (Sc 46)........................................           10
Scandium 47 (Sc 47)........................................          100
Scandium 48 (Sc 48)........................................           10
Selenium 75 (Se 75)........................................           10
Silicon 31 (Si 31).........................................          100
Silver 105 (Ag 105)........................................           10
Silver 110m (Ag 110m)......................................            1
Silver 111 (Ag 111)........................................          100
Sodium 24 (Na 24)..........................................           10
Strontium 85 (Sr 85).......................................           10
Strontium 89 (Sr 89).......................................            1
Strontium 90 (Sr 90).......................................          0.1
Strontium 91 (Sr 91).......................................           10
Strontium 92 (Sr 92).......................................           10
Sulphur 35 (S 35)..........................................          100
Tantalum 182 (Ta 182)......................................           10
Technetium 96 (Tc 96)......................................           10
Technetium 97m (Tc 97m)....................................          100
Technetium 97 (Tc 97)......................................          100
Technetium 99m (Tc 99m)....................................          100
Technetium 99 (Tc 99)......................................           10
Tellurium 125m (Te 125m)...................................           10
Tellurium 127m (Te 127m)...................................           10
Tellurium 127 (Te 127).....................................          100
Tellurium 129m (Te 129m)...................................           10
Tellurium 129 (Te 129).....................................          100
Tellurium 131m (Te 131m)...................................           10
Tellurium 132 (Te 132).....................................           10
Terbium 160 (Tb 160).......................................           10
Thallium 200 (Tl 200)......................................          100
Thallium 201 (Tl 201)......................................          100
Thallium 202 (Tl 202)......................................          100
Thallium 204 (Tl 204)......................................           10
Thulium 170 (Tm 170).......................................           10
Thulium 171 (Tm 171).......................................           10
Tin 113 (Sn 113)...........................................           10
Tin 125 (Sn 125)...........................................           10
Tungsten 181 (W 181).......................................           10
Tungsten 185 (W 185).......................................           10
Tungsten 187 (W 187).......................................          100
Vanadium 48 (V 48).........................................           10
Xenon 131m (Xe 131m).......................................        1,000
Xenon 133 (Xe 133).........................................          100
Xenon 135 (Xe 135).........................................          100
Ytterbium 175 (Yb 175).....................................          100
Yttrium 90 (Y 90)..........................................           10
Yttrium 91 (Y 91)..........................................           10
Yttrium 92 (Y 92)..........................................          100
Yttrium 93 (Y 93)..........................................          100
Zinc 65 (Zn 65)............................................           10
Zinc 69m (Zn 69m)..........................................          100
Zinc 69 (Zn 69)............................................        1,000
Zirconium 93 (Zr 93).......................................           10
Zirconium 95 (Zr 95).......................................           10
Zirconium 97 (Zr 97).......................................           10
Any byproduct material not listed above other than alpha                
 emitting byproduct material...............................          0.1
------------------------------------------------------------------------


[35 FR 6427, Apr. 22, 1970, as amended at 36 FR 16898, Aug. 26, 1971; 59 
FR 5519, Feb. 7, 1994]



Sec. 30.72  Schedule C--Quantities of radioactive materials requiring consideration of the need for an emergency plan for responding to a release.

------------------------------------------------------------------------
                                                      Release   Quantity
              Radioactive material \1\               fraction   (curies)
------------------------------------------------------------------------
Actinium-228.......................................    0.001       4,000
Americium-241......................................     .001           2
Americium-242......................................     .001           2
Americium-243......................................     .001           2
Antimony-124.......................................     .01        4,000
Antimony-126.......................................     .01        6,000
Barium-133.........................................     .01       10,000
Barium-140.........................................     .01       30,000
Bismuth-207........................................     .01        5,000
Bismuth-210........................................     .01          600
Cadmium-109........................................     .01        1,000
Cadmium-113........................................     .01           80

[[Page 454]]

                                                                        
Calcium-45.........................................     .01       20,000
Californium-252....................................     .001   9 (20 mg)
Carbon-14 (non-carbon dioxide).....................     .01       50,000
Cerium-141.........................................     .01       10,000
Cerium-144.........................................     .01          300
Cesium-134.........................................     .01        2,000
Cesium-137.........................................     .01        3,000
Chlorine-36........................................     .5           100
Chromium-51........................................     .01      300,000
Cobalt-60..........................................     .001       5,000
Copper-64..........................................     .01      200,000
Curium-242.........................................     .001          60
Curium-243.........................................     .001           3
Curium-244.........................................     .001           4
Curium-245.........................................     .001           2
Europium-152.......................................     .01          500
Europium-154.......................................     .01          400
Europium-155.......................................     .01        3,000
Germanium-68.......................................     .01        2,000
Gadolinium-153.....................................     .01        5,000
Gold-198...........................................     .01       30,000
Hafnium-172........................................     .01          400
Hafnium-181........................................     .01        7,000
Holmium-166m.......................................     .01          100
Hydrogen-3.........................................     .5        20,000
Iodine-125.........................................     .5            10
Iodine-131.........................................     .5            10
Indium-114m........................................     .01        1,000
Iridium-192........................................     .001      40,000
Iron-55............................................     .01       40,000
Iron-59............................................     .01        7,000
Krypton-85.........................................    1.0     6,000,000
Lead-210...........................................     .01            8
Manganese-56.......................................     .01       60,000
Mercury-203........................................     .01       10,000
Molybdenum-99......................................     .01       30,000
Neptunium-237......................................     .001           2
Nickel-63..........................................     .01       20,000
Niobium-94.........................................     .01          300
Phosphorus-32......................................     .5           100
Phosphorus-33......................................     .5         1,000
Polonium-210.......................................     .01           10
Potassium-42.......................................     .01        9,000
Promethium-145.....................................     .01        4,000
Promethium-147.....................................     .01        4,000
Ruthenium-106......................................     .01          200
Samarium-151.......................................     .01        4,000
Scandium-46........................................     .01        3,000
Selenium-75........................................     .01       10,000
Silver-110m........................................     .01        1,000
Sodium-22..........................................     .01        9,000
Sodium-24..........................................     .01       10,000
Strontium-89.......................................     .01        3,000
Strontium-90.......................................     .01           90
Sulfur-35..........................................     .5           900
Technitium-99......................................     .01       10,000
Technitium-99m.....................................     .01      400,000
Tellurium-127m.....................................     .01        5,000
Tellurium-129m.....................................     .01        5,000
Terbium-160........................................     .01        4,000
Thulium-170........................................     .01        4,000
Tin-113............................................     .01       10,000
Tin-123............................................     .01        3,000
Tin-126............................................     .01        1,000
Titanium-44........................................     .01          100
Vanadium-48........................................     .01        7,000
Xenon-133..........................................    1.0       900,000
Yttrium-91.........................................     .01        2,000
Zinc-65............................................     .01        5,000
Zirconium-93.......................................     .01          400
Zirconium-95.......................................     .01        5,000
Any other beta-gamma emitter.......................     .01       10,000
Mixed fission products.............................     .01        1,000
Mixed corrosion products...........................     .01       10,000
Contaminated equipment beta-gamma..................     .001      10,000
Irradiated material, any form other than solid                          
 noncombustible....................................     .01        1,000
Irradiated material, solid noncombustible..........     .001      10,000
Mixed radioactive waste, beta-gamma................     .01        1,000
Packaged mixed waste, beta-gamma \4\...............     .001      10,000
Any other alpha emitter............................     .001           2
Contaminated equipment, alpha......................     .0001         20
Packaged waste, alpha \4\..........................     .0001         20
Combinations of radioactive materials listed above                      
 \1\...............................................  ........  .........
------------------------------------------------------------------------
\1\ For combinations of radioactive materials, consideration of the need
  for an emergency plan is required if the sum of the ratios of the     
  quantity of each radioactive material authorized to the quantity      
  listed for that material in Schedule C exceeds one.                   
\2\ Waste packaged in Type B containers does not require an emergency   
  plan.                                                                 


[54 FR 14061, Apr. 7, 1989, as amended at 61 FR 9902, Mar. 12, 1996]

 Appendix A to Part 30--Criteria Relating to Use of Financial Tests and 
 Parent Company Guarantees for Providing Reasonable Assurance of Funds 
                           for Decommissioning

                             I. Introduction

    An applicant or licensee may provide reasonable assurance of the 
availability of funds for decommissioning based on obtaining a parent 
company guarantee that funds will be available for decommissioning costs 
and on a demonstration that the parent company passes a financial test. 
This appendix establishes criteria for passing the financial test and 
for obtaining the parent company guarantee.

                           II. Financial Test

    A. To pass the financial test, the parent company must meet the 
criteria of either paragraph A.1 or A.2 of this section:
    1. The parent company must have:
    (i) Two of the following three ratios: A ratio of total liabilities 
to net worth less than 2.0; a ratio of the sum of net income plus 
depreciation, depletion, and amortization to total liabilities greater 
than 0.1; and a ratio of current assets to current liabilities greater 
than 1.5; and
    (ii) Net working capital and tangible net worth each at least six 
times the current decommissioning cost estimates (or prescribed amount 
if a certification is used); and
    (iii) Tangible net worth of at least $10 million; and
    (iv) Assets located in the United States amounting to at least 90 
percent of total assets or at least six times the current 
decommissioning cost estimates (or prescribed amount if a certification 
is used).

[[Page 455]]

    2. The parent company must have:
    (i) A current rating for its most recent bond issuance of AAA, AA, 
A, or BBB as issued by Standard and Poor's or Aaa, Aa, A, or Baa as 
issued by Moody's; and
    (ii) Tangible net worth at least six times the current 
decommissioning cost estimate (or prescribed amount if a certification 
is used); and
    (iii) Tangible net worth of at least $10 million; and
    (iv) Assets located in the United States amounting to at least 90 
percent of total assets or at least six times the current 
decommissioning cost estimates (or prescribed amount if certification is 
used).
    B. The parent company's independent certified public accountant must 
have compared the data used by the parent company in the financial test, 
which is derived from the independently audited, year end financial 
statements for the latest fiscal year, with the amounts in such 
financial statement. In connection with that procedure the licensee 
shall inform NRC within 90 days of any matters coming to the auditor's 
attention which cause the auditor to believe that the data specified in 
the financial test should be adjusted and that the company no longer 
passes the test.
    C. 1. After the initial financial test, the parent company must 
repeat the passage of the test within 90 days after the close of each 
succeeding fiscal year.
    2. If the parent company no longer meets the requirements of 
paragraph A of this section, the licensee must send notice to the 
Commission of intent to establish alternate financial assurance as 
specified in the Commission's regulations. The notice must be sent by 
certified mail within 90 days after the end of the fiscal year for which 
the year end financial data show that the parent company no longer meets 
the financial test requirements. The licensee must provide alternate 
financial assurance within 120 days after the end of such fiscal year.

                      III. Parent Company Guarantee

    The terms of a parent company guarantee which an applicant or 
licensee obtains must provide that:
    A. The parent company guarantee will remain in force unless the 
guarantor sends notice of cancellation by certified mail to the licensee 
and the Commission. Cancellation may not occur, however, during the 120 
days beginning on the date of receipt of the notice of cancellation by 
both the licensee and the Commission, as evidenced by the return 
receipts.
    B. If the licensee fails to provide alternate financial assurance as 
specified in the Commission's regulations within 90 days after receipt 
by the licensee and Commission of a notice of cancellation of the parent 
company guarantee from the guarantor, the guarantor will provide such 
alternative financial assurance in the name of the licensee.
    C. The parent company guarantee and financial test provisions must 
remain in effect until the Commission has terminated the license.
    D. If a trust is established for decommissioning costs, the trustee 
and trust must be acceptable to the Commission. An acceptable trustee 
includes an appropriate State or Federal Government agency or an entity 
which has the authority to act as a trustee and whose trust operations 
are regulated and examined by a Federal or State agency.

[53 FR 24046, June 27, 1988]

   Appendix B to Part 30--Quantities\1\ of Licensed Material Requiring  
                                Labeling                                
                                                                        
                          Material                           Microcuries
                                                                        
Americium-241..............................................          .01
Antimony-122...............................................          100
Antimony-124...............................................           10
Antimony-125...............................................           10
Arsenic-73.................................................          100
Arsenic-74.................................................           10
Arsenic-76.................................................           10
Arsenic-77.................................................          100
Barium-131.................................................           10
Barium-133.................................................           10
Barium-140.................................................           10
Bismuth-210................................................            1
Bromine-82.................................................           10
Cadmium-109................................................           10
Cadmium-115m...............................................           10
Cadmium-115................................................          100
Calcium-45.................................................           10
Calcium-47.................................................           10
Carbon-14..................................................          100
Cerium-141.................................................          100
Cerium-143.................................................          100
Cerium-144.................................................            1
Cesium-131.................................................        1,000
Cesium-134m................................................          100
Cesium-134.................................................            1
Cesium-135.................................................           10
Cesium-136.................................................           10
Cesium-137.................................................           10
Chlorine-36................................................           10
Chlorine-38................................................           10
Chromium-51................................................        1,000
Cobalt-58m.................................................           10
Cobalt-58..................................................           10
Cobalt-60..................................................            1
Copper-64..................................................          100
Dysprosium-165.............................................           10
Dysprosium-166.............................................          100
Erbium-169.................................................          100
Erbium-171.................................................          100
Europium-152 9.2 h.........................................          100
Europium-152 13 yr.........................................            1
Europium-154...............................................            1
Europium-155...............................................           10
Fluorine-18................................................        1,000
Gadolinium-153.............................................           10
Gadolinium-159.............................................          100
Gallium-72.................................................           10
Germanium-71...............................................          100
Gold-198...................................................          100
Gold-199...................................................          100
Hafnium-181................................................           10

[[Page 456]]

                                                                        
Holmium-166................................................          100
Hydrogen-3.................................................        1,000
Indium-113m................................................          100
Indium-114m................................................           10
Indium-115m................................................          100
Indium-115.................................................           10
Iodine-125.................................................            1
Iodine-126.................................................            1
Iodine-129.................................................          0.1
Iodine-131.................................................            1
Iodine-132.................................................           10
Iodine-133.................................................            1
Iodine-134.................................................           10
Iodine-135.................................................           10
Iridium-192................................................           10
Iridium-194................................................          100
Iron-55....................................................          100
Iron-59....................................................           10
Krypton-85.................................................          100
Krypton-87.................................................           10
Lanthanum-140..............................................           10
Lutetium-177...............................................          100
Manganese-52...............................................           10
Manganese-54...............................................           10
Manganese-56...............................................           10
Mercury-197m...............................................          100
Mercury-197................................................          100
Mercury-203................................................           10
Molybdenum-99..............................................          100
Neodymium-147..............................................          100
Neodymium-149..............................................          100
Nickel-59..................................................          100
Nickel-63..................................................           10
Nickel-65..................................................          100
Niobium-93m................................................           10
Niobium-95.................................................           10
Niobium-97.................................................           10
Osmium-185.................................................           10
Osmium-191m................................................          100
Osmium-191.................................................          100
Osmium-193.................................................          100
Palladium-103..............................................          100
Palladium-109..............................................          100
Phosphorus-32..............................................           10
Platinum-191...............................................          100
Platinum-193m..............................................          100
Platinum-193...............................................          100
Platinum-197m..............................................          100
Platinum-197...............................................          100
Plutonium-239..............................................          .01
Polonium-210...............................................          0.1
Potassium-42...............................................           10
Praseodymium-142...........................................          100
Praseodymium-143...........................................          100
Promethium-147.............................................           10
Promethium-149.............................................           10
Radium-226.................................................          .01
Rhenium-186................................................          100
Rhenium-188................................................          100
Rhodium-103m...............................................          100
Rhodium-105................................................          100
Rubidium-86................................................           10
Rubidium-87................................................           10
Ruthenium-97...............................................          100
Ruthenium-103..............................................           10
Ruthenium-105..............................................           10
Ruthenium-106..............................................            1
Samarium-151...............................................           10
Samarium-153...............................................          100
Scandium-46................................................           10
Scandium-47................................................          100
Scandium-48................................................           10
Selenium-75................................................           10
Silicon-31.................................................          100
Silver-105.................................................           10
Silver-110m................................................            1
Silver-111.................................................          100
Sodium-24..................................................           10
Strontium-85...............................................           10
Strontium-89...............................................            1
Strontium-90...............................................          0.1
Strontium-91...............................................           10
Strontium-92...............................................           10
Sulphur-35.................................................          100
Tantalum-182...............................................           10
Technetium-96..............................................           10
Technetium-97m.............................................          100
Technetium-97..............................................          100
Technetium-99m.............................................          100
Technetium-99..............................................           10
Tellurium-125m.............................................           10
Tellurium-127m.............................................           10
Tellurium-127..............................................          100
Tellurium-129m.............................................           10
Tellurium-129..............................................          100
Tellurium-131m.............................................           10
Tellurium-132..............................................           10
Terbium-160................................................           10
Thallium-200...............................................          100
Thallium-201...............................................          100
Thallium-202...............................................          100
Thallium-204...............................................           10
Thorium (natural)1.........................................          100
Thulium-170................................................           10
Thulium-171................................................           10
Tin-113....................................................           10
Tin-125....................................................           10
Tungsten-181...............................................           10
Tungsten-185...............................................           10
Tungsten-187...............................................          100
Uranium (natural)2.........................................          100
Uranium-233................................................          .01
Uranium-234--Uranium-235...................................          .01
Vanadium-48................................................           10
Xenon-131m.................................................        1,000
Xenon-133..................................................          100
Xenon-135..................................................          100
Ytterbium-175..............................................          100
Yttrium-90.................................................           10
Yttrium-91.................................................           10
Yttrium-92.................................................          100
Yttrium-93.................................................          100
Zinc-65....................................................           10
Zinc-69m...................................................          100
Zinc-69....................................................        1,000
Zirconium-93...............................................           10
Zirconium-95...............................................           10
Zirconium-97...............................................           10
Any alpha emitting radionuclide not listed above or                     
 mixtures of alpha emitters of unknown composition.........          .01
Any radionuclide other than alpha emitting radionuclides,               
 not listed above or mixtures of beta emitters of unknown               
 composition...............................................           .1
                                                                        
1Based on alpha disintegration rate of Th-232, Th-230 and their daughter
  products.                                                             
2Based on alpha disintegration rate of U-238, U-234, and U-235.         



[[Page 457]]

    Note: For purposes of Sec. 20.303, where there is involved a 
combination of isotopes in known amounts, the limit for the combination 
should be derived as follows: Determine, for each isotope in the 
combination, the ratio between the quantity present in the combination 
and the limit otherwise established for the specific isotope when not in 
combination. The sum of such ratios for all the isotopes in the 
combination may not exceed ``1'' (i.e., ``unity'').

[35 FR 6425, Apr. 22, 1970, as amended at 36 FR 16898, Aug. 26, 1971; 38 
FR 29314, Oct. 24, 1973; 39 FR 23991, June 28, 1974; 45 FR 71763, Oct. 
30, 1980. Redesignated at 56 FR 23391, May 21, 1991, and further 
redesignated at 58 FR 67659, Dec. 22, 1993]

 Appendix C to Part 30--Criteria Relating to Use of Financial Tests and 
    Self Guarantees for Providing Reasonable Assurance of Funds for 
                             Decommissioning

                             I. Introduction

    An applicant or licensee may provide reasonable assurance of the 
availability of funds for decommissioning based on furnishing its own 
guarantee that funds will be available for decommissioning costs and on 
a demonstration that the company passes the financial test of Section II 
of this appendix. The terms of the self-guarantee are in Section III of 
this appendix. This appendix establishes criteria for passing the 
financial test for the self guarantee and establishes the terms for a 
self-guarantee.

                           II. Financial Test

    A. To pass the financial test, a company must meet all of the 
following criteria:
    (1) Tangible net worth at least 10 times the total current 
decommissioning cost estimate (or the current amount required if 
certification is used) for all decommissioning activities for which the 
company is responsible as self-guaranteeing licensee and as parent-
guarantor.
    (2) Assets located in the United States amounting to at least 90 
percent of total assets or at least 10 times the total current 
decommissioning cost estimate (or the current amount required if 
certification is used) for all decommissioning activities for which the 
company is responsible as self-guaranteeing licensee and as parent-
guarantor.
    (3) A current rating for its most recent bond issuance of AAA, AA, 
or A as issued by Standard and Poors (S&P), or Aaa, Aa, or A as issued 
by Moodys.
    B. To pass the financial test, a company must meet all of the 
following additional requirements:
    (1) The company must have at least one class of equity securities 
registered under the Securities Exchange Act of 1934.
    (2) The company's independent certified public accountant must have 
compared the data used by the company in the financial test which is 
derived from the independently audited, yearend financial statements for 
the latest fiscal year, with the amounts in such financial statement. In 
connection with that procedure, the licensee shall inform NRC within 90 
days of any matters coming to the attention of the auditor that cause 
the auditor to believe that the data specified in the financial test 
should be adjusted and that the company no longer passes the test.
    (3) After the initial financial test, the company must repeat 
passage of the test within 90 days after the close of each succeeding 
fiscal year.
    C. If the licensee no longer meets the requirements of Section II.A. 
of this appendix, the licensee must send immediate notice to the 
Commission of its intent to establish alternate financial assurance as 
specified in the Commission's regulations within 120 days of such 
notice.

                       III. Company Self-Guarantee

    The terms of a self-guarantee which an applicant or licensee 
furnishes must provide that:
    A. The guarantee will remain in force unless the licensee sends 
notice of cancellation by certified mail to the Commission. Cancellation 
may not occur, however, during the 120 days beginning on the date of 
receipt of the notice of cancellation by the Commission, as evidenced by 
the return receipt.
    B. The licensee shall provide alternative financial assurance as 
specified in the Commission's regulations within 90 days following 
receipt by the Commission of a notice of cancellation of the guarantee.
    C. The guarantee and financial test provisions must remain in effect 
until the Commission has terminated the license or until another 
financial assurance method acceptable to the Commission has been put in 
effect by the licensee.
    D. The licensee will promptly forward to the Commission and the 
licensee's independent auditor all reports covering the latest fiscal 
year filed by the licensee with the Securities and Exchange Commission 
pursuant to the requirements of section 13 of the Securities and 
Exchange Act of 1934.
    E. If, at any time, the licensee's most recent bond issuance ceases 
to be rated in any category of ``A'' or above by either Standard and 
Poors or Moodys, the licensee will provide notice in writing of such 
fact to the Commission within 20 days after publication of the change by 
the rating service. If the licensee's most recent bond issuance ceases 
to be rated in any category of A or above by

[[Page 458]]

both Standard and Poors and Moodys, the licensee no longer meets the 
requirements of Section II.A. of this appendix.
    F. The applicant or licensee must provide to the Commission a 
written guarantee (a written commitment by a corporate officer) which 
states that the licensee will fund and carry out the required 
decommissioning activities or, upon issuance of an order by the 
Commission, the licensee will set up and fund a trust in the amount of 
the current cost estimates for decommissioning.

[58 FR 68730, Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994]



PART 31--GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL--Table of Contents




Sec.
31.1  Purpose and scope.
31.2  Terms and conditions.
31.3  Certain devices and equipment.
31.4  Information collection requirements: OMB approval.
31.5  Certain measuring, gauging or controlling devices.
31.6  General license to install devices generally licensed in 
          Sec. 31.5.
31.7  Luminous safety devices for use in aircraft.
31.8  Americium-241 in the form of calibration or reference sources.
31.9  General license to own byproduct material.
31.10  General license for strontium 90 in ice detection devices.
31.11  General license for use of byproduct material for certain in 
          vitro clinical or laboratory testing.
31.12  Maintenance of records.
31.13  Violations.
31.14  Criminal penalties.

    Authority: Secs. 81, 161, 183, 68 Stat. 935, 948, 954, as amended 
(42 U.S.C. 2111, 2201, 2233); secs. 201, as amended, 202, 88 Stat. 1242, 
as amended, 1244 (42 U.S.C. 5841, 5842).
    Section 31.6 also issued under sec. 274, 73 Stat. 688 (42 U.S.C. 
2021).



Sec. 31.1   Purpose and scope.

    This part establishes general licenses for the possession and use of 
byproduct material contained in certain items and a general license for 
ownership of byproduct material. Part 30 of this chapter also contains 
provisions applicable to the subject matter of this part.

[35 FR 6428, Apr. 22, 1970]



Sec. 31.2   Terms and conditions.

    (a) The general licenses provided in this part are subject to the 
provisions of Secs. 30.14(d), 30.34(a) to (e), 30.41, 30.50 to 30.63 and 
parts 19, 20, and 21 of this chapter1 unless indicated otherwise in 
the language of the general license.
---------------------------------------------------------------------------

    1Attention is directed particularly to the provisions of the 
regulations in part 20 of this chapter which relate to the labeling of 
containers.
---------------------------------------------------------------------------

    (b) [Reserved]

[38 FR 22220, Aug. 17, 1973, as amended at 38 FR 33969, Dec. 10, 1973; 
42 FR 28896, June 6, 1977; 43 FR 6922, Feb. 17, 1978; 56 FR 40767, Aug. 
16, 1991]



Sec. 31.3   Certain devices and equipment.

    A general license is hereby issued to transfer, receive, acquire, 
own, possess and use byproduct material incorporated in the following 
devices or equipment which have been manufactured, tested and labeled by 
the manufacturer in accordance with the specifications contained in a 
specific license issued to him by the Commission.
    (a) Static elimination device. Devices designed for use as static 
eliminators which contain, as a sealed source or sources, byproduct 
material consisting of a total of not more than 500 microcuries of 
polonium 210 per device.
    (b)-(c) [Reserved]
    (d) Ion generating tube. Devices designed for ionization of air 
which contain, as a sealed source or sources, byproduct material 
consisting of a total of not more than 500 microcuries of polonium 210 
per device or of a total of not more than 50 millicuries of hydrogen 3 
(tritium) per device.

[30 FR 8189, June 26, 1965, as amended at 34 FR 6652, Apr. 18, 1969; 35 
FR 3982, Mar. 3, 1970]



Sec. 31.4  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0016.

[[Page 459]]

    (b) The approved information collection requirements contained in 
this part appear in Secs. 31.5, 31.8, and 31.11.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 31.11. Form NRC-483 is approved under control number 
3150-0038.
    (2) [Reserved]

[49 FR 19625, May 9, 1984; 49 FR 21699, May 23, 1984]



Sec. 31.5   Certain measuring, gauging or controlling devices.\2\

    (a) A general license is hereby issued to commercial and industrial 
firms and research, educational and medical institutions, individuals in 
the conduct of their business, and Federal, State or local government 
agencies to acquire, receive, possess, use or transfer, in accordance 
with the provisions of paragraphs (b), (c) and (d) of this section, 
byproduct material contained in devices designed and manufactured for 
the purpose of detecting, measuring, gauging or controlling thickness, 
density, level, interface location, radiation, leakage, or qualitative 
or quantitative chemical composition, or for producing light or an 
ionized atmosphere.
---------------------------------------------------------------------------

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

    (b) The general license in paragraph (a) of this section applies 
only to byproduct material contained in devices which have been 
manufactured or initially transferred and labeled in accordance with the 
specifications contained in a specific license issued pursuant to 
Sec. 32.51 of this chapter or in accordance with the specifications 
contained in a specific license issued by an Agreement State which 
authorizes distribution of the devices to persons generally licensed by 
the Agreement State.
    (c) Any person who acquires, receives, possesses, uses or transfers 
byproduct material in a device pursuant to the general license in 
paragraph (a) of this section:
    (1) Shall assure that all labels affixed to the device at the time 
of receipt and bearing a statement that removal of the label is 
prohibited are maintained thereon and shall comply with all instructions 
and precautions provided by such labels;
    (2) Shall assure that the device is tested for leakage of 
radioactive material and proper operation of the on-off mechanism and 
indicator, if any, at no longer than six-month intervals or at such 
other intervals as are specified in the label; however:
    (i) Devices containing only krypton need not be tested for leakage 
of radioactive material, and
    (ii) Devices containing only tritium or not more than 100 
microcuries of other beta and/or gamma emitting material or 10 
microcuries of alpha emitting material and devices held in storage in 
the original shipping container prior to initial installation need not 
be tested for any purpose;
    (3) Shall assure that the tests required by paragraph (c)(2) of this 
section and other testing, installation, servicing, and removal from 
installation involving the radioactive materials, its shielding or 
containment, are performed:
    (i) In accordance with the instructions provided by the labels; or
    (ii) By a person holding a specific license pursuant to parts 30 and 
32 of this chapter or from an Agreement State to perform such 
activities;
    (4) Shall maintain records showing compliance with the requirements 
of paragraphs (c)(2) and (c)(3) of this section. The records must show 
the results of tests. The records also must show the dates of 
performance of, and the names of persons performing, testing, 
installing, servicing, and removing from the installation radioactive 
material and its shielding or containment. The licensee shall retain 
these records as follows:
    (i) Each record of a test for leakage or radioactive material 
required by paragraph (c)(2) of this section must be retained for three 
years after the next

[[Page 460]]

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 recorded 
event or until the device is transferred or disposed of.
    (5) Upon the occurrence of a failure of or damage to, or any 
indication of a possible failure of or damage to, the shielding of the 
radioactive material or the on-off mechanism or indicator, or upon the 
detection of 0.005 microcurie or more removable radioactive material, 
shall immediately suspend operation of the device until it has been 
repaired by the manufacturer or other person holding a specific license 
pursuant to parts 30 and 32 of this chapter or from an Agreement State 
to repair such devices, or disposed of by transfer to a person 
authorized by a specific license to receive the byproduct material 
contained in the device and, within 30 days, furnish to the 
Administrator of the appropriate Nuclear Regulatory Commission, Regional 
Office listed in appendix D of part 20 of this chapter, a report 
containing a brief description of the event and the remedial action 
taken;
    (6) Shall not abandon the device containing byproduct material;
    (7) Shall not export the device containing byproduct material except 
in accordance with part 110 of this chapter;
    (8) Except as provided in paragraph (c)(9) of this section, shall 
transfer or dispose of the device containing byproduct material only by 
transfer to persons holding a specific license pursuant to parts 30 and 
32 of this chapter or from an Agreement State to receive the device and 
within 30 days after transfer of a device to a specific licensee shall 
furnish to the Director of Nuclear Material Safety and Safeguards, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555 a report containing 
identification of the device by manufacturer's name and model number and 
the name and address of the person receiving the device. No report is 
required if the device is transferred to the specific licensee in order 
to obtain a replacement device;
    (9) Shall transfer the device to another general licensee only:
    (i) Where the device remains in use at a particular location. In 
such case the transferor shall give the transferee a copy of this 
section and any safety documents identified in the label of the device 
and within 30 days of the transfer, report to the Director of Nuclear 
Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555, the manufacturer's name and model number of device 
transferred, the name and address of the transferee, and the name and/or 
position of an individual who may constitute a point of contact between 
the Commission and the transferee; or
    (ii) Where the device is held in storage in the original shipping 
container at its intended location of use prior to initial use by a 
general licensee.
    (10) Shall comply with the provisions of Secs. 20.2201, and 20.2202 
of this chapter for reporting radiation incidents, theft or loss of 
licensed material, but shall be exempt from the other requirements of 
parts 19, 20, and 21, of this chapter.
    (d) The general license in paragraph (a) of this section does not 
authorize the manufacture or import of devices containing byproduct 
material.

[39 FR 43532, Dec. 16, 1974, as amended at 40 FR 8785, Mar. 3, 1975; 40 
FR 14085, Mar. 28, 1975; 42 FR 25721, May 19, 1977; 42 FR 28896, June 6, 
1977; 43 FR 6922, Feb. 17, 1978; 53 FR 19246, May 27, 1988; 56 FR 23471, 
May 21, 1991; 56 FR 61352, Dec. 3, 1991; 58 FR 67659, Dec. 22, 1993]



Sec. 31.6   General license to install devices generally licensed in Sec. 31.5.

    Any person who holds a specific license issued by an Agreement State 
authorizing the holder to manufacture, install, or service a device 
described in Sec. 31.5 within such Agreement State is hereby granted a 
general license to install and service such device in any non-Agreement 
State and a general license to install and service such device

[[Page 461]]

in offshore waters, as defined in Sec. 150.3(f) of this chapter: 
Provided, That:
    (a) [Reserved]
    (b) The device has been manufactured, labeled, installed, and 
serviced in accordance with applicable provisions of the specific 
license issued to such person by the Agreement State.
    (c) Such person assures that any labels required to be affixed to 
the device under regulations of the Agreement State which licensed 
manufacture of the device bear a statement that removal of the label is 
prohibited.

[30 FR 8189, June 26, 1965, as amended at 30 FR 10947, Aug. 24, 1965; 39 
FR 43533, Dec. 16, 1974; 46 FR 44151, Sept. 3, 1981]



Sec. 31.7  Luminous safety devices for use in aircraft.

    (a) A general license is hereby issued to own, receive, acquire, 
possess, and use tritium or promethium-147 contained in luminous safety 
devices for use in aircraft, provided each device contains not more than 
10 curies of tritium or 300 millicuries of promethium-147 and that each 
device has been manufactured, assembled or initially transferred in 
accordance with a license issued under the provisions of Sec. 32.53 of 
this chapter or manufactured or assembled in accordance with a specific 
license issued by an Agreement State which authorizes manufacture or 
assembly of the device for distribution to persons generally licensed by 
the Agreement State.
    (b) Persons who own, receive, acquire, possess or use luminous 
safety devices pursuant to the general license in this section are 
exempt from the requirements of parts 19, 20, and 21, of this chapter, 
except that they shall comply with the provisions of Secs. 20.2201, and 
20.2202 of this chapter.
    (c) This general license does not authorize the manufacture, 
assembly, repair or import of luminous safety devices containing tritium 
or promethium-147.
    (d) This general license does not authorize the export of luminous 
safety devices containing tritium or promethium-147.
    (e) This general license does not authorize the ownership, receipt, 
acquisition, possession or use of promethium-147 contained in instrument 
dials.

[30 FR 8189, June 26, 1965, as amended at 33 FR 6463, Apr. 27, 1968; 38 
FR 22220, Aug. 17, 1973; 42 FR 28896, June 6, 1977; 43 FR 6922, Feb. 17, 
1978; 56 FR 23471, May 21, 1991; 56 FR 61352, Dec. 3, 1991; 58 FR 67659, 
Dec. 22, 1993]



Sec. 31.8   Americium-241 in the form of calibration or reference sources.

    (a) A general license is hereby issued to those persons listed below 
to own, receive, acquire, possess, use and transfer, in accordance with 
the provisions of paragraphs (b) and (c) of this section, americium-241 
in the form of calibration or reference sources:
    (1) Any person in a non-Agreement State who holds a specific license 
issued pursuant to this chapter which authorizes him to receive, 
possess, use and transfer byproduct material, source material, or 
special nuclear material; and
    (2) Any Government agency, as defined in Sec. 30.4(g) of this 
chapter, which holds a specific license issued pursuant to this chapter 
which authorizes it to receive, possess, use and transfer byproduct 
material, source material, or special nuclear material.
    (b) The general license in paragraph (a) of this section applies 
only to calibration or reference sources which have been manufactured or 
initially transferred in accordance with the specifications contained in 
a specific license issued pursuant to Sec. 32.57 of this chapter or in 
accordance with the specifications contained in a specific license 
issued to the manufacturer by an Agreement State which authorizes 
manufacture of the sources for distribution to persons generally 
licensed by the Agreement State.
    (c) The general license in paragraph (a) of this section is subject 
to the provisions of Secs. 30.14(d), 30.34 (a) to (e), and 30.50 to 
30.63 of this chapter, and to the provisions of parts 19, 20, and 21, of 
this chapter. In addition, persons who own, receive, acquire, possess, 
use and transfer one or more calibration or reference sources pursuant 
to this general license:
    (1) Shall not possess at any one time, at any one location of 
storage or use, more than 5 microcuries of americium-241 in such 
sources:

[[Page 462]]

    (2) Shall not receive, possess, use or transfer such source unless 
the source, or the storage container, bears a label which includes the 
following statement or a substantially similar statement which contains 
the information called for in the following statement:1

    1Sources generally licensed under this section prior to January 19, 
1975 may bear labels authorized by the regulations in effect on January 
1, 1975.

    The receipt, possession, use and transfer of this source, Model 
____, Serial No. ____, are subject to a general license and the 
regulations of the United States Nuclear Regulatory Commission or of a 
State with which the Commission has entered into an agreement for the 
exercise of regulatory authority. Do not remove this label.

 CAUTION--RADIOACTIVE MATERIAL--THIS SOURCE CONTAINS AMERICIUM-241. DO 
              NOT TOUCH RADIOACTIVE PORTION OF THIS SOURCE.

_______________________________________________________________________
(Name of manufacturer or initial transferor)

    (3) Shall not transfer, abandon, or dispose of such source except by 
transfer to a person authorized by a license pursuant to this chapter or 
from an Agreement State to receive the source.
    (4) Shall store such source, except when the source is being used, 
in a closed container adequately designed and constructed to contain 
americium-241 which might otherwise escape during storage.
    (5) Shall not use such source for any purpose other than the 
calibration of radiation detectors or the standardization of other 
sources.
    (d) This general license does not authorize the manufacture or 
import of calibration or reference sources containing americium-241.
    (e) This general license does not authorize the export of 
calibration or reference sources containing americium-241.

[30 FR 8189, June 26, 1965, as amended at 38 FR 22220, Aug. 17, 1973; 40 
FR 8785, Mar. 3, 1975; 42 FR 28896, June 6, 1977; 43 FR 6922, Feb. 17, 
1978; 56 FR 40767, Aug. 16, 1991]



Sec. 31.9   General license to own byproduct material.

    A general license is hereby issued to own byproduct material without 
regard to quantity. Notwithstanding any other provision of this chapter, 
a general licensee under this paragraph is not authorized to 
manufacture, produce, transfer, receive, possess, use, import or export 
byproduct material, except as authorized in a specific license.

[30 FR 8189, June 26, 1965]



Sec. 31.10   General license for strontium 90 in ice detection devices.

    (a) A general license is hereby issued to own, receive, acquire, 
possess, use, and transfer strontium 90 contained in ice detection 
devices, provided each device contains not more than fifty microcuries 
of strontium 90 and each device has been manufactured or initially 
transferred in accordance with the specifications contained in a license 
issued pursuant to Sec. 32.61 of this chapter or in accordance with the 
specifications contained in a specific license issued to the 
manufacturer by an Agreement State which authorizes manufacture of the 
ice detection devices for distribution to persons generally licensed by 
the Agreement State.
    (b) Persons who own, receive, acquire, possess, use, or transfer 
strontium 90 contained in ice detection devices pursuant to the general 
license in paragraph (a) of this section:
    (1) Shall, upon occurrence of visually observable damage, such as a 
bend or crack or discoloration from overheating, to the device, 
discontinue use of the device until it has been inspected, tested for 
leakage and repaired by a person holding a specific license pursuant to 
part 30 or 32 of this chapter or from an Agreement State to manufacture 
or service such devices; or shall dispose of the device pursuant to the 
provisions of Sec. 20.2001.
    (2) Shall assure that all labels affixed to the device at the time 
of receipt, and which bear a statement which prohibits removal of the 
labels, are maintained thereon;
    (3) Are exempt from the requirements of parts 19, 20, and 21, of 
this chapter except that such persons shall comply with the provisions 
of Secs. 20.2001, 20.2201, and 20.2202 of this chapter.

[[Page 463]]

    (c) The general license does not authorize the manufacture, 
assembly, disassembly, repair, or import of strontium 90 in ice 
detection devices.

[30 FR 9905, Aug. 10, 1965, as amended at 38 FR 22220, Aug. 17, 1973; 40 
FR 8785, Mar. 3, 1975; 42 FR 28896, June 6, 1977; 43 FR 6922, Feb. 17, 
1978; 56 FR 23471, May 21, 1991; 56 FR 61352, Dec. 3, 1991; 58 FR 67659, 
Dec. 22, 1993]



Sec. 31.11   General license for use of byproduct material for certain in vitro clinical or laboratory testing.

    (a) A general license is hereby issued to any physician, 
veterinarian in the practice of veterinary medicine, clinical laboratory 
or hospital to receive, acquire, possess, transfer, or use, for any of 
the following stated tests, in accordance with the provisions of 
paragraphs (b), (c), (d), (e), and (f) of this section, the following 
byproduct materials in prepackaged units:
    (1) Iodine-125, in units not exceeding 10 microcuries each for use 
in in vitro clinical or laboratory tests not involving internal or 
external administration of byproduct material, or the radiation 
therefrom, to human beings or animals.
    (2) Iodine-131, in units not exceeding 10 microcuries each for use 
in in vitro clinical or laboratory tests not involving internal or 
external administration of byproduct material, or the radiation 
therefrom, to human beings or animals.
    (3) Carbon-14, in units not exceeding 10 microcuries each for use in 
in vitro clinical or laboratory tests not involving internal or external 
administration of byproduct material, or the radiation therefrom, to 
human beings or animals.
    (4) Hydrogen-3 (tritium), in units not exceeding 50 microcuries each 
for use in in vitro clinical or laboratory tests not involving internal 
or external administration of byproduct material, or the radiation 
therefrom, to human beings or animals.
    (5) Iron-59, in units not exceeding 20 microcuries each for use in 
in vitro clinical or laboratory tests not involving internal or external 
administration of byproduct material, or the radiation therefrom, to 
human beings, or animals.
    (6) Selenium-75, in units not exceeding 10 microcuries each for use 
in in vitro clinical or laboratory tests not involving internal or 
external administration of byproduct material, or the radiation 
therefrom, to human beings or animals.
    (7) Mock Iodine-125 reference or calibration sources, in units not 
exceeding 0.05 microcurie of iodine-129 and 0.005 microcurie of 
americium-241 each for use in in vitro clinical or laboratory tests not 
involving internal or external administration of byproduct material, or 
the radiation therefrom, to human beings or animals.
    (b) A person shall not receive, acquire, possess, use, or transfer 
byproduct material under the general license established by paragraph 
(a) of this section unless that person:
    (1) Has filed Form NRC-483, ``Registration Certificate--In Vitro 
Testing with Byproduct Material Under General License,'' with the 
Director of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555 and received from the 
Commission a validated copy of Form NRC-483 with a registration number 
assigned; or
    (2) Has a license that authorizes the medical use of byproduct 
material that was issued under part 35 of this chapter.
    (c) A person who receives, acquires, possesses, or uses byproduct 
material pursuant to the general license established by paragraph (a) of 
this section shall comply with the following:
    (1) The general licensee shall not possess at any one time, pursuant 
to the general license in paragraph (a) of this section, at any one 
location of storage or use, a total amount of iodine 125, iodine 131, 
selenium-75, and/or iron-59 in excess of 200 microcuries.
    (2) The general licensee shall store the byproduct material, until 
used, in the original shipping container or in a container providing 
equivalent radiation protection.
    (3) The general licensee shall use the byproduct material only for 
the uses authorized by paragraph (a) of this section.
    (4) The general licensee shall not transfer the byproduct material 
except by transfer to a person authorized to

[[Page 464]]

receive it by a license pursuant to this chapter or from an Agreement 
State, nor transfer the byproduct material in any manner other than in 
the unopened, labeled shipping container as received from the supplier.
    (5) The general licensee shall dispose of the Mock Iodine-125 
reference or calibration sources described in paragraph (a)(7) of this 
section as required by Sec. 20.2001.
    (d) The general licensee shall not receive, acquire, possess, or use 
byproduct material pursuant to paragraph (a) of this section:
    (1) Except as prepackaged units which are labeled in accordance with 
the provisions of a specific license issued under the provisions of 
Sec. 32.71 of this chapter or in accordance with the provisions of a 
specific license issued by an Agreement State that authorizes 
manufacture and distribution of iodine-125, iodine-131, carbon-14, 
hydrogen-3 (tritium), selenium-75, iron-59, or Mock Iodine-125 for 
distribution to persons generally licensed by the Agreement State.
    (2) Unless the following statement, or a substantially similar 
statement which contains the information called for in the following 
statement, appears on a label affixed to each prepackaged unit or 
appears in a leaflet or brochure which accompanies the package: 1
---------------------------------------------------------------------------

    1 Labels authorized by the regulations in effect on September 26, 
1979, may be used until one year from September 27, 1979.

    This radioactive material may be received, acquired, possessed, and 
used only by physicians, veterinarians in the practice of veterinary 
medicine, clinical laboratories or hospitals and only for in vitro 
clinical or laboratory tests not involving internal or external 
administration of the material, or the radiation therefrom, to human 
beings or animals. Its receipt, acquisition, possession, use, and 
transfer are subject to the regulations and a general license of the 
U.S. Nuclear Regulatory Commission or of a State with which the 
Commission has entered into an agreement for the exercise of regulatory 
authority.
_______________________________________________________________________
(Name of Manufacturer)
    (e) The registrant possessing or using byproduct materials under the 
general license of paragraph (a) of this section shall report in writing 
to the Director of Nuclear Material Safety and Safeguards, any changes 
in the information furnished by him in the ``Registration Certificate--
In Vitro Testing With Byproduct Material Under General License''. Form 
NRC-483. The report shall be furnished within 30 days after the 
effective date of such change.
    (f) Any person using byproduct material pursuant to the general 
license of paragraph (a) of this section is exempt from the requirements 
of parts 19, 20, and 21, of this chapter with respect to byproduct 
materials covered by that general license, except that such persons 
using the Mock Iodine-125 described in paragraph (a)(7) of this section 
shall comply with the provisions of Secs. 20.2001, 20.2201, and 20.2202.

[33 FR 16553, Nov. 14, 1968, as amended at 38 FR 1271, Jan. 11, 1973; 38 
FR 34110, Dec. 11, 1973; 39 FR 26147, July 17, 1974; 40 FR 8785, Mar. 3, 
1975; 41 FR 16446, Apr. 19, 1976; 42 FR 21604, Apr. 28, 1977; 42 FR 
26987, May 26, 1977; 42 FR 28896, June 6, 1977; 44 FR 50325, Aug. 28, 
1979; 51 FR 36967, Oct. 16, 1986; 56 FR 23471, May 21, 1991; 56 FR 
61352, Dec. 3, 1991; 58 FR 67659, Dec. 22, 1993]



Sec. 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. The record may also be stored in electronic media with 
the capability for producing legible, accurate, and complete records 
during the required retention period. Records such as letters, drawings, 
specifications, must include all pertinent information such as letters, 
stamps, initials, and signatures. The licensee shall maintain adequate 
safeguards against tampering with and loss of records.

[53 FR 19246, May 27, 1988]



Sec. 31.13  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;

[[Page 465]]

    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55072, Nov. 24, 1992]



Sec. 31.14  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 31 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 31 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 31.1, 31.2, 31.3, 31.4, 31.9, 31.13, and 31.14.

[57 FR 55073, Nov. 24, 1992]



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




Sec.
32.1  Purpose and scope.
32.2  Definitions.
32.3  Maintenance of records.
32.8  Information collection requirements: OMB approval.

               Subpart A--Exempt Concentrations and Items

32.11  Introduction of byproduct material in exempt concentrations into 
          products or materials, and transfer of ownership or 
          possession: Requirements for license.
32.12  Same: Records and material transfer reports.
32.13  Same: Prohibition of introduction.
32.14  Certain items containing byproduct material; requirements for 
          license to apply or initially transfer.
32.15  Same: Quality assurance, prohibition of transfer, and labeling.
32.16  Certain items containing byproduct material: Records and reports 
          of transfer.
32.17  Resins containing scandium-46 and designed for sand-consolidation 
          in oil wells: Requirements for license to manufacture, or 
          initially transfer for sale or distribution.
32.18  Manufacture, distribution and transfer of exempt quantities of 
          byproduct material: Requirements for license.
32.19  Same: Conditions of licenses.
32.20  Same: Records and material transfer reports.
32.22  Self-luminous products containing tritium, krypton-85 or 
          promethium-147: Requirements for license to manufacture, 
          process, produce, or initially transfer.
32.23  Same: Safety criteria.
32.24  Same: Table of organ doses.
32.25  Conditions of licenses issued under Sec. 32.22: Quality control, 
          labeling, and reports of transfer.
32.26  Gas and aerosol detectors containing byproduct material: 
          Requirements for license to manufacture, process, produce, or 
          initially transfer.
32.27  Same: Safety criteria.
32.28  Same: Table of organ doses.
32.29  Conditions of licenses issued under Sec. 32.26: Quality control, 
          labeling, and reports of transfer.
32.40  Schedule A--Prototype tests for automobile lock illuminators.

                   Subpart B--Generally Licensed Items

32.51  Byproduct material contained in devices for use under Sec. 31.5; 
          requirements for license to manufacture or initially transfer.
32.51a  Same: Conditions of licenses.
32.52  Same: Material transfer reports and records.
32.53  Luminous safety devices for use in aircraft: Requirements for 
          license to manufacture, assemble, repair or initially 
          transfer.
32.54  Same: Labeling of devices.
32.55  Same: Quality assurance; prohibition of transfer.

[[Page 466]]

32.56  Same: Material transfer reports.
32.57  Calibration or reference sources containing americium-241: 
          Requirements for license to manufacture or initially transfer.
32.58  Same: Labeling of devices.
32.59  Same: Leak testing of each source.
32.60  [Reserved]
32.61  Ice detection devices containing strontium-90; requirements for 
          license to manufacture or initially transfer.
32.62  Same: Quality assurance; prohibition of transfer.
32.71  Manufacture and distribution of byproduct material for certain in 
          vitro clinical or laboratory testing under general license.
32.72  Manufacture, preparation, or transfer for commercial distribution 
          of radioactive drugs containing byproduct material for medical 
          use under part 35.
32.74  Manufacture and distribution of sources or devices containing 
          byproduct material for medical use.
32.101  Schedule B--prototype tests for luminous safety devices for use 
          in aircraft.
32.102  Schedule C--prototype tests for calibration or reference sources 
          containing americium-241.
32.103  Schedule D--prototype tests for ice detection devices containing 
          strontium 90.

             Subpart C--Quality Control Sampling Procedures

32.110  Acceptance sampling procedures under certain specific licenses.

                 Subpart D--Specifically Licensed Items

32.210  Registration of product information.

                          Subpart E--Violations

32.301  Violations.
32.303  Criminal penalties.

    Authority: Secs. 81, 161, 182, 183, 68 Stat. 935, 948, 953, 954, as 
amended (42 U.S.C. 2111, 2201, 2232, 2233); sec. 201, 88 Stat. 1242, as 
amended (42 U.S.C. 5841).

    Source: 30 FR 8192, June 26, 1965, unless otherwise noted.



Sec. 32.1   Purpose and scope.

    (a) This part prescribes requirements for the issuance of specific 
licenses to persons who manufacture or initially transfer items 
containing byproduct material for sale or distribution to:
    (1) Persons exempted from the licensing requirements of part 30 of 
this chapter, or
    (2) Persons generally licensed under part 31 or 35 of this chapter.

This part also prescribes certain regulations governing holders of these 
licenses. In addition, this part prescribes requirements for the 
issuance of specific licenses to persons who introduce byproduct 
material into a product or material owned by or in the possession of the 
licensee or another and regulations governing holders of such licenses. 
Further, this part describes procedures and prescribes requirements for 
the issuance of certificates of registration (coverning radiation safety 
information about a product) to manufacturers or initial transferors of 
sealed source or devices containing sealed sources which are to be used 
by persons specifically licensed under part 30 of this chapter or 
equivalent regulations of an Agreement State.
    (b) The provisions and requirements of this part are in addition to, 
and not in substitution for, other requirements of this chapter. In 
particular, the provisions of part 30 of this chapter apply to 
applications and licenses subject to this part.

[30 FR 8192, June 26, 1965, as amended at 52 FR 27786, July 24, 1987]



Sec. 32.2   Definitions.

    As used in this part:
    (a) Dose commitment means the total radiation dose to a part of the 
body that will result from retention in the body of radioactive 
material. For purposes of estimating the dose commitment, it is assumed 
that from the time of intake the period of exposure to retained material 
will not exceed 50 years.
    (b) Lot Tolerance Percent Defective means, expressed in percent 
defective, the poorest quality in an individual inspection lot that 
should be accepted.

[34 FR 6653, Apr. 18, 1969, as amended at 39 FR 22129, June 20, 1974]



Sec. 32.3  Maintenance of records.

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

[[Page 467]]

throughout the required retention period. The record may also be stored 
in electronic media with the capability for producing legible, accurate, 
and complete records during the required retention period. Records such 
as letters, drawings, specifications, must include all pertinent 
information such as stamps, initials, and signatures. The licensee shall 
maintain adequate safeguards against tampering with and loss of records.

[53 FR 19246, May 27, 1988]



Sec. 32.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0001.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 32.12, 32.14, 32.15, 32.16, 32.17, 32.18, 
32.19, 32.20, 32.22, 32.23, 32.25, 32.26, 32.27, 32.29, 32.51, 32.51a, 
32.52, 32.53, 32.54, 32.55, 32.56, 32.57, 32.58, 32.61, 32.62, 32.70, 
32.71, 32.72, and 32.74.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 32.11, NRC Form 313 is approved under control number 
3150-0120.
    (2) [Reserved]

[49 FR 19625, May 9, 1984, as amended at 59 FR 61780, Dec. 2, 1994]



               Subpart A--Exempt Concentrations and Items



Sec. 32.11   Introduction of byproduct material in exempt concentrations into products or materials, and transfer of ownership or possession: Requirements for 
          license.

    An application for a specific license on Form NRC-313 authorizing 
the introduction of byproduct material into a product or material owned 
by or in the possession of the licensee or another and the transfer of 
ownership or possession of the product or material containing the 
byproduct material will be approved if the applicant:
    (a) Satisfies the general requirements specified in Sec. 30.33 of 
this chapter;
    (b) Provides a description of the product or material into which the 
byproduct material will be introduced, intended use of the byproduct 
material and the product or material into which it is introduced, method 
of introduction, initial concentration of the byproduct material in the 
product or material, control methods to assure that no more than the 
specified concentration is introduced into the product or material, 
estimated time interval between introduction and transfer of the product 
or material, and estimated concentration of the radioisotopes in the 
product or material at the time of transfer; and
    (c) Provides reasonable assurance that the concentrations of 
byproduct material at the time of transfer will not exceed the 
concentrations in Sec. 30.70 of this chapter, that reconcentration of 
the byproduct material in concentrations exceeding those in Sec. 30.70 
is not likely, that use of lower concentrations is not feasible, and 
that the product or material is not likely to be incorporated in any 
food, beverage, cosmetic, drug or other commodity or product designed 
for ingestion or inhalation by, or application to, a human being.

[30 FR 8192, June 26, 1965, as amended at 49 FR 19625, May 9, 1984]



Sec. 32.12  Same: Records and material transfer reports.

    (a) Each person licensed under Sec. 32.11 shall maintain records of 
transfer of material and file a report with the Director of Nuclear 
Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555, with a copy to the appropriate NRC Regional Office 
listed in appendix D of part 20 of this chapter.
    (b) The report must identify the:

[[Page 468]]

    (1) Type and quantity of each product or material into which 
byproduct material has been introduced during the reporting period;
    (2) Name and address of the person who owned or possessed the 
product or material, into which byproduct material has been introduced, 
at the time of introduction;
    (3) The type and quantity of radionuclide introduced into each 
product or material; and
    (4) The initial concentrations of the radionuclide in the product or 
material at time of transfer of the byproduct material by the licensee.
    (c) The licensee shall file the report within 30 days following:
    (1) Five years after filing the preceding report; or
    (2) Filing an application for renewal of the license under 
Sec. 30.37; or
    (3) Notifying the Commission under Sec. 30.34(f) of the licensee's 
decision to permanently discontinue activities authorized under the 
license issued under Sec. 32.11.
    (d) The report must cover the period between the filing of the 
preceding report and the occurrence specified in paragraphs (c) (1), 
(2), or (3) of this section. If no transfers of byproduct material have 
been made under Sec. 32.11 during the reporting period, the report shall 
so indicate.
    (e) The licensee shall maintain the record of a transfer for a 
period of one year after the event is included in a report to the 
Commission.

[48 FR 12333, Mar. 24, 1983; 48 FR 14863, Apr. 6, 1983]



Sec. 32.13   Same: Prohibition of introduction.

    No person may introduce byproduct material into a product or 
material knowing or having reason to believe that it will be transferred 
to persons exempt under Sec. 30.14 of this chapter or equivalent 
regulations of an Agreement State, except in accordance with a license 
issued pursuant to Sec. 32.11 or the general license provided in 
Sec. 150.20 of this chapter.

[30 FR 8192, June 26, 1965]



Sec. 32.14   Certain items containing byproduct material; requirements for license to apply or initially transfer.

    An application for a specific license to apply byproduct material 
to, or to incorporate byproduct material into, the products specified in 
Sec. 30.15 of this chapter or to initially transfer for sale or 
distribution such products containing byproduct material for use 
pursuant to Sec. 30.15 of this chapter will be approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter;
    (b) The applicant submits sufficient information regarding the 
product pertinent to evaluation of the potential radiation exposure, 
including:
    (1) Chemical and physical form and maximum quantity of byproduct 
material in each product;
    (2) Details of construction and design of each product;
    (3) The method of containment or binding of the byproduct material 
in the product;
    (4) Procedures for and results of prototype testing to demonstrate 
that the material will not become detached from the product and that the 
byproduct material will not be released to the environment under the 
most severe conditions likely to be encountered in normal use of the 
product;
    (5) Quality control procedures to be followed in the fabrication of 
production lots of the product and the quality control standards the 
product will be required to meet;
    (6) The proposed method of labeling or marking each unit, except 
timepieces or hands or dials containing tritium or promethium-147, and 
its container with the identification of the manufacturer or initial 
transferor of the product and the byproduct material in the product;
    (7) For products for which limits on levels of radiation are 
specified in Sec. 30.15 of this chapter, the radiation level and the 
method of measurement;
    (8) Any additional information, including experimental studies and 
tests, required by the Commission to facilitate a determination of the 
safety of the product.
    (c) Each product will contain no more than the quantity of byproduct

[[Page 469]]

material specified for that product in Sec. 30.15 of this chapter. The 
levels of radiation from each product containing byproduct material will 
not exceed the limits specified for that product in Sec. 30.15 of this 
chapter.
    (d) The Commission determines that:
    (1) The method of containment or binding of the byproduct material 
in the product is such that the radioactive material will not be 
released or be removed from the product under the most severe conditions 
which are likely to be encountered in normal use and handling. Tritium 
will be considered to be properly bound to dials, hands, and pointers if 
there is no visible flaking or chipping and the total loss of tritium 
does not exceed 5 percent of the total tritium when prototype dials, 
hands, and pointers are subjected to the following tests in the order 
specified below.
    (i) Attachment of dials to a vibrating fixture and vibration at a 
rate of not less than 26 cycles per second and a vibration acceleration 
of not less than 2G for a period of not less than one hour; and
    (ii) Attachment of the hub ends of the hands or pointers to a clamp 
and bending of hands or pointers over a 1-inch diameter cylinder; and
    (iii) Total immersion of the dials, hands and pointers used in the 
tests described in paragraphs (d)(1)(i) and (ii) of this section in 100 
milliliters of water at room temperature for a period of 24 consecutive 
hours and analysis of the test water for its radioactive material 
content by liquid scintillation counting or other equally sensitive 
method.
    (2) The product has been subjected to and meets the requirements of 
the prototype tests. Prototype tests for automobile lock illuminators 
are prescribed by Sec. 32.40, Schedule A.

[31 FR 5316, Apr. 2, 1966, as amended at 34 FR 6652, Apr. 18, 1969; 43 
FR 6922, Feb. 17, 1978]



Sec. 32.15   Same: Quality assurance, prohibition of transfer, and labeling.

    (a) Each person licensed under Sec. 32.14 shall:
    (1) Maintain quality assurance practices in the manufacture of the 
part or product, or the installation of the part into the product;
    (2) Subject inspection lots to such testing as may be required as a 
condition of the license issued under Sec. 32.14 taking a random sample 
of the size required by the tables in Sec. 32.110, and for Lot Tolerance 
Percent Defective of 5.0 percent, accept or reject inspection lots in 
accordance with the directions of Sec. 32.110; and
    (3) Visually inspect each unit, except electron tubes containing 
byproduct material, in inspection lots. Any unit which has an observable 
physical defect that could affect containment of the byproduct material 
shall be considered as a defective unit.
    (b) An application for a license or for amendment of a license may 
include a description of procedures proposed as alternatives to those 
prescribed by paragraph (a)(2) of this section, and proposed criteria 
for acceptance under those procedures. The Commission will approve the 
proposed alternative procedures if the applicant demonstrates that the 
operating characteristic curve or confidence interval estimate for the 
alternative procedures provides a Lot Tolerance Percent Defective of 5.0 
percent at the consumer's risk of 0.10.
    (c) No person licensed under Sec. 32.14 shall transfer to other 
persons for use under Sec. 30.15 of this chapter or equivalent 
regulations of an Agreement State:
    (1) Any part or product which has been tested and found defective 
under the criteria and procedures specified in the license issued under 
Sec. 32.14, unless the defective units have been repaired or reworked 
and have then met such criteria as may be required as a condition of the 
license issued under Sec. 32.14; or
    (2) Any inspection lot which has been rejected as a result of the 
procedures in Sec. 32.110 or alternative procedures in paragraph (b) of 
this section, unless the defective units have been sorted and removed or 
have been repaired or reworked and have then met such criteria as may be 
required as a condition of the license issued under Sec. 32.14.
    (d) Label or mark each unit, except timepieces or hands or dials 
containing tritium or promethium-147, and its container so that the 
manufacturer or initial transferor of the product and

[[Page 470]]

the byproduct material in the product can be identified.

[31 FR 5317, Apr. 2, 1966, as amended at 34 FR 6652, Apr. 18, 1969; 39 
FR 22129, June 20, 1974; 43 FR 6922, Feb. 17, 1978]



Sec. 32.16  Certain items containing byproduct material: Records and reports of transfer.

    (a) Each person licensed under Sec. 32.14 or Sec. 32.17 shall 
maintain records of transfer of material and report to the Director of 
Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555, with a copy to the appropriate NRC 
Regional Office listed in appendix D of part 20 of this chapter.
    (b) The report must include the following information on items 
transferred to other persons for use under Sec. 30.15 or Sec. 30.16 of 
this chapter or equivalent regulations of an Agreement State:
    (1) A description or identification of the type of each product;
    (2) For each radionuclide in each type of product, the total 
quantity of the radionuclide; and
    (3) The number of units of each type of product transferred during 
the reporting period.
    (c) The licensee shall file the report within 30 days after:
    (1) Five years after filing the preceding report; or
    (2) Filing an application for renewal of the license under 
Sec. 30.37; or
    (3) Notifying the Commission under Sec. 30.34(f) of the licensee's 
decision to permanently discontinue activities authorized under the 
license issued under Sec. 32.14 or Sec. 32.17.
    (d) The report must cover the period between the filing of the 
preceding report and the occurrence specified in paragraphs (c) (1), 
(2), or (3) of this section. If no transfers of byproduct material have 
been made under Sec. 32.14 or Sec. 32.17 during the reporting period, 
the report must so indicate.
    (e) The licensee shall maintain the record of a transfer for a 
period of one year after the event is included in a report to the 
Commission.

[48 FR 12333, Mar. 24, 1983; 48 FR 23383, May 25, 1983]



Sec. 32.17   Resins containing scandium-46 and designed for sand-consolidation in oil wells: requirements for license to manufacture, or initially transfer for 
          sale or distribution.

    An application for a specific license to manufacture, or initially 
transfer for sale or distribution, synthetic plastic resins containing 
scandium-46 for use pursuant to Sec. 30.16 of this chapter will be 
approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter;
    (b) The product is designed to be used only for sand-consolidation 
in oil wells;
    (c) The applicant submits the following information:
    (1) The general description of the product to be manufactured or 
initially transferred.
    (2) A description of control procedures to be used to assure that 
the concentration of scandium-46 in the final product at the time of 
distribution will not exceed 1.4 x 10-3 microcurie/milliliter.
    (d) Each container of such product will bear a durable, legible 
lable approved by the Commission, which contains the following 
information:
    (1) The product name;
    (2) A statement that the product contains radioactive scandium and 
is designed and manufactured only for sand-consolidation in oil wells;
    (3) Instructions necessary for proper use; and
    (4) The manufacturer's name.

[32 FR 4241, Mar. 18, 1967, as amended by 38 FR 29314, Oct. 24, 1973; 43 
FR 6922, Feb. 17, 1978]



Sec. 32.18   Manufacture, distribution and transfer of exempt quantities of byproduct material: Requirements for license.

    An application for a specific license to manufacture, process, 
produce, package, repackage, or transfer quantities of byproduct 
material for commercial distribution to persons exempt pursuant to 
Sec. 30.18 of this chapter or the equivalent regulations of an Agreement 
State will be approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter: Provided, however, That the requirements of 
Sec. 30.33(a) (2) and (3)

[[Page 471]]

of this chapter do not apply to an application for a license to transfer 
byproduct material manufactured, processed, produced, packaged, or 
repackaged pursuant to a license issued by an Agreement State;
    (b) The byproduct material is not contained in any food, beverage, 
cosmetic, drug, or other commodity designed for ingestion or inhalation 
by, or application to, a human being;
    (c) The byproduct material is in the form of processed chemical 
elements, compounds, or mixtures, tissue samples, bioassay samples, 
counting standards, plated or encapsulated sources, or similar 
substances, identified as radioactive and to be used for its radioactive 
properties, but is not incorporated into any manufactured or assembled 
commodity, product, or device intended for commercial distribution; and
    (d) The applicant submits copies of prototype labels and brochures 
and the Commission approves such labels and brochures.

[35 FR 6428, Apr. 22, 1970, as amended at 43 FR 6922, Feb. 17, 1978]



Sec. 32.19   Same: Conditions of licenses.

    Each license issued under Sec. 32.18 is subject to the following 
conditions:
    (a) No more than 10 exempt quantities set forth in Sec. 30.71, 
Schedule B of this chapter shall be sold or transferred in any single 
transaction. For purposes of this requirement, an individual exempt 
quantity may be composed of fractional parts of one or more of the 
exempt quantities in Sec. 30.71, Schedule B of this chapter, provided 
that the sum of such fractions shall not exceed unity.
    (b) Each quantity of byproduct material set forth in Sec. 30.71, 
Schedule B of this chapter shall be separately and individually 
packaged. No more than 10 such packaged exempt quantities shall be 
contained in any outer package for transfer to persons exempt pursuant 
to Sec. 30.18 of this chapter. The outer package shall be such that the 
dose rate at the external surface of the package does not exceed 0.5 
millirem per hour.
    (c) The immediate container of each quantity or separately packaged 
fractional quantity of byproduct material shall bear a durable, legible 
label which (1) identifies the radioisotope and the quantity of 
radioactivity, and (2) bears the words ``Radioactive Material.''
    (d) In addition to the labeling information required by paragraph 
(c) of this section, the label affixed to the immediate container, or an 
accompanying brochure, shall also (1) state that the contents are exempt 
from NRC or Agreement State licensing requirements; (2) bear the words 
``Radioactive Material--Not for Human Use--Introduction Into Foods, 
Beverages, Cosmetics, Drugs, or Medicinals, or Into Products 
Manufactured for Commercial Distribution is Prohibited--Exempt 
Quantities Should Not be Combined''; and (3) set forth appropriate 
additional radiation safety precautions and instructions relating to the 
handling, use, storage, and disposal of the radioactive material.

[35 FR 6428, Apr. 22, 1970]



Sec. 32.20  Same: Records and material transfer reports.

    (a) Each person licensed under Sec. 32.18 of this part shall 
maintain records of transfer of material identifying, by name and 
address, each person to whom byproduct material is transferred for use 
under Sec. 30.18 of this chapter or the equivalent regulations of an 
Agreement State and stating the kinds and quantities of byproduct 
material transferred. The licensee shall maintain the record of a 
transfer for a period of one year after the event is included in a 
summary report to the Commission.
    (b) The licensee shall file a summary report stating the total 
quantity of each isotope transferred under the specific license with the 
Director of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, with a copy to the 
appropriate NRC Regional Office listed in appendix D of part 20 of this 
chapter.
    (c) The licensee shall file the summary report within 30 days 
following:
    (1) Five years after filing the preceding report; or
    (2) Filing an application for renewal of the license under 
Sec. 30.37; or
    (3) Notifying the Commission under Sec. 30.34(f) of the licensee's 
decision to

[[Page 472]]

permanently discontinue activities authorized under the license issued 
under Sec. 32.18.
    (d) The report must cover the period between the filing of the 
preceding report and the occurrences specified in paragraph (c)(1), (2), 
or (3) of this section. If no transfers of byproduct material have been 
made under Sec. 32.18 during the reporting period, the report must so 
indicate.

[48 FR 12333, Mar. 24, 1983]



Sec. 32.22   Self-luminous products containing tritium, krypton-85 or promethium-147: Requirements for license to manufacture, process, produce, or initially 
          transfer.

    (a) An application for a specific license to manufacture, process, 
or produce self-luminous products containing tritium, krypton-85, or 
promethium-147, or to initially transfer such products for use pursuant 
to Sec. 30.19 of this chapter or equivalent regulations of an Agreement 
State, will be approved if:
    (1) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter: Provided, however, That the requirements of 
Sec. 30.33(a) (2) and (3) do not apply to an application for a license 
to transfer tritium, krypton-85, or promethium-147 in self-luminous 
products manufactured, processed, or produced pursuant to a license 
issued by an Agreement State.
    (2) The applicant submits sufficient information relating to the 
design, manufacture, prototype testing, quality control procedures, 
labeling or marking, and conditions of handling, storage, use, and 
disposal of the self-luminous product to demonstrate that the product 
will meet the safety criteria set forth in Sec. 32.23. The information 
should include:
    (i) A description of the product and its intended use or uses.
    (ii) The type and quantity of byproduct material in each unit.
    (iii) Chemical and physical form of the byproduct material in the 
product and changes in chemical and physical form that may occur during 
the useful life of the product.
    (iv) Solubility in water and body fluids of the forms of the 
byproduct material identified in paragraphs (a)(2) (iii) and (xii) of 
this section.
    (v) Details of construction and design of the product as related to 
containment and shielding of the byproduct material and other safety 
features under normal and severe conditions of handling, storage, use, 
and disposal of the product.
    (vi) Maximum external radiation levels at 5 and 25 centimeters from 
any external surface of the product, averaged over an area not to exceed 
10 square centimeters, and the method of measurement.
    (vii) Degree of access of human beings to the product during normal 
handling and use.
    (viii) Total quantity of byproduct material expected to be 
distributed in the product annually.
    (ix) The expected useful life of the product.
    (x) The proposed method of labeling or marking each unit with 
identification of the manufacturer or initial transferor of the product 
and the byproduct material in the product.
    (xi) Procedures for prototype testing of the product to demonstrate 
the effectiveness of the containment, shielding, and other safety 
features under both normal and severe conditions of handling, storage, 
use, and disposal of the product.
    (xii) Results of the prototype testing of the product, including any 
change in the form of the byproduct material contained in the product, 
the extent to which the byproduct material may be released to the 
environment, any increase in external radiation levels, and any other 
changes in safety features.
    (xiii) The estimated external radiation doses and dose commitments 
relevant to the safety criteria in Sec. 32.23 and the basis for such 
estimates.
    (xiv) A determination that the probabilities with respect to the 
doses referred to in Sec. 32.23(d) meet the criteria of that paragraph.
    (xv) Quality control procedures to be followed in the fabrication of 
production lots of the product and the quality control standards the 
product will be required to meet.
    (xvi) Any additional information, including experimental studies and 
tests, required by the Commission.

[[Page 473]]

    (b) Notwithstanding the provisions of paragraph (a) of this section, 
the Commission may deny an application for a specific license under this 
section if the end uses of the product cannot be reasonably foreseen.

[34 FR 9026, June 6, 1969, as amended at 43 FR 6923, Feb. 17, 1978]



Sec. 32.23   Same: Safety criteria.

    An applicant for a license under Sec. 32.22 shall demonstrate that 
the product is designed and will be manufactured so that:
    (a) In normal use and disposal of a single exempt unit, it is 
unlikely that the external radiation dose in any one year, or the dose 
commitment resulting from the intake of radioactive material in any one 
year, to a suitable sample of the group of individuals expected to be 
most highly exposed to radiation or radioactive material from the 
product will exceed the dose to the appropriate organ as specified in 
Column I of the table in Sec. 32.24 of this part.
    (b) In normal handling and storage of the quantities of exempt units 
likely to accumulate in one location during marketing, distribution, 
installation, and servicing of the product, it is unlikely that the 
external radiation dose in any one year, or the dose commitment 
resulting from the intake of radioactive material in any one year, to a 
suitable sample of the group of individuals expected to be most highly 
exposed to radiation or radioactive material from the product will 
exceed the dose to the appropriate organ as specified in Column II of 
the table in Sec. 32.24.
    (c) It is unlikely that there will be a significant reduction in the 
effectiveness of the containment, shielding, or other safety features of 
the product from wear and abuse likely to occur in normal handling and 
use of the product during its useful life.
    (d)1 In use and disposal of a single exempt unit, or in 
handling and storage of the quantities of exempt units likely to 
accumulate in one location during marketing, distribution, installation, 
and servicing of the product, the probability is low that the 
containment, shielding, or other safety features of the product would 
fail under such circumstances that a person would receive an external 
radiation dose or dose commitment in excess of the dose to the 
appropriate organ as specified in Column III of the table in Sec. 32.24, 
and the probability is negligible that a person would receive an 
external radiation dose or dose commitment in excess of the dose to the 
appropriate organ as specified in Column IV of the table in Sec. 32.24.

    1 It is the intent of this paragraph that as the magnitude of 
the potential dose increases above that permitted under normal 
conditions, the probability that any individual will receive such a dose 
must decrease. The probabilities have been expressed in general terms to 
emphasize the approximate nature of the estimates which are to be made. 
The following values may be used as guides in estimating compliance with 
the criteria:
    Low--not more than one such failure per year for each 10,000 exempt 
units distributed.
    Negligible--not more than one such failure per year for each 1 
million exempt units distributed.

[34 FR 9027, June 6, 1969]



Sec. 32.24   Same: Table of organ doses.

------------------------------------------------------------------------
                                          Column  Column  Column  Column
              Part of body                   I      II      III     IV  
                                           (rem)   (rem)   (rem)   (rem)
------------------------------------------------------------------------
Whole body; head and trunk: active blood-                               
 forming organs; gonads: or lens of eye.   0.001    0.01     0.5      15
Hands and forearms; feet and ankles;                                    
 localized areas of skin averaged over                                  
 areas no larger than 1 square                                          
 centimeter.............................   0.015    0.15     7.5     200
Other organs............................   0.003    0.03     1.5      50
------------------------------------------------------------------------

[34 FR 9329, June 13, 1969]



Sec. 32.25   Conditions of licenses issued under Sec. 32.22: Quality control, labeling, and reports of transfer.

    Each person licensed under Sec. 32.22 shall:
    (a) Carry out adequate control procedures in the manufacture of the 
product to assure that each production lot meets the quality control 
standards approved by the Commission;
    (b) Label or mark each unit so that the manufacturer, processor, 
producer, or initial transferor of the product and the byproduct 
material in the product can be identified; and

[[Page 474]]

    (c) Maintain records and file reports with the Director of Nuclear 
Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555, with copies to the appropriate NRC Regional Office 
listed in appendix D of part 20 of this chapter.
    (1) The report must include the following information on products 
transferred to other persons for use under Sec. 30.19 of this chapter or 
equivalent regulations of an Agreement State:
    (i) A description or identification of the type of each product;
    (ii) For each radionuclide in each type of product, the total 
quantity of the radionuclide; and
    (iii) The number of units of each type of product transferred during 
the reporting period.
    (2) The licensee shall file the report within 30 days following:
    (i) Five years after filing the preceding report; or
    (ii) Filing an application for renewal of the license under 
Sec. 30.37; or
    (iii) Notifying the Commission under Sec. 30.34(f) of the licensee's 
decision to permanently discontinue activities authorized under the 
license issued under Sec. 32.22.
    (3) The report must cover the period between the filing of the 
preceding report and the occurrences specified in paragraphs (c)(2)(i), 
(ii), or (iii) of this section. If no transfers of byproduct material 
have been made under Sec. 32.22 during the reporting period, the report 
must so indicate.
    (4) The licensee shall maintain the record of a transfer for a 
period of one year after the event is included in a report to the 
Commission.

[34 FR 9027, June 6, 1969, as amended at 43 FR 6923, Feb. 17, 1978; 48 
FR 12334, Mar. 24, 1983]



Sec. 32.26   Gas and aerosol detectors containing byproduct material: Requirements for license to manufacture, process, produce, or initially transfer.

    An application for a specific license to manufacture, process, or 
produce gas and aerosol detectors containing byproduct material and 
designed to protect life or property from fires and airborne hazards, or 
to initially transfer such products for use pursuant to Sec. 30.20 of 
this chapter or equivalent regulations of an Agreement State, will be 
approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter: Provided, however, That the requirements of 
Sec. 30.33(a) (2) and (3) do not apply to an application for a license 
to transfer byproduct material in gas and aerosol detectors 
manufactured, processed or produced pursuant to a license issued by an 
Agreement State.
    (b) The applicant submits sufficient information relating to the 
design, manufacture, prototype testing, quality control procedures, 
labeling or marking, and conditions of handling, storage, use, and 
disposal of the gas and aerosol detector to demonstrate that the product 
will meet the safety criteria set forth in Sec. 32.27. The information 
should include:
    (1) A description of the product and its intended use or uses;
    (2) The type and quantity of byproduct material in each unit;
    (3) Chemical and physical form of the byproduct material in the 
product and changes in chemical and physical form that may occur during 
the useful life of the product;
    (4) Solubility in water and body fluids of the forms of the 
byproduct material identified in paragraphs (b) (3) and (12) of this 
section;
    (5) Details of construction and design of the product as related to 
containment and shielding of the byproduct material and other safety 
features under normal and severe conditions of handling, storage, use, 
and disposal of the product;
    (6) Maximum external radiation levels at 5 and 25 centimeters from 
any external surface of the product, averaged over an area not to exceed 
10 square centimeters, and the method of measurement;
    (7) Degree of access of human beings to the product during normal 
handling and use;
    (8) Total quantity of byproduct material expected to be distributed 
in the product annually;
    (9) The expected useful life of the product;
    (10) The proposed methods of labeling or marking the detector and 
its point-

[[Page 475]]

of-sale package to satisfy the requirements of Sec. 32.29(b);
    (11) Procedures for prototype testing of the product to demonstrate 
the effectiveness of the containment, shielding, and other safety 
features under both normal and severe conditions of handling, storage, 
use, and disposal of the product;
    (12) Results of the prototype testing of the product, including any 
change in the form of the byproduct material contained in the product, 
the extent to which the byproduct material may be released to the 
environment, any increase in external radiation levels, and any other 
changes in safety features;
    (13) The estimated external radiation doses and dose commitments 
relevant to the safety criteria in Sec. 32.27 and the basis for such 
estimates;
    (14) A determination that the probabilities with respect to the 
doses referred to in Sec. 32.27(c) meet the criteria of that paragraph;
    (15) Quality control procedures to be followed in the fabrication of 
production lots of the product and the quality control standards the 
product will be required to meet; and
    (16) Any additional information, including experimental studies and 
tests, required by the Commission.

[34 FR 6653, Apr. 18, 1969, as amended at 43 FR 6923, Feb. 17, 1978; 45 
FR 38342, June 9, 1980]



Sec. 32.27   Same: Safety criteria.

    An applicant for a license under Sec. 32.26 shall demonstrate that 
the product is designed and will be manufactured so that:
    (a) In normal use and disposal of a single exempt unit, and in 
normal handling and storage of the quantities of exempt units likely to 
accumulate in one location during marketing, distribution, installation, 
and servicing of the product, it is unlikely that the external radiation 
dose in any one year, or the dose commitment resulting from the intake 
of radioactive material in any one year, to a suitable sample of the 
group of individuals expected to be most highly exposed to radiation or 
radioactive material from the product will exceed the dose to the 
appropriate organ as specified in Column I of the table in Sec. 32.28.
    (b) It is unlikely that there will be a significant reduction in the 
effectiveness of the containment, shielding, or other safety features of 
the product from wear and abuse likely to occur in normal handling and 
use of the product during its useful life.
    (c) In use and disposal of a single exempt unit and in handling and 
storage of the quantities of exempt units likely to accumulate in one 
location during marketing, distribution, installation, and servicing of 
the product, the probability is low that the containment, shielding, or 
other safety features of the product would fail under such circumstances 
that a person would receive an external radiation dose or dose 
commitment in excess of the dose to the appropriate organ as specified 
in Column II of the table in Sec. 32.28, and the probability is 
negligible that a person would receive an external radiation dose or 
dose commitment in excess of the dose to the appropriate organ as 
specified in Column III of the table in Sec. 32.28.1
---------------------------------------------------------------------------

    1It is the intent of this paragraph that as the magnitude of the 
potential dose increases above that permitted under normal conditions, 
the probability that any individual will receive such a dose must 
decrease. The probabilities have been expressed in general terms to 
emphasize the approximate nature of the estimates which are to be made. 
The following values may be used as guides in estimating compliance with 
the criteria:
    Low--not more than one such failure per year for each 10,000 exempt 
units distributed.
    Negligible--not more than one such failure per year for each one 
million exempt units distributed.

[34 FR 6654, Apr. 18, 1969]



Sec. 32.28   Same: Table of organ doses.

------------------------------------------------------------------------
                                                         Column   Column
                 Part of body                   Column     II      III  
                                               I (rem)   (rem)    (rem) 
------------------------------------------------------------------------
Whole body; head and trunk; active blood-                               
 forming organs; gonads; or lens of eye......    0.005      0.5       15
Hands and forearms; feet and ankles;                                    
 localized areas of skin averaged over areas                            
 no larger than 1 square centimeter..........    0.075      7.5      200
Other organs.................................    0.015      1.5       50
------------------------------------------------------------------------

[34 FR 6654, Apr. 18, 1969]

[[Page 476]]



Sec. 32.29   Conditions of licenses issued under Sec. 32.26: Quality control, labeling, and reports of transfer.

    Each person licensed under Sec. 32.26 shall:
    (a) Carry out adequate control procedures in the manufacture of the 
product to assure that each production lot meets the quality control 
standards approved by the Commission;
    (b) Label or mark each detector and its point-of-sale package so 
that:
    (1) Each detector has a durable, legible, readily visible label or 
marking on the external surface of the detector containing:
    (i) The following statement: ``CONTAINS RADIOACTIVE MATERIAL'';
    (ii) The name of the radionuclide and quantity of activity; and
    (iii) An identification of the person licensed under Sec. 32.26 to 
transfer the detector for use pursuant to Sec. 30.20 of this chapter or 
equivalent regulations of an Agreement State.
    (2) The labeling or marking specified in paragraph (b)(1) of this 
section is located where its will be readily visible when the detector 
is removed from its mounting.
    (3) The external surface of the point-of-sale package has a legible, 
readily visible label or marking containing:
    (i) The name of the radionuclide and quantity of activity;
    (ii) An identification of the person licensed under Sec. 32.26 to 
transfer the detector for use pursuant to Sec. 30.20 of this chapter or 
equivalent regulations of an Agreement State; and
    (iii) The following or a substantially similar statement:

    THIS DETECTOR CONTAINS RADIOACTIVE MATERIAL AND HAS BEEN 
MANUFACTURED IN COMPLIANCE WITH U.S. NRC SAFETY CRITERIA IN 10 CFR 
32.27. THE PURCHASER IS EXEMPT FROM ANY REGULATORY REQUIREMENTS.

    (4) Each detector and point-of-sale package is provided with such 
other information as may be required by the Commission; and
    (c) Maintain records and file a report with the Director of Nuclear 
Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555, with copies to the appropriate NRC Regional Office 
listed in appendix D of part 20 of this chapter.
    (1) The report must include the following information on products 
transfered to other persons for use under Sec. 30.20 of this chapter or 
equivalent regulations of an Agreement State:
    (i) A description or identification of the type of each product;
    (ii) For each radionuclide in each type of product, the total 
quantity of the radionuclide; and
    (iii) The number of units of each type of product transferred during 
the reporting period.
    (2) The licensee shall file the report within 30 days following:
    (i) Five years after filing the preceding report; or
    (ii) Filing an application for renewal of the license under 
Sec. 30.37; or
    (iii) Notifying the Commission under Sec. 30.34(f) of the licensee's 
decision to permanently discontinue activities authorized pursuant to 
the license issued under Sec. 32.26.
    (3) The report must cover the period between the filing of the 
preceding report and the occurrences specified in paragraphs (c)(2) (i), 
(ii), or (iii) of this section. If no transfers of byproduct material 
have been made under Sec. 32.26 during the reporting period, the report 
must so indicate.
    (4) The licensee shall maintain the record of a transfer for a 
period of one year after the event is included in a report to the 
Commission.

[34 FR 6654, Apr. 18, 1969, as amended at 43 FR 6923, Feb. 17, 1978; 45 
FR 38342, June 9, 1980; 48 FR 12334, Mar. 24, 1983]



Sec. 32.40   Schedule A--prototype tests for automobile lock illuminators.

    An applicant for a license pursuant to Sec. 32.14 to install lock 
illuminators into automobile locks, or to initially transfer lock 
illuminators in automobile locks for use pursuant to Sec. 30.15 of this 
chapter shall conduct the following prototype tests on each of five 
prototype devices, consisting of the automobile lock with the installed 
illuminator in the following order:
    (a) The device shall be subjected to 100 hours of accelerated 
weathering in a suitable weathering machine which simulates the most 
severe conditions of normal use;

[[Page 477]]

    (b) The device shall be dropped upon a concrete or iron surface in a 
3-foot free gravitational fall, or shall be subjected to an equivalent 
treatment in a test device simulating such a fall. The drop test shall 
be repeated 100 times from random orientations;
    (c) The device shall be attached to a vibratory fixture and vibrated 
at a rate of not less than 26 cycles per second and a vibration 
acceleration of not less than 2 G for a period of not less than 1 hour;
    (d) On completion of the foregoing tests, the device shall be 
immersed in 30 inches of water for 24 hours and shall show no visible 
evidence of water entry into the lock illuminator. Absolute pressure of 
the air above the water shall then be reduced to 1 inch of mercury. 
Lowered pressure shall be maintained for 1 minute or until air bubbles 
cease to be given off by the water, whichever is the longer. Pressure 
shall then be increased to normal atmospheric pressure. Any evidence of 
bubbles emanating from within the lock illuminator, or water entering 
the lock illuminator, shall be considered leakage;
    (e) After each of the tests prescribed by this section, each device 
shall be examined for evidence of physical damage and for loss of 
tritium or promethium-147. Any evidence of damage to or failure of any 
device which could affect the containment of the tritium or promethium-
147 in such devices shall be cause for rejection of the design on which 
such prototype devices were constructed or manufactured if the damage or 
failure is attributable to design defect. Loss of tritium or promethium-
147 from each tested device shall be measured both by sampling the 
immersion test water used in paragraph (d) of this section and by wiping 
with filter paper the entire accessible area of the lock illuminator. 
Measurements of tritium or promethium-147 shall be made in an apparatus 
calibrated to measure tritium or promethium-147, as appropriate. If more 
than 0.1 percent of the original amount of tritium or promethium-147 in 
the device is found in the immersion test water of the test in paragraph 
(d) of this section, or if more than 2,200 disintegrations per minute of 
tritium or promethium-147 on the filter paper is measured after any of 
the tests in paragraphs (a) to (d) of this section the device shall be 
rejected.

[30 FR 8192, June 26, 1965, as amended at 31 FR 5317, Apr. 2, 1966; 43 
FR 6923, Feb. 17, 1978]



                   Subpart B--Generally Licensed Items



Sec. 32.51   Byproduct material contained in devices for use under Sec. 31.5; requirements for license to manufacture, or initially transfer.

    (a) An application for a specific license to manufacture, or 
initially transfer devices containing byproduct material to persons 
generally licensed under Sec. 31.5 of this chapter or equivalent 
regulations of an Agreement State will be approved if:
    (1) The applicant satisfies the general requirements of Sec. 30.33 
of this chapter;
    (2) The applicant submits sufficient information relating to the 
design, manufacture, prototype testing, quality control, labels, 
proposed uses, installation, servicing, leak testing, operating and 
safety instructions, and potential hazards of the device to provide 
reasonable assurance that:
    (i) The device can be safely operated by persons not having training 
in radiological protection;
    (ii) Under ordinary conditions of handling, storage, and use of the 
device, the byproduct material contained in the device will not be 
released or inadvertently removed from the device, and it is unlikely 
that any person will receive in 1 year a dose in excess of 10 percent of 
the annual limits specified in Sec. 20.1201(a) of this chapter; and
    (iii) Under accident conditions (such as fire and explosion) 
associated with handling, storage and use of the device, it is unlikely 
that any person would receive an external radiation dose or dose 
commitment in excess of the dose to the appropriate organ as specified 
in Column IV of the table in Sec. 32.24.
    (3) Each device bears a durable, legible, clearly visible label or 
labels approved by the Commission which contain in a clearly identified 
and separate statement:

[[Page 478]]

    (i) Instructions and precautions necessary to assure safe 
installation, operation, and servicing of the device (documents such as 
operating and service manuals may be identified in the label and used to 
provide this information);
    (ii) The requirements, or lack of requirement, for leak testing, or 
for testing any on-off mechanism and indicator, including the maximum 
time interval for such testing, and the identification of radioactive 
material by isotope, quantity of radioactivity, and date of 
determination of the quantity; and
    (iii) The information called for in the following statement in the 
same or substantially similar form: 1
---------------------------------------------------------------------------

    1 Devices licensed under Sec. 32.51 prior to January 19, 1975 may 
bear labels authorized by the regulations in effect on January 1, 1975.

    The receipt, possession, use, and transfer of this device Model 
________2, Serial No. ______2, are subject to a general 
license or the equivalent and the regulations of the U.S. NRC or of a 
State with which the NRC has entered into an agreement for the exercise 
of regulatory authority. This label shall be maintained on the device in 
a legible condition. Removal of this label is prohibited.
---------------------------------------------------------------------------

    2 The model, serial number, and the name of the manufacturer, 
or initial transferor may be omitted from this label provided the 
information is elsewhere specified in labeling affixed to the device.
---------------------------------------------------------------------------

                      caution--radioactive material

_______________________________________________________________________
(Name of manufacturer, or initial transferor) \2\

    (b) In the event the applicant desires that the device be required 
to be tested at intervals longer than six months, either for proper 
operation of the on-off mechanism and indicator, if any, or for leakage 
of radioactive material or for both, he shall include in this 
application sufficient information to demonstrate that such longer 
interval is justified by performance characteristics of the device or 
similar devices, and by design features which have a significant bearing 
on the probability or consequences of leakage of radioactive material 
from the device or failure of the on-off mechanism and indicator. In 
determining the acceptable interval for the test for leakage of 
radioactive material, the Commission will consider information which 
includes, but is not limited to:
    (1) Primary containment (source capsule);
    (2) Protection of primary containment;
    (3) Method of sealing containment;
    (4) Containment construction materials;
    (5) Form of contained radioactive material;
    (6) Maximum temperature withstood during prototype tests;
    (7) Maximum pressure withstood during prototype tests;
    (8) Maximum quantity of contained radioactive material;
    (9) Radiotoxicity of contained radioactive material; and
    (10) Operating experience with identical devices or similarly 
designed and constructed devices.
    (c) In the event the applicant desires that the general licensee 
under Sec. 31.5 of this chapter, or under equivalent regulations of an 
Agreement State, be authorized to install the device, collect the sample 
to be analyzed by a specific licensee for leakage of radioactive 
material, service the device, test the on-off mechanism and indicator, 
or remove the device from installation, the applicant shall include in 
the application written instructions to be followed by the general 
licensee, estimated calendar quarter doses associated with such activity 
or activities, and the bases for these estimates. The submitted 
information must demonstrate that performance of this activity or 
activities by an individual untrained in radiological protection, in 
addition to other handling, storage, and use of devices under the 
general license, is unlikely to cause that individual to receive a dose 
in excess of 10 percent of the annual limits specified in 
Sec. 20.1201(a) of this chapter.

[39 FR 43533, Dec. 16, 1974, as amended at 40 FR 8785, Mar. 3, 1975; 42 
FR 25721, May 19, 1977; 43 FR 6923, Feb. 17, 1978; 58 FR 67660, Dec. 22, 
1993; 59 FR 5520, Feb. 7, 1994]



Sec. 32.51a   Same: Conditions of licenses.

    Each person licensed under Sec. 32.51 shall:
    (a) Furnish a copy of the general license contained in Sec. 31.5 of 
this chapter to each person to whom he directly or

[[Page 479]]

through an intermediate person transfers byproduct material in a device 
for use pursuant to the general license contained in Sec. 31.5 of this 
chapter.
    (b) Furnish a copy of the general license contained in the Agreement 
State's regulation equivalent to Sec. 31.5 of this chapter, or 
alternatively, furnish a copy of the general license contained in 
Sec. 31.5 of this chapter, to each person to whom he directly or through 
an intermediate person transfers byproduct material in a device for use 
pursuant to the general license of an Agreement State. If a copy of the 
general license in Sec. 31.5 of this chapter is furnished to such 
person, it shall be accompanied by a note explaining that use of the 
device is regulated by the Agreement State under requirements 
substantially the same as those in Sec. 31.5 of this chapter.

[39 FR 43533, Dec. 16, 1974]



Sec. 32.52   Same: Material transfer reports and records.

    Each person licensed under Sec. 32.51 to initially transfer devices 
to generally licensed persons shall:
    (a) Report to the Director of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001, all transfers of such devices to persons for use under the general 
license in Sec. 31.5 of this chapter. Such reports must identify each 
general licensee by name and address, and individual by name and/or 
position who may constitute a point of contact between the Commission 
and the general licensee, the type of device transferred, and the 
quantity and type of byproduct material contained in the device. If one 
or more intermediate persons will temporarily possess the device at the 
intended place of use prior to its possession by the user, the report 
must include identification of each intermediate person by name, 
address, contact, and relationship to the intended user. If no transfers 
have been made to persons generally licensed under Sec. 31.5 of this 
chapter during the reporting period, the report must so indicate. The 
report must cover each calendar quarter and must be filed within 30 days 
thereafter.
    (b) Report to the responsible Agreement State agency all transfers 
of such devices to persons for use under a general license in an 
Agreement State's regulation equivalent to Sec. 31.5 of this chapter. 
Such report shall identify each general licensee by name and address, an 
individual by name and/or position who may constitute a point of contact 
between the agency and the general licensee, the type and model number 
of device transferred, and the quantity and type of byproduct material 
contained in the device. If one or more intermediate persons will 
temporarily possess the device at the intended place of use prior to its 
possession by the user, the report shall include identification of each 
intermediate person by name, address, contact, and relationship to the 
intended user. The report shall be submitted within 30 days after the 
end of each calendar quarter in which such a device is transferred to 
the generally licensed person. If no transfers have been made to a 
particular Agreement State during the reporting period, this information 
shall be reported to the responsible Agreement State agency upon request 
of the agency. The first report, if any, to be filed pursuant to this 
paragraph as revised and effective on January 15, 1975, shall cover the 
first calendar quarter in 1975.
    (c) Keep records showing the name, address, and a point of contact 
for each general licensee to whom he directly or through an intermediate 
person transfers byproduct material in devices for use pursuant to the 
general license provided in Sec. 31.5 of this chapter or equivalent 
regulations of an Agreement State. The records shall show the date of 
each transfer, the isotope and quantity of radioactivity in each device 
transferred, the identity of any intermediate person, and compliance 
with the report requirements of this section. The records required by 
this paragraph shall be maintained for a period of five years from the 
date of the recorded event.

[39 FR 43533, Dec. 16, 1974, as amended at 41 FR 16446, Apr. 19, 1976; 
41 FR 18302, May 3, 1976; 43 FR 6923, Feb. 17, 1978; 60 FR 3737, Jan. 
19, 1995]

[[Page 480]]



Sec. 32.53   Luminous safety devices for use in aircraft: Requirements for license to manufacture, assemble, repair or initially transfer.

    An application for a specific license to manufacture, assemble, 
repair or initially transfer luminous safety devices containing tritium 
or promethium-147 for use in aircraft, for distribution to persons 
generally licensed under Sec. 31.7 of this chapter, will be approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter;
    (b) The applicant submits sufficient information regarding each 
device pertinent to evaluation of the potential radiation exposure, 
including:
    (1) Chemical and physical form and maximum quantity of tritium or 
promethium-147 in each device;
    (2) Details of construction and design;
    (3) Details of the method of binding or containing the tritium or 
promethium-147;
    (4) Procedures for and results of prototype testing to demonstrate 
that the tritium or promethium-147 will not be released to the 
environment under the most severe conditions likely to be encountered in 
normal use;
    (5) Any quality control procedures proposed as alternatives to those 
prescribed by Sec. 32.55;
    (6) Any additional information, including experimental studies and 
tests, required by the Commission to facilitate a determination of the 
safety of the device.
    (c) Each device will contain no more than 10 curies of tritium or 
300 millicuries of promethium-147. The levels of radiation from each 
device containing promethium-147 will not exceed 0.5 millirad per hour 
at 10 centimeters from any surface when measured through 50 milligrams 
per square centimeter of absorber.
    (d) The Commission determines that:
    (1) The method of incorporation and binding of the tritium or 
promethium-147 in the device is such that the tritium or promethium-147 
will not be released under the most severe conditions which are likely 
to be encountered in normal use and handling of the device;
    (2) The tritium or promethium-147 is incorporated or enclosed so as 
to preclude direct physical contact by any person with it;
    (3) The device is so designed that it cannot easily be disassembled; 
and
    (4) The device has been subjected to and has satisfactorily passed 
the prototype tests prescribed by Sec. 32.101, Schedule B, of this part.

[30 FR 8192, June 26, 1965, as amended at 33 FR 6463, Apr. 27, 1968; 43 
FR 6923, Feb. 17, 1978]



Sec. 32.54   Same: Labeling of devices.

    (a) A person licensed under Sec. 32.53 to manufacture, assemble, or 
initially transfer devices containing tritium or promethium-147 for 
distribution to persons generally licensed under Sec. 31.7 of this 
chapter shall, except as provided in paragraph (b) of this section, 
affix to each device a label containing the radiation symbol prescribed 
by Sec. 20.203(a) of this chapter, such other information as may be 
required by the Commission including disposal instructions when 
appropriate, and the following or a substantially similar statement 
which contains the information called for in the following 
statement:1
---------------------------------------------------------------------------

    1Devices licensed under Sec. 32.53 prior to January 19, 1975 may 
bear labels authorized by the regulations in effect on January 1, 1975.

    The receipt, possession, use, and transfer of this device, Model* 
______________, Serial No.* ______, containing ____________ (Identity 
and quantity of radioactive material) are subject to a general license 
or the equivalent and the regulations of the U.S. NRC or of a State with 
which the NRC has entered into an agreement for the exercise of 
regulatory authority. Do not remove this label.

                      caution--radioactive material

_______________________________________________________________________
(Name of manufacturer, assembler, or initial transferor.)*
    *The model, serial number, and name of manufacturer, assembler, or 
initial transferor may be omitted from this label provided they are 
elsewhere specified in labeling affixed to the device.

    (b) If the Commission determines that it is not feasible to affix a 
label to the device containing all the information called for in 
paragraph (a) of this section, it may waive the requirements

[[Page 481]]

of that paragraph and require in lieu thereof that:
    (1) A label be affixed to the device identifying:
    (i) The manufacturer, assembler, or initial transferor; and
    (ii) The type of radioactive material; and
    (2) A leaflet bearing the following information be enclosed in or 
accompany the container in which the device is shipped:
    (i) The name of the manufacturer, assembler, or initial transferor,
    (ii) The type and quantity of radioactive material,
    (iii) The model number,
    (iv) A statement that the receipt, possession, use, and transfer of 
the device are subject to a general license or the equivalent and the 
regulations of the U.S. NRC or of an Agreement State, and
    (v) Such other information as may be required by the Commission, 
including disposal instructions when appropriate.

[33 FR 16331, Nov. 7, 1968, as amended at 40 FR 8785, Mar. 3, 1975; 43 
FR 6923, Feb. 17, 1978]



Sec. 32.55   Same: Quality assurance; prohibition of transfer.

    (a) Each person licensed under Sec. 32.53 shall visually inspect 
each device and shall reject any which has an observable physical defect 
that could affect containment of the tritium or promethium-147.
    (b) Each person licensed under Sec. 32.53 shall take a random sample 
of the size required by the table in Sec. 32.110 for Lot Tolerance 
Percent Defective of 5.0 percent from each inspection lot, and shall 
subject each unit in the sample to the following tests:
    (1) Each device shall be immersed in 30 inches of water for 24 hours 
and shall show no visible evidence of water entry. Absolute pressure of 
the air above the water shall then be reduced to 1 inch of mercury. 
Lowered pressure shall be maintained for 1 minute or until air bubbles 
cease to be given off by the water, whichever is the longer. Pressure 
shall then be increased to normal atmospheric pressure. Any device which 
leaks as evidenced by bubbles emanating from within the device, or water 
entering the device, shall be considered as a defective unit.
    (2) The immersion test water from the preceding test in paragraph 
(b)(1) of this section shall be measured for tritium or promethium-147 
content by an apparatus that has been calibrated to measure tritium or 
promethium-147, as appropriate. If more than 0.1 percent of the original 
amount of tritium or promethium-147 in any device is found to have 
leaked into the immersion test water, the leaking device shall be 
considered as a defective unit.
    (3) The levels of radiation from each device containing promethium-
147 shall be measured. Any device which has a radiation level in excess 
of 0.5 millirad per hour at 10 centimeters from any surface when 
measured through 50 milligrams per square centimeter of absorber, shall 
be considered as a defective unit.
    (c) An application for a license or for amendment of a license may 
include a description of procedures proposed as alternatives to those 
prescribed by paragraph (b) of this section, and proposed criteria for 
acceptance under those procedures. The Commission will approve the 
proposed alternative procedures if the applicant demonstrates that:
    (1) They will consider defective any sampled device which has a 
leakage rate exceeding 0.1 percent of the original quantity of tritium 
or promethium 147 in any 24-hour period; and
    (2) The operating characteristic curve or confidence interval 
estimate for the alternative procedures provides a Lot Tolerance Percent 
Defective of 5.0 percent at the consumer's risk of 0.10.
    (d) No person licensed under Sec. 32.53 shall transfer to persons 
generally licensed under Sec. 31.7 of this chapter:
    (1) Any luminous safety device which has been tested and found 
defective under the criteria and procedures specified in this section, 
unless the defective units have been repaired or reworked and have then 
met the tests set out in paragraph (b) of this section; or
    (2) Any inspection lot which has been rejected as a result of the 
procedures in Sec. 32.110 or alternative procedures in paragraph (c) of 
this section, unless the

[[Page 482]]

defective units have been sorted and removed or have been repaired or 
reworked and have then met the tests set out in paragraph (b) of this 
section.

[30 FR 8192, June 26, 1965, as amended at 39 FR 22129, June 20, 1974; 39 
FR 26397, July 19, 1974]



Sec. 32.56  Same: Material transfer reports.

    Each person licensed under Sec. 32.53 shall file an annual report 
with the Director of Nuclear Material Safety and Safeguards, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001, which must 
state the total quantity of tritium or promethium-147 transferred to 
persons generally licensed under Sec. 31.7 of this chapter. The report 
must identify each general licensee by name, state the kinds and numbers 
of luminous devices transferred, and specify the quantity of tritium or 
promethium-147 in each kind of device. Each report must cover the year 
ending June 30 and must be filed within thirty (30) days thereafter.

[60 FR 3737, Jan. 19, 1995]



Sec. 32.57   Calibration or reference sources containing americium-241: Requirements for license to manufacture or initially transfer.

    An application for a specific license to manufacture or initially 
transfer calibration or reference sources containing americium-241, for 
distribution to persons generally licensed under Sec. 31.8 of this 
chapter, will be approved if:
    (a) The applicant satisfies the general requirements of Sec. 30.33 
of this chapter;
    (b) The applicant submits sufficient information regarding each type 
of calibration or reference source pertinent to evaluation of the 
potential radiation exposure, including:
    (1) Chemical and physical form and maximum quantity of americium 241 
in the source;
    (2) Details of construction and design;
    (3) Details of the method of incorporation and binding of the 
americium-241 in the source;
    (4) Procedures for and results of prototype testing of sources, 
which are designed to contain more than 0.005 microcurie of americium-
241, to demonstrate that the americium-241 contained in each source will 
not be released or be removed from the source under normal conditions of 
use;
    (5) Details of quality control procedures to be followed in 
manufacture of the source;
    (6) Description of labeling to be affixed to the source or the 
storage container for the source;
    (7) Any additional information, including experimental studies and 
tests, required by the Commission to facilitate a determination of the 
safety of the source.
    (c) Each source will contain no more than 5 microcuries of 
americium-241.
    (d) The Commission determines, with respect to any type of source 
containing more than 0.005 microcurie of americium-241, that:
    (1) The method of incorporation and binding of the americium-241 in 
the source is such that the americium-241 will not be released or be 
removed from the source under normal conditions of use and handling of 
the source; and
    (2) The source has been subjected to and has satisfactorily passed 
the prototype tests prescribed by Sec. 32.102, Schedule C, of this part.

[30 FR 8192, June 26, 1965, as amended at 43 FR 6923, Feb. 17, 1978]



Sec. 32.58   Same: Labeling of devices.

    Each person licensed under Sec. 32.57 shall affix to each source, or 
storage container for the source, a label which shall contain sufficient 
information relative to safe use and storage of the source and shall 
include the following statement or a substantially similar statement 
which contains the information called for in the following statement: 
1
---------------------------------------------------------------------------

    1 Sources licensed under Sec. 32.57 prior to January 19, 1975 may 
bear labels authorized by the regulations in effect on January 1, 1975.

    The receipt, possession, use and transfer of this source, Model 
____-, Serial No. ____-, are subject to a general license and the 
regulations of the United States Nuclear Regulatory Commission or of a 
State with which the Commission has entered into an agreement for the 
exercise of regulatory authority. Do not remove this label.

[[Page 483]]

 CAUTION--RADIOACTIVE MATERIAL--THIS SOURCE CONTAINS AMERICIUM-241. DO 
              NOT TOUCH RADIOACTIVE PORTION OF THIS SOURCE.

_______________________________________________________________________
Name of manufacturer or initial transferor)

(Sec. 161, as amended, Pub. L. 83-703, 68 Stat. 948 (42 U.S.C. 2201); 
sec. 201, as amended, Pub. L. 93-438, 88 Stat. 1243 (42 U.S.C. 5841))

[30 FR 8192, June 26, 1965, as amended at 40 FR 8786, Mar. 3, 1975; 43 
FR 6923, Feb. 17, 1978]



Sec. 32.59   Same: Leak testing of each source.

    Each person licensed under Sec. 32.57 shall perform a dry wipe test 
upon each source containing more than 0.1 microcurie of americium-241 
prior to transferring the source to a general licensee under Sec. 31.8 
of this chapter. This test shall be performed by wiping the entire 
radioactive surface of the source with a filter paper with the 
application of moderate finger pressure. The radioactivity on the paper 
shall be measured by using radiation detection instrumentation capable 
of detecting 0.005 microcurie of americium-241. If any such test 
discloses more than 0.005 microcurie of radioactive material, the source 
shall be deemed to be leaking or losing americium-241 and shall not be 
transferred to a general licensee under Sec. 31.8 of this chapter.

[30 FR 8192, June 26, 1965]
Sec. 32.60  [Reserved]



Sec. 32.61   Ice detection devices containing strontium-90; requirements for license to manufacture or initially transfer.

    An application for a specific license to manufacture or initially 
transfer ice detection devices containing strontium-90 for distribution 
to persons generally licensed under Sec. 31.10 of this chapter will be 
approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter;
    (b) The applicant submits sufficient information regarding each type 
of device pertinent to evaluation of the potential radiation exposure, 
including:
    (1) Chemical and physical form and maximum quantity of strontium-90 
in the device;
    (2) Details of construction and design of the source of radiation 
and its shielding;
    (3) Radiation profile of a prototype device;
    (4) Procedures for and results of prototype testing of devices to 
demonstrate that the strontium-90 contained in each device will not be 
released or be removed from the device under the most severe conditions 
likely to be encountered in normal handling and use;
    (5) Details of quality control procedures to be followed in 
manufacture of the device;
    (6) Description of labeling to be affixed to the device;
    (7) Instructions for handling and installation of the device;
    (8) Any additional information, including experimental studies and 
tests, required by the Commission to facilitate a determination of the 
safety of the device;
    (c) Each device will contain no more than 50 microcuries of 
strontium-90 in an insoluble form;
    (d) Each device will bear durable, legible labeling which includes 
the radiation caution symbol prescribed by Sec. 20.1901(a) of this 
chapter, a statement that the device contains strontium-90 and the 
quantity thereof, instructions for disposal and statements that the 
device may be possessed pursuant to a general license, that the 
manufacturer or civil authorities should be notified if the device is 
found, that removal of the labeling is prohibited and that disassembly 
and repair of the device may be performed only by a person holding a 
specific license to manufacture or service such devices;
    (e) The Commission determines that:
    (1) The method of incorporation and binding of the strontium-90 in 
the device is such that the strontium-90 will not be released from the 
device under the most severe conditions which are likely to be 
encountered in normal use and handling of the device;
    (2) The strontium-90 is incorporated or enclosed so as to preclude 
direct physical contact by any individual with it and is shielded so 
that no individual will receive a radiation exposure to a major portion 
of his body in excess

[[Page 484]]

of 0.5 rem in a year under ordinary circumstances of use;
    (3) The device is so designed that it cannot be easily disassembled;
    (4) The device has been subjected to and has satisfactorily passed 
the prototype tests prescribed by Sec. 32.103; and
    (5) Quality control procedures have been established to satisfy the 
requirements of Sec. 32.62.

[30 FR 9905, Aug. 10, 1965, as amended at 43 FR 6923, Feb. 17, 1978; 56 
FR 23472, May 21, 1991; 58 FR 67660, Dec. 22, 1993]



Sec. 32.62   Same: Quality assurance; prohibition of transfer.

    (a) Each person licensed under Sec. 32.61 shall visually inspect 
each device and shall reject any which has an observable physical defect 
that could affect containment of the strontium-90.
    (b) Each person licensed under Sec. 32.61 shall test each device for 
possible loss of strontium-90 or for contamination by wiping with filter 
paper an area of at least 100 square centimeters on the outside surface 
of the device, or by wiping the entire surface area if it is less than 
100 square centimeters. The detection on the filter paper of more than 
2,200 disintegrations per minute of radioactive material per 100 square 
centimeters of surface wiped shall be cause for rejection of the tested 
device.
    (c) Each person licensed under Sec. 32.61 shall take a random sample 
of the size required by the table in Sec. 32.110 for Lot Tolerance 
Percent Defective of 5.0 percent from each inspection lot, and shall 
subject each unit in the sample to the following tests:
    (1) Each device shall be immersed in 30 inches of water for 24 hours 
and shall show no visible evidence of physical contact between the water 
and the strontium-90. Absolute pressure of the air above the water shall 
then be reduced to 1 inch of mercury. Lowered pressure shall be 
maintained for 1 minute or until air bubbles cease to be given off by 
the water, whichever is the longer. Pressure shall then be increased to 
normal atmospheric pressure. Any device which leaks, as evidenced by 
physical contact between the water and the strontium-90, shall be 
considered as a defective unit.
    (2) The immersion test water from the preceding test in paragraph 
(c)(1) of this section shall be measured for radioactive material. If 
the amount of radioactive material in the immersion test water is 
greater than 0.1 percent of the original amount of strontium-90 in any 
device, the device shall be considered as a defective unit.
    (d) An application for a license or for amendment of a license may 
include a description of procedures proposed as alternatives to those 
prescribed by paragraph (c) of this section, and proposed criteria for 
acceptance under those procedures. The Commission will approve the 
proposed alternative procedures if the applicant demonstrates that:
    (1) They will consider defective any sampled device which has a 
leakage rate exceeding 0.1 percent of the original quantity of 
strontium-90 in any 24-hour period; and
    (2) The operating characteristic curve or confidence interval 
estimate for the alternative procedures provides a Lot Tolerance Percent 
Defective of 5.0 percent at the consumer's risk of 0.10.
    (e) No person licensed under Sec. 32.61 shall transfer to persons 
generally licensed under Sec. 31.10 of this chapter:
    (1) Any device which has been tested and found defective under the 
criteria and procedures specified in this Sec. 32.62 unless the 
defective units have been repaired or reworked and then met the tests 
set out in paragraph (c) of this section; or
    (2) Any inspection lot which has been rejected as a result of the 
procedures in Sec. 32.110 or alternative procedures in paragraph (d) of 
this section, unless the defective units have been sorted and removed or 
have been repaired or reworked and have then met the tests set out in 
paragraph (c) of this section.

[30 FR 9905, Aug. 10, 1965, as amended at 39 FR 22130, June 20, 1974; 39 
FR 26397, July 19, 1974; 43 FR 6923, Feb. 17, 1978]



Sec. 32.71   Manufacture and distribution of byproduct material for certain in vitro clinical or laboratory testing under general license.

    An application for a specific license to manufacturer or distribute 
byproduct material for use under the general license of Sec. 31.11 of 
this chapter will be approved if:

[[Page 485]]

    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter.
    (b) The byproduct material is to be prepared for distribution in 
prepackaged units of:
    (1) Iodine-125 in units not exceeding 10 microcuries each.
    (2) Iodine-131 in units not exceeding 10 microcuries each.
    (3) Carbon-14 in units not exceeding 10 microcuries each.
    (4) Hydrogen-3 (tritium) in units not exceeding 50 microcuries each.
    (5) Iron-59 in units not exceeding 20 microcuries each.
    (6) Selenium-75 in units not exceeding 10 microcuries each.
    (7) Mock Iodine-125 in units not exceeding 0.05 microcurie of 
iodine-129 and 0.005 microcurie of americium-241 each.
    (c) Each prepackaged unit bears a durable, clearly visible label:
    (1) Identifying the radioactive contents as to chemical form and 
radionuclide, and indicating that the amount of radioactivity does not 
exceed 10 microcuries of iodine-131, iodine-125, selenium-75, or carbon-
14; 50 microcuries of hydrogen-3 (tritium); or 20 microcuries of iron-
59; or Mock Iodine-125 in units not exceeding 0.05 microcurie of iodine-
129 and 0.005 microcurie of americium-241 each; and
    (2) Displaying the radiation caution symbol described in 
Sec. 20.1901(a) of this chapter and the words, ``Caution, Radioactive 
Material'', and ``Not for Internal or External Use in Humans or 
Animals.''
    (d) The following statement, or a substantially similar statement 
which contains the information called for in the following statement, 
appears on a label affixed to each prepackaged unit or appears in a 
leaflet or brochure which accompanies the package: 1
---------------------------------------------------------------------------

    1 Labels authorized by the regulations in effect on September 26, 
1979, may be used until one year from September 27, 1979.

    The radioactive material may be received, acquired, possessed, and 
used only by physicians, veterinarians in the practice of veterinary 
medicine, clinical laboratories or hospitals and only for in vitro 
clinical or laboratory tests not involving internal or external 
administration of the material, or the radiation therefrom, to human 
beings or animals. Its receipt, acquisition, possession, use, and 
transfer are subject to the regulations and a general license of the 
U.S. Nuclear Regulatory Commission or of a State with which the 
Commission has entered into an agreement for the exercise of regulatory 
authority.
_______________________________________________________________________
(Name of Manufacturer)
    (e) The label affixed to the unit, or the leaflet or brochure which 
accompanies the package, contains adequate information as to the 
precautions to be observed in handling and storing such byproduct 
material. In the case of the Mock Iodine-125 reference or calibration 
source, the information accompanying the source must also contain 
directions to the licensee regarding the waste disposal requirements set 
out in Sec. 20.2001.

[33 FR 16553, Nov. 14, 1968, as amended at 38 FR 34110, Dec. 11, 1973; 
39 FR 26148, July 17, 1974; 40 FR 8786, Mar. 3, 1975; 42 FR 21604, Apr. 
28, 1977; 42 FR 26987, May 26, 1977; 44 FR 50325, Aug. 28, 1979; 56 FR 
23472, May 21, 1991; 58 FR 67660, Dec. 22, 1993]



Sec. 32.72  Manufacture, preparation, or transfer for commercial distribution of radioactive drugs containing byproduct material for medical use under part 35.

    (a) An application for a specific license to manufacture, prepare, 
or transfer for commercial distribution radioactive drugs containing 
byproduct material for use by persons authorized pursuant to part 35 of 
this chapter will be approved if:
    (1) The applicant satisfies the general requirements specified in 10 
CFR 30.33;
    (2) The applicant submits evidence that the applicant is at least 
one of the following:
    (i) Registered or licensed with the U.S. Food and Drug 
Administration (FDA) as a drug manufacturer;
    (ii) Registered or licensed with a state agency as a drug 
manufacturer;
    (iii) Licensed as a pharmacy by a State Board of Pharmacy; or
    (iv) Operating as a nuclear pharmacy within a Federal medical 
institution.
    (3) The applicant submits information on the radionuclide; the 
chemical and physical form; the maximum activity per vial, syringe, 
generator, or other container of the radioactive drug; and the shielding 
provided by the packaging to show it is appropriate for

[[Page 486]]

the safe handling and storage of the radioactive drugs by medical use 
licensees; and
    (4) The applicant satisfies the following labeling requirements:
    (i) A label is affixed to each transport radiation shield, whether 
it is constructed of lead, glass, plastic, or other material, of a 
radioactive drug to be transferred for commercial distribution. The 
label must include the radiation symbol and the words ``CAUTION, 
RADIOACTIVE MATERIAL'' or ``DANGER, RADIOACTIVE MATERIAL''; the name of 
the radioactive drug or its abbreviation; and the quantity of 
radioactivity at a specified date and time. For radioactive drugs with a 
half life greater than 100 days, the time may be omitted.
    (ii) A label is affixed to each syringe, vial, or other container 
used to hold a radioactive drug to be transferred for commercial 
distribution. The label must include the radiation symbol and the words 
``CAUTION, RADIOACTIVE MATERIAL'' or ``DANGER, RADIOACTIVE MATERIAL'' 
and an identifier that ensures that the syringe, vial, or other 
container can be correlated with the information on the transport 
radiation shield label.
    (b) A licensee described by paragraph (a)(2)(iii) or (iv) of this 
section:
    (1) May prepare radioactive drugs for medical use, as defined in 10 
CFR 35.2, provided that the radioactive drug is prepared by either an 
authorized nuclear pharmacist, as specified in paragraph (b)(2) and 
(b)(3) of this section, or an individual under the supervision of an 
authorized nuclear pharmacist as specified in 10 CFR 35.25.
    (2) May allow a pharmacist to work as an authorized nuclear 
pharmacist if:
    (i) This individual qualifies as an authorized nuclear pharmacist as 
defined in 10 CFR 35.2,
    (ii) This individual meets the requirements specified in 10 CFR 
35.980(b) and 35.972 and the licensee has received an approved license 
amendment identifying this individual as an authorized nuclear 
pharmacist, or
    (iii) This individual is designated as an authorized nuclear 
pharmacist in accordance with paragraph (b)(3) of this section.
    (3) The actions authorized in paragraphs (b)(1) and (b)(2) of this 
section are permitted in spite of more restrictive language in license 
conditions.
    (4) May designate a pharmacist (as defined in 10 CFR 35.2) as an 
authorized nuclear pharmacist if the individual is identified as of 
December 2, 1994, as an authorized user'' on a nuclear 
pharmacy license issued by the Commission under this part.
    (5) Shall provide to the Commission a copy of each individual's 
certification by the Board of Pharmaceutical Specialties, the Commission 
or Agreement State license, or the permit issued by a licensee of broad 
scope, and a copy of the state pharmacy licensure or registration, no 
later than 30 days after the date that the licensee allows, pursuant to 
paragraphs (b)(2)(i) and (b)(2)(iii) of this section, the individual to 
work as an authorized nuclear pharmacist.
    (c) A licensee shall possess and use instrumentation to measure the 
radioactivity of radioactive drugs. The licensee shall have procedures 
for use of the instrumentation. The licensee shall measure, by direct 
measurement or by combination of measurements and calculations, the 
amount of radioactivity in dosages of alpha-, beta-, or photon-emitting 
radioactive drugs prior to transfer for commercial distribution. In 
addition, the licensee shall:
    (1) Perform tests before initial use, periodically, and following 
repair, on each instrument for accuracy, linearity, and geometry 
dependence, as appropriate for the use of the instrument; and make 
adjustments when necessary; and
    (2) Check each instrument for constancy and proper operation at the 
beginning of each day of use.
    (d) Nothing in this section relieves the licensee from complying 
with applicable FDA, other Federal, and State requirements governing 
radioactive drugs.

[59 FR 61780, Dec. 2, 1994; 59 FR 65244, Dec. 19, 1994, as amended at 60 
FR 324, Jan. 4, 1995]



Sec. 32.74   Manufacture and distribution of sources or devices containing byproduct material for medical use.

    (a) An application for a specific license to manufacture and 
distribute

[[Page 487]]

sources and devices containing byproduct material to persons licensed 
pursuant to part 35 of this chapter for use as a calibration or 
reference source or for the uses listed in Secs. 35.400 and 35.500 of 
this chapter will be approved if:
    (1) The applicant satisfies the general requirements in Sec. 30.33 
of this chapter;
    (2) The applicant submits sufficient information regarding each type 
of source or device pertinent to an evaluation of its radiation safety, 
including:
    (i) The byproduct material contained, its chemical and physical 
form, and amount;
    (ii) Details of design and construction of the source or device;
    (iii) Procedures for, and results of, prototype tests to demonstrate 
that the source or device will maintain its integrity under stresses 
likely to be encountered in normal use and accidents;
    (iv) For devices containing byproduct material, the radiation 
profile of a prototype device;
    (v) Details of quality control procedures to assure that production 
sources and devices meet the standards of the design and prototype 
tests;
    (vi) Procedures and standards for calibrating sources and devices;
    (vii) Legend and methods for labeling sources and devices as to 
their radioactive content;
    (viii) Instructions for handling and storing the source or device 
from the radiation safety standpoint; these instructions are to be 
included on a durable label attached to the source or device or attached 
to a permanent storage container for the source or device: Provided, 
That instructions which are too lengthy for such label may be summarized 
on the label and printed in detail on a brochure which is referenced on 
the label;
    (3) The label affixed to the source or device, or to the permanent 
storage container for the source or device, contains information on the 
radionuclide, quantity and date of assay, and a statement that the U.S. 
Nuclear Regulatory Commission has approved distribution of the (name of 
source or device) to persons licensed to use byproduct material 
identified in Secs. 35.58, 35.400, or 35.500, as appropriate, and to 
persons who hold an equivalent license issued by an Agreement State. 
However, labels worded in accordance with requirements that were in 
place on March 30, 1987 may be used until March 30, 1989.
    (b)(1) In the event the applicant desires that the source or device 
be required to be tested for leakage of radioactive material at 
intervals longer than six months, he shall include in his application 
sufficient information to demonstrate that such longer interval is 
justified by performance characteristics of the source or device or 
similar sources or devices and by design features that have a 
significant bearing on the probability or consequences of leakage of 
radioactive material from the source.
    (2) In determining the acceptable interval for test of leakage of 
radioactive material, the Commission will consider information that 
includes, but is not limited to:
    (i) Primary containment (source capsule);
    (ii) Protection of primary containment;
    (iii) Method of sealing containment;
    (iv) Containment construction materials;
    (v) Form of contained radioactive material;
    (vi) Maximum temperature withstood during prototype tests;
    (vii) Maximum pressure withstood during prototype tests;
    (viii) Maximum quantity of contained radioactive material;
    (ix) Radiotoxicity of contained radioactive material;
    (x) Operating experience with identical sources or devices or 
similarly designed and constructed sources or devices.
    (c) If an application is filed pursuant to paragraph (a) of this 
section on or before October 15, 1974, for a license to manufacture and 
distribute a source or device that was distributed commercially on or 
before August 16, 1974, the applicant may continue the distribution of 
such source or device to group licensees until the Commission issues the 
license or notifies the applicant otherwise.

[39 FR 26149, July 17, 1974, as amended at 51 FR 36967, Oct. 16, 1986]

[[Page 488]]



Sec. 32.101   Schedule B--prototype tests for luminous safety devices for use in aircraft.

    An applicant for a license pursuant to Sec. 32.53 shall conduct 
prototype tests on each of five prototype luminous safety devices for 
use in aircraft as follows:
    (a) Temperature-altitude test. The device shall be placed in a test 
chamber as it would be used in service. A temperature-altitude condition 
schedule shall be followed as outlined in the following steps:

    Step 1. The internal temperature of the test chamber shall be 
reduced to -62 deg. C. (-80 deg. F.) and the device shall be maintained 
for at least 1 hour at this temperature at atmospheric pressure.
    Step 2. The internal temperature of the test chamber shall be raised 
to -54 deg. C. (-65 deg. F.) and maintained until the temperature of the 
device has stabilized at -54 deg. C. at atmospheric pressure.
    Step 3. The atmospheric pressure of the chamber shall be reduced to 
83 millimeters of mercury absolute pressure while the chamber 
temperature is maintained at -54 deg. C.
    Step 4. The internal temperature of the chamber shall be raised to 
-10 deg. C. (+14 deg. F.) and maintained until the temperature of the 
device has stabilized at -10 deg. C., and the internal pressure of the 
chamber shall then be adjusted to atmospheric pressure. The test chamber 
door shall then be opened in order that frost will form on the device, 
and shall remain open until the frost has melted but not long enough to 
allow the moisture to evaporate. The door shall then be closed.
    Step 5. The internal temperature of the chamber shall be raised to 
+85 deg. C. (185 deg. F.) at atmospheric pressure. The temperature of 
the device shall be stabilized at +85 deg. C. and maintained for 2 
hours. The device shall then be visually inspected to determine the 
extent of any deterioration.
    Step 6. The chamber temperature shall be reduced to +71 deg. C. 
(160 deg. F.) at atmospheric pressure. The temperature of the device 
shall be stabilized at +71 deg. C. for a period of 30 minutes.
    Step 7. The chamber temperature shall be reduced to +55 deg. C. 
(130 deg. F.) at atmospheric pressure. The temperature of the device 
shall be stabilized at this temperature for a period of 4 hours.
    Step 8. The internal temperature of the chamber shall be reduced to 
+30 deg. C. (86 deg. F.) and the pressure to 138 millimeters of mercury 
absolute pressure and stabilized. The device shall be maintained under 
these conditions for a period of 4 hours.
    Step 9. The temperature of the test chamber shall be raised to 
+35 deg. C. (95 deg. F.) and the pressure reduced to 83 millimeters of 
mercury absolute pressure and stabilized. The device shall be maintained 
under these conditions for a period of 30 minutes.
    Step 10. The internal pressure of the chamber shall be maintained at 
83 millimeters of mercury absolute pressure and the temperature reduced 
to +20 deg. C. (68 deg. F.) and stabilized. The device shall be 
maintained under these conditions for a period of 4 hours.

    (b) Vibration tests. This procedure applies to items of equipment 
(including vibration isolating assemblies) intended to be mounted 
directly on the structure of aircraft powered by reciprocating, 
turbojet, or turbo-propeller engines or to be mounted directly on gas-
turbine engines. The device shall be mounted on an apparatus dynamically 
similar to the most severe conditions likely to be encountered in normal 
use. At the end of the test period, the device shall be inspected 
thoroughly for possible damage. Vibration tests shall be conducted under 
both resonant and cycling conditions according to the following 
Vibration Test Schedule (Table I):

                    Vibration Test Schedule--Table I                    
              [Times shown refer to one axis of vibration]              
------------------------------------------------------------------------
                                                   Vibration   Vibration
                                                    at 160      at -65  
                                      Vibration     deg. F.   deg. F. (-
                Type                   at room     (71 deg.     54 deg. 
                                     temperature      C.)         C.)   
                                      (minutes)    (minutes)   (minutes)
                                                                        
------------------------------------------------------------------------
Resonance..........................           60          15          15
Cycling............................           60          15          15
------------------------------------------------------------------------

    (1) Determination of resonance frequency. Individual resonance 
frequency surveys shall be conducted by applying vibration to each 
device along each of any set of three mutually perpendicular axes and 
varying the frequency of applied vibration slowly through a range of 
frequencies from 5 cycles per second to 500 cycles per second with the 
double amplitude of the vibration not exceeding that shown in Figure 1 
for the related frequency.
    (2) Resonance tests. The device shall be vibrated at the determined 
resonance frequency for each axis of vibration for the periods and 
temperature conditions shown in Table I and with the applied double 
amplitude specified in Figure 1 for that resonance frequency. When more 
than one resonant

[[Page 489]]

frequency is encountered with vibration applied along any one axis, the 
test period may be accomplished at the most severe resonance or the 
period may be divided among the resonant frequencies, whichever is 
considered most likely to produce failure. When resonant frequencies are 
not apparent within the specified frequency range, the specimen shall be 
vibrated for periods twice as long as those shown for resonance in Table 
I at a frequency of 55 cycles per second and an applied double amplitude 
of 0.060 inch.
[GRAPHIC] [TIFF OMITTED] TC02OC91.056

    (3) Cycling. Devices to be mounted only on vibration isolators shall 
be tested by applying vibration along each of three mutually 
perpendicular axes of

[[Page 490]]

the device with an applied double amplitude of 0.060 inch and the 
frequency cycling between 10 and 55 cycles per second in 1-minute cycles 
for the periods and temperature conditions shown in Table I. Devices to 
be installed in aircraft without vibration isolators shall be tested by 
applying vibration along each of three mutually perpendicular axes of 
the device with an applied double amplitude of 0.036 inch or an applied 
acceleration of 10G, whichever is the limiting value, and the frequency 
cycling between 10 and 500 cycles per second in 15-minute cycles for the 
periods and temperature conditions shown in Table I.
    (c) Accelerated weathering tests. The device shall be subjected to 
100 hours of accelerated weathering in a suitable weathering machine. 
Panels of Corex D glass shall surround the arc to cut off the 
ultraviolet radiation below a wave-length of 2,700 angstroms. The light 
of the carbon arcs shall fall directly on the face of the device. The 
temperature at the sample shall be maintained at 50 deg.C. plus or minus 
3 deg.C. Temperature measurements shall be made with a black panel 
thermometer.
    (d) Shock test. The device shall be dropped upon a concrete or iron 
surface in a 3-foot free gravitational fall, or shall be subjected to 
equivalent treatment in a test device simulating such a free fall. The 
drop test shall be repeated 100 times from random orientations.
    (e) Hermetic seal and waterproof test. On completion of all other 
tests prescribed by this section, the device shall be immersed in 30 
inches of water for 24 hours and shall show no visible evidence of water 
entry. Absolute pressure of the air above the water shall then be 
reduced to 1 inch of mercury. Lowered pressure shall be maintained for 1 
minute or until air bubbles cease to be given off by the water, 
whichever is the longer. Pressure shall then be increased to normal 
atmospheric pressure. Any evidence of bubbles emanating from within the 
device, or water entering the device, shall be considered leakage.
    (f) Observations. After each of the tests prescribed by this 
section, each device shall be examined for evidence of physical damage 
and for loss of tritium or promethium-147. Any evidence of damage to or 
failure of any device which could affect containment of the tritium or 
promethium-147 shall be cause for rejection of the design if the damage 
or failure is attributable to a design defect. Loss of tritium or 
promethium-147 from each tested device shall be measured by wiping with 
filter paper an area of at least 100 square centimeters on the outside 
surface of the device, or by wiping the entire surface area if it is 
less than 100 square centimeters. The amount of tritium or promethium-
147 in the water used in the hermetic seal and waterproof test 
prescribed by test paragraph (e) of this section shall also be measured. 
Measurements shall be made in an apparatus calibrated to measure tritium 
or promethium-147, as appropriate. The detection on the filter paper of 
more than 2,200 disintegrations per minute of tritium or promethium-147 
per 100 square centimeters of surface wiped or in the water of more than 
0.1 percent of the original amount of tritium or promethium-147 in any 
device shall be cause for rejection of the tested device.

[30 FR 8192, June 26, 1965]



Sec. 32.102   Schedule C--prototype tests for calibration or reference sources containing americium-241.

    An applicant for a license pursuant to Sec. 32.57 shall, for any 
type of source which is designed to contain more than 0.005 microcurie 
of americium-241, conduct prototype tests, in the order listed, on each 
of five prototypes of such source, which contains more than 0.005 
microcurie of americium-241, as follows:
    (a) Initial measurement. The quantity of radioactive material 
deposited on the source shall be measured by direct counting of the 
source.
    (b) Dry wipe test. The entire radioactive surface of the source 
shall be wiped with filter paper with the application of moderate finger 
pressure. Removal of radioactive material from the source shall be 
determined by measuring the radioactivity on the filter paper or by 
direct measurement of the radioactivity on the source following the dry 
wipe.
    (c) Wet wipe test. The entire radioactive surface of the source 
shall be

[[Page 491]]

wiped with filter paper, moistened with water, with the application of 
moderate finger pressure. Removal of radioactive material from the 
source shall be determined by measuring the radioactivity on the filter 
paper after it has dried or by direct measurement of the radioactivity 
on the source following the wet wipe.
    (d) Water soak test. The source shall be immersed in water at room 
temperature for a period of 24 consecutive hours. The source shall then 
be removed from the water. Removal of radioactive material from the 
source shall be determined by direct measurement of the radioactivity on 
the source after it has dried or by measuring the radioactivity in the 
residue obtained by evaporation of the water in which the source was 
immersed.
    (e) Dry wipe test. On completion of the preceding test in this 
section, the dry wipe test described in paragraph (b) of this section 
shall be repeated.
    (f) Observations. Removal of more than 0.005 microcurie of 
radioactivity in any test prescribed by this section shall be cause for 
rejection of the source design. Results of prototype tests submitted to 
the Commission shall be given in terms of radioactivity in microcuries 
and percent of removal from the total amount of radioactive material 
deposited on the source.

[30 FR 8192, June 26, 1965, as amended at 31 FR 15145, Dec. 2, 1966]



Sec. 32.103   Schedule D--prototype tests for ice detection devices containing strontium-90.

    An applicant for a license pursuant to Sec. 32.61 shall conduct 
prototype tests on each of five prototype ice detection devices as 
follows:
    (a) Temperature-altitude test. The device shall be placed in a test 
chamber as it would be used in service. A temperature-altitude condition 
schedule shall be followed as outlined in Step 1 through Step 10 of 
Sec. 32.101(a).
    (b) Vibration tests. The device shall be subjected to vibration 
tests as set forth in Sec. 32.101(b).
    (c) Shock test. The device shall be subjected to shock test as set 
forth in Sec. 32.101(d).
    (d) Hermetic seal and waterproof test. On completion of all other 
tests prescribed by this section, the device shall be immersed in 30 
inches of water for 24 hours and shall show no visible evidence of 
physical contact between the water and the strontium-90. Absolute 
pressure of the air above the water shall then be reduced to 1 inch of 
mercury. Lowered pressure shall be maintained for 1 minute or until air 
bubbles cease to be given off by the water, whichever is the longer. 
Pressure shall then be increased to normal atmospheric pressure. Any 
visible evidence of physical contact between the water and the 
strontium-90 shall be considered leakage.
    (e) Observations. After each of the tests prescribed by this 
section, each device shall be examined for evidence of physical damage 
and for loss of strontium-90. Any evidence of leakage or damage to or 
failure of any device which could affect containment of the strontium-90 
shall be cause for rejection of the design if the damage or failure is 
attributable to a design defect. Loss of strontium-90 from each tested 
device shall be measured by wiping with filter paper an area of at least 
100 square centimeters on the outside surface of the device, or by 
wiping the entire surface area if it is less than 100 square 
centimeters. The amount of strontium-90 in the water used in the 
hermetic seal and waterproof test prescribed in paragraph (d) of this 
section shall also be measured. The detection on the filter paper of 
more than 2,200 disintegrations per minute of strontium-90 per 100 
square centimeters of surface wiped or in the water of more than 0.1 
percent of the original amount of strontium-90 in any device, shall be 
cause for rejection of the tested device.

[30 FR 9906, Aug. 10, 1965]



             Subpart C--Quality Control Sampling Procedures



Sec. 32.110   Acceptance sampling procedures under certain specific licenses.

    (a) A random sample shall be taken from each inspection lot of 
devices licensed under Secs. 32.14, 32.53, or 32.61 of this part for 
which testing is required pursuant to Secs. 32.15, 32.55, or 32.62 in 
accordance with the appropriate Sampling Table in this section 
determined

[[Page 492]]

by the designated Lot Tolerance Percent Defective. If the number of 
defectives in the sample does not exceed the acceptance number in the 
appropriate Sampling Table in this section, the lot shall be accepted. 
If the number of defectives in the sample exceeds the acceptance number 
in the appropriate Sampling Table in this section, the entire inspection 
lot shall be rejected.
    (b) Single sampling tables for Lot Tolerance Percent Defective:
    (1) Lot Tolerance Percent Defective 0.5 percent:

------------------------------------------------------------------------
                                                    Sample    Acceptance
                    Lot size                         size         No.   
------------------------------------------------------------------------
1 to 180........................................         All           0
181 to 210......................................         180           0
211 to 250......................................         210           0
251 to 300......................................         240           0
301 to 400......................................         275           0
401 to 500......................................         300           0
501 to 600......................................         320           0
601 to 800......................................         350           0
801 to 1,000....................................         365           0
1,001 to 2,000..................................         410           0
2,001 to 3,000..................................         430           0
3,001 to 4,000..................................         440           0
4,001 to 5,000..................................         445           0
5,001 to 7,000..................................         450           0
7,001 to 10,000.................................         455           0
10,001 to 20,000................................         460           0
20,001 to 50,000................................         775           1
50,001 to 100,000...............................         780           1
------------------------------------------------------------------------

    (2) Lot Tolerance Percent Defective 1.0 percent:

------------------------------------------------------------------------
                                                    Sample    Acceptance
                    Lot size                         size         No.   
------------------------------------------------------------------------
1 to 120........................................         All           0
121 to 150......................................         120           0
151 to 200......................................         140           0
201 to 300......................................         165           0
301 to 400......................................         175           0
401 to 500......................................         180           0
501 to 600......................................         190           0
601 to 800......................................         200           0
801 to 1,000....................................         205           0
1,001 to 3,000..................................         220           0
3,001 to 5,000..................................         225           0
5,001 to 10,000.................................         230           0
10,001 to 100,000...............................         390           1
------------------------------------------------------------------------

    (3) Lot Tolerance Percent Defective 2.0 percent:

------------------------------------------------------------------------
                                                    Sample    Acceptance
                    Lot size                         size         No.   
------------------------------------------------------------------------
1 to 75.........................................         All           0
76 to 100.......................................          70           0
101 to 200......................................          85           0
201 to 300......................................          95           0
301 to 400......................................         100           0
401 to 600......................................         105           0
601 to 800......................................         110           0
801 to 4,000....................................         115           0
4,001 to 10,000.................................         195           1
10,001 to 100,000...............................         200           1
------------------------------------------------------------------------

    (4) Lot Tolerance Percent Defective 3.0 percent:

------------------------------------------------------------------------
                                                    Sample    Acceptance
                    Lot size                         size         No.   
------------------------------------------------------------------------
1 to 40.........................................         All           0
41 to 55........................................          40           0
56 to 100.......................................          55           0
101 to 200......................................          65           0
201 to 500......................................          70           0
501 to 3,000....................................          75           0
3,001 to 100,000................................         130           1
------------------------------------------------------------------------

    (5) Lot Tolerance Percent Defective 4.0 percent:

------------------------------------------------------------------------
                                                    Sample    Acceptance
                    Lot size                         size         No.   
------------------------------------------------------------------------
1 to 35.........................................         All           0
36 to 50........................................          34           0
51 to 100.......................................          44           0
101 to 200......................................          50           0
201 to 2,000....................................          55           0
2,001 to 100,000................................          95           1
------------------------------------------------------------------------

    (6) Lot Tolerance Percent Defective 5.0 percent:

------------------------------------------------------------------------
                                                    Sample    Acceptance
                    Lot size                         size         No.   
------------------------------------------------------------------------
1 to 30.........................................         All           0
31 to 50........................................          30           0
51 to 100.......................................          37           0
101 to 200......................................          40           0
201 to 300......................................          43           0
301 to 400......................................          44           0
401 to 2,000....................................          45           0
2,001 to 100,000................................          75           1
------------------------------------------------------------------------

    (7) Lot Tolerance Percent Defective 7.0 percent:

------------------------------------------------------------------------
                                                    Sample    Acceptance
                    Lot size                         size         No.   
------------------------------------------------------------------------
1 to 25.........................................         All           0
26 to 50........................................          24           0
51 to 100.......................................          28           0
101 to 200......................................          30           0
201 to 300......................................          31           0
301 to 800......................................          32           0
801 to 1,000....................................          33           0
1,001 to 100,000................................          55           1
------------------------------------------------------------------------

    (8) Lot Tolerance Percent Defective 10.0 percent:

------------------------------------------------------------------------
                                                    Sample    Acceptance
                    Lot size                         size         No.   
------------------------------------------------------------------------
1 to 20.........................................         All           0
21 to 50........................................          17           0
51 to 100.......................................          20           0

[[Page 493]]

                                                                        
101 to 200......................................          22           0
201 to 800......................................          23           0
801 to 100,000..................................          39           1
------------------------------------------------------------------------

[39 FR 22130, June 20, 1974]



                 Subpart D--Specifically Licensed Items



Sec. 32.210  Registration of product information.

    (a) Any manufacturer or initial distributor of a sealed source or 
device containing a sealed source whose product is intended for use 
under a specific license may submit a request to NRC for evaluation of 
radiation safety information about its product and for its registration.
    (b) The request for review must be made in duplicate and sent to the 
U.S. Nuclear Regulatory Commission; Division of Industrial and Medical 
Nuclear Safety; Medical, Academic, and Commercial Use Safety Branch; 
Washington, DC 20555.
    (c) The request for review of a sealed source or a device must 
include sufficient information about the design, manufacture, prototype 
testing, quality control program, labeling, proposed uses and leak 
testing and, for a device, the request must also include sufficient 
information about installation, service and maintenance, operating and 
safety instructions, and its potential hazards, to provide reasonable 
assurance that the radiation safety properties of the source or device 
are adequate to protect health and minimize danger to life and property.
    (d) The NRC normally evaluates a sealed source or a device using 
radiation safety criteria in accepted industry standards. If these 
standards and criteria do not readily apply to a particular case, the 
NRC formulates reasonable standards and criteria with the help of the 
manufacturer or distributor. The NRC shall use criteria and standards 
sufficient to ensure that the radiation safety properties of the device 
or sealed source are adequate to protect health and minimize danger to 
life and property.
    (e) After completion of the evaluation, the Commission issues a 
certificate of registration to the person making the request. The 
certificate of registration acknowledges the availability of the 
submitted information for inclusion in an application for a specific 
license proposing use of the product.
    (f) The person submitting the request for evaluation and 
registration of safety information about the product shall manufacture 
and distribute the product in accordance with--
    (1) The statements and representations, including quality control 
program, contained in the request; and
    (2) The provisions of the registration certificate.


[52 FR 27786, July 24, 1987, as amended at 60 FR 24551, May 9, 1995]



                          Subpart E--Violations



Sec. 32.301  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55073, Nov. 24, 1992]



Sec. 32.303  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation

[[Page 494]]

of, attempted violation of, or conspiracy to violate, any regulation 
issued under sections 161b, 161i, or 161o of the Act. For purposes of 
section 223, all the regulations in part 32 are issued under one or more 
of sections 161b, 161i, or 161o, except for the sections listed in 
paragraph (b) of this section.
    (b) The regulations in part 32 that are not issued under subsections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 32.1, 32.2, 32.8, 32.11, 32.14, 32.17, 32.18, 32.22, 32.23, 32.24, 
32.26, 32.27, 32.28, 32.51, 32.53, 32.57, 32.61, 32.71, 32.74, 32.301, 
and 32.303.

[57 FR 55073, Nov. 24, 1992, as amended at 59 FR 61781, Dec. 2, 1994]



PART 33--SPECIFIC DOMESTIC LICENSES OF BROAD SCOPE FOR BYPRODUCT MATERIAL--Table of Contents




Sec.
33.1  Purpose and scope.
33.8  Information collection requirements: OMB approval.

                    Specific Licenses of Broad Scope

33.11  Types of specific licenses of broad scope.
33.12  Applications for specific licenses of broad scope.
33.13  Requirements for the issuance of a Type A specific license of 
          broad scope.
33.14  Requirements for the issuance of a Type B specific license of 
          broad scope.
33.15  Requirements for the issuance of a Type C specific license of 
          broad scope.
33.16  Application for other specific licenses.
33.17  Conditions of specific licenses of broad scope.

                               Violations

33.21  Violations.
33.23  Criminal penalties.

                                Schedules

33.100  Schedule A.

    Authority: Secs. 81, 161, 182, 183, 68 Stat. 935, 948, 953, 954, as 
amended (42 U.S.C. 2111, 2201, 2232, 2233); sec. 201, 88 Stat. 1242, as 
amended (42 U.S.C. 5841).

    Source: 33 FR 14579, Sept. 28, 1968, unless otherwise noted.



Sec. 33.1   Purpose and scope.

    This part prescribes requirements for the issuance of specific 
licenses of broad scope for byproduct material (``broad licenses'') and 
certain regulations governing holders of such licenses. The provisions 
and requirements of this part are in addition to, and not in 
substitution for, other requirements of this chapter. In particular, the 
provisions of part 30 of this chapter apply to applications and licenses 
subject to this part.



Sec. 33.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0015.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 33.12, 33.13, 33.14 and 33.15.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 33.12, Form NRC-313I is approved under control number 
3150-0042.
    (2) In Sec. 33.12, Form NRC-313M is approved under control number 
3150-0041.
    (3) In Sec. 33.12, Form NRC-313R is approved under control number 
3150-0023.
    (4) In Sec. 33.12, Form NRC-313T is approved under control number 
3150-0081.

[49 FR 19625, May 9, 1984]

                    Specific Licenses of Broad Scope



Sec. 33.11   Types of specific licenses of broad scope.

    (a) A ``Type A specific license of broad scope'' is a specific 
license authorizing receipt, acquisition, ownership, possession, use, 
and transfer of any chemical or physical form of the byproduct material 
specified in the license, but not exceeding quantities specified in the 
license, for purposes authorized by the Act. The quantities specified 
are usually in the multicurie range.

[[Page 495]]

    (b) A ``Type B specific license of broad scope'' is a specific 
license authorizing receipt, acquisition, ownership, possession, use, 
and transfer of any chemical or physical form of byproduct material 
specified in Sec. 33.100, Schedule A, of this part for purposes 
authorized by the Act. The possession limit for a Type B broad license, 
if only one radionuclide is possessed thereunder, is the quantity 
specified for that radionuclide in Sec. 33.100, Schedule A, Column I. If 
two or more radionuclides are possessed thereunder, the possession limit 
for each is determined as follows: For each radionuclide, determine the 
ratio of the quantity possessed to the applicable quantity specified in 
Sec. 33.100, Schedule A, Column I, for that radionuclide. The sum of the 
ratios for all radionuclides possessed under the license shall not 
exceed unity.
    (c) A ``Type C specific license of broad scope'' is a specific 
license authorizing receipt, acquisition, ownership, possession, use, 
and transfer of any chemical or physical form of byproduct material 
specified in Sec. 33.100, Schedule A, for purposes authorized by the 
Act. The possession limit for a Type C broad license, if only one 
radionuclide is possessed thereunder, is the quantity specified for that 
radionuclide in Sec. 33.100, Schedule A, Column II. If two or more 
radionuclides are possessed thereunder, the possession limit is 
determined for each as follows: For each radionuclide determine the 
ratio of the quantity possessed to the applicable quantity specified in 
Sec. 33.100, Schedule A, Column II, for that radionuclide. The sum of 
the ratios for all radionuclides possessed under the license shall not 
exceed unity.

(Sec. 161, as amended, Pub. L. 83-703, 68 Stat. 948 (42 U.S.C. 2201); 
sec. 201, as amended, Pub. L. 93-438, 88 Stat. 1243 (42 U.S.C. 5841))

[33 FR 14579, Sept. 28, 1968, as amended at 43 FR 6923, Feb. 17, 1978]



Sec. 33.12  Applications for specific licenses of broad scope.

    A person may file an application for specific license of broad scope 
in duplicate on NRC Form 313, ``Application for Material License,'' in 
accordance with the provisions of Sec. 30.32 of this chapter.

[49 FR 27924, July 9, 1984]



Sec. 33.13   Requirements for the issuance of a Type A specific license of broad scope.

    An application for a Type A specific license of broad scope will be 
approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter;
    (b) The applicant has engaged in a reasonable number of activities 
involving the use of byproduct material; and
    (c) The applicant has established administrative controls and 
provisions relating to organization and management, procedures, record 
keeping, material control, and accounting and management review that are 
necessary to assure safe operations, including:
    (1) The establishment of a radiation safety committee composed of 
such persons as a radiological safety officer, a representative of 
management, and persons trained and experienced in the safe use of 
radioactive materials;
    (2) The appointment of a radiological safety officer who is 
qualified by training and experience in radiation protection, and who is 
available for advice and assistance on radiological safety matters; and
    (3) The establishment of appropriate administrative procedures to 
assure:
    (i) Control of procurement and use of byproduct material;
    (ii) Completion of safety evaluations of proposed uses of byproduct 
material which take into consideration such matters as the adequacy of 
facilities and equipment, training and experience of the user, and the 
operating or handling procedures; and
    (iii) Review, approval, and recording by the radiation safety 
committee of safety evaluations of proposed uses prepared in accordance 
with paragraph (c)(3)(ii) of this section prior to use of the byproduct 
material.



Sec. 33.14   Requirements for the issuance of a Type B specific license of broad scope.

    An application for a Type B specific license of broad scope will be 
approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter; and

[[Page 496]]

    (b) The applicant has established administrative controls and 
provisions relating to organization and management, procedures, record 
keeping, material control and accounting, and management review that are 
necessary to assure safe operations, including:
    (1) The appointment of a radiological safety officer who is 
qualified by training and experience in radiation protection, and who is 
available for advice and assistance on radiological safety matters; and
    (2) The establishment of appropriate administrative procedures to 
assure:
    (i) Control of procurement and use of byproduct material;
    (ii) Completion of safety evaluations of proposed uses of byproduct 
material which take into consideration such matters as the adequacy of 
facilities and equipment, training and experience of the user, and the 
operating or handling procedures; and
    (iii) Review, approval, and recording by the radiological safety 
officer of safety evaluations of proposed uses prepared in accordance 
with paragraph (b)(2)(ii) of this section prior to use of the byproduct 
material.



Sec. 33.15   Requirements for the issuance of a Type C specific license of broad scope.

    An application for a Type C specific license of broad scope will be 
approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter; and
    (b) The applicant submits a statement that byproduct material will 
be used only by, or under the direct supervision of, individuals who 
have received:
    (1) A college degree at the bachelor level, or equivalent training 
and experience, in the physical or biological sciences or in 
engineering; and
    (2) At least 40 hours of training and experience in the safe 
handling of radioactive materials, and in the characteristics of 
ionizing radiation, units of radiation dose and quantities, radiation 
detection instrumentation, and biological hazards of exposure to 
radiation appropriate to the type and forms of byproduct material to be 
used; and
    (c) The applicant has established administrative controls and 
provisions relating to procurement of byproduct material, procedures, 
record keeping, material control and accounting, and management review 
necessary to assure safe operations.



Sec. 33.16   Application for other specific licenses.

    An application filed pursuant to Part 30 of this chapter for a 
specific license other than one of broad scope will be considered by the 
Commission as an application for a specific license of broad scope under 
this part if the requirements of the applicable sections of this part 
are satisfied.



Sec. 33.17   Conditions of specific licenses of broad scope.

    (a) Unless specifically authorized pursuant to other parts of this 
chapter, persons licensed under this part shall not:
    (1) Conduct tracer studies in the environment involving direct 
release of byproduct material;
    (2) Receive, acquire, own, possess, use, transfer, or import devices 
containing 100,000 curies or more of byproduct material in sealed 
sources used for irradiation of materials;
    (3) Conduct activities for which a specific license issued by the 
Commission under part 32, 34, or 35 of this chapter is required; or
    (4) Add or cause the addition of byproduct material to any food, 
beverage, cosmetic, drug, or other product designed for ingestion or 
inhalation by, or application to, a human being.
    (b) Each Type A specific license of broad scope issued under this 
part shall be subject to the condition that byproduct material possessed 
under the license may only be used by, or under the direct supervision 
of, individuals approved by the licensee's radiation safety committee.
    (c) Each Type B specific license of broad scope issued under this 
part shall be subject to the condition that byproduct material possessed 
under the license may only be used by, or under the direct supervision 
of, individuals approved by the licensee's radiological safety officer.

[[Page 497]]

    (d) Each Type C specific license of broad scope issued under this 
part shall be subject to the condition that byproduct material possessed 
under the license may only be used by, or under the direct supervision 
of, individuals who satisfy the requirements of Sec. 33.15 of this part.

                               Violations



Sec. 33.21  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55073, Nov. 24, 1992]



Sec. 33.23  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 33 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 33 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 33.1, 33.8, 33.11, 33.12, 33.13, 33.14, 33.15, 33.16, 33.21, 33.23 
and 33.100.

[57 FR 55073, Nov. 24, 1992]

                                Schedules



Sec. 33.100   Schedule A.

------------------------------------------------------------------------
                                                       Col. I    Col. II
                 Byproduct material                    curies    curies 
------------------------------------------------------------------------
Antimony-122........................................         1      0.01
Antimony-124........................................         1       .01
Antimony-125........................................         1       .01
Arsenic-73..........................................        10        .1
Arsenic-74..........................................         1       .01
Arsenic-76..........................................         1       .01
Arsenic-77..........................................        10        .1
Barium-131..........................................        10        .1
Barium-140..........................................         1       .01
Bismuth-210.........................................        .1      .001
Bromine-82..........................................        10        .1
Cadmium-109.........................................         1       .01
Cadmium-115m........................................         1       .01
Cadmium-115.........................................        10        .1
Calcium-45..........................................         1       .01
Calcium-47..........................................        10        .1
Carbon-14...........................................       100        1.
Cerium-141..........................................        10        .1
Cerium-143..........................................        10        .1
Cerium-144..........................................        .1      .001
Cesium-131..........................................       100        1.
Cesium-134m.........................................       100        1.
Cesium-134..........................................        .1      .001
Cesium-135..........................................         1       .01
Cesium-136..........................................        10        .1
Cesium-137..........................................        .1      .001
Chlorine-36.........................................         1       .01
Chlorine-38.........................................       100        1.
Chromium-51.........................................       100        1.
Cobalt-58m..........................................       100        1.
Cobalt-58...........................................         1       .01
Cobalt-60...........................................        .1      .001
Copper-64...........................................        10        .1
Dysprosium-165......................................       100        1.
Dysprosium-166......................................        10        .1
Erbium-169..........................................        10        .1
Erbium-171..........................................        10        .1
Europium-152 9.2 h..................................        10        .1
Europium-152 13 y...................................        .1      .001
Europium-154........................................        .1      .001
Europium-155........................................         1       .01
Fluorine-18.........................................       100        1.
Gadolinium-153......................................         1       .01
Gadolinium-159......................................        10        .1
Gallium-72..........................................        10        .1
Germanium-71........................................       100         1
Gold-198............................................        10        .1
Gold-199............................................        10        .1
Hafnium-181.........................................         1       .01
Holmium-166.........................................        10        .1
Hydrogen-3..........................................       100         1
Indium-113m.........................................       100         1
Indium-114m.........................................         1       .01
Indium-115m.........................................       100         1
Indium-115..........................................         1       .01
Iodine-125..........................................        .1      .001
Iodine-126..........................................        .1      .001
Iodine-129..........................................        .1       .01
Iodine-131..........................................        .1      .001
Iodine-132..........................................        10        .1
Iodine-133..........................................         1       .01
Iodine-134..........................................        10        .1

[[Page 498]]

                                                                        
Iodine-135..........................................         1       .01
Iridium-192.........................................         1       .01
Iridium-194.........................................        10        .1
Iron-55.............................................        10        .1
Iron-59.............................................         1       .01
Krypton-85..........................................       100         1
Krypton-87..........................................        10        .1
Lanthanum-140.......................................         1       .01
Lutetium-177........................................        10        .1
Manganese-52........................................         1       .01
Manganese-54........................................         1       .01
Manganese-56........................................        10        .1
Mercury-197m........................................        10        .1
Mercury-197.........................................        10        .1
Mercury-203.........................................         1       .01
Molybdenum-99.......................................        10        .1
Neodymium-147.......................................        10        .1
Neodymium-149.......................................        10        .1
Nickel-59...........................................        10        .1
Nickel-63...........................................         1       .01
Nickel-65...........................................        10        .1
Niobium-93m.........................................         1       .01
Niobium-95..........................................         1       .01
Niobium-97..........................................       100        1.
Osmium-185..........................................         1       .01
Osmium-191m.........................................       100        1.
Osmium-191..........................................        10        .1
Osmium-193..........................................        10        .1
Palladium-103.......................................        10        .1
Palladium-109.......................................        10        .1
Phosphorus-32.......................................         1       .01
Platinum-191........................................        10        .1
Platinum-193m.......................................       100        1.
Platinum-193........................................        10        .1
Platinum-197m.......................................       100         1
Platinum-197........................................        10        .1
Polonium-210........................................       .01     .0001
Potassium-42........................................         1       .01
Praseodymium-142....................................        10        .1
Praseodymium-143....................................        10        .1
Promethium-147......................................         1       .01
Promethium-149......................................        10        .1
Rhenium-186.........................................        10        .1
Rhenium-188.........................................        10        .1
Rhodium-103m........................................     1,000       10.
Rhodium-105.........................................        10        .1
Rubidium-86.........................................         1       .01
Rubidium-87.........................................         1       .01
Ruthenium-97........................................       100        1.
Ruthenium-103.......................................         1       .01
Ruthenium-105.......................................        10        .1
Ruthenium-106.......................................        .1      .001
Samarium-151........................................         1       .01
Samarium-153........................................        10        .1
Scandium-46.........................................         1       .01
Scandium-47.........................................        10        .1
Scandium-48.........................................         1       .01
Selenium-75.........................................         1       .01
Silicon-31..........................................        10        .1
Silver-105..........................................         1       .01
Silver-110m.........................................        .1      .001
Silver-111..........................................        10        .1
Sodium-24...........................................         1       .01
Strontium-85m.......................................     1,000       10.
Strontium-85........................................         1       .01
Strontium-89........................................         1       .01
Strontium-90........................................       .01     .0001
Strontium-91........................................        10        .1
Strontium-92........................................        10        .1
Sulphur-35..........................................        10        .1
Tantalum-182........................................         1       .01
Technetium-96.......................................        10        .1
Technetium-97m......................................        10        .1
Technetium-97.......................................        10        .1
Technetium-99m......................................       100        1.
Technetium-99.......................................         1       .01
Tellurium-125m......................................         1       .01
Tellurium-127m......................................         1       .01
Tellurium-127.......................................        10        .1
Tellurium-129m......................................         1       .01
Tellurium-129.......................................       100         1
Tellurium-131m......................................        10        .1
Tellurium-132.......................................         1       .01
Terbium-160.........................................         1       .01
Thallium-200........................................        10        .1
Thallium-201........................................        10        .1
Thallium-202........................................        10        .1
Thallium-204........................................         1       .01
Thulium-170.........................................         1       .01
Thulium-171.........................................         1       .01
Tin-113.............................................         1       .01
Tin-125.............................................         1       .01
Tungsten-181........................................         1       .01
Tungsten-185........................................         1       .01
Tungsten-187........................................        10        .1
Vanadium-48.........................................         1       .01
Xenon-131m..........................................     1,000       10.
Xenon-133...........................................       100        1.
Xenon-135...........................................       100        1.
Ytterbium-175.......................................        10        .1
Yttrium-90..........................................         1       .01
Yttrium-91..........................................         1       .01
Yttrium-92..........................................        10        .1
Yttrium-93..........................................         1       .01
Zinc-65.............................................         1       .01
Zinc-69m............................................        10        .1
Zinc-69.............................................       100        1.
Zirconium-93........................................         1       .01
Zirconium-95........................................         1       .01
Zirconium-97........................................         1       .01
Any byproduct material other than alpha emitting                        
 byproduct material not listed above................        .1      .001
------------------------------------------------------------------------


(Sec. 201, Pub. L. 93-438; 88 Stat. 1242 (42 U.S.C. 5841))

[33 FR 14579, Sept. 28, 1968]



PART 34--LICENSES FOR RADIOGRAPHY AND RADIATION SAFETY REQUIREMENTS FOR RADIOGRAPHIC OPERATIONS--Table of Contents




Sec.
34.1  Purpose and scope.
34.2  Definitions.
34.3  Applications for specific licenses.
34.4  Maintenance of records.
34.8  Information collection requirements: OMB approval.

               Subpart A--Specific Licensing Requirements

34.11  Issuance of specific licenses for use of sealed sources in 
          radiography.

[[Page 499]]

                Subpart B--Radiation Safety Requirements

                            Equipment Control

34.20  Performance requirements for radiography equipment.
34.21  Limits on levels of radiation for radiographic exposure devices 
          and storage containers.
34.22  Locking of radiographic exposure devices, storage containers, and 
          source changers.
34.23  Storage precautions.
34.24  Radiation survey instruments.
34.25  Leak testing, repair, tagging, opening, modification and 
          replacement of sealed sources.
34.26  Quarterly inventory.
34.27  Utilization logs.
34.28  Inspection and maintenance of radiographic exposure devices, 
          storage containers, and source changers.
34.29  Permanent radiographic installations.

                                Reporting

34.30  Reporting requirements.

      Personal Radiation Safety Requirements for Radiographers and 
                        Radiographers' Assistants

34.31  Training.
34.32  Operating and emergency procedures.
34.33  Personnel monitoring.

           Precautionary Procedures in Radiographic Operations

34.41  Security.
34.42  Posting.
34.43  Radiation surveys.
34.44 Supervision of radiographers' assistants.

                               Exemptions

34.51  Applications for exemptions.

                               Violations

34.61  Violations.
34.63  Criminal penalties.

Appendix A to Part 34

    Authority: Secs. 81, 161, 182, 183, 68 Stat. 935, 948, 953, 954, as 
amended (42 U.S.C. 2111, 2201, 2232, 2233); sec. 201, 88 Stat. 1242, as 
amended (42 U.S.C. 5841).
    Section 34.32 also issued under sec. 206, 88 Stat. 1246 (42 U.S.C. 
5846).

    Source: 30 FR 8198, June 26, 1965, unless otherwise noted.



Sec. 34.1   Purpose and scope.

    This part prescribes requirements for the issuance of licenses for 
the use of sealed sources containing byproduct material and radiation 
safety requirements for persons using such sealed sources in 
radiography. The provisions and requirements of this part are in 
addition to, and not in substitution for, other requirements of this 
chapter. In particular, the provisions of part 30 of this chapter apply 
to applications and licenses subject to this part. Nothing in this part 
shall apply to uses of byproduct material for medical diagnosis or 
therapy.



Sec. 34.2   Definitions.

    As used in this part:
    Permanent radiographic installation means a shielded installation or 
structure designed or intended for radiography and in which radiography 
is regularly performed.
    Radiographer means any individual who performs or who, in attendance 
at the site where the sealed source or sources are being used, 
personally supervises radiographic operations and who is responsible to 
the licensee for assuring compliance with the requirements of the 
Commission's regulations and the conditions of the license;
    Radiographer's assistant means any individual who under the personal 
supervision of a radiographer, uses radiographic exposure devices, 
sealed sources or related handling tools, or radiation survey 
instruments in radiography;
    Radiographic exposure device means any instrument containing a 
sealed source fastened or contained therein, in which the sealed source 
or shielding thereof may be moved, or otherwise changed, from a shielded 
to unshielded position for purposes of making a radiographic exposure;
    Radiography means the examination of the structure of materials by 
nondestructive methods, utilizing sealed sources of byproduct materials;
    Sealed source means any byproduct material that is encased in a 
capsule designed to prevent leakage or escape of the byproduct material;
    Source changer means a device designed and used for replacement of 
sealed sources in radiographic exposure devices, including those also 
used for transporting and storage of sealed sources;
    Storage area means any location, facility, or vehicle which is used 
to store,

[[Page 500]]

to transport, or to secure a radiographic exposure device, a storage 
container, or a sealed source when it is not in use and which is locked 
or has a physical barrier to prevent accidental exposure, tampering 
with, or unauthorized removal of the device, container, or source.
    Storage container means a device in which sealed sources are 
transported or stored.

[30 FR 8198, June 26, 1965, as amended at 44 FR 50807, Aug. 30, 1979; 51 
FR 21740, June 16, 1986]]



Sec. 34.3  Applications for specific licenses.

    A person may file an application for specific license for use of 
sealed sources in radiography in duplicate on NRC Form 313, 
``Application for Material License,'' in accordance with the provisions 
of Sec. 30.32 of this chapter.

[49 FR 27924, July 9, 1984]



Sec. 34.4  Maintenance of records.

    Each record required by this part must be legible throughout the 
retention period specified by each Commission regulation. The record may 
be the original of a reproduced copy of a microform provided that the 
copy or microform is authenticated by authorized personnel and that the 
microform is capable of producing a clear copy throughout the required 
retention period. The record may also be stored in electronic media with 
the capability for producing legible, accurate, and complete records 
during the required retention period. Records such as letters, drawings, 
specifications, must include all pertinent information such as stamps, 
initials, and signatures. The licensee shall maintain adequate 
safeguards against tampering with and loss of records.

[53 FR 19246, May 27, 1988; 53 FR 23383, June 22, 1988]



Sec. 34.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0007.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 34.11, 34.24, 34.25, 34.26, 34.27, 34.28, 
34.29, 34.31, 34.32, 34.33, and 34.43.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 34.3, Form NRC-313R is approved under control number 
3150-0023.
    (2) [Reserved]

[49 FR 19626, May 9, 1984]



               Subpart A--Specific Licensing Requirements



Sec. 34.11   Issuance of specific licenses for use of sealed sources in radiography.

    An application for a specific license for use of sealed sources in 
radiography will be approved if:
    (a) The applicant satisfies the general requirements specified in 
Sec. 30.33 of this chapter;
    (b) The applicant will have an adequate program for training 
radiographers and radiographers' assistants and submits to the 
Commission a schedule or description of such program which specifies 
the:
    (1) Initial training;
    (2) Periodic training;
    (3) On-the-job training;
    (4) Means to be used by the licensee to determine the radiographer's 
knowledge and understanding of and ability to comply with Commission 
regulations and licensing requirements, and the operating and emergency 
procedures of the applicant; and
    (5) In lieu of describing its initial training program for 
radiographers in the subjects outlined in appendix A of this part, and 
the description of and the means used to determine the radiographer's 
knowledge and understanding of these subjects, the applicant affirms 
that all individuals acting

[[Page 501]]

as radiographers will be certified in radiation safety through the 
Certification Program for Industrial Radiography Radiation Safety 
Personnel of the American Society for Nondestructive Testing, Inc. 
(ASNT-IRRSP) prior to commencing duties as radiographers. From April 18, 
1991, to the date of the renewal of an existing license, an approved 
license application is deemed to include the option, for individuals who 
are certified in radiation safety through the ASNT-IRRSP, to substitute 
ANST-IRRSP certification in lieu of the described means to determine a 
radiographer's knowledge and understanding of the subjects in 
Sec. 34.31(a)(1). (This paragraph does not affect the licensee's 
responsibility to assure that radiographers are properly trained in 
accordance with Sec. 34.31(a)).
    (6) Means to be used by the licensee to determine the radiographer's 
assistant's knowledge and understanding of and ability to comply with 
the operating and emergency procedures of the applicant;
    (c) The applicant has established and submits to the Commission 
satisfactory written operating and emergency procedures as described in 
Sec. 34.32;
    (d) The applicant has established and submits to the Commission a 
description of its inspection program adequate to ensure that its 
radiographers and radiographers' assistants follow the Commission's 
regulatory requirements and the applicant's operating and emergency 
procedures. The inspection program must:
    (1) Include observation of the performance of each radiographer and 
radiographer's assistant during an actual radiographic operation at 
intervals not to exceed three months;
    (2) Provide that, if a radiographer or a radiographer's assistant 
has not participated in a radiographic operation for more than three 
months since the last inspection, that individual's performance must be 
observed and recorded the next time the individual participates in a 
radiographic operation; and
    (3) Include the retention of inspection records on the performance 
of radiographers or radiographers' assistants for three years.
    (e) The applicant submits a description of its over-all 
organizational structure pertaining to the radiography program, 
including specified delegations of authority and responsibility for 
operation of the program; and
    (f) The applicant who desires to conduct his own leak tests has 
established adequate procedures to be followed in leak testing sealed 
sources, for possible leakage and contamination and submits to the 
Commission a description of such procedures including:
    (1) Instrumentation to be used,
    (2) Method of performing test, e.g., points on equipment to be 
smeared and method of taking smear, and
    (3) Pertinent experience of the person who will perform the test.

[30 FR 8198, June 26, 1965, as amended at 51 FR 21740, June 16, 1986; 56 
FR 11509, Mar. 19, 1991]



                Subpart B--Radiation Safety Requirements

                            Equipment Control



Sec. 34.20  Performance requirements for radiography equipment.

    Equipment used in industrial radiographic operations must meet the 
following minimum criteria:
    (a) Each radiographic exposure device and all associated equipment 
must meet the requirements specified in American National Standards 
Institute N432-1980, ``Radiological Safety for the Design and 
Construction of Apparatus for Gamma Radiography,'' (published as NBS 
Handbook 136, issued January 1981). This publication has been approved 
for incorporation by reference by the Director of the Federal Register 
in accordance with 5 U.S.C. 552(a). This publication may be purchased 
from the Superintendent of Documents, U.S. Government Printing Office, 
Washington, DC 20402. Copies of the document are available for 
inspection at the Nuclear Regulatory Commission library, 11545 Rockville 
Pike, Rockville, Maryland, 20852-2738. A copy of the document is also on 
file at the Office of the Federal Register, 800 North Capitol Street 
NW., Suite 700, Washington, DC 20408.

[[Page 502]]

    Engineering analyses may be submitted by an applicant or licensee to 
demonstrate the applicability of previously performed testing on similar 
individual radiography equipment components. Upon review, the Commission 
may find this an acceptable alternative to actual testing of the 
component pursuant to the referenced standard.
    (b) In addition to the requirements specified in paragraph (a) of 
this section, the following requirements apply to radiographic exposure 
devices and associated equipment.
    (1) Each radiographic exposure device must have attached to it by 
the user, a durable, legible, clearly visible label bearing the--
    (i) Chemical symbol and mass number of the radionuclide in the 
device;
    (ii) Activity and the date on which this activity was last measured;
    (iii) Model number and serial number of the sealed source;
    (iv) Manufacturer of the sealed source; and
    (v) Licensee's name, address, and telephone number.
    (2) Radiographic exposure devices intended for use as Type B 
transport containers must meet the applicable requirements of 10 CFR 
part 71.
    (3) Modification of any exposure devices and associated equipment is 
prohibited, unless the design of any replacement component, including 
source holder, source assembly, controls or guide tubes would not 
compromise the design safety features of the system.
    (c) In addition to the requirements specified in paragraphs (a) and 
(b) of this section, the following requirements apply to radiographic 
exposure devices and associated equipment that allow the source to be 
moved out of the device for routine operation.
    (1) The coupling between the source assembly and the control cable 
must be designed in such a manner that the source assembly will not 
become disconnected if cranked outside the guide tube. The coupling must 
be such that it cannot be unintentionally disconnected under normal and 
reasonably foreseeable abnormal conditions.
    (2) The device must automatically secure the source assembly when it 
is cranked back into the fully shielded position within the device. This 
securing system may only be released by means of a deliberate operation 
on the exposure device.
    (3) The outlet fittings, lock box, and drive cable fittings on each 
radiographic exposure device must be equipped with safety plugs or 
covers which must be installed during storage and transportation to 
protect the source assembly from water, mud, sand or other foreign 
matter.
    (4) Each sealed source or source assembly must have attached to it 
or engraved in it, a durable, legible, visible label with the words: 
``DANGER--RADIOACTIVE.'' The label must not interfere with the safe 
operation of the exposure device or associated equipment.
    (5) The guide tube must have passed the crushing tests for the 
control tube as specified in ANSI N432 and a kinking resistance test 
that closely approximates the kinking forces likely to be encountered 
during use.
    (6) Guide tubes must be used when moving the source out of the 
device.
    (7) An exposure head or similar device designed to prevent the 
source assembly from passing out of the end of the guide tube must be 
attached to the outermost end of the guide tube during radiographic 
operations.
    (8) The guide tube exposure head connection must be able to 
withstand the tensile test for control units specified in ANSI N432.
    (9) Source changers must provide a system for assuring that the 
source will not be accidentally withdrawn from the changer when 
connecting or disconnecting the drive cable to or from a source 
assembly.
    (d) All newly manufactured radiographic exposure devices and 
associated equipment acquired by licensees after January 10, 1992 must 
comply with the requirements of this section.
    (e) All radiographic exposure devices and associated equipment in 
use after January 10, 1996 must comply with the requirements of this 
section.
    (f) Notwithstanding paragraphs (a), (d), and (e) of this section, 
equipment used in industrial radiographic operations need not comply 
with section 8.9.2(c) of the Endurance Test in American National 
Standards Institute

[[Page 503]]

N432-1980, if the prototype equipment has been tested using a torque 
value representative of the torque that an individual using the 
radiography equipment can realistically exert on the lever or crankshaft 
of the drive mechanism.

[55 FR 852, Jan. 10, 1990; 55 FR 2281, Jan. 23, 1990, as amended at 60 
FR 28325, May 31, 1995]



Sec. 34.21   Limits on levels of radiation for radiographic exposure devices and storage containers.

    (a) Radiographic exposure devices measuring less than four (4) 
inches from the sealed source storage position to any exterior surface 
of the device shall have no radiation level in excess of 50 
milliroentgens per hour at six (6) inches from any exterior surface of 
the device. Radiographic exposure devices measuring a minimum of four 
(4) inches from the sealed source storage position to any exterior 
surface of the device, and all storage containers for sealed sources or 
for radiographic exposure devices, shall have no radiation level in 
excess of 200 milliroentgens per hour at any exterior surface, and ten 
(10) milliroentgens per hour at one meter from any exterior surface. The 
radiation levels specified are with the sealed source in the shielded 
(i.e., ``off'') position.
    (b) Paragraph (a) of this section applies to all equipment 
manufactured prior to January 10, 1992. After January 10, 1996, 
radiographic equipment other than storage containers and source changers 
must meet the requirements of Sec. 34.20, and Sec. 34.21 applies only to 
storage containers (source changers).

[30 FR 8198, June 26, 1965, as amended at 55 FR 853, Jan. 10, 1990; 55 
FR 2281, Jan. 23, 1990]



Sec. 34.22  Locking of radiographic exposure devices, storage containers, and source changers.

    (a) Each radiographic exposure device shall have a lock or outer 
locked container designed to prevent unauthorized or accidental removal 
of the sealed source from its shielded position. The exposure device or 
its container shall be kept locked when not under the direct 
surveillance of a radiographer or a radiographer's assistant or as 
otherwise may be authorized in Sec. 34.41. In addition, during 
radiographic operations the sealed source assembly shall be secured in 
the shielded position each time the source is returned to that position.
    (b) Each sealed source storage container and source changer shall 
have a lock or outer locked container designed to prevent unauthorized 
or accidental removal of the sealed source from its shielded position. 
Storage containers and source changers shall be kept locked when 
containing sealed sources except when under the direct surveillance of a 
radiographer or a radiographer's assistant.

[44 FR 50807, Aug. 30, 1979]



Sec. 34.23   Storage precautions.

    Locked radiographic exposure devices and storage containers shall be 
physically secured to prevent tampering or removal by unauthorized 
personnel.



Sec. 34.24   Radiation survey instruments.

    The licensee shall maintain sufficient calibrated and operable 
radiation survey instruments to make physical radiation surveys as 
required by this part and part 20 of this chapter. Each radiation survey 
instrument shall be calibrated at intervals not to exceed three months 
and after each instrument servicing and a record shall be maintained of 
the results of each instrument calibration and date thereof for three 
years after the date of calibration. Instrumentation required by this 
section shall have a range such that two milliroentgens per hour through 
one roentgen per hour can be measured.

[30 FR 8198, June 26, 1965, as amended at 41 FR 18302, May 3, 1976; 53 
FR 19246, May 27, 1988]



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

    (a) The replacement of any sealed source fastened to or contained in 
a radiographic exposure device and leak testing, repair, tagging, 
opening or any other modification of any sealed source shall be 
performed only by persons specifically authorized by the Commission to 
do so.

[[Page 504]]

    (b) Each sealed source shall be tested for leakage at intervals not 
to exceed 6 months. In the absence of a certificate from a transferor 
that a test has been made within the 6 months prior to the transfer, the 
sealed source shall not be put into use until tested.
    (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 Sec. 34.11(f). Each 
record of leak test results must be kept in units of microcuries [or 
disintegrations per minute (dpm)] and retained for inspection by the 
Commission for three years after it is made.
    (d) Any test conducted pursuant to paragraphs (b) and (c) of this 
section which reveals the presence of 0.005 microcurie or more of 
removable radioactive material shall be considered evidence that the 
sealed source is leaking. The licensee shall immediately withdraw the 
equipment involved from use and shall cause it to be decontaminated and 
repaired or to be disposed of, in accordance with Commission 
regulations. A report shall be filed, within 5 days of the test, with 
the Director of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555 describing the equipment 
involved, the test results, and the corrective action taken. A copy of 
such report shall be sent to the Administrator of the appropriate 
Nuclear Regulatory Commission's Regional Office listed in appendix D of 
part 20 of this chapter ``Standards for Protection Against Radiation.''
    (e) A sealed source which is not fastened to or contained in a 
radiographic exposure device shall have permanently attached to it a 
durable tag at least one (1) inch square bearing the prescribed 
radiation caution symbol in conventional colors, magenta or purple on a 
yellow background, and at least the instructions: ``Danger--Radioactive 
Material--Do Not Handle--Notify Civil Authorities if Found.''

[30 FR 8198, June 26, 1965, as amended at 38 FR 1271, Jan. 11, 1973; 40 
FR 8786, Mar. 3, 1975; 53 FR 19246, May 27, 1988]



Sec. 34.26   Quarterly inventory.

    Each licensee shall conduct a quarterly physical inventory to 
account for all sealed sources received and possessed under this 
license. The records of the inventories shall be maintained for three 
years from the date of the inventory for inspection by the Commission, 
and shall include the quantities and kinds of byproduct material, 
location of sealed sources, and the date of the inventory.

[41 FR 18302, May 3, 1976, as amended at 53 FR 19246, May 27, 1988]



Sec. 34.27   Utilization logs.

    Each licensee shall maintain current logs, which shall be kept 
available for three years from the date of the recorded event, for 
inspection by the Commission, at the address specified in the license, 
showing for each sealed source the following information:
    (a) A description (or make and model number) of the radiographic 
exposure device or storage container in which the sealed source is 
located;
    (b) The identity of the radiographer to whom assigned; and
    (c) The plant or site where used and dates of use.

[30 FR 8198, June 26, 1965, as amended at 53 FR 19246, May 27, 1988]



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

    (a) The licensee shall check for obvious defects in radiographic 
exposure devices, storage containers, and source changers prior to use 
each day the equipment is used.
    (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

[[Page 505]]

retain records of these inspections and maintenance for three years.

[44 FR 50807, Aug. 30, 1979, as amended at 53 FR 19247, May 27, 1988]



Sec. 34.29  Permanent radiographic installations.

    (a) Permanent radiographic installations having high radiation area 
entrance controls of the types described in Sec. 20.1601(a)(2), (a)(3), 
or (b) shall also meet the following special requirement.
    (b) Each entrance that is used for personnel access to the high 
radiation area in a permanent radiographic installation to which this 
section applies shall have both visible and audible warning signals to 
warn of the presence of radiation. The visible signal shall be actuated 
by radiation whenever the source is exposed. The audible signal shall be 
actuated when an attempt is made to enter the installation while the 
source is exposed.
    (c) The alarm system must be tested at intervals not to exceed three 
months or prior to the first use thereafter of the source in the 
installation. The licensee shall retain records of these tests for three 
years.

[44 FR 50807, Aug. 30, 1979, as amended at 53 FR 19247, May 27, 1988; 56 
FR 23472, May 21, 1991; 58 FR 67660, Dec. 22, 1993]

                                Reporting



Sec. 34.30  Reporting requirements.

    (a) In addition to the reporting requirements specified in 30.50 and 
under other sections of this chapter, each licensee shall provide a 
written report to the U.S. Nuclear Regulatory Commission; Division of 
Industrial and Medical Nuclear Safety; Medical, Academic and Commercial 
Use Safety Branch; Washington, DC 20555, with a copy to the Director, 
Office for Analysis and Evaluation of Operational Data, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, within 30 days of the 
occurrence of any of the following incidents involving radiographic 
equipment:
    (1) Unintentional disconnection of the source assembly from the 
control cable.
    (2) Inability to retract the source assembly to its fully shielded 
position and secure it in this position.
    (3) Failure of any component (critical to safe operation of the 
device) to properly perform its intended function.
    (b) The licensee shall include the following information in each 
report submitted under paragraph (a) of this section:
    (1) A description of the equipment problem.
    (2) Cause of each incident, if known.
    (3) Manufacturer and model number of equipment involved in the 
incident.
    (4) Place, time and date of the incident.
    (5) Actions taken to establish normal operations.
    (6) Corrective actions taken or planned to prevent recurrence.
    (7) Qualifications of personnel involved in the incident.
    (c) Reports of overexposure submitted under 10 CFR 20.405 which 
involve failure of safety components of radiography equipment must also 
include the information specified in paragraph (b) of this section.

[55 FR 853, Jan. 10, 1990, as amended at 56 FR 40768, Aug. 16, 1991]

      Personal Radiation Safety Requirements for Radiographers and 
                        Radiographers' Assistants



Sec. 34.31  Training.

    (a) The licensee shall not permit any individual to act as a 
radiographer until such individual:
    (1) Has been instructed in the subjects outlined in appendix A of 
this part;
    (2) Has received copies of and instruction in NRC regulations 
contained in this part and in the applicable sections of parts 19 and 20 
of this chapter, NRC license(s) under which the radiographer will 
perform radiography, and the licensee's operating and emergency 
procedures;
    (3) Has demonstrated competence to use the licensee's radiographic 
exposure devices, sealed sources, related handling tools, and survey 
instruments; and
    (4) Has demonstrated understanding of the instructions in this 
paragraph (a) by successful completion of a written test and a field 
examination on the subjects covered.

[[Page 506]]

    (b) The licensee shall not permit any individual to act as a 
radiographer's assistant until such individual:
    (1) Has received copies of and instruction in the licensee's 
operating and emergency procedures;
    (2) Has demonstrated competence to use, under the personal 
supervision of the radiographer, the radiographic exposure devices, 
sealed sources, related handling tools, and radiation survey instruments 
that the assistant will use; and
    (3) Has demonstrated understanding of the instructions in this 
paragraph (b) by successfully completing a written or oral test and a 
field examination on the subjects covered.
    (c) Records of the above training, including copies of written tests 
and dates of oral tests and field examinations, shall be maintained for 
three years.

[44 FR 50808, Aug. 30, 1979]



Sec. 34.32   Operating and emergency procedures.

    The licensee shall retain a copy of current operating and emergency 
procedures as a record until the Commission terminates the license that 
authorizes the activity for which the procedures were developed and, if 
superseded, retain the superseded material for three years after each 
change. These procedures must include instructions in at least the 
following:
    (a) The handling and use of licensed sealed sources and radiographic 
exposure devices to be employed such that no person is likely to be 
exposed to radiation doses in excess of the limits established in part 
20 of this chapter ``Standards for Protection Against Radiation'';
    (b) Methods and occasions for conducting radiation surveys;
    (c) Methods for controlling access to radiographic areas;
    (d) Methods and occasions for locking and securing radiographic 
exposure devices, storage containers and sealed sources;
    (e) Personnel monitoring and the use of personnel monitoring 
equipment;
    (f) Transporting sealed sources to field locations, including 
packing of radiographic exposure devices and storage containers in the 
vehicles, posting of vehicles and control of the sealed sources during 
transportation;
    (g) Minimizing exposure of persons in the event of an accident;
    (h) The procedure for notifying proper persons in the event of an 
accident; and
    (i) Maintenance of records.
    (j) The inspection and maintenance of radiographic exposure devices 
and storage containers.
    (k) Steps that must be taken immediately by radiography personnel in 
the event a pocket dosimeter is found to be off-scale.
    (l) The procedure(s) for identifying and reporting defects and 
noncompliance, as required by part 21 of this chapter.

[30 FR 8198, June 26, 1965, as amended at 35 FR 17398, Nov. 13, 1970; 44 
FR 50808, Aug. 30, 1979; 45 FR 2312, Jan. 11, 1980; 53 FR 19247, May 27, 
1988]



Sec. 34.33  Personnel monitoring.

    (a) The licensee may not permit any individual to act as a 
radiographer or a radiographer's assistant unless, at all times during 
radiographic operations, each such individual wears a direct reading 
pocket dosimeter, an alarm ratemeter, and either a film badge or a 
thermoluminescent dosimeter (TLD) except that for permanent radiography 
facilities where other appropriate alarming or warning devices are in 
routine use, the wearing of an alarming ratemeter is not required. 
Pocket dosimeters must have a range from zero to at least 200 
milliroentgens and must be recharged at the start of each shift. Each 
film badge and TLD must be assigned to and worn by only one individual.
    (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.
    (c) Pocket dosimeters shall be checked at periods not to exceed one 
year for correct response to radiation. Acceptable dosimeters shall read 
within plus or minus 30 percent of the true radiation exposure.
    (d) If an individual's pocket dosimeter is discharged beyond its 
range, his film badge or TLD shall be immediately sent for processing.

[[Page 507]]

    (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.
    (f) Each alarm ratemeter must--
    (1) Be checked to ensure that the alarm functions properly (sounds) 
prior to use at the start of each shift;
    (2) Be set to give an alarm signal at a preset dose rate of 500 mR/
hr.;
    (3) Require special means to change the preset alarm function; and
    (4) Be calibrated at periods not to exceed one year for correct 
response to radiation: Acceptable ratemeters must alarm within plus or 
minus 20 percent of the true radiation dose rate.

[44 FR 50808, Aug. 30, 1979, as amended at 53 FR 19247, May 27, 1988; 55 
FR 853, Jan. 10, 1990]

           Precautionary Procedures in Radiographic Operations



Sec. 34.41   Security.

    During each radiographic operation the radiographer or 
radiographer's assistant shall maintain a direct surveillance of the 
operation to protect against unauthorized entry into a high radiation 
area, as defined in part 20 of this chapter, except (a) where the high 
radiation area is equipped with a control device or an alarm system as 
described in Sec. 20.1601(a)(1), (a)(2), or (a)(3) of this chapter, or 
(b) where the high radiation area is locked to protect against 
unauthorized or accidental entry.

[30 FR 8198, June 26, 1965, as amended at 56 FR 23472, May 21, 1991; 58 
FR 67660, Dec. 22, 1993]



Sec. 34.42   Posting.

    Notwithstanding any provisions in Sec. 20.1903 of this chapter, 
areas in which radiography is being performed shall be conspicuously 
posted as required by Sec. 20.1902(a) and (b) of this chapter.

[30 FR 8198, June 26, 1965, as amended at 56 FR 23472, May 21, 1991; 58 
FR 67660, Dec. 22, 1993; 59 FR 1900, Jan. 13, 1994]



Sec. 34.43  Radiation surveys.

    The licensee shall ensure that:
    (a) At least one calibrated and operable radiation survey instrument 
is available at the location of its radiographic operations whenever 
radiographic operations are being performed, and at the storage area, as 
defined in Sec. 34.2, whenever a radiographic exposure device, a storage 
container, or source is being placed in storage.
    (b) A survey with a calibrated and operable radiation survey 
instrument is made after each exposure to determine that the sealed 
source has been returned to its shielded position. The entire 
circumference of the radiographic exposure device must be surveyed. If 
the radiographic exposure device has a source guide tube, the survey 
must include the guide tube.
    (c) A survey with a calibrated and operable radiation survey 
instrument is made at any time a radiographic exposure device is placed 
in a storage area, as defined in Sec. 34.2, to determine that the sealed 
source is in its shielded position. The entire circumference of the 
radiographic exposure device must be surveyed.
    (d) A record of the storage survey required in paragraph (c) of this 
section is made and is retained for three years when that storage survey 
is the last one performed in the work day.

[51 FR 21740, June 16, 1986]



Sec. 34.44  Supervision of radiographers' assistants.

    Whenever a radiographer's assistant uses radiographic exposure 
devices, uses sealed sources or related source handling tools, or 
conducts radiation surveys required by Sec. 34.43(b) to determine that 
the sealed source has returned to the shielded position after an 
exposure, he shall be under the personal supervision of a radiographer. 
The personal supervision shall include: (a) The radiographer's personal 
presence at the site where the sealed sources are being used, (b) the 
ability of the radiographer to give immediate assistance if required, 
and (c) the radiographer's watching the assistant's performance of the 
operations referred to in this section.

[44 FR 50808, Aug. 30, 1979]

[[Page 508]]

                               Exemptions



Sec. 34.51   Applications for exemptions.

    The Commission may, upon application by any licensee or upon its own 
initiative, grant such exemptions from the requirements of the 
regulations in this part as it determines are authorized by law and will 
not result in undue hazard to life or property.

[30 FR 8198, June 26, 1965]

                               Violations



Sec. 34.61  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
Section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55073, Nov. 24, 1992]



Sec. 34.63  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 34 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 34 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 34.1, 34.2, 34.3, 34.8, 34.11, 34.51, 34.61, and 34.63.

[57 FR 55074, Nov. 24, 1992]

                          Appendix A to Part 34

                   I. Fundamentals of Radiation Safety

    A. Characteristics of gamma radiation.
    B. Units of radiation dose (mrem) and quantity of radioactivity 
(curie).
    C. Hazards of exposure to radiation.
    D. Levels of radiation from licensed material.
    E. Methods of controlling radiation dose:
    1. Working time.
    2. Working distances.
    3. Shielding.

           II. Radiation Detection Instrumentation To Be Used

    A. Use of radiation survey instruments:
    1. Operation.
    2. Calibration.
    3. Limitations.
    B. Survey techniques.
    C. Use of personnel monitoring equipment:
    1. Film badges and thermoluminescent dosimeters (TLD's).
    2. Pocket dosimeters.
    3. Alarm ratemeters

                 III. Radiographic Equipment To Be Used

    A. Remote handling equipment.
    B. Radiographic exposure devices.
    C. Storage containers.

      IV. Inspection and Maintenance Performed by the Radiographers

               V. Case Histories of Radiography Accidents

[44 FR 50808, Aug. 30, 1979, as amended at 55 FR 853, Jan. 10, 1990]



PART 35--MEDICAL USE OF BYPRODUCT MATERIAL--Table of Contents




                     Subpart A--General Information

Sec.
35.1  Purpose and scope.
35.2  Definitions.
35.5  Maintenance of records.
35.6  Provisions for research involving human subjects.
35.7  FDA, other Federal, and State requirements.

[[Page 509]]

35.8  Information collection requirements: OMB approval.
35.11  License required.
35.12  Application for license, amendment, or renewal.
35.13  License amendments.
35.14  Notifications.
35.15  Exemptions regarding Type A specific licenses of broad scope.
35.18  License issuance.
35.19  Specific exemptions.

             Subpart B--General Administrative Requirements

35.20  ALARA program.
35.21  Radiation Safety Officer.
35.22  Radiation Safety Committee.
35.23  Statements of authority and responsibilities.
35.25  Supervision.
35.29  Administrative requirements that apply to the provision of mobile 
          nuclear medicine service.
35.31  Radiation safety program changes.
35.32  Quality management program.
35.33  Notifications, reports, and records of misadministrations.
35.49  Suppliers for sealed sources or devices for medical use.

                Subpart C--General Technical Requirements

35.50  Possession, use, calibration, and check of dose calibrators.
35.51  Calibration and check of survey instruments.
35.52  Possession, use, calibration, and check of instruments to measure 
          dosages of alpha- or beta-emitting radionuclides.
35.53  Measurement of dosages of unsealed byproduct material for medical 
          use.
35.57  Authorization for calibration and reference sources.
35.59  Requirements for possession of sealed sources and brachytherapy 
          sources.
35.60  Syringe shields and labels.
35.61  Vial shields and labels.
35.70  Surveys for contamination and ambient radiation exposure rate.
35.75  Release of patients or human research subjects containing 
          radiopharmaceuticals or permanent implants.
35.80  Technical requirements that apply to the provision of mobile 
          nuclear medicine service.
35.90  Storage of volatiles and gases.
35.92  Decay-in-storage.

               Subpart D--Uptake, Dilution, and Excretion

35.100  Use of unsealed byproduct material for uptake, dilution, and 
          excretion studies.
35.120  Possession of survey instrument.

                   Subpart E--Imaging and Localization

35.200  Use of unsealed byproduct material for imaging and localization 
          studies.
35.204  Permissible molybdenum-99 concentration.
35.205  Control of aerosols and gases.
35.220   Possession of survey instruments.

               Subpart F--Radiopharmaceuticals for Therapy

35.300  Use of unsealed byproduct material for therapeutic 
          administration.
35.310  Safety instruction.
35.315  Safety precautions.
35.320  Possession of survey instruments.

                  Subpart G--Sources for Brachytherapy

35.400  Use of sources for brachytherapy.
35.404  Release of patients or human research subjects treated with 
          temporary implants.
35.406  Brachytherapy sources inventory.
35.410  Safety instruction.
35.415  Safety precautions.
35.420  Possession of survey instrument.

                 Subpart H--Sealed Sources for Diagnosis

35.500  Use of sealed sources for diagnosis.
35.520  Availability of survey instrument.

                         Subpart I--Teletherapy

35.600  Use of a sealed source in a teletherapy unit.
35.605  Maintenance and repair restrictions.
35.606  License amendments.
35.610  Safety instruction.
35.615  Safety precautions.
35.620  Possession of survey instrument.
35.630  Dosimetry equipment.
35.632  Full calibration measurements.
35.634  Periodic spot-checks.
35.636  Safety checks for teletherapy facilities.
35.641  Radiation surveys for teletherapy facilities.
35.643  Modification of teletherapy unit or room before beginning a 
          treatment program.
35.645  Reports of teletherapy surveys, checks, tests, and measurements.
35.647  Five-year inspection.

             Subpart J--Training and Experience Requirements

35.900  Radiation Safety Officer.
35.901  Training for experienced Radiation Safety Officer.
35.910  Training for uptake, dilution, and excretion studies.
35.920  Training for imaging and localization studies.

[[Page 510]]

35.930  Training for therapeutic use of unsealed byproduct material.
35.932  Training for treatment of hyperthyroidism.
35.934  Training for treatment of thyroid carcinoma.
35.940  Training for use of brachytherapy sources.
35.941  Training for ophthalmic use of strontium-90.
35.950  Training for use of sealed sources for diagnosis.
35.960  Training for teletherapy.
35.961  Training for teletherapy physicist.
35.970  Training for experienced authorized users.
35.971  Physician training in a three month program.
35.972  Recentness of training.
35.980  Training for an authorized nuclear pharmacist.
35.981  Training for experienced nuclear pharmacists.

                         Subpart K--Enforcement

35.990  Violations.
35.991  Criminal penalties.
35.999  Resolution of conflicting requirements during transition period.

    Authority: Secs. 81, 161, 182, 183, 68 Stat. 935, 948, 953, 954, as 
amended (42 U.S.C. 2111, 2201, 2232, 2233); sec. 201, 88 Stat. 1242, as 
amended (42 U.S.C. 5841).

    Source: 51 FR 36951, Oct. 16, 1986, unless otherwise noted.



                     Subpart A--General Information



Sec. 35.1  Purpose and scope.

    This part prescribes requirements and provisions for the medical use 
of byproduct material and for issuance of specific licenses authorizing 
the medical use of this material. These requirements and provisions 
provide for the protection of the public health and safety. The 
requirements and provisions of this part are in addition to, and not in 
substitution for, others in this chapter. The requirements and 
provisions of parts 19, 20, 21, 30, 71, and 170 of this chapter apply to 
applicants and licensees subject to this part unless specifically 
exempted.



Sec. 35.2  Definitions.

    Address of use means the building or buildings that are identified 
on the license and where byproduct material may be received, used, or 
stored.
    Agreement State means any State with which the Commission or the 
Atomic Energy Commission has entered into an effective agreement under 
subsection 274b of the Atomic Energy Act of 1954, as amended.
    ALARA (as low as reasonably achievable) means making every 
reasonable effort to maintain exposures to radiation as far below the 
dose limits as is practical:
    (1) Consistent with the purpose for which the licensed activity is 
undertaken,
    (2) Taking into account the state of technology, the economics of 
improvements in relation to benefits to the public health and safety, 
and other societal and socioeconomic considerations, and
    (3) In relation to utilization of nuclear energy in the public 
interest.
    Area of use means a portion of an address of use that has been set 
aside for the purpose of receiving, using, or storing byproduct 
material.
    Authorized nuclear pharmacist means a pharmacist who is:
    (1) Board certified as a nuclear pharmacist by the Board of 
Pharmaceutical Specialties;
    (2) Identified as an authorized nuclear pharmacist on a Commission 
or Agreement State license that authorizes the use of byproduct material 
in the practice of nuclear pharmacy; or
    (3) Identified as an authorized nuclear pharmacist on a permit 
issued by a Commission or Agreement State specific licensee of broad 
scope that is authorized to permit the use of byproduct material in the 
practice of nuclear pharmacy.
    Authorized user means a physician, dentist, or podiatrist who is:
    (1) Board certified by at least one of the boards listed in 
Paragraph (a) of Secs. 35.910, 35.920, 35.930, 35.940, 35.950, or 
35.960;
    (2) Identified as an authorized user on a Commission or Agreement 
State license that authorizes the medical use of byproduct material; or
    (3) Identified as an authorized user on a permit issued by a 
Commission or Agreement State specific licensee of broad scope that is 
authorized to permit the medical use of byproduct material.

[[Page 511]]

    Brachytherapy source means an individual sealed source or a 
manufacturer-assembled source train that is not designed to be 
disassembled by the user.
    Dedicated check source means a radioactive source that is used to 
assure the constant operation of a radiation detection or measurement 
device over several months or years.
    Dental use means the intentional external administration of the 
radiation from byproduct material to human beings in the practice of 
dentistry in accordance with a license issued by a State or Territory of 
the United States, the District of Columbia, or the Commonwealth of 
Puerto Rico.
    Dentist means an individual licensed by a State or Territory of the 
United States, the District of Columbia, or the Commonwealth of Puerto 
Rico to practice dentistry.
    Diagnostic clinical procedures manual means a collection of written 
procedures that describes each method (and other instructions and 
precautions) by which the licensee performs diagnostic clinical 
procedures; where each diagnostic clinical procedure has been approved 
by the authorized user and includes the radiopharmaceutical, dosage, and 
route of administration.
    Management means the chief executive officer or that person's 
delegate or delegates.
    Medical Institution means an organization in which several medical 
disciplines are practiced.
    Medical use means the intentional internal or external 
administration of byproduct material or the radiation therefrom to 
patients or human research subjects under the supervision of an 
authorized user.
    Ministerial change means a change that is made, after ascertaining 
the applicable requirements, by persons in authority in conformance with 
the requirements and without making a discretionary judgment about 
whether those requirements should apply in the case at hand.
    Misadministration means the administration of:
    (1) A radiopharmaceutical dosage greater than 30 microcuries of 
either sodium iodide I-125 or I-131:
    (i) Involving the wrong individual, or wrong radiopharmaceutical; or
    (ii) When both the administered dosage differs from the prescribed 
dosage by more than 20 percent of the prescribed dosage and the 
difference between the administered dosage and prescribed dosage exceeds 
30 microcuries.
    (2) A therapeutic radiopharmaceutical dosage, other than sodium 
iodide I-125 or I-131:
    (i) Involving the wrong individual, wrong radiopharmaceutical, or 
wrong route of administration; or
    (ii) When the administered dosage differs from the prescribed dosage 
by more than 20 percent of the prescribed dosage.
    (3) A gamma stereotactic radiosurgery radiation dose:
    (i) Involving the wrong individual, or wrong treatment site; or
    (ii) When the calculated total administered dose differs from the 
total prescribed dose by more than 10 percent of the total prescribed 
dose.
    (4) A teletherapy radiation dose:
    (i) Involving the wrong individual, wrong mode of treatment, or 
wrong treatment site;
    (ii) When the treatment consists of three or fewer fractions and the 
calculated total administered dose differs from the total prescribed 
dose by more than 10 percent of the total prescribed dose;
    (iii) When the calculated weekly administered dose exceeds the 
weekly prescribed dose by 30 percent or more of the weekly prescribed 
dose; or
    (iv) When the calculated total administered dose differs from the 
total prescribed dose by more than 20 percent of the total prescribed 
dose.
    (5) A brachytherapy radiation dose:
    (i) Involving the wrong individual, wrong radioisotope, or wrong 
treatment site (excluding, for permanent implants, seeds that were 
implanted in the correct site but migrated outside the treatment site);
    (ii) Involving a sealed source that is leaking;
    (iii) When, for a temporary implant, one or more sealed sources are 
not removed upon completion of the procedure; or
    (iv) When the calculated administered dose differs from the 
prescribed dose by more than 20 percent of the prescribed dose.

[[Page 512]]

    (6) A diagnostic radiopharmaceutical dosage, other than quantities 
greater than 30 microcuries of either sodium iodide I-125 or I-131, 
both:
    (i) Involving the wrong individual, wrong radiopharmaceutical, wrong 
route of administration, or when the administered dosage differs from 
the prescribed dosage; and
    (ii) When the dose to the individual exceeds 5 rems effective dose 
equivalent or 50 rems dose equivalent to any individual organ.
    Mobile nuclear medicine service means the transportation and medical 
use of byproduct material.
    Output means the exposure rate, dose rate, or a quantity related in 
a known manner to these rates from a teletherapy unit for a specified 
set of exposure conditions.
    Pharmacist means an individual licensed by a State or Territory of 
the United States, the District of Columbia, or the Commonwealth of 
Puerto Rico to practice pharmacy.
    Physician means a medical doctor or doctor of osteopathy licensed by 
a State or Territory of the United States, the District of Columbia, or 
the Commonwealth of Puerto Rico to prescribe drugs in the practice of 
medicine.
    Podiatric use means the intentional external administration of the 
radiation from byproduct material to human beings in the practice of 
podiatry in accordance with a license issued by a State or Territory of 
the United States, the District of Columbia, or the Commonwealth of 
Puerto Rico.
    Podiatrist means an individual licensed by a State or Territory of 
the United States, the District of Columbia, or the Commonwealth of 
Puerto Rico to practice podiatry.
    Prescribed dosage means the quantity of radiopharmaceutical activity 
as documented:
    (1) In a written directive; or
    (2) Either in the diagnostic clinical procedures manual or in any 
appropriate record in accordance with the directions of the authorized 
user for diagnostic procedures.
    Prescribed dose means:
    (1) For gamma stereotactic radiosurgery, the total dose as 
documented in the written directive;
    (2) For teletherapy, the total dose and dose per fraction as 
documented in the written directive; or
    (3) For brachytherapy, either the total source strength and exposure 
time or the total dose, as documented in the written directive.
    Radiation Safety Officer means the individual identified as the 
Radiation Safety Officer on a Commission license.
    Recordable event means the administration of:
    (1) A radiopharmaceutical or radiation without a written directive 
where a written directive is required;
    (2) A radiopharmaceutical or radiation where a written directive is 
required without daily recording of each administered 
radiopharmaceutical dosage or radiation dose in the appropriate record;
    (3) A radiopharmaceutical dosage greater than 30 microcuries of 
either sodium iodide I-125 or I-131 when both:
    (i) The administered dosage differs from the prescribed dosage by 
more than 10 percent of the prescribed dosage, and
    (ii) The difference between the administered dosage and prescribed 
dosage exceeds 15 microcuries;
    (4) A therapeutic radiopharmaceutical dosage, other than sodium 
iodide I-125 or I-131, when the administered dosage differs from the 
prescribed dosage by more than 10 percent of the prescribed dosage;
    (5) A teletherapy radiation dose when the calculated weekly 
administered dose exceeds the weekly prescribed dose by 15 percent or 
more of the weekly prescribed dose; or
    (6) A brachytherapy radiation dose when the calculated administered 
dose differs from the prescribed dose by more than 10 percent of the 
prescribed dose.
    Sealed source means any byproduct material that is encased in a 
capsule designed to prevent leakage or escape of the byproduct material.
    Teletherapy physicist means the individual identified as the 
teletherapy physicist on a Commission license.
    Written directive means an order in writing for a specific patient 
or human research subject, dated and signed by

[[Page 513]]

an authorized user prior to the administration of a radiopharmaceutical 
or radiation, except as specified in paragraph (6) of this definition, 
containing the following information:
    (1) For any administration of quantities greater than 30 microcuries 
of either sodium iodide I-125 or 1-131: the dosage;
    (2) For a therapeutic administration of a radiopharmaceutical other 
than sodium iodide I-125 or I-131: the radiopharmaceutical, dosage, and 
route of administration;
    (3) For gamma stereotactic radiosurgery: target coordinates, 
collimator size, plug pattern, and total dose;
    (4) For teletherapy: the total dose, dose per fraction, treatment 
site, and overall treatment period;
    (5) For high-dose-rate remote afterloading brachytherapy: the 
radioisotope, treatment site, and total dose; or
    (6) For all other brachytherapy:
    (i) Prior to implantation: the radioisotope, number of sources, and 
source strengths; and
    (ii) After implantation but prior to completion of the procedure: 
the radioisotope, treatment site, and total source strength and exposure 
time (or, equivalently, the total dose).

[51 FR 36951, Oct. 16, 1986, as amended at 56 FR 34120, July 25, 1991; 
59 FR 61781, Dec. 2, 1994; 60 FR 48626, Sept. 20, 1995]



Sec. 35.5  Maintenance of records.

    Each record required by this part must be legible throughout the 
retention period specified by each Commission regulation. The record may 
be the original or a reproduced copy or a microform provided that the 
copy or microform is authenticated by authorized personnel and that the 
microform is capable of producing a clear copy throughout the required 
retention period. The record may also be stored in electronic media with 
the capability for producing legible, accurate, and complete records 
during the required retention period. Records such as letters, drawings, 
specifications, must include all pertinent information such as stamps, 
initials, and signatures. The licensee shall maintain adequate 
safeguards against tampering with and loss of records.

[53 FR 19247, May 27, 1988]



Sec. 35.6  Provisions for research involving human subjects.

    A licensee may conduct research involving human subjects using 
byproduct material provided that the research is conducted, funded, 
supported, or regulated by another Federal Agency which has implemented 
the Federal Policy for the Protection of Human Subjects. Otherwise, a 
licensee shall apply for and receive approval of a specific amendment to 
its NRC license before conducting such research. Both types of licensees 
shall, at a minimum, obtain informed consent from the human subjects and 
obtain prior review and approval of the research activities by an 
``Institutional Review Board'' in accordance with the meaning of these 
terms as defined and described in the Federal Policy for the Protection 
of Human Subjects.

[59 FR 61781, Dec. 2, 1994]



Sec. 35.7  FDA, other Federal, and State requirements.

    Nothing in this part relieves the licensee from complying with 
applicable FDA, other Federal, and State requirements governing 
radioactive drugs or devices.

[59 FR 61782, Dec. 2, 1994]



Sec. 35.8  Information collection requirements: OMB approval.

    (a) The Commission has submitted the information collection 
requirements contained in this part to the Office of Management and 
Budget (OMB) for approval as required by the Paperwork Reduction Act of 
1980 (44 U.S.C. 3501 et seq.). OMB has approved the information 
collection requirements in this part under control number 3150-0010.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 35.6, 35.12, 35.13, 35.14, 35.21, 35.22, 
35.23, 35.29, 35.31, 35.50, 35.51, 35.52, 35.53, 35.59, 35.60, 35.61, 
35.70, 35.80, 35.92, 35.204, 35.205, 35.310, 35.315, 35.404, 35.406, 
35.410, 35.415, 35.606, 35.610, 35.615, 35.630, 35.632, 35.634, 35.636, 
35.641, 35.643, 35.645, 35.647, 35.980, and 35.981.

[[Page 514]]

    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved as follows:
    (1) In Sec. 35.12, Form NRC-313 is approved under control number 
3150-0120.
    (d) OMB has assigned control number 3150-0171 for the information 
collection requirements contained in Secs. 35.32 and 35.33.

[51 FR 36951, Oct. 16, 1986, as amended at 57 FR 41378, Sept. 10, 1992; 
59 FR 61782, Dec. 2, 1994]



Sec. 35.11  License required.

    (a) A person shall not manufacture, produce, acquire, receive, 
possess, use, or transfer byproduct material for medical use except in 
accordance with a specific license issued by the Commission or an 
Agreement State, or as allowed in paragraph (b) or (c) of this section.
    (b) An individual may receive, possess, use, or transfer byproduct 
material in accordance with the regulations in this chapter under the 
supervision of an authorized user as provided in Sec. 35.25, unless 
prohibited by license condition.
    (c) An individual may prepare unsealed byproduct material for 
medical use in accordance with the regulations in this chapter under the 
supervision of an authorized nuclear pharmacist or authorized user as 
provided in Sec. 35.25, unless prohibited by license condition.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61782, Dec. 2, 1994]



Sec. 35.12  Application for license, amendment, or renewal.

    (a) If the application is for medical use sited in a medical 
institution, only the institution's management may apply. If the 
application is for medical use not sited in a medical institution, any 
person may apply.
    (b) An application for a license for medical use of byproduct 
material as described in Secs. 35.100, 35.200, 35.300, 35.400, and 
35.500 of this part must be made by filing an original and one copy of 
Form NRC-313, ``Application for Materials License.'' For guidance in 
completing the form, refer to the instructions in the most current 
versions of the appropriate Regulatory Guides. A request for a license 
amendment or renewal may be submitted as an original and one copy in 
letter format.
    (c) An application for a license for medical use of byproduct 
material as described in Sec. 35.600 of this part must be made by filing 
an original and one copy of Form NRC-313. For guidance in completing the 
form, refer to the instructions in the most current version of the 
appropriate Regulatory Guide. A request for a license amendment or 
renewal may be submitted as an original and one copy in letter format.
    (d) For copies of regulatory guides, application forms, or to submit 
an application or an amendment request, refer to Sec. 30.6 of this 
chapter.
    (e) An applicant that satisfies the requirements specified in 10 CFR 
33.13 may apply for a Type A specific license of broad scope.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61782, Dec. 2, 1994]



Sec. 35.13  License amendments.

    A licensee shall apply for and must receive a license amendment:
    (a) Before it receives or uses byproduct material for a clinical 
procedure permitted under this part but not permitted by the license 
issued pursuant to this part;
    (b) Before it permits anyone to work as an authorized user or 
authorized nuclear pharmacist under the license, except an individual 
who is:
    (1) An authorized user certified by the organizations specified in 
paragraph (a) of Sec. 35.910, Sec. 35.920, Sec. 35.930, Sec. 35.940, 
Sec. 35.950, or Sec. 35.960;
    (2) An authorized nuclear pharmacist certified by the organization 
specified in paragraph (a) of Sec. 35.980;
    (3) Identified as an authorized user or an authorized nuclear 
pharmacist on a Commission or Agreement State license that authorizes 
the use of byproduct material in medical use or in the practice of 
nuclear pharmacy, respectively; or
    (4) Identified as an authorized user or an authorized nuclear 
pharmacist on a permit issued by a Commission or Agreement State 
specific licensee of

[[Page 515]]

broad scope that is authorized to permit the use of byproduct material 
in medical use or in the practice of nuclear pharmacy, respectively.
    (c) Before it changes Radiation Safety Officers or Teletherapy 
Physicists;
    (d) Before it orders byproduct material in excess of the amount, or 
radionuclide or form different than authorized on the license; and
    (e) Before it adds to or changes the areas of use or address or 
addresses of use identified in the application or on the license.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61782, Dec. 2, 1994]



Sec. 35.14  Notifications.

    (a) A licensee shall provide to the Commission a copy of the board 
certification, the Commission or Agreement State license, or the permit 
issued by a licensee of broad scope for each individual no later than 30 
days after the date that the licensee permits the individual to work as 
an authorized user or an authorized nuclear pharmacist pursuant to 
Sec. 35.13 (b)(1) through (b)(4).
    (b) A licensee shall notify the Commission by letter no later than 
30 days after:
    (1) An authorized user, an authorized nuclear pharmacist, Radiation 
Safety Officer, or teletherapy physicist permanently discontinues 
performance of duties under the license or has a name change; or
    (2) The licensee's mailing address changes.
    (c) The licensee shall mail the documents required in this section 
to the appropriate address identified in Sec. 30.6 of this chapter.

[59 FR 61782, Dec. 2, 1994]



Sec. 35.15  Exemptions regarding Type A specific licenses of broad scope.

    A licensee possessing a Type A specific license of broad scope for 
medical use is exempt from the following:
    (a) The provisions of Sec. 35.13(b);
    (b) The provisions of Sec. 35.13(e) regarding additions to or 
changes in the areas of use only at the addresses specified in the 
license;
    (c) The provisions of Sec. 35.14(a); and
    (d) The provisions of Sec. 35.14(b)(1) for an authorized user or an 
authorized nuclear pharmacist.

[59 FR 61782, Dec. 2, 1994]



Sec. 35.18  License issuance.

    The Commission shall issue a license for the medical use of 
byproduct material for a term of five years if:
    (a) The applicant has filed Form NRC-313 ``Application for Materials 
License'' in accordance with the instructions in Sec. 35.12;
    (b) The applicant has paid any applicable fee as provided in part 
170 of this chapter;
    (c) The Commission finds the applicant equipped and committed to 
observe the safety standards established by the Commission in this 
Chapter for the protection of the public health and safety; and
    (d) The applicant meets the requirements of part 30 of this chapter.



Sec. 35.19   Specific exemptions.

    The Commission may, upon application of any interested person or 
upon its own initiative, grant such exemptions from the regulations in 
this part as it determines are authorized by law and will not endanger 
life or property or the common defense and security and are otherwise in 
the public interest. The Commission will review requests for exemptions 
from training and experience requirements with the assistance of its 
Advisory Committee on the Medical Uses of Isotopes.



             Subpart B--General Administrative Requirements



Sec. 35.20  ALARA program.

    (a) Each licensee shall develop and implement a written radiation 
protection program that includes provisions for keeping doses ALARA.
    (b) To satisfy the requirement of paragraph (a) of this section:
    (1) At a medical institution, management, the Radiation Safety 
Officer, and all authorized users must participate in the program as 
requested by the Radiation Safety Committee.
    (2) For licensees that are not medical institutions, management and 
all authorized users must participate in the

[[Page 516]]

program as requested by the Radiation Safety Officer.
    (c) The program must include notice to workers of the program's 
existence and workers' responsibility to help keep dose equivalents 
ALARA, a review of summaries of the types and amounts of byproduct 
material used, occupational doses, changes in radiation safety 
procedures and safety measures, and continuing education and training 
for all personnel who work with or in the vicinity of byproduct 
material. The purpose of the review is to ensure that licensees make a 
reasonable effort to maintain individual and collective occupational 
doses ALARA.



Sec. 35.21  Radiation Safety Officer.

    (a) A licensee shall appoint a Radiation Safety Officer responsible 
for implementing the radiation safety program. The licensee, through the 
Radiation Safety Officer, shall ensure that radiation safety activities 
are being performed in accordance with approved procedures and 
regulatory requirements in the daily operation of the licensee's 
byproduct material program.
    (b) The Radiation Safety Officer shall:
    (1) Investigate overexposures, accidents, spills, losses, thefts, 
unauthorized receipts, uses, transfers, disposals, misadministrations, 
and other deviations from approved radiation safety practice and 
implement corrective actions as necessary;
    (2) Establish, collect in one binder or file, and implement written 
policy and procedures for:
    (i) Authorizing the purchase of byproduct material;
    (ii) Receiving and opening packages of byproduct material;
    (iii) Storing byproduct material;
    (iv) Keeping an inventory record of byproduct material;
    (v) Using byproduct material safely;
    (vi) Taking emergency action if control of byproduct material is 
lost;
    (vii) Performing periodic radiation surveys;
    (viii) Performing checks of survey instruments and other safety 
equipment;
    (ix) Disposing of byproduct material;
    (x) Training personnel who work in or frequent areas where byproduct 
material is used or stored;
    (xi) Keeping a copy of all records and reports required by the 
Commission regulations, a copy of these regulations, a copy of each 
licensing request and license and amendments, and the written policy and 
procedures required by the regulations.
    (3) Brief management once each year on the byproduct material 
program;
    (4) Establish personnel exposure investigational levels that, when 
exceeded, will initiate an investigation by the Radiation Safety Officer 
of the cause of the exposure;
    (5) Establish personnel exposure investigational levels that, when 
exceeded, will initiate a prompt investigation by the Radiation Safety 
Officer of the cause of the exposure and a consideration of actions that 
might be taken to reduce the probability of recurrence;
    (6) For medical use not at a medical institution, approve or 
disapprove minor changes in radiation safety procedures that are not 
potentially important to safety with the advice and consent of 
management; and
    (7) For medical use at a medical institution, assist the Radiation 
Safety Committee in the performance of its duties.



Sec. 35.22  Radiation Safety Committee.

    Each medical institution licensee shall establish a Radiation Safety 
Committee to oversee the use of byproduct material.
    (a) Each Committee must meet the following administrative 
requirements:
    (1) Membership must consist of at least three individuals and must 
include an authorized user of each type of use permitted by the license, 
the Radiation Safety Officer, a representative of the nursing service, 
and a representative of management who is neither an authorized user nor 
a Radiation Safety Officer. Other members may be included as the 
licensee deems appropriate.
    (2) The Committee must meet at least quarterly.
    (3) To establish a quorum and to conduct business, at least one-half 
of the Committee's membership must be

[[Page 517]]

present, including the Radiation Safety Officer and the management's 
representative.
    (4) The minutes of each Radiation Safety Committee meeting must 
include:
    (i) The date of the meeting;
    (ii) Members present;
    (iii) Members absent;
    (iv) Summary of deliberations and discussions;
    (v) Recommended actions and the numerical results of all ballots; 
and
    (vi) ALARA program reviews described in Sec. 35.20(c).
    (5) The Committee must promptly provide each member with a copy of 
the meeting minutes, and retain one copy for the duration of the 
license.
    (b) To oversee the use of licensed material, the Committee must:
    (1) Review recommendations on ways to maintain individual and 
collective doses ALARA;
    (2)(i) Review, on the basis of safety and with regard to the 
training and experience standards in subpart J of this part, and approve 
or disapprove any individual who is to be listed as an authorized user, 
an authorized nuclear pharmacist, the Radiation Safety Officer, or a 
teletherapy physicist before submitting a license application or request 
for amendment or renewal; or
    (ii) Review, pursuant to Sec. 35.13 (b)(1) through (b)(4), on the 
basis of the board certification, the license, or the permit identifying 
an individual, and approve or disapprove any individual prior to 
allowing that individual to work as an authorized user or authorized 
nuclear pharmacist;
    (3) Review on the basis of safety, and approve with the advice and 
consent of the Radiation Safety Officer and the management 
representative, or disapprove minor changes in radiation safety 
procedures that are not potentially important to safety and are 
permitted under Sec. 35.31 of this part;
    (4) Review quarterly, with the assistance of the Radiation Safety 
Officer, a summary of the occupational radiation dose records of all 
personnel working with byproduct material;
    (5) Review quarterly, with the assistance of the Radiation Safety 
Officer, all incidents involving byproduct material with respect to 
cause and subsequent actions taken; and
    (6) Review annually, with the assistance of the Radiation Safety 
Officer, the radiation safety program.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61782, Dec. 2, 1994]



Sec. 35.23  Statements of authority and responsibilities.

    (a) A licensee shall provide the Radiation Safety Officer, and at a 
medical institution the Radiation Safety Committee, sufficient 
authority, organizational freedom, and management prerogative, to:
    (1) Identify radiation safety problems;
    (2) Initiate, recommend, or provide corrective actions; and
    (3) Verify implementation of corrective actions.
    (b) A licensee shall establish and state in writing the authorities, 
duties, responsibilities, and radiation safety activities of the 
Radiation Safety Officer, and at a medical institution the Radiation 
Safety Committee, and retain the current edition of these statements as 
a record until the Commission terminates the license.



Sec. 35.25  Supervision.

    (a) A licensee that permits the receipt, possession, use, or 
transfer of byproduct material by an individual under the supervision of 
an authorized user as allowed by Sec. 35.11(b) of this part shall:
    (1) Instruct the supervised individual in the principles of 
radiation safety appropriate to that individual's use of byproduct 
material and in the licensee's written quality management program;
    (2) Require the supervised individual to follow the instructions of 
the supervising authorized user, follow the written radiation safety and 
quality management procedures established by the licensee, and comply 
with the regulations of this chapter and the license conditions with 
respect to the use of byproduct material; and
    (3) Periodically review the supervised individual's use of byproduct 
material and the records kept to reflect this use.

[[Page 518]]

    (b) A licensee that permits the preparation of byproduct material 
for medical use by an individual under the supervision of an authorized 
nuclear pharmacist or physician who is an authorized user, as allowed by 
Sec. 35.11(c), shall:
    (1) Instruct the supervised individual in the preparation of 
byproduct material for medical use and the principles of and procedures 
for radiation safety and in the licensee's written quality management 
program, as appropriate to that individual's use of byproduct material;
    (2) Require the supervised individual to follow the instructions 
given pursuant to paragraph (b)(1) of this section and to comply with 
the regulations of this chapter and license conditions; and
    (3) Require the supervising authorized nuclear pharmacist or 
physician who is an authorized user to periodically review the work of 
the supervised individual as it pertains to preparing byproduct material 
for medical use and the records kept to reflect that work.
    (c) A licensee that supervises an individual is responsible for the 
acts and omissions of the supervised individual.

[51 FR 36951, Oct. 16, 1991, as amended at 56 FR 34121, July 25, 1991; 
59 FR 61782, Dec. 2, 1994]



Sec. 35.29  Administrative requirements that apply to the provision of mobile nuclear medicine service.

    (a) The Commission will license mobile nuclear medicine service only 
in accordance with subparts D, E and H of this part and Sec. 31.11 of 
this chapter.
    (b) Mobile nuclear medicine service licensees shall obtain a letter 
signed by the management of each client for which services are rendered 
that authorizes use of byproduct material at the client's address of 
use. The mobile nuclear medicine service licensee shall retain the 
letter for three years after the last provision of service.
    (c) If a mobile nuclear medicine service provides services that the 
client is also authorized to provide, the client is responsible for 
assuring that services are conducted in accordance with the regulations 
in this chapter while the mobile nuclear medicine service is under the 
client's direction.
    (d) A mobile nuclear medicine service may not order byproduct 
material to be delivered directly from the manufacturer or distributor 
to the client's address of use.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988]



Sec. 35.31  Radiation safety program changes.

    (a) A licensee may make minor changes in radiation safety procedures 
that are not potentially important to safety, i.e., ministerial changes, 
that were described in the application for license, renewal, or 
amendment except for those changes in Secs. 35.13 and 35.606 of this 
part. Examples of such ministerial changes include: editing of 
procedures for clarity or conformance with local drafting policy or 
updating names, telephone numbers, and addresses; adoption of model 
radiation safety procedures published in NRC Regulatory Guides; 
replacement of equipment; reassignment of tasks among employees; or 
assignment of service contracts for services such as personnel 
dosimetry, radiation safety equipment repair or calibration, waste 
disposal, and safety surveys. A licensee is responsible for assuring 
that any change made is in compliance with the requirements of the 
regulations and the license.
    (b) A licensee shall retain a record of each change until the 
license has been renewed or terminated. The record must include the 
effective date of the change, a copy of the old and new radiation safety 
procedures, the reason for the change, a summary of radiation safety 
matters that were considered before making the change, the signature of 
the Radiation Safety Officer, and the signatures of the affected 
authorized users and of management or, in a medical institution, the 
Radiation Safety Committee's chairman and the management representative.



Sec. 35.32  Quality management program.

    (a) Each applicant or licensee under this part, as applicable, shall 
establish and maintain a written quality management program to provide 
high confidence that byproduct material or radiation from byproduct 
material will

[[Page 519]]

be administered as directed by the authorized user. The quality 
management program must include written policies and procedures to meet 
the following specific objectives:
    (1) That, prior to administration, a written directive \1\ is 
prepared for:
---------------------------------------------------------------------------

    \1\ If, because of the patient's condition, a delay in order to 
provide a written revision to an existing written directive would 
jeopardize the patient's health, an oral revision to an existing written 
directive will be acceptable, provided that the oral revision is 
documented immediately in the patient's record and a revised written 
directive is signed by the authorized user within 48 hours of the oral 
revision.
    Also, a written revision to an existing written directive may be 
made for any diagnostic or therapeutic procedure provided that the 
revision is dated and signed by an authorized user prior to the 
administration of the radiopharmaceutical dosage, the brachytherapy 
dose, the gamma stereotactic radiosurgery dose, the teletherapy dose, or 
the next teletherapy fractional dose.
    If, because of the emergent nature of the patient's condition, a 
delay in order to provide a written directive would jeopardize the 
patient's health, an oral directive will be acceptable, provided that 
the information contained in the oral directive is documented 
immediately in the patient's record and a written directive is prepared 
within 24 hours of the oral directive.
---------------------------------------------------------------------------

    (i) Any teletherapy radiation dose;
    (ii) Any gamma stereotactic radiosurgery radiation dose;
    (iii) Any brachytherapy radiation dose;
    (iv) Any administration of quantities greater than 30 microcuries of 
either sodium iodide I-125 or I-131; or
    (v) Any therapeutic administration of a radiopharmaceutical, other 
than sodium iodide I-125 or I-131;
    (2) That, prior to each administration, the patient's or human 
research subject's identity is verified by more than one method as the 
individual named in the written directive;
    (3) That final plans of treatment and related calculations for 
brachytherapy, teletherapy, and gamma stereotactic radiosurgery are in 
accordance with the respective written directives;
    (4) That each administration is in accordance with the written 
directive; and
    (5) That any unintended deviation from the written directive is 
identified and evaluated, and appropriate action is taken.
    (b) The licensee shall:
    (1) Develop procedures for and conduct a review of the quality 
management program including, since the last review, an evaluation of:
    (i) A representative sample of patient and human research subject 
administrations,
    (ii) All recordable events, and
    (iii) All misadministrations

to verify compliance with all aspects of the quality management program; 
these reviews shall be conducted at intervals no greater than 12 months;
    (2) Evaluate each of these reviews to determine the effectiveness of 
the quality management program and, if required, make modifications to 
meet the objectives of paragraph (a) of this section; and
    (3) Retain records of each review, including the evaluations and 
findings of the review, in an auditable form for three years.
    (c) The licensee shall evaluate and respond, within 30 days after 
discovery of the recordable event, to each recordable event by:
    (1) Assembling the relevant facts including the cause;
    (2) Identifying what, if any, corrective action is required to 
prevent recurrence; and
    (3) Retaining a record, in an auditable form, for three years, of 
the relevant facts and what corrective action, if any, was taken.
    (d) The licensee shall retain:
    (1) Each written directive; and
    (2) A record of each administered radiation dose or 
radiopharmaceutical dosage where a written directive is required in 
paragraph (a)(1) above, in an auditable form, for three years after the 
date of administration.
    (e) The licensee may make modifications to the quality management 
program to increase the program's efficiency provided the program's 
effectiveness is not decreased. The licensee shall furnish the 
modification to the appropriate NRC Regional Office within 30 days after 
the modification has been made.
    (f)(1) Each applicant for a new license, as applicable, shall submit 
to the appropriate NRC Regional Office in

[[Page 520]]

accordance with 10 CFR 30.6 a quality management program as part of the 
application for a license and implement the program upon issuance of the 
license by the NRC.
    (2) Each existing licensee, as applicable, shall submit to the 
appropriate NRC Regional Office in accordance with 10 CFR 30.6 by 
January 27, 1992 a written certification that the quality management 
program has been implemented along with a copy of the program.

[56 FR 34121, July 25, 1991, as amended at 59 FR 61783, Dec. 2, 1994]



Sec. 35.33  Notifications, reports, and records of misadministrations.

    (a) For a misadministration:
    (1) The licensee shall notify by telephone the NRC Operations Center 
\2\ no later than the next calendar day after discovery of the 
misadministration.
---------------------------------------------------------------------------

    \2\ The commercial telephone number of the NRC Operations Center is 
(301) 816-5100.
---------------------------------------------------------------------------

    (2) The licensee shall submit a written report to the appropriate 
NRC Regional Office listed in 10 CFR 30.6 within 15 days after discovery 
of the misadministration. The written report must include the licensee's 
name; the prescribing physician's name; a brief description of the 
event; why the event occurred; the effect on the individual who received 
the misadministration; what improvements are needed to prevent 
recurrence; actions taken to prevent recurrence; whether the licensee 
notified the individual (or the individual's responsible relative or 
guardian), and if not, why not; and if there was notification, what 
information was provided. The report must not contain the individual's 
name or any other information that could lead to identification of the 
individual. To meet the requirements of this section, the notification 
of the individual receiving the misadministration may be made instead to 
that individual's responsible relative or guardian, when appropriate.
    (3) The licensee shall notify the referring physician and also 
notify the individual receiving the misadministration of the 
misadministration no later than 24 hours after its discovery, unless the 
referring physician personally informs the licensee either that he will 
inform the individual or that, based on medical judgement, telling the 
individual would be harmful. The licensee is not required to notify the 
individual without first consulting the referring physician. If the 
referring physician or the individual receiving the misadministration 
cannot be reached within 24 hours, the licensee shall notify the 
individual as soon as possible thereafter. The licensee may not delay 
any appropriate medical care for the individual, including any necessary 
remedial care as a result of the misadministration, because of any delay 
in notification.
    (4) If the individual was notified, the licensee shall also furnish, 
within 15 days after discovery of the misadministration, a written 
report to the individual by sending either:
    (i) A copy of the report that was submitted to the NRC; or
    (ii) A brief description of both the event and the consequences as 
they may affect the individual, provided a statement is included that 
the report submitted to the NRC can be obtained from the licensee.
    (b) Each licensee shall retain a record of each misadministration 
for 5 years. The record must contain the names of all individuals 
involved (including the prescribing physician, allied health personnel, 
the individual who received the misadministration, and that individual's 
referring physician, if applicable), the individual's social security 
number or other identification number if one has been assigned, a brief 
description of the misadministration, why it occurred, the effect on the 
individual, improvements needed to prevent recurrence, and the actions 
taken to prevent recurrence.
    (c) Aside from the notification requirement, nothing in this section 
affects any rights or duties of licensees and physicians in relation to 
each other, to individuals receiving misadministrations, or to that 
individual's responsible relatives or guardians.

[56 FR 34122, July 25, 1991, as amended at 59 FR 14086, Mar. 25, 1994; 
60 FR 48626, Sept. 20, 1995]

[[Page 521]]



Sec. 35.49  Suppliers for sealed sources or devices for medical use.

    A licensee may use for medical use only:
    (a) Sealed sources or devices manufactured, labeled, packaged, and 
distributed in accordance with a license issued pursuant to 10 CFR Part 
30 and 10 CFR 32.74 or the equivalent requirements of an Agreement 
State; or
    (b) Teletherapy sources manufactured and distributed in accordance 
with a license issued pursuant to 10 CFR Part 30 or the equivalent 
requirements of an Agreement State.

[59 FR 61783, Dec. 2, 1994]



                Subpart C--General Technical Requirements



Sec. 35.50  Possession, use, calibration, and check of dose calibrators.

    (a) A licensee shall possess and use a dose calibrator to measure 
the activity of dosages of photon-emitting radionuclides prior to 
administration to each patient or human research subject.
    (b) A licensee shall:
    (1) Check each dose calibrator for constancy with a dedicated check 
source at the beginning of each day of use. To satisfy the requirement 
of this paragraph, the check must be done on a frequently used setting 
with a sealed source of not less than 10 microcuries of radium-226 or 50 
microcuries of any other photon-emitting radionuclide;
    (2) Test each dose calibrator for accuracy upon installation and at 
least annually thereafter by assaying at least two sealed sources 
containing different radionuclides whose activity the manufacturer has 
determined within 5 percent of its stated activity, whose activity is at 
least 10 microcuries for radium-226 and 50 microcuries for any other 
photon-emitting radionuclide, and at least one of which has a principal 
photon energy between 100 keV and 500 keV;
    (3) Test each dose calibrator for linearity upon installation and at 
least quarterly thereafter over a range from the highest dosage that 
will be administered to a patient or human research subject to 1.1 
megabecquerels (30 microcuries); and
    (4) Test each dose calibrator for geometry dependence upon 
installation over the range of volumes and volume configurations for 
which it will be used. The licensee shall keep a record of this test for 
the duration of the use of the dose calibrator.
    (c) A licensee shall also perform appropriate checks and tests 
required by this section following adjustment or repair of the dose 
calibrator.
    (d) A licensee shall mathematically correct dosage readings for any 
geometry or linearity error that exceeds 10 percent if the dosage is 
greater than 10 microcuries and shall repair or replace the dose 
calibrator if the accuracy or constancy error exceeds 10 percent.
    (e) A licensee shall retain a record of each check and test required 
by this section for three years unless directed otherwise. The records 
required in paragraphs (b)(1) through (b)(4) of this section must 
include:
    (1) For paragraph (b)(1) of this section, the model and serial 
number of the dose calibrator, the identity of the radionuclide 
contained in the check source, the date of the check, the activity 
measured, and the initials of the individual who performed the check;
    (2) For paragraph (b)(2) of this section, the model and serial 
number of the dose calibrator, the model and serial number of each 
source used, the identity of the radionuclide contained in the source 
and its activity, the date of the test, the results of the test, and the 
identity of the individual performing the test.
    (3) For paragraph (b)(3) of this section, the model and serial 
number of the dose calibrator, the calculated activities, the measured 
activities, the date of the test, and the identity of the individual 
performing the test.
    (4) For paragraph (b)(4) of this section, the model and serial 
number of the dose calibrator, the configuration of the source measured, 
the activity measured for each volume measured, the date of the test, 
and the identity of the individual performing the test.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 59 
FR 61783, Dec. 2, 1994]

[[Page 522]]



Sec. 35.51  Calibration and check of survey instruments.

    (a) A licensee shall calibrate the survey instruments used to show 
compliance with this part before first use, annually, and following 
repair. The licensee shall:
    (1) Calibrate all scales with readings up to 1000 millirem per hour 
with a radiation source;
    (2) Calibrate two separated readings on each scale that must be 
calibrated; and
    (3) Conspicuously note on the instrument the apparent exposure rate 
from a dedicated check source as determined at the time of calibration, 
and the date of calibration.
    (b) When calibrating a survey instrument, the licensee shall 
consider a point as calibrated if the indicated exposure rate differs 
from the calculated exposure rate by not more than 20 percent, and shall 
conspicuously attach a correction chart or graph to the instrument.
    (c) A licensee shall check each survey instrument for proper 
operation with the dedicated check source each day of use. A licensee is 
not required to keep records of these checks.
    (d) A licensee shall retain a record of each survey instrument 
calibration for three years. The record must include:
    (1) A description of the calibration procedure; and
    (2) The date of the calibration, a description of the source used 
and the certified exposure rates from the source, and the rates 
indicated by the instrument being calibrated, the correction factors 
deduced from the calibration data, and the signature of the individual 
who performed the calibration.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988]



Sec. 35.52  Possession, use, calibration, and check of instruments to measure dosages of alpha- or beta-emitting radionuclides.

    (a) This section does not apply to unit dosages of alpha- or beta- 
emitting radionuclides that are obtained from a manufacturer or preparer 
licensed pursuant to 10 CFR 32.72 or equivalent Agreement State 
requirements.
    (b) For other than unit dosages obtained pursuant to paragraph (a) 
of this section, a licensee shall possess and use instrumentation to 
measure the radioactivity of alpha- or beta-emitting radionuclides. The 
licensee shall have procedures for use of the instrumentation. The 
licensee shall measure, by direct measurement or by combination of 
measurements and calculations, the amount of radioactivity in dosages of 
alpha- or beta-emitting radionuclides prior to administration to each 
patient or human research subject. In addition, the licensee shall:
    (1) Perform tests before initial use, periodically, and following 
repair, on each instrument for accuracy, linearity, and geometry 
dependence, as appropriate for the use of the instrument; and make 
adjustments when necessary; and
    (2) Check each instrument for constancy and proper operation at the 
beginning of each day of use.

[59 FR 61783, Dec. 2, 1994]



Sec. 35.53  Measurement of dosages of unsealed byproduct material for medical use.

    A licensee shall:
    (a) Measure the activity of each dosage of a photon-emitting 
radionuclide prior to medical use.
    (b) Measure, by direct measurement or by combination of measurements 
and calculations, the activity of each dosage of an alpha- or a beta-
emitting radionuclide prior to medical use, except for unit dosages 
obtained from a manufacturer or preparer licensed pursuant to 10 CFR 
32.72 or equivalent Agreement State requirements;
    (c) Retain a record of the measurements required by this section for 
three years. To satisfy this requirement, the record must contain the:
    (1) Generic name, trade name, or abbreviation of the 
radiopharmaceutical, its lot number, and expiration dates and the 
radionuclide;
    (2) Patient's or human research subject's name, and identification 
number if one has been assigned;
    (3) Prescribed dosage and activity of the dosage at the time of 
measurement, or a notation that the total activity is less than 1.1 
megabecquerels (30 microcuries);

[[Page 523]]

    (4) Date and time of the measurement; and
    (5) Initials of the individual who made the record.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 59 
FR 61784, Dec. 2, 1994]



Sec. 35.57  Authorization for calibration and reference sources.

    Any person authorized by Sec. 35.11 of this part for medical use of 
byproduct material may receive, possess, and use the following byproduct 
material for check, calibration, and reference use:
    (a) Sealed sources manufactured and distributed by a person licensed 
pursuant to Sec. 32.74 of this chapter or equivalent Agreement State 
regulations and that do not exceed 15 millicuries each;
    (b) Any byproduct material listed in Secs. 35.100 or 35.200 with a 
half-life not longer than 100 days in individual amounts not to exceed 
15 millicuries;
    (c) Any byproduct material listed in Secs. 35.100 or 35.200 with a 
half-life longer than 100 days in individual amounts not to exceed 200 
microcuries each; and
    (d) Technetium-99m in individual amounts not to exceed 50 
millicuries.



Sec. 35.59  Requirements for possession of sealed sources and brachytherapy sources.

    (a) A licensee in possession of any sealed source or brachytherapy 
source shall follow the radiation safety and handling instructions 
supplied by the manufacturer, and shall maintain the instructions for 
the duration of source use in a legible form convenient to users.
    (b) A licensee in possession of a sealed source shall:
    (1) Test the source for leakage before its first use unless the 
licensee has a certificate from the supplier indicating that the source 
was tested within six months before transfer to the licensee; and
    (2) Test the source for leakage at intervals not to exceed six 
months or at other intervals approved by the Commission or an Agreement 
State and described in the label or brochure that accompanies the 
source.
    (c) To satisfy the leak test requirements of this section, the 
licensee must:
    (1) Take a wipe sample from the sealed source or from the surfaces 
of the device in which the sealed source is mounted or stored on which 
radioactive contamination might be expected to accumulate or wash the 
source in a small volume of detergent solution and treat the entire 
volume as the sample;
    (2) Take teletherapy and other device source test samples when the 
source is in the ``off'' position; and
    (3) Measure the sample so that the leakage test can detect the 
presence of 0.005 microcuries of radioactive material on the sample.
    (d) A licensee shall retain leakage test records for five years. The 
records must contain the model number, and serial number if assigned, of 
each source tested, the identity of each source radionuclide and its 
estimated activity, the measured activity of each test sample expressed 
in microcuries, a description of the method used to measure each test 
sample, the date of the test, and the signature of the Radiation Safety 
Officer.
    (e) If the leakage test reveals the presence of 0.005 microcurie or 
more of removable contamination, the licensee shall:
    (1) Immediately withdraw the sealed source from use and store it in 
accordance with the requirements in parts 20 and 30 of this chapter; and
    (2) File a report within five days of the leakage test with the 
appropriate NRC Office listed in Sec. 30.6 of this chapter, with a copy 
to Director, Office of Nuclear Material Safety and Safeguards, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555, describing the 
equipment involved, the test results, and the action taken.
    (f) A licensee need not perform a leakage test on the following 
sources:
    (1) Sources containing only byproduct material with a half-life of 
less than 30 days;
    (2) Sources containing only byproduct material as a gas;
    (3) Sources containing 100 microcuries or less of beta or gamma-
emitting material or 10 microcuries or less of alpha-emitting material;
    (4) Sources stored and not being used. The licensee shall, however, 
test each such source for leakage before any use

[[Page 524]]

or transfer unless it has been leakage-tested within six months before 
the date of use or transfer; and
    (5) Seeds of iridium-192 encased in nylon ribbon.
    (g) A licensee in possession of a sealed source or brachytherapy 
source shall conduct a quarterly physical inventory of all such sources 
in its possession. The licensee shall retain each inventory record for 
five years. The inventory records must contain the model number of each 
source, and serial number if one has been assigned, the identity of each 
source radionuclide and its nominal activity, the location of each 
source, and the signature of the Radiation Safety Officer.
    (h) A licensee in possession of a sealed source or brachytherapy 
source shall measure the ambient dose rates quarterly in all areas where 
such sources are stored. This does not apply to teletherapy sources in 
teletherapy units or sealed sources in diagnostic devices.
    (i) A licensee shall retain a record of each survey required in 
paragraph (h) of this section for three years. The record must include 
the date of the survey, a plan of each area that was surveyed, the 
measured dose rate at several points in each area expressed in millirem 
per hour, the survey instrument used, and the signature of the Radiation 
Safety Officer.

[51 FR 36951, Oct. 16, 1986, as amended at 52 FR 31611, Aug. 21, 1987; 
53 FR 19247, May 27, 1988]



Sec. 35.60  Syringe shields and labels.

    (a) A licensee shall keep syringes that contain byproduct material 
to be administered in a radiation shield.
    (b) To identify its contents, a licensee shall conspicuously label 
each syringe or syringe radiation shield that contains a syringe with a 
radiopharmaceutical. The label must show the radiopharmaceutical name or 
its abbreviation, the clinical procedure to be performed, or the 
patient's or the human research subject's name.
    (c) A licensee shall require each individual who prepares a 
radiopharmaceutical kit to use a syringe radiation shield when preparing 
the kit and shall require each individual to use a syringe radiation 
shield when administering a radiopharmaceutical by injection unless the 
use of the shield is contraindicated for that patient or human research 
subject.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61784, Dec. 2, 1994]



Sec. 35.61  Vial shields and labels.

    (a) A licensee shall require each individual preparing or handling a 
vial that contains a radiopharmaceutical to keep the vial in a vial 
radiation shield.
    (b) To identify its contents, a licensee shall conspicuously label 
each vial radiation shield that contains a vial of a 
radiopharmaceutical. The label must show the radiopharmaceutical name or 
its abbreviation.



Sec. 35.70  Surveys for contamination and ambient radiation exposure rate.

    (a) A licensee shall survey with a radiation detection survey 
instrument at the end of each day of use all areas where 
radiopharmaceuticals are routinely prepared for use or administered.
    (b) A licensee shall survey with a radiation detection survey 
instrument at least once each week all areas where radiopharmaceuticals 
or radiopharmaceutical waste is stored.
    (c) A licensee shall conduct the surveys required by paragraphs (a) 
and (b) of this section so as to be able to detect dose rates as low as 
0.1 millirem per hour.
    (d) A licensee shall establish radiation dose rate trigger levels 
for the surveys required by paragraphs (a) and (b) of this section. A 
licensee shall require that the individual performing the survey 
immediately notify the Radiation Safety Officer if a dose rate exceeds a 
trigger level.
    (e) A licensee shall survey for removable contamination once each 
week all areas where radiopharmaceuticals are routinely prepared for 
use, administered, or stored.
    (f) A licensee shall conduct the surveys required by paragraph (e) 
of this section so as to be able to detect contamination on each wipe 
sample of 2000 disintegrations per minute.
    (g) A licensee shall establish removable contamination trigger 
levels for

[[Page 525]]

the surveys required by paragraph (e) of this section. A licensee shall 
require that the individual performing the survey immediately notify the 
Radiation Safety Officer if contamination exceeds the trigger level.
    (h) A licensee shall retain a record of each survey for three years. 
The record must include the date of the survey, a plan of each area 
surveyed, the trigger level established for each area, the detected dose 
rate at several points in each area expressed in millirem per hour or 
the removable contamination in each area expressed in disintegrations 
per minute per 100 square centimeters, the instrument used to make the 
survey or analyze the samples, and the initials of the individual who 
performed the survey.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988]



Sec. 35.75  Release of patients or human research subjects containing radiopharmaceuticals or permanent implants.

    (a) A licensee may not authorize release from confinement for 
medical care any patient or human research subject administered a 
radiopharmaceutical until either:
    (1) The measured dose rate from the patient or the human research 
subject is less than 5 millirems per hour at a distance of 1 meter; or
    (2) The activity in the patient or the human research subject is 
less than 30 millicuries.
    (b) A licensee may not authorize release from confinement for 
medical care of any patient or human research subject administered a 
permanent implant until the measured dose rate from the patient or the 
human research subject is less than 5 millirems per hour at a distance 
of 1 meter.

[59 FR 61784, Dec. 2, 1994]



Sec. 35.80  Technical requirements that apply to the provision of mobile nuclear medicine service.

    A licensee providing mobile nuclear medicine service shall:
    (a) Transport to each address of use only syringes or vials 
containing prepared radiopharmaceuticals or radiopharmaceuticals that 
are intended for reconstitution of radiopharmaceutical kits;
    (b) Bring into each address of use all byproduct material to be used 
and, before leaving, remove all unused byproduct material and all 
associated waste;
    (c) Secure or keep under constant surveillance and immediate control 
all byproduct material when in transit or at an address of use;
    (d) Check survey instruments and dose calibrators as described in 
Secs. 35.50 and 35.51, and check all other transported equipment for 
proper function before medical use at each address of use;
    (e) Carry a radiation detection survey meter in each vehicle that is 
being used to transport byproduct material, and, before leaving a client 
address of use, survey all radiopharmaceutical areas of use with a 
radiation detection survey meter to ensure that all radiopharmaceuticals 
and all associated waste have been removed;
    (f) Retain a record of each survey required in paragraph (e) of this 
section for three years. The record must include the date of the survey, 
a plan of each area that was surveyed, the measured dose rate at several 
points in each area of use expressed in millirem per hour, the 
instrument used to make the survey, and the initials of the individual 
who performed the survey.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988]



Sec. 35.90  Storage of volatiles and gases.

    A licensee shall store volatile radiopharmaceuticals and radioactive 
gases in the shipper's radiation shield and container. A licensee shall 
store a multi-dose container in a fume hood after drawing the first 
dosage from it.



Sec. 35.92  Decay-in-storage.

    (a) A licensee may hold byproduct material with a physical half-life 
of less than 65 days for decay-in-storage before disposal in ordinary 
trash and is exempt from the requirements of Sec. 20.2001 of this 
chapter if it:
    (1) Holds byproduct material for decay a minimum of ten half-lives;
    (2) Monitors byproduct material at the container surface before 
disposal as ordinary trash and determines that its radioactivity cannot 
be distinguished

[[Page 526]]

from the background radiation level with a radiation detection survey 
meter set on its most sensitive scale and with no interposed shielding;
    (3) Removes or obliterates all radiation labels; and
    (4) Separates and monitors each generator column individually with 
all radiation shielding removed to ensure that it has decayed to 
background radiation level before disposal.
    (b) A licensee shall retain a record of each disposal permitted 
under paragraph (a) of this section for three years. The record must 
include the date of the disposal, the date on which the byproduct 
material was placed in storage, the radionuclides disposed, the survey 
instrument used, the background dose rate, the dose rate measured at the 
surface of each waste container, and the name of the individual who 
performed the disposal.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 56 
FR 23472, May 21, 1991; 58 FR 67660, Dec. 22, 1993]



               Subpart D--Uptake, Dilution, and Excretion



Sec. 35.100  Use of unsealed byproduct material for uptake, dilution, and excretion studies.

    A licensee may use for uptake, dilution, or excretion studies any 
unsealed byproduct material prepared for medical use that is either:
    (a) Obtained from a manufacturer or preparer licensed pursuant to 10 
CFR 32.72 or equivalent Agreement State requirements; or
    (b) Prepared by an authorized nuclear pharmacist, a physician who is 
an authorized user and who meets the requirements specified in 
Sec. 35.920, or an individual under the supervision of either as 
specified in Sec. 35.25.

[59 FR 61784, Dec. 2, 1994]



Sec. 35.120  Possession of survey instrument.

    A licensee authorized to use byproduct material for uptake, 
dilution, and excretion studies shall have in its possession a portable 
radiation detection survey instrument capable of detecting dose rates 
over the range 0.1 millirem per hour to 100 millirem per hour.



                   Subpart E--Imaging and Localization



Sec. 35.200  Use of unsealed byproduct material for imaging and localization studies.

    A licensee may use for imaging and localization studies any unsealed 
byproduct material prepared for medical use that is either:
    (a) Obtained from a manufacturer or preparer licensed pursuant to 10 
CFR 32.72 or equivalent Agreement State requirements; or
    (b) Prepared by an authorized nuclear pharmacist, a physician who is 
an authorized user and who meets the requirements specified in 
Sec. 35.920, or an individual under the supervision of either as 
specified in Sec. 35.25.

[59 FR 61784, Dec. 2, 1994]



Sec. 35.204  Permissible molybdenum-99 concentration.

    (a) A licensee may not administer to humans a radiopharmaceutical 
containing more than 0.15 microcurie of molybdenum-99 per millicurie of 
technetium-99m.
    (b) A licensee that uses molybdenum-99/technetium-99m generators for 
preparing a technetium-99m radiopharmaceutical shall measure the 
molybdenum-99 concentration in each eluate or extract.
    (c) A licensee that must measure molybdenum concentration shall 
retain a record of each measurement for three years. The record must 
include, for each elution or extraction of technetium-99m, the measured 
activity of the technetium expressed in millicuries, the measured 
activity of the molybdenum expressed in microcuries, the ratio of the 
measures expressed as microcuries of molybdenum per millicurie of 
technetium, the time and date of the measurement, and the initials of 
the individual who made the measurement.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988]



Sec. 35.205  Control of aerosols and gases.

    (a) A licensee that administers radioactive aerosols or gases shall 
do so in a room with a system that will keep airborne concentrations low 
enough so as

[[Page 527]]

not to exceed the limits prescribed by Secs. 20.1201 and 20.1301 of this 
chapter. The system must either be directly vented to the atmosphere 
through an air exhaust or provide for collection and decay or disposal 
of the aerosol or gas in a shielded container.
    (b) A licensee shall administer radioactive gases only in rooms that 
are at negative pressure compared to surrounding rooms.
    (c) Before receiving, using, or storing a radioactive gas, the 
licensee shall calculate the amount of time needed after a spill to 
reduce the concentration in the room low enough so as not to exceed the 
limits prescribed by Sec. 20.1201 of this chapter. The calculation must 
be based on the highest activity of gas handled in a single container, 
the air volume of the room, and the measured available air exhaust rate.
    (d) A licensee shall make a record of the calculations required in 
paragraph (c) of this section that includes the assumptions, 
measurements, and calculations made and shall retain the record for the 
duration of use of the area. A licensee shall also post the calculated 
time and safety measures to be instituted in case of a spill at the area 
of use.
    (e) A licensee shall check the operation of reusable collection 
systems each month, and measure the ventilation rates available in areas 
of radioactive gas use each six months.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 27667, July 22, 1988; 
59 FR 41643, Aug. 15, 1994]



Sec. 35.220  Possession of survey instruments.

    A licensee authorized to use byproduct material for imaging and 
localization studies shall have in its possession a portable radiation 
detection survey instrument capable of detecting dose rates over the 
range of 0.1 millirem per hour to 100 millirem per hour, and a portable 
radiation measurement survey instrument capable of measuring dose rates 
over the range 1 millirem per hour to 1000 millirem per hour.



               Subpart F--Radiopharmaceuticals for Therapy



Sec. 35.300  Use of unsealed byproduct material for therapeutic administration.

    A licensee may use for therapeutic administration any unsealed 
byproduct material prepared for medical use that is either:
    (a) Obtained from a manufacturer or preparer licensed pursuant to 10 
CFR 32.72 or equivalent Agreement State requirements; or
    (b) Prepared by an authorized nuclear pharmacist, a physician who is 
an authorized user and who meets the requirements specified in 
Sec. 35.920, or an individual under the supervision of either as 
specified in Sec. 35.25.

[59 FR 61784, Dec. 2, 1994]



Sec. 35.310  Safety instruction.

    (a) A licensee shall provide radiation safety instruction for all 
personnel caring for the patient or the human research subject receiving 
radiopharmaceutical therapy and hospitalized for compliance with 
Sec. 35.75 of this chapter. To satisfy this requirement, the instruction 
must describe the licensee's procedures for:
    (1) Patient or human research subject control;
    (2) Visitor control;
    (3) Contamination control;
    (4) Waste control; and
    (5) Notification of the Radiation Safety Officer in case of the 
patient's or the human research subject's death or medical emergency.
    (b) A licensee shall keep for three years a list of individuals 
receiving instruction required by paragraph (a) of this section, a 
description of the instruction, the date of instruction, and the name of 
the individual who gave the instruction.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 59 
FR 61784, Dec. 2, 1994]



Sec. 35.315  Safety precautions.

    (a) For each patient or human research subject receiving 
radiopharmaceutical therapy and hospitalized for compliance with 
Sec. 35.75 of this chapter, a licensee shall:

[[Page 528]]

    (1) Provide a private room with a private sanitary facility;
    (2) Post the patient's or the human research subject's door with a 
``Radioactive Materials'' sign and note on the door or in the patient's 
or human research subject's chart where and how long visitors may stay 
in the patient's or the human research subject's room;
    (3) Authorize visits by individuals under age 18 only on a case-by-
case basis with the approval of the authorized user after consultation 
with the Radiation Safety Officer;
    (4) Promptly after administration of the dosage, measure the dose 
rates in contiguous restricted and unrestricted areas with a radiation 
measurement survey instrument to demonstrate compliance with the 
requirements of part 20 of this chapter, and retain for three years a 
record of each survey that includes the time and date of the survey, a 
plan of the area or list of points surveyed, the measured dose rate at 
several points expressed in millirem per hour, the instrument used to 
make the survey, and the initials of the individual who made the survey.
    (5) Either monitor material and items removed from the patient's or 
the human research subject's room to determine that their radioactivity 
cannot be distinguished from the natural background radiation level with 
a radiation detection survey instrument set on its most sensitive scale 
and with no interposed shielding, or handle them as radioactive waste.
    (6) Provide the patient or the human research subject with radiation 
safety guidance that will help to keep radiation dose to household 
members and the public as low as reasonably achievable before 
authorizing release of the patient or the human research subject.
    (7) Survey the patient's or the human research subject's room and 
private sanitary facility for removable contamination with a radiation 
detection survey instrument before assigning another patient or human 
research subject to the room. The room must not be reassigned until 
removable contamination is less than 200 disintegrations per minute per 
100 square centimeters; and
     (8) Measure the thyroid burden of each individual who helped 
prepare or administer a dosage of iodine-131 within three days after 
administering the dosage, and retain for the period required by 
Sec. 20.1206(a) of this chapter a record of each thyroid burden 
measurement, its date, the name of the individual whose thyroid burden 
was measured, and the initials of the individual who made the 
measurements.
    (b) A licensee shall notify the Radiation Safety Officer immediately 
if the patient or the human research subject dies or has a medical 
emergency.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 56 
FR 23472, May 21, 1991; 58 FR 67660, Dec. 22, 1993; 59 FR 61784, Dec. 2, 
1994]



Sec. 35.320  Possession of survey instruments.

    A licensee authorized to use byproduct material for 
radiopharmaceutical therapy shall have in its possession a portable 
radiation detection survey instrument capable of detecting dose rates 
over the range 0.1 millirem per hour to 100 millirem per hour, and a 
portable radiation measurement survey instrument capable of measuring 
dose rates over the range 1 millirem per hour to 1000 millirem per hour.



                  Subpart G--Sources for Brachytherapy



Sec. 35.400  Use of sources for brachytherapy.

    A licensee shall use the following sources in accordance with the 
manufacturer's radiation safety and handling instructions:
    (a) Cesium-137 as a sealed source in needles and applicator cells 
for topical, interstitial, and intracavitary treatment of cancer;
    (b) Cobalt-60 as a sealed source in needles and applicator cells for 
topical, interstitial, and intracavitary treatment of cancer;
    (c) Gold-198 as a sealed source in seeds for interstitial treatment 
of cancer;
    (d) Iridium-192 as seeds encased in nylon ribbon for interstitial 
treatment of cancer;
    (e) Strontium-90 as a sealed source in an applicator for treatment 
of superficial eye conditions; and

[[Page 529]]

    (f) Iodine-125 as a sealed source in seeds for interstitial 
treatment of cancer.
    (g) Palladium-103 as a sealed source in seeds for interstitial 
treatment of cancer.

[51 FR 36951, Oct. 16, 1986, as amended at 54 FR 41821, Oct. 12, 1989]



Sec. 35.404  Release of patients or human research subjects treated with temporary implants.

    (a) Immediately after removing the last temporary implant source 
from a patient or a human research subject, the licensee shall make a 
radiation survey of the patient or the human research subject with a 
radiation detection survey instrument to confirm that all sources have 
been removed. The licensee may not release from confinement for medical 
care a patient or a human research subject treated by temporary implant 
until all sources have been removed.
    (b) A licensee shall retain a record of patient or human research 
subject surveys for three years. Each record must include the date of 
the survey, the name of the patient or the human research subject, the 
dose rate from the patient or the human research subject expressed as 
millirem per hour and measured at 1 meter from the patient or the human 
research subject, the survey instrument used, and the initials of the 
individual who made the survey.

[59 FR 61785, Dec. 2, 1994]



Sec. 35.406  Brachytherapy sources inventory.

    (a) Promptly after removing them from a patient or a human research 
subject, a licensee shall return brachytherapy sources to the storage 
area, and count the number returned to ensure that all sources taken 
from the storage area have been returned.
    (b) A licensee shall make a record of brachytherapy source use which 
must include:
    (1) The names of the individuals permitted to handle the sources;
    (2) The number and activity of sources removed from storage, the 
patient's or the human research subject's name and room number, the time 
and date they were removed from storage, the number and activity of the 
sources in storage after the removal, and the initials of the individual 
who removed the sources from storage;
    (3) The number and activity of sources returned to storage, the 
patient's or the human research subject's name and room number, the time 
and date they were returned to storage, the number and activity of 
sources in storage after the return, and the initials of the individual 
who returned the sources to storage.
    (c) Immediately after implanting sources in a patient or a human 
research subject the licensee shall make a radiation survey of the 
patient or the human research subject and the area of use to confirm 
that no sources have been misplaced. The licensee shall make a record of 
each survey.
    (d) A licensee shall retain the records required in paragraphs (b) 
and (c) of this section for three years.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 59 
FR 61785, Dec. 2, 1994]



Sec. 35.410  Safety instruction.

    (a) The licensee shall provide radiation safety instruction to all 
personnel caring for the patient or the human research subject 
undergoing implant therapy. To satisfy this requirement, the instruction 
must describe:
    (1) Size and appearance of the brachytherapy sources;
    (2) Safe handling and shielding instructions in case of a dislodged 
source;
    (3) Procedures for patient or human research subject control;
    (4) Procedures for visitor control; and
    (5) Procedures for notification of the Radiation Safety Officer if 
the patient or the human research subject dies or has a medical 
emergency.
    (b) A licensee shall retain for three years a record of individuals 
receiving instruction required by paragraph (a) of this section, a 
description of the instruction, the date of instruction, and the name of 
the individual who gave the instruction.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 59 
FR 61785, Dec. 2, 1994]

[[Page 530]]



Sec. 35.415  Safety precautions.

    (a) For each patient or human research subject receiving implant 
therapy, a licensee shall:
    (1) Not quarter the patient or the human research subject in the 
same room with an individual who is not receiving radiation therapy 
unless the licensee can demonstrate compliance with the requirements of 
Sec. 20.1301(a) of this chapter at a distance of 1 meter from the 
implant;
    (2) Post the patient's or human research subject's door with a 
``Radioactive Materials'' sign and note on the door or in the patient's 
or human research subject's chart where and how long visitors may stay 
in the patient's or human research subject's room;
    (3) Authorize visits by individuals under age 18 only on a case-by-
case basis with the approval of the authorized user after consultation 
with the Radiation Safety Officer; and
    (4) Promptly after implanting the material, survey the dose rates in 
contiguous restricted and unrestricted areas with a radiation 
measurement survey instrument to demonstrate compliance with the 
requirements of Part 20 of this chapter, and retain for three years a 
record of each survey that includes the time and date of the survey, a 
plan of the area or list of points surveyed, the measured dose rate at 
several points expressed in millirem per hour, the instrument used to 
make the survey, and the initials of the individual who made the survey.
    (5) Provide the patient or the human research subject with radiation 
safety guidance that will help to keep radiation dose to household 
members and the public as low as reasonably achievable before releasing 
the individual if the individual was administered a permanent implant.
    (b) A licensee shall notify the Radiation Safety Officer immediately 
if the patient or the human research subject dies or has a medical 
emergency.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 59 
FR 61785, Dec. 2, 1994; 59 FR 65244, Dec. 19, 1994]



Sec. 35.420  Possession of survey instrument.

    A licensee authorized to use byproduct material for implant therapy 
shall have in its possession a portable radiation detection survey 
instrument capable of detecting dose rates over the range 0.1 millirem 
per hour to 100 millirem per hour, and a portable radiation measurement 
survey instrument capable of measuring dose rates over the range 1 
millirem per hour to 1000 millirem per hour.



                 Subpart H--Sealed Sources for Diagnosis



Sec. 35.500  Use of sealed sources for diagnosis.

    A licensee shall use the following sealed sources in accordance with 
the manufacturer's radiation safety and handling instructions:
    (a) Iodine-125, americium-241, or gadolinium-153 as a sealed source 
in a device for bone mineral analysis; and
    (b) Iodine-125 as a sealed source in a portable imaging device.



Sec. 35.520  Availability of survey instrument.

    A licensee authorized to use byproduct material as a sealed source 
for diagnostic purposes shall have available for use a portable 
radiation detection survey instrument capable of detecting dose rates 
over the range 0.1 millirem per hour to 100 millirem per hour or a 
portable radiation measurement survey instrument capable of measuring 
dose rates over the range 1 millirem per hour to 1000 millirem per hour. 
The instrument must have been calibrated in accordance with Sec. 35.51 
of this part.



                         Subpart I--Teletherapy



Sec. 35.600  Use of a sealed source in a teletherapy unit.

    The regulations and provisions of this subpart govern the use of 
teletherapy units for medical use that contain a sealed source of 
cobalt-60 or cesium-137.



Sec. 35.605  Maintenance and repair restrictions.

    Only a person specifically licensed by the Commission or an 
Agreement State to perform teletherapy unit maintenance and repair 
shall:

[[Page 531]]

    (a) Install, relocate, or remove a teletherapy sealed source or a 
teletherapy unit that contains a sealed source; or
    (b) Maintain, adjust, or repair the source drawer, the shutter or 
other mechanism of a teletherapy unit that could expose the source, 
reduce the shielding around the source, or result in increased radiation 
levels.



Sec. 35.606  License amendments.

    In addition to the changes specified in Sec. 35.13 of this part, a 
licensee shall apply for and must receive a license amendment before:
    (a) Making any change in the treatment room shielding;
    (b) Making any change in the location of the teletherapy unit within 
the treatment room;
    (c) Using the teletherapy unit in a manner that could result in 
increased radiation levels in areas outside the teletherapy treatment 
room;
    (d) Relocating the teletherapy unit; or
    (e) Allowing an individual not listed on the licensee's license to 
perform the duties of the teletherapy physicist.



Sec. 35.610  Safety instruction.

    (a) A licensee shall post instructions at the teletherapy unit 
console. To satisfy this requirement, these instructions must inform the 
operator of:
    (1) The procedure to be followed to ensure that only the patient or 
the human research subject is in the treatment room before turning the 
primary beam of radiation on to begin a treatment or after a door 
interlock interruption;
    (2) The procedure to be followed if:
    (i) The operator is unable to turn the primary beam of radiation off 
with controls outside the treatment room or any other abnormal operation 
occurs; and
    (ii) The names and telephone numbers of the authorized users and 
Radiation Safety Officer to be immediately contacted if the teletherapy 
unit or console operates abnormally.
    (b) A licensee shall provide instruction in the topics identified in 
paragraph (a) of this section to all individuals who operate a 
teletherapy unit.
    (c) A licensee shall retain for three years a record of individuals 
receiving instruction required by paragraph (b) of this section, a 
description of the instruction, the date of instruction, and the name of 
the individual who gave the instruction.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 59 
FR 61785, Dec. 2, 1994]



Sec. 35.615  Safety precautions.

    (a) A licensee shall control access to the teletherapy room by a 
door at each entrance.
    (b) A licensee shall equip each entrance to the teletherapy room 
with an electrical interlock system that will:
    (1) Prevent the operator from turning the primary beam of radiation 
on unless each treatment room entrance door is closed;
    (2) Turn the primary beam of radiation off immediately when an 
entrance door is opened; and
    (3) Prevent the primary beam of radiation from being turned on 
following an interlock interruption until all treatment room entrance 
doors are closed and the beam on-off control is reset at the console.
    (c) A licensee shall equip each entrance to the teletherapy room 
with a beam condition indicator light.
    (d) A licensee shall install in each teletherapy room a permanent 
radiation monitor capable of continuously monitoring beam status.
    (1) A radiation monitor must provide visible notice of a teletherapy 
unit malfunction that results in an exposed or partially exposed source, 
and must be observable by an individual entering the teletherapy room.
    (2) A radiation monitor must be equipped with a backup power supply 
separate from the power supply to the teletherapy unit. This backup 
power supply may be a battery system.
    (3) A radiation monitor must be checked with a dedicated check 
source for proper operation each day before the teletherapy unit is used 
for treatment of patients or human research subjects.
    (4) A licensee shall maintain a record of the check required by 
paragraph (d)(3) of this section for three years. The record must 
include the date of the

[[Page 532]]

check, notation that the monitor indicates when its detector is and is 
not exposed, and the initials of the individual who performed the check.
    (5) If a radiation monitor is inoperable, the licensee shall require 
any individual entering the teletherapy room to use a survey instrument 
or audible alarm personal dosimeter to monitor for any malfunction of 
the source exposure mechanism that may result in an exposed or partially 
exposed source. The instrument or dosimeter must be checked with a 
dedicated check source for proper operation at the beginning of each day 
of use. The licensee shall keep a record as described in paragraph 
(d)(4) of this section.
    (6) A licensee shall promptly repair or replace the radiation 
monitor if it is inoperable.
    (e) A licensee shall construct or equip each teletherapy room to 
permit continuous observation of the patient or the human research 
subject from the teletherapy unit console during irradiation.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988; 59 
FR 61785, Dec. 2, 1994]



Sec. 35.620  Possession of survey instrument.

    A licensee authorized to use byproduct material in a teletherapy 
unit shall have in its possession either a portable radiation detection 
survey instrument capable of detecting dose rate over the range 0.1 
millirem per hour to 100 millirem per hour or a portable radiation 
measurement survey instrument capable of measuring dose rates over the 
range 1 millirem per hour to 1,000 millirem per hour.



Sec. 35.630  Dosimetry equipment.

    (a) A licensee shall have a calibrated dosimetry system available 
for use. To satisfy this requirement, one of the following two 
conditions must be met.
    (1) The system must have been calibrated by the National Institute 
of Standards and Technology or by a calibration laboratory accredited by 
the American Association of Physicists in Medicine (AAPM). The 
calibration must have been performed within the previous two years and 
after any servicing that may have affected system calibration; or
    (2) The system must have been calibrated within the previous four 
years; eighteen to thirty months after that calibration, the system must 
have been intercompared at an intercomparison meeting with another 
dosimetry system that was calibrated within the past twenty-four months 
by the National Institute of Standards and Technology or by a 
calibration laboratory accredited by the AAPM. The intercomparison 
meeting must be sanctioned by a calibration laboratory or radiologic 
physics center accredited by the AAPM. The results of the 
intercomparison meeting must have indicated that the calibration factor 
of the licensee's system had not changed by more than 2 percent. The 
licensee may not use the intercomparison result to change the 
calibration factor. When intercomparing dosimetry systems to be used for 
calibrating cobalt-60 teletherapy units, the licensee shall use a 
teletherapy unit with a cobalt-60 source. When intercomparing dosimetry 
systems to be used for calibrating cesium-137 teletherapy units, the 
licensee shall use a teletherapy unit with a cesium-137 source.
    (b) The licensee shall have available for use a dosimetry system for 
spot-check measurements. To satisfy this requirement, the system may be 
compared with a system that has been calibrated in accordance with 
paragraph (a) of this section. This comparison must have been performed 
within the previous year and after each servicing that may have affected 
system calibration. The spot-check system may be the same system used to 
meet the requirement in paragraph (a) of this section.
    (c) The licensee shall retain a record of each calibration, 
intercomparison, and comparison for the duration of the license. For 
each calibration, intercomparison, or comparison, the record must 
include the date, the model numbers and serial numbers of the 
instruments that were calibrated, intercompared, or compared as required 
by paragraphs (a) and (b) of this section, the correction factor that 
was determined from the calibration or comparison or the apparent 
correction factor that was

[[Page 533]]

determined from an intercomparison, the names of the individuals who 
performed the calibration, intercomparison, or comparison, and evidence 
that the intercomparison meeting was sanctioned by a calibration 
laboratory or radiologic physics center accredited by AAPM.
[51 FR 36951, Oct. 16, 1986, as amended at 56 FR 23471, May 21, 1991]



Sec. 35.632  Full calibration measurements.

    (a) A licensee authorized to use a teletherapy unit for medical use 
shall perform full calibration measurements on each teletherapy unit:
    (1) Before the first medical use of the unit; and
    (2) Before medical use under the following conditions:
    (i) Whenever spot-check measurements indicate that the output 
differs by more than 5 percent from the output obtained at the last full 
calibration corrected mathematically for radioactive decay;
    (ii) Following replacement of the source or following reinstallation 
of the teletherapy unit in a new location;
    (iii) Following any repair of the teletherapy unit that includes 
removal of the source or major repair of the components associated with 
the source exposure assembly; and
    (3) At intervals not exceeding one year.
    (b) To satisfy the requirement of paragraph (a) of this section, 
full calibration measurements must include determination of:
    (1) The output within 3 percent for the range of field 
sizes and for the distance or range of distances used for medical use;
    (2) The coincidence of the radiation field and the field indicated 
by the light beam localizing device;
    (3) The uniformity of the radiation field and its dependence on the 
orientation of the useful beam;
    (4) Timer constancy and linearity over the range of use;
    (5) On-off error; and
    (6) The accuracy of all distance measuring and localization devices 
in medical use.
    (c) A licensee shall use the dosimetry system described in 
Sec. 35.630(a) to measure the output for one set of exposure conditions. 
The remaining radiation measurements required in paragraph (b)(1) of 
this section may be made using a dosimetry system that indicates 
relative dose rates.
    (d) A licensee shall make full calibration measurements required by 
paragraph (a) of this section in accordance with either the procedures 
recommended by the Scientific Committee on Radiation Dosimetry of the 
American Association of Physicists in Medicine that are described in 
Physics in Medicine and Biology Vol. 16, No. 3, 1971, pp. 379-396, or by 
Task Group 21 of the Radiation Therapy Committee of the American 
Association of Physicists in Medicine that are described in Medical 
Physics Vol. 10, No. 6, 1983, pp. 741-771, and Vol. 11, No. 2, 1984, p. 
213. (Both of these references have been approved for incorporation by 
reference by the Director of the Federal Register. Copies of the 
documents are available for inspection at the NRC Library, 11545 
Rockville Pike, Rockville, Maryland 20852-2738. Copies of the documents 
are also on file at the Office of the Federal Register, 800 North 
Capitol Street NW., suite 700, Washington, DC. A notice of any change in 
the material will be published in the Federal Register.)
    (e) A licensee shall correct mathematically the outputs determined 
in paragraph (b)(1) of this section for physical decay for intervals not 
exceeding one month for cobalt-60 or six months for cesium-137.
    (f) Full calibration measurements required by paragraph (a) of this 
section and physical decay corrections required by paragraph (e) of this 
section must be performed by the licensee's teletherapy physicist.
    (g) A licensee shall retain a record of each calibration for the 
duration of use of the teletherapy unit source. The record must include 
the date of the calibration, the manufacturer's name, model number, and 
serial number for both the teletherapy unit and the source, the model 
numbers and serial numbers of the instruments used to calibrate the 
teletherapy unit, tables that describe the output of the unit over the 
range of field sizes and for the range of distances used in radiation

[[Page 534]]

therapy, a determination of the coincidence of the radiation field and 
the field indicated by the light beam localizing device, an assessment 
of timer linearity and constancy, the calculated on-off error, the 
estimated accuracy of each distance measuring or localization device, 
and the signature of the teletherapy physicist.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 43420, Oct. 27, 1988; 
57 FR 61786, Dec. 29, 1992; 59 FR 50689, Oct. 5, 1994]



Sec. 35.634  Periodic spot-checks.

    (a) A licensee authorized to use teletherapy units for medical use 
shall perform output spot-checks on each teletherapy unit once in each 
calendar month that include determination of:
    (1) Timer constancy, and timer linearity over the range of use;
    (2) On-off error;
    (3) The coincidence of the radiation field and the field indicated 
by the light beam localizing device;
    (4) The accuracy of all distance measuring and localization devices 
used for medical use;
    (5) The output for one typical set of operating conditions measured 
with the dosimetry system described in Sec. 35.630(b) of this part; and
    (6) The difference between the measurement made in paragraph (b)(5) 
of this section and the anticipated output, expressed as a percentage of 
the anticipated output (i.e., the value obtained at last full 
calibration corrected mathematically for physical decay).
    (b) A licensee shall perform measurements required by paragraph (a) 
of this section in accordance with procedures established by the 
teletherapy physicist. That individual need not actually perform the 
spotcheck measurements.
    (c) A licensee shall have the teletherapy physicist review the 
results of each spot-check within 15 days. The teletherapy physicist 
shall promptly notify the licensee in writing of the results of each 
spot-check. The licensee shall keep a copy of each written notification 
for three years.
    (d) A licensee authorized to use a teletherapy unit for medical use 
shall perform safety spot-checks of each teletherapy facility once in 
each calendar month that assure proper operation of:
    (1) Electrical interlocks at each teletherapy room entrance;
    (2) Electrical or mechanical stops installed for the purpose of 
limiting use of the primary beam of radiation (restriction of source 
housing angulation or elevation, carriage or stand travel and operation 
of the beam on-off mechanism);
    (3) Beam condition indicator lights on the teletherapy unit, on the 
control console, and in the facility;
    (4) Viewing systems;
    (5) Treatment room doors from inside and outside the treatment room; 
and
    (6) Electrically assisted treatment room doors with the teletherapy 
unit electrical power turned off.
    (e) A licensee shall arrange for prompt repair of any system 
identified in paragraph (d) of this section that is not operating 
properly, and shall not use the teletherapy unit following door 
interlock malfunction until the interlock system has been repaired.
    (f) A licensee shall retain a record of each spot-check required by 
paragraphs (a) and (d) of this section for three years. The record must 
include the date of the spot-check, the manufacturer's name, model 
number, and serial number for both the teletherapy unit and source, the 
manufacturer's name, model number and serial number of the instrument 
used to measure the output of the teletherapy unit, an assessment of 
timer linearity and constancy, the calculated on-off error, a 
determination of the coincidence of the radiation field and the field 
indicated by the light beam localizing device, the calculated on-off 
error, the determined accuracy of each distance measuring or 
localization device, the difference between the anticipated output and 
the measured output, notations indicating the operability of each 
entrance door electrical interlock, each electrical or mechanical stop, 
each beam condition indicator light, the viewing system and doors, and 
the signature of the individual who performed the periodic spot-check.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988]

[[Page 535]]



Sec. 35.636  Safety checks for teletherapy facilities.

    (a) A licensee shall promptly check all systems listed in 
Sec. 35.634(d) for proper function after each installation of a 
teletherapy source and after making any change for which an amendment is 
required by Sec. 35.606 (a) through (d).
    (b) If the results of the checks required in paragraph (a) of this 
section indicate the malfunction of any system specified in 
Sec. 35.634(d), the licensee shall lock the control console in the off 
position and not use the unit except as may be necessary to repair, 
replace, or check the malfunctioning system.
    (c) A licensee shall retain for three years a record of the facility 
checks following installation of a source. The record must include 
notations indicating the operability of each entrance door interlock, 
each electrical or mechanical stop, each beam condition indicator light, 
the viewing system, and doors, and the signature of the Radiation Safety 
Officer.

[51 FR 36951, Oct. 16, 1986, as amended at 53 FR 19247, May 27, 1988]



Sec. 35.641  Radiation surveys for teletherapy facilities.

    (a) Before medical use, after each installation of a teletherapy 
source, and after making any change for which an amendment is required 
by Sec. 35.606 (a) through (d), the licensee shall perform radiation 
surveys with a portable radiation measurement survey instrument 
calibrated in accordance with Sec. 35.51 of this part to verify that:
    (1) The maximum and average dose rates at one meter from the 
teletherapy source with the source in the off position and the 
collimators set for a normal treatment field do not exceed 10 millirem 
per hour and 2 millirem per hour, respectively; and
    (2) With the teletherapy source in the on position with the largest 
clinically available treatment field and with a scattering phantom in 
the primary beam of radiation, that:
    (i) Radiation dose quantities per unit time in restricted areas are 
not likely to cause personnel exposures in excess of the limits 
specified in Sec. 20.1201 of this chapter; and
    (ii) Radiation dose quantities per unit time in unrestricted areas 
do not exceed the limits specified in Sec. 20.1301 of this chapter.
    (b) If the results of the surveys required in paragraph (a) of this 
section indicate any radiation dose quantity per unit time in excess of 
the respective limit specified in that paragraph, the licensee shall 
lock the control in the off position and not use the unit:
    (1) Except as may be necessary to repair, replace, or test the 
teletherapy unit shielding or the treatment room shielding; or
    (2) Until the licensee has received a specific exemption pursuant to 
Sec. 20.1301 of this chapter.
    (c) A licensee shall retain a record of the radiation measurements 
made following installation of a source for the duration of the license. 
The record must include the date of the measurements, the reason the 
survey is required, the manufacturer's name, model number and serial 
number of the teletherapy unit, the source, and the instrument used to 
measure radiation levels, each dose rate measured around the teletherapy 
source while in the off position and the average of all measurements, a 
plan of the areas surrounding the treatment room that were surveyed, the 
measured dose rate at several points in each area expressed in millirem 
per hour, the calculated maximum quantity of radiation over a period of 
one week for each restricted and unrestricted area, and the signature of 
the Radiation Safety Officer.

[51 FR 36951, Oct. 16, 1986, as amended at 56 FR 23472, May 21, 1991; 58 
FR 67660, Dec. 22, 1993]



Sec. 35.643  Modification of teletherapy unit or room before beginning a treatment program.

    (a) If the survey required by Sec. 35.641 indicates that an 
individual in an unrestricted area may be exposed to levels of radiation 
greater than those permitted by Sec. 20.1301, before beginning the 
treatment program the licensee shall:
    (1) Either equip the unit with stops or add additional radiation 
shielding to ensure compliance with Sec. 20.1301(c) of this chapter;
    (2) Perform the survey required by Sec. 35.641 again; and
    (3) Include in the report required by Sec. 35.645 the results of the 
initial survey,

[[Page 536]]

a description of the modification made to comply with paragraph (a)(1) 
of this section, and the results of the second survey.
    (b) As an alternative to the requirements set out in paragraph (a) 
of this section, a licensee may request a license amendment under 
Sec. 20.1301(c) of this chapter that authorizes radiation levels in 
unrestricted areas greater than those permitted by Sec. 20.1301(a) of 
this chapter. A licensee may not begin the treatment program until the 
license amendment has been issued.

[51 FR 36951, Oct. 16, 1986, as amended at 56 FR 23472, May 21, 1991; 58 
FR 67660, Dec. 22, 1993]



Sec. 35.645  Reports of teletherapy surveys, checks, tests, and measurements.

    A licensee shall mail a copy of the records required in 
Secs. 35.636, 35.641, 35.643, and the output from the teletherapy source 
expressed as roentgens or rads per hour at one meter from the source and 
determined during the full calibration required in Sec. 35.632, to the 
appropriate Commission Regional Office listed in Sec. 30.6 of this 
chapter within thirty days following completion of the action that 
initiated the record requirement.



Sec. 35.647  Five-year inspection.

    (a) A licensee shall have each teletherapy unit fully inspected and 
serviced during teletherapy source replacement or at intervals not to 
exceed five years, whichever comes first, to assure proper functioning 
of the source exposure mechanism.
    (b) This inspection and servicing may only be performed by persons 
specifically licensed to do so by the Commission or an Agreement State.
    (c) A licensee shall keep a record of the inspection and servicing 
for the duration of the license. The record must contain the inspector's 
name, the inspector's license number, the date of inspection, the 
manufacturer's name and model number and serial number for both the 
teletherapy unit and source, a list of components inspected, a list of 
components serviced and the type of service, a list of components 
replaced, and the signature of the inspector.



             Subpart J--Training and Experience Requirements



Sec. 35.900  Radiation Safety Officer.

    Except as provided in Sec. 35.901, the licensee shall require an 
individual fulfilling the responsibilities of the Radiation Safety 
Officer as provided in Sec. 35.32 to be an individual who:
    (a) Is certified by:
    (1) American Board of Health Physics in Comprehensive Health 
Physics;
    (2) American Board of Radiology;
    (3) American Board of Nuclear Medicine;
    (4) American Board of Science in Nuclear Medicine;
    (5) Board of Pharmaceutical Specialties in Nuclear Pharmacy;
    (6) American Board of Medical Physics in radiation oncology physics;
    (7) Royal College of Physicians and Surgeons of Canada in nuclear 
medicine;
    (8) American Osteopathic Board of Radiology; or
    (9) American Osteopathic Board of Nuclear Medicine; or
    (b) Has had classroom and laboratory training and experience as 
follows:
    (1) 200 hours of classroom and laboratory training that includes:
    (i) Radiation physics and instrumentation;
    (ii) Radiation protection;
    (iii) Mathematics pertaining to the use and measurement of 
radioactivity;
    (iv) Radiation biology; and
    (v) Radiopharmaceutical chemistry; and
    (2) One year of full time experience as a radiation safety 
technologist at a medical institution under the supervision of the 
individual identified as the Radiation Safety Officer on a Commission or 
Agreement State license that authorizes the medical use of byproduct 
material; or
    (c) Be an authorized user identified on the licensee's license.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61786, Dec. 2, 1994]



Sec. 35.901  Training for experienced Radiation Safety Officer.

    An individual identified as a Radiation Safety Officer on a 
Commission

[[Page 537]]

or Agreement State license before October 1, 1986 need not comply with 
the training requirements of Sec. 35.900.



Sec. 35.910  Training for uptake, dilution, and excretion studies.

    Except as provided in Secs. 35.970 and 35.971, the licensee shall 
require the authorized user of a radiopharmaceutical in Sec. 35.100(a) 
to be a physician who:
    (a) Is certified in:
    (1) Nuclear medicine by the American Board of Nuclear Medicine;
    (2) Diagnostic radiology by the American Board of Radiology; or
    (3) Diagnostic radiology or radiology by the American Osteopathic 
Board of Radiology;
    (4) Nuclear medicine by the Royal College of Physicians and Surgeons 
of Canada; or
    (5) American Osteopathic Board of Nuclear Medicine in nuclear 
medicine; or
    (b) Has had classroom and laboratory training in basic radioisotope 
handling techniques applicable to the use of prepared 
radiopharmaceuticals, and supervised clinical experience as follows:
    (1) 40 hours of classroom and laboratory training that includes:
    (i) Radiation physics and instrumentation;
    (ii) Radiation protection;
    (iii) Mathematics pertaining to the use and measurement of 
radioactivity;
    (iv) Radiation biology; and
    (v) Radiopharmaceutical chemistry; and
    (2) 20 hours of supervised clinical experience under the supervision 
of an authorized user and that includes:
    (i) Examining patients or human research subjects and reviewing 
their case histories to determine their suitability for radioisotope 
diagnosis, limitations, or contraindications;
    (ii) Selecting the suitable radiopharmaceuticals and calculating and 
measuring the dosages;
    (iii) Administering dosages to patients or human research subjects 
and using syringe radiation shields;
    (iv) Collaborating with the authorized user in the interpretation of 
radioisotope test results; and
    (v) Patient or human research subject followup; or
    (c) Has successfully completed a six-month training program in 
nuclear medicine as part of a training program that has been approved by 
the Accreditation Council for Graduate Medical Education and that 
included classroom and laboratory training, work experience, and 
supervised clinical experience in all the topics identified in paragraph 
(b) of this section.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61786, Dec. 2, 1994]



Sec. 35.920  Traininq for imaging and localization studies.

    Except as provided in Sec. 35.970 or 35.971, the licensee shall 
require the authorized user of a radiopharmaceutical, generator, or 
reagent kit in Sec. 35.200(a) to be a physician who:
    (a) Is certified in:
    (1) Nuclear medicine by the American Board of Nuclear Medicine;
    (2) Diagnostic radiology by the American Board of Radiology;
    (3) Diagnostic radiology or radiology by the American Osteopathic 
Board of Radiology;
    (4) Nuclear medicine by the Royal College of Physicians and Surgeons 
of Canada; or
    (5) American Osteopathic Board of Nuclear Medicine in nuclear 
medicine; or
    (b) Has had classroom and laboratory training in basic radioisotope 
handling techniques applicable to the use of prepared 
radiopharmaceuticals, generators, and reagent kits, supervised work 
experience, and supervised clinical experience as follows:
    (1) 200 hours of classroom and laboratory training that includes:
    (i) Radiation physics and instrumentation;
    (ii) Radiation protection;
    (iii) Mathematics pertaining to the use and measurement of 
radioactivity;
    (iv) Radiopharmaceutical chemistry; and
    (v) Radiation biology; and
    (2) 500 hours of supervised work experience under the supervision of 
an authorized user that includes:
    (i) Ordering, receiving, and unpacking radioactive materials safely 
and performing the related radiation surveys;

[[Page 538]]

    (ii) Calibrating dose calibrators and diagnostic instruments and 
performing checks for proper operation of survey meters;
    (iii) Calculating and safely preparing patient or human research 
subject dosages;
    (iv) Using administrative controls to prevent the misadministration 
of byproduct material;
    (v) Using procedures to contain spilled byproduct material safely 
and using proper decontamination procedures; and
    (vi) Eluting technetium-99m from generator systems, measuring and 
testing the eluate for molybdenum-99 and alumina contamination, and 
processing the eluate with reagent kits to prepare technetium-99m 
labeled radiopharmaceuticals; and
    (3) 500 hours of supervised clinical experience under the 
supervision of an authorized user that includes:
    (i) Examining patients or human research subjects and reviewing 
their case histories to determine their suitability for radioisotope 
diagnosis, limitations, or contraindications;
    (ii) Selecting the suitable radiopharmaceuticals and calculating and 
measuring the dosages;
    (iii) Administering dosages to patients or human research subjects 
and using syringe radiation shields;
    (iv) Collaborating with the authorized user in the interpretation of 
radioisotope test results; and
    (v) Patient or human research subject followup; or
    (c) Has successfully completed a six-month training program in 
nuclear medicine that has been approved by the Accreditation Council for 
Graduate Medical Education and that included classroom and laboratory 
training, work experience, and supervised clinical experience in all the 
topics identified in paragraph (b) of this section.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61786, Dec. 2, 1994]



Sec. 35.930  Training for therapeutic use of unsealed byproduct material.

    Except as provided in Sec. 35.970, the licensee shall require the 
authorized user of radiopharmaceuticals in Sec. 35.300 to be a physician 
who:
    (a) Is certified by:
    (1) The American Board of Nuclear Medicine;
    (2) The American Board of Radiology in radiology, therapeutic 
radiology, or radiation oncology;
    (3) Nuclear medicine by the Royal College of Physicians and Surgeons 
of Canada; or
    (4) The American Osteopathic Board of Radiology after 1984; or
    (b) Has had classroom and laboratory training in basic radioisotope 
handling techniques applicable to the use of therapeutic 
radiopharmaceuticals, and supervised clinical experience as follows:
    (1) 80 hours of classroom and laboratory training that includes:
    (i) Radiation physics and instrumentation;
    (ii) Radiation protection;
    (iii) Mathematics pertaining to the use and measurement of 
radioactivity; and
    (iv) Radiation biology; and
    (2) Supervised clinical experience under the supervision of an 
authorized user at a medical institution that includes:
    (i) Use of iodine-131 for diagnosis of thyroid function and the 
treatment of hyperthyroidism or cardiac dysfunction in 10 individuals; 
and
    (ii) Use of iodine-131 for treatment of thyroid carcinoma in 3 
individuals.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61786, Dec. 2, 1994]



Sec. 35.932  Training for treatment of hyperthyroidism.

    Except as provided in Sec. 35.970, the licensee shall require the 
authorized user of only iodine-131 for the treatment of hyperthyroidism 
to be a physician with special experience in thyroid disease who has had 
classroom and laboratory training in basic radioisotope handling 
techniques applicable to the use of iodine-131 for treating 
hyperthyroidism, and supervised clinical experience as follows:
    (a) 80 hours of classroom and laboratory training that includes:
    (1) Radiation physics and instrumentation;
    (2) Radiation protection,
    (3) Mathematics pertaining to the use and measurement of 
radioactivity; and
    (4) Radiation biology; and

[[Page 539]]

    (b) Supervised clinical experience under the supervision of an 
authorized user that includes the use of iodine-131 for diagnosis of 
thyroid function, and the treatment of hyperthyroidism in 10 
individuals.



Sec. 35.934  Training for treatment of thyroid carcinoma.

    Except as provided in Sec. 35.970, the licensee shall require the 
authorized user of only iodine-131 for the treatment of thyroid 
carcinoma to be a physician with special experience in thyroid disease 
who has had classroom and laboratory training in basic radioisotope 
handling techniques applicable to the use of iodine-131 for treating 
thyroid carcinoma, and supervised clinical experience as follows:
    (a) 80 hours of classroom and laboratory training that includes:
    (1) Radiation physics and instrumentation;
    (2) Radiation protection;
    (3) Mathematics pertaining to the use and measurement of 
radioactivity; and
    (4) Radiation biology; and
    (b) Supervised clinical experience under the supervision of an 
authorized user that includes the use of iodine-131 for the treatment of 
thyroid carcinoma in 3 individuals.



Sec. 35.940  Training for use of brachytherapy sources.

    Except as provided in Sec. 35.970, the licensee shall require the 
authorized user of a brachytherapy source listed in Sec. 35.400 for 
therapy to be a physician who:
    (a) Is certified in:
    (1) Radiology, therapeutic radiology, or radiation oncology by the 
American Board of Radiology;
    (2) Radiation oncology by the American Osteopathic Board of 
Radiology;
    (3) Radiology, with specialization in radiotherapy, as a British 
``Fellow of the Faculty of Radiology'' or ``Fellow of the Royal College 
of Radiology''; or
    (4) Therapeutic radiology by the Canadian Royal College of 
Physicians and Surgeons; or
    (b) Is in the active practice of therapeutic radiology, has had 
classroom and laboratory training in radioisotope handling techniques 
applicable to the therapeutic use of brachytherapy sources, supervised 
work experience, and supervised clinical experience as follows:
    (1) 200 hours of classroom and laboratory training that includes:
    (i) Radiation physics and instrumentation;
    (ii) Radiation protection;
    (iii) Mathematics pertaining to the use and measurement of 
radioactivity; and
    (iv) Radiation biology;
    (2) 500 hours of supervised work experience under the supervision of 
an authorized user at a medical institution that includes:
    (i) Ordering, receiving, and unpacking radioactive materials safely 
and performing the related radiation surveys;
    (ii) Checking survey meters for proper operation;
    (iii) Preparing, implanting, and removing sealed sources;
    (iv) Maintaining running inventories of material on hand;
    (v) Using administrative controls to prevent the misadministration 
of byproduct material; and
    (vi) Using emergency procedures to control byproduct material; and
    (3) Three years of supervised clinical experience that includes one 
year in a formal training program approved by the Residency Review 
Committee for Radiology of the Accreditation Council for Graduate 
Medical Education or the Committee on Postdoctoral Training of the 
American Osteopathic Association, and an additional two years of 
clinical experience in therapeutic radiology under the supervision of an 
authorized user at a medical institution that includes:
    (i) Examining individuals and reviewing their case histories to 
determine their suitability for brachytherapy treatment, and any 
limitations or contraindications;
    (ii) Selecting the proper brachytherapy sources and dose and method 
of administration;
    (iii) Calculating the dose; and
    (iv) Post-administration followup and review of case histories in 
collaboration with the authorized user.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61786, Dec. 2, 1994]

[[Page 540]]



Sec. 35.941  Training for ophthalmic use of strontium-90.

    Except as provided in Sec. 35.970, the licensee shall require the 
authorized user of only strontium-90 for ophthalmic radiotherapy to be a 
physician who is in the active practice of therapeutic radiology or 
ophthalmology, and has had classroom and laboratory training in basic 
radioisotope handling techniques applicable to the use of strontium-90 
for ophthalmic radiotherapy, and a period of supervised clinical 
training in ophthalmic radiotherapy as follows:
    (a) 24 hours of classroom and laboratory training that includes:
    (1) Radiation physics and instrumentation;
    (2) Radiation protection;
    (3) Mathematics pertaining to the use and measurement of 
radioactivity; and
    (4) Radiation biology;
    (b) Supervised clinical training in ophthalmic radiotherapy under 
the supervision of an authorized user at a medical institution that 
includes the use of strontium-90 for the ophthalmic treatment of five 
individuals that includes:
    (1) Examination of each individual to be treated;
    (2) Calculation of the dose to be administered;
    (3) Administration of the dose; and
    (4) Followup and review of each individual's case history.



Sec. 35.950  Training for use of sealed sources for diagnosis.

    Except as provided in Sec. 35.970, the licensee shall require the 
authorized user of a sealed source in a device listed in Sec. 35.500 to 
be a physician, dentist, or podiatrist who:
    (a) Is certified in:
    (1) Radiology, diagnostic radiology, therapeutic radiology, or 
radiation oncology by the American Board of Radiology;
    (2) Nuclear medicine by the American Board of Nuclear Medicine;
    (3) Diagnostic radiology or radiology by the American Osteopathic 
Board of Radiology; or
    (4) Nuclear medicine by the Royal College of Physicians and Surgeons 
of Canada; or
    (b) Has had 8 hours of classroom and laboratory training in basic 
radioisotope handling techniques specifically applicable to the use of 
the device that includes:
    (1) Radiation physics, mathematics pertaining to the use and 
measurement of radioactivity, and instrumentation;
    (2) Radiation biology;
    (3) Radiation protection; and
    (4) Training in the use of the device for the uses requested.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61786, Dec. 2, 1994]



Sec. 35.960  Training for teletherapy.

    Except as provided in Sec. 35.970, the licensee shall require the 
authorized user of a sealed source listed in Sec. 35.600 in a 
teletherapy unit to be a physician who:
    (a) Is certified in:
    (1) Radiology, therapeutic radiology, or radiation oncology by the 
American Board of Radiology;
    (2) Radiation oncology by the American Osteopathic Board of 
Radiology;
    (3) Radiology, with specialization in radiotherapy, as a British 
``Fellow of the Faculty of Radiology'' or ``Fellow of the Royal College 
of Radiology''; or
    (4) Therapeutic radiology by the Canadian Royal College of 
Physicians and Surgeons; or
    (b) Is in the active practice of therapeutic radiology, and has had 
classroom and laboratory training in basic radioisotope techniques 
applicable to the use of a sealed source in a teletherapy unit, 
supervised work experience, and supervised clinical experience as 
follows:
    (1) 200 hours of classroom and laboratory training that includes:
    (i) Radiation physics and instrumentation;
    (ii) Radiation protection;
    (iii) Mathematics pertaining to the use and measurement of 
radioactivity; and
    (iv) Radiation biology;
    (2) 500 hours of supervised work experience under the supervision of 
an authorized user at a medical institution that includes:
    (i) Review of the full calibration measurements and periodic spot 
checks;

[[Page 541]]

    (ii) Preparing treatment plans and calculating treatment times;
    (iii) Using administrative controls to prevent misadministrations;
    (iv) Implementing emergency procedures to be followed in the event 
of the abnormal operation of a teletherapy unit or console; and
    (v) Checking and using survey meters; and
    (3) Three years of supervised clinical experience that includes one 
year in a formal training program approved by the Residency Review 
Committee for Radiology of the Accreditation Council for Graduate 
Medical Education or the Committee on Postdoctoral Training of the 
American Osteopathic Association and an additional two years of clinical 
experience in therapeutic radiology under the supervision of an 
authorized user at a medical institution that includes:
    (i) Examining individuals and reviewing their case histories to 
determine their suitability for teletherapy treatment, and any 
limitations or contraindications;
    (ii) Selecting the proper dose and how it is to be administered;
    (iii) Calculating the teletherapy doses and collaborating with the 
authorized user in the review of patients' or human research subjects' 
progress and consideration of the need to modify originally prescribed 
doses as warranted by patients' or human research subjects' reaction to 
radiation; and
    (iv) Post-administration followup and review of case histories.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61786, Dec. 2, 1994]



Sec. 35.961  Training for teletherapy physicist.

    The licensee shall require the teletherapy physicist to be an 
individual who:
    (a) Is certified by the American Board of Radiology in:
    (1) Therapeutic radiological physics;
    (2) Roentgen ray and gamma ray physics;
    (3) X-ray and radium physics; or
    (4) Radiological physics; or
    (b) Is certified by the American Board of Medical Physics in 
radiation oncology physics; or
    (c) Holds a master's or doctor's degree in physics, biophysics, 
radiological physics, or health physics, and has completed one year of 
full time training in therapeutic radiological physics and an additional 
year of full time work experience under the supervision of a teletherapy 
physicist at a medical institution that includes the tasks listed in 
Secs. 35.59, 35.632, 35.634, and 35.641 of this part.

[51 FR 36951, Oct. 16, 1986, as amended at 59 FR 61786, Dec. 2, 1994]



Sec. 35.970  Training for experienced authorized users.

    Physicians, dentists, or podiatrists identified as authorized users 
for the medical, dental, or podiatric use of byproduct material on a 
Commission or Agreement State license issued before April 1, 1987 who 
perform only those methods of use for which they were authorized on that 
date need not comply with the training requirements of subpart J.



Sec. 35.971  Physician training in a three month program.

    A physician who, before July 1, 1984, began a three month nuclear 
medicine training program approved by the Accreditation Council for 
Graduate Medical Education and has successfully completed the program 
need not comply with the requirements of Secs. 35.910 or 35.920.



Sec. 35.972  Recentness of training.

    The training and experience specified in this subpart must have been 
obtained within the 7 years preceding the date of application or the 
individual must have had related continuing education and experience 
since the required training and experience was completed.

[59 FR 61786, Dec. 2, 1994]



Sec. 35.980  Training for an authorized nuclear pharmacist.

    The licensee shall require the authorized nuclear pharmacist to be a 
pharmacist who:
    (a) Has current board certification as a nuclear pharmacist by the 
Board of Pharmaceutical Specialties, or

[[Page 542]]

    (b)(1) Has completed 700 hours in a structured educational program 
consisting of both:
    (i) Didactic training in the following areas:
    (A) Radiation physics and instrumentation;
    (B) Radiation protection;
    (C) Mathematics pertaining to the use and measurement of 
radioactivity;
    (D) Chemistry of byproduct material for medical use; and
    (E) Radiation biology; and
    (ii) Supervised experience in a nuclear pharmacy involving the 
following:
    (A) Shipping, receiving, and performing related radiation surveys;
    (B) Using and performing checks for proper operation of dose 
calibrators, survey meters, and, if appropriate, instruments used to 
measure alpha- or beta-emitting radionuclides;
    (C) Calculating, assaying, and safely preparing dosages for patients 
or human research subjects;
    (D) Using administrative controls to avoid mistakes in the 
administration of byproduct material;
    (E) Using procedures to prevent or minimize contamination and using 
proper decontamination procedures; and
    (2) Has obtained written certification, signed by a preceptor 
authorized nuclear pharmacist, that the above training has been 
satisfactorily completed and that the individual has achieved a level of 
competency sufficient to independently operate a nuclear pharmacy.

[59 FR 61786, Dec. 2, 1994]



Sec. 35.981  Training for experienced nuclear pharmacists.

    A licensee may apply for and must receive a license amendment 
identifying an experienced nuclear pharmacist as an authorized nuclear 
pharmacist before it allows this individual to work as an authorized 
nuclear pharmacist. A pharmacist who has completed a structured 
educational program as specified in Sec. 35.980(b)(1) before December 2, 
1994, and who is working in a nuclear pharmacy would qualify as an 
experienced nuclear pharmacist. An experienced nuclear pharmacist need 
not comply with the requirements on preceptor statement 
(Sec. 35.980(b)(2)) and recentness of training (Sec. 35.972) to qualify 
as an authorized nuclear pharmacist.

[59 FR 61787, Dec. 2, 1994; 59 FR 65244, Dec. 19, 1994]



                         Subpart K--Enforcement



Sec. 35.990  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55074, Nov. 24, 1992]



Sec. 35.991  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 35 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 35 that are not issued under subsections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 35.1, 35.2, 35.7, 35.8, 35.12, 35.15, 35.18, 35.19, 35.57, 35.100,

[[Page 543]]

35.600, 35.901, 35.970, 35.971, 35.990, 35.991, and 35.999.

[57 FR 55074, Nov. 24, 1992, as amended at 59 FR 61787, Dec. 2, 1994]



Sec. 35.999  Resolution of conflicting requirements during transition period.

    If the rules in this part conflict with the licensee's radiation 
safety program as identified in its license, and if that license was 
approved by the Commission before April 1, 1987 and has not been renewed 
since April 1, 1987, then the requirements in the license will apply. 
However, if that licensee exercises its privilege to make minor changes 
in its radiation safety procedures that are not potentially important to 
safety under Sec. 35.31 of this chapter, the portion changed must comply 
with the requirements of this part. At the time of license renewal and 
thereafter, these admendments to this part shall apply.



PART 36--LICENSES AND RADIATION SAFETY REQUIREMENTS FOR IRRADIATORS--Table of Contents




                      Subpart A--General Provisions

Sec.
36.1  Purpose and scope.
36.2  Definitions.
36.5  Interpretations.
36.8  Information collection requirements: OMB approval.

               Subpart B--Specific Licensing Requirements

36.11  Application for a specific license.
36.13  Specific licenses for irradiators.
36.15  Start of construction.
36.17  Applications for exemptions.
36.19  Request for written statements.

     Subpart C--Design and Performance Requirements for Irradiators

36.21  Performance criteria for sealed sources.
36.23  Access control.
36.25  Shielding.
36.27  Fire protection.
36.29  Radiation monitors.
36.31  Control of source movement.
36.33  Irradiator pools.
36.35  Source rack protection.
36.37  Power failures.
36.39  Design requirements.
36.41  Construction monitoring and acceptance testing.

                   Subpart D--Operation of Irradiators

36.51  Training.
36.53  Operating and emergency procedures.
36.55  Personnel monitoring.
36.57  Radiation surveys.
36.59  Detection of leaking sources.
36.61  Inspection and maintenance.
36.63  Pool water purity.
36.65  Attendance during operation.
36.67  Entering and leaving the radiation room.
36.69  Irradiation of explosive or flammable materials.

                           Subpart E--Records

36.81  Records and retention periods.
36.83  Reports.

                         Subpart F--Enforcement

36.91  Violations.
36.93  Criminal penalties.

    Authority: Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, 953, 
954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 
2111, 2112, 2201, 2232, 2233, 2236, 2282); secs. 201, as amended, 202, 
206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846).

    Source: 58 FR 7728, Feb. 9, 1993, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 36.1  Purpose and scope.

    (a) This part contains requirements for the issuance of a license 
authorizing the use of sealed sources containing radioactive materials 
in irradiators used to irradiate objects or materials using gamma 
radiation. This part also contains radiation safety requirements for 
operating irradiators. The requirements of this part are in addition to 
other requirements of this chapter. In particular, the provisions of 
parts 19, 20, 21, 30, 71, 170, and 171 of this chapter apply to 
applications and licenses subject to this part. Nothing in this part 
relieves the licensee from complying with other applicable Federal, 
State and local regulations governing the siting, zoning, land use, and 
building code requirements for industrial facilities.

[[Page 544]]

    (b) The regulations in this part apply to panoramic irradiators that 
have either dry or wet storage of the radioactive sealed sources and to 
underwater irradiators in which both the source and the product being 
irradiated are under water. Irradiators whose dose rates exceed 5 grays 
(500 rads) per hour at 1 meter from the radioactive sealed sources in 
air or in water, as applicable for the irradiator type, are covered by 
this part.
    (c) The regulations in this part do not apply to self-contained dry-
source-storage irradiators (those in which both the source and the area 
subject to irradiation are contained within a device and are not 
accessible by personnel), medical radiology or teletherapy, radiography 
(the irradiation of materials for nondestructive testing purposes), 
gauging, or open-field (agricultural) irradiations.



Sec. 36.2  Definitions.

    Annually means either (1) at intervals not to exceed 1 year or (2) 
once per year, at about the same time each year (plus or minus 1 month).
    Doubly encapsulated sealed source means a sealed source in which the 
radioactive material is sealed within a capsule and that capsule is 
sealed within another capsule.
    Irradiator means a facility that uses radioactive sealed sources for 
the irradiation of objects or materials and in which radiation dose 
rates exceeding 5 grays (500 rads) per hour exist at 1 meter from the 
sealed radioactive sources in air or water, as applicable for the 
irradiator type, but does not include irradiators in which both the 
sealed source and the area subject to irradiation are contained within a 
device and are not accessible to personnel.
    Irradiator operator means an individual who has successfully 
completed the training and testing described in Sec. 36.51 and is 
authorized by the terms of the license to operate the irradiator without 
a supervisor present.
    Panoramic dry-source-storage irradiator means an irradiator in which 
the irradiations occur in air in areas potentially accessible to 
personnel and in which the sources are stored in shields made of solid 
materials. The term includes beam-type dry-source-storage irradiators in 
which only a narrow beam of radiation is produced for performing 
irradiations.
    Panoramic irradiator means an irradiator in which the irradiations 
are done in air in areas potentially accessible to personnel. The term 
includes beam-type irradiators.
    Panoramic wet-source-storage irradiator means an irradiator in which 
the irradiations occur in air in areas potentially accessible to 
personnel and in which the sources are stored under water in a storage 
pool.
    Pool irradiator means any irradiator at which the sources are stored 
or used in a pool of water including panoramic wet-source-storage 
irradiators and underwater irradiators.
    Product conveyor system means a system for moving the product to be 
irradiated to, from, and within the area where irradiation takes place.
    Radiation room means a shielded room in which irradiations take 
place. Underwater irradiators do not have radiation rooms.
    Radiation safety officer means an individual with responsibility for 
the overall radiation safety program at the facility.
    Sealed source means any byproduct material that is used as a source 
of radiation and is encased in a capsule designed to prevent leakage or 
escape of the byproduct material.
    Seismic area means any area where the probability of a horizontal 
acceleration in rock of more than 0.3 times the acceleration of gravity 
in 250 years is greater than 10 percent, as designated by the U.S. 
Geological Survey.
    Underwater irradiator means an irradiator in which the sources 
always remain shielded under water and humans do not have access to the 
sealed sources or the space subject to irradiation without entering the 
pool.



Sec. 36.5  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission, other than a written 
interpretation by the General Counsel, will be recognized to be binding 
upon the Commission.

[[Page 545]]



Sec. 36.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0158.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 36.11, 36.13, 36.17, 36.19, 36.21(a)(1), 
36.81, and 36.83.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 36.11, NRC Form 313 is approved under control number 
3150-0120.
    (2) [Reserved]



               Subpart B--Specific Licensing Requirements



Sec. 36.11  Application for a specific license.

    A person, as defined in Sec. 30.4 of this chapter, may file an 
application for a specific license authorizing the use of sealed sources 
in an irradiator on Form NRC 313, ``Application for Material License.'' 
Each application for a license, other than a license exempted from part 
170 of this chapter, must be accompanied by the fee prescribed in 
Sec. 170.31 of this chapter. The application and one copy must be sent 
to the appropriate NRC Regional Office listed in appendix D to part 20 
of this chapter.



Sec. 36.13  Specific licenses for irradiators.

    The Commission will approve an application for a specific license 
for the use of licensed material in an irradiator if the applicant meets 
the requirements contained in this section.
    (a) The applicant shall satisfy the general requirements specified 
in Sec. 30.33 of this chapter and the requirements contained in this 
part.
     (b) The application must describe the training provided to 
irradiator operators including--
    (1) Classroom training;
    (2) On-the-job or simulator training;
    (3) Safety reviews;
    (4) Means employed by the applicant to test each operator's 
understanding of the Commission's regulations and licensing requirements 
and the irradiator operating and emergency procedures; and
    (5) Minimum training and experience of personnel who may provide 
training.
    (c) The application must include an outline of the written operating 
and emergency procedures listed in Sec. 36.53 that describes the 
radiation safety aspects of the procedures.
    (d) The application must describe the organizational structure for 
managing the irradiator, specifically the radiation safety 
responsibilities and authorities of the radiation safety officer and 
those management personnel who have important radiation safety 
responsibilities or authorities. In particular, the application must 
specify who, within the management structure, has the authority to stop 
unsafe operations. The application must also describe the training and 
experience required for the position of radiation safety officer.
    (e) The application must include a description of the access control 
systems required by Sec. 36.23, the radiation monitors required by 
Sec. 36.29, the method of detecting leaking sources required by 
Sec. 36.59 including the sensitivity of the method, and a diagram of the 
facility that shows the locations of all required interlocks and 
radiation monitors.
    (f) If the applicant intends to perform leak testing of dry-source-
storage sealed sources, the applicant shall establish procedures for 
leak testing and submit a description of these procedures to the 
Commission. The description must include the--
    (1) Instruments to be used;
    (2) Methods of performing the analysis; and
    (3) Pertinent experience of the individual who analyzes the samples.
    (g) If licensee personnel are to load or unload sources, the 
applicant shall describe the qualifications and training

[[Page 546]]

of the personnel and the procedures to be used. If the applicant intends 
to contract for source loading or unloading at its facility, the loading 
or unloading must be done by an organization specifically authorized by 
the Commission or an Agreement State to load or unload irradiator 
sources.
    (h) The applicant shall describe the inspection and maintenance 
checks, including the frequency of the checks required by Sec. 36.61.



Sec. 36.15  Start of construction.

    The applicant may not begin construction of a new irradiator prior 
to the submission to NRC of both an application for a license for the 
irradiator and the fee required by Sec. 170.31. As used in this section, 
the term ``construction'' includes the construction of any portion of 
the permanent irradiator structure on the site but does not include: 
Engineering and design work, purchase of a site, site surveys or soil 
testing, site preparation, site excavation, construction of warehouse or 
auxiliary structures, and other similar tasks. Any activities undertaken 
prior to the issuance of a license are entirely at the risk of the 
applicant and have no bearing on the issuance of a license with respect 
to the requirements of the Atomic Energy Act of 1954, as amended, and 
rules, regulations, and orders issued under the Act.



Sec. 36.17  Applications for exemptions.

    (a) The Commission may, upon application of any interested person or 
upon its own initiative, grant any exemptions from the requirements in 
this part that it determines are authorized by law and will not endanger 
life or property or the common defense and security and are otherwise in 
the public interest.
    (b) Any application for a license or for amendment of a license 
authorizing use of a teletherapy-type unit for irradiation of materials 
or objects may include proposed alternatives for the requirements of 
this part. The Commission will approve the proposed alternatives if the 
applicant provides adequate rationale for the proposed alternatives and 
demonstrates that they are likely to provide an adequate level of safety 
for workers and the public.



Sec. 36.19  Request for written statements.

    (a) After the filing of the original application, the Commission may 
request further information necessary to enable the Commission to 
determine whether the application should be granted or denied.
    (b) Each license is issued with the condition that the licensee 
will, at any time before expiration of the license, upon the 
Commission's request, submit written statements to enable the Commission 
to determine whether the license should be modified, suspended, or 
revoked.



     Subpart C--Design and Performance Requirements for Irradiators



Sec. 36.21  Performance criteria for sealed sources.

    (a) Requirements. Sealed sources installed after July 1, 1993:
    (1) Must have a certificate of registration issued under 10 CFR 
32.210;
    (2) Must be doubly encapsulated;
    (3) Must use radioactive material that is as nondispersible as 
practical and that is as insoluble as practical if the source is used in 
a wet-source-storage or wet-source-change irradiator;
    (4) Must be encapsulated in a material resistant to general 
corrosion and to localized corrosion, such as 316L stainless steel or 
other material with equivalent resistance if the sources are for use in 
irradiator pools; and
    (5) In prototype testing of the sealed source, must have been leak 
tested and found leak-free after each of the tests described in 
paragraphs (b) through (g) of this section.
    (b) Temperature. The test source must be held at -40 deg.C for 20 
minutes, 600 deg.C for 1 hour, and then be subjected to a thermal shock 
test with a temperature drop from 600 deg.C to 20 deg.C within 15 
seconds.
    (c) Pressure. The test source must be twice subjected for at least 5 
minutes to an external pressure (absolute) of 2 million newtons per 
square meter.
     (d) Impact. A 2-kilogram steel weight, 2.5 centimeters in diameter, 
must be

[[Page 547]]

dropped from a height of 1 meter onto the test source.
    (e) Vibration. The test source must be subjected 3 times for 10 
minutes each to vibrations sweeping from 25 hertz to 500 hertz with a 
peak amplitude of 5 times the acceleration of gravity. In addition, each 
test source must be vibrated for 30 minutes at each resonant frequency 
found.
    (f) Puncture. A 50-gram weight and pin, 0.3-centimeter pin diameter, 
must be dropped from a height of 1 meter onto the test source.
    (g) Bend. If the length of the source is more than 15 times larger 
than the minimum cross-sectional dimension, the test source must be 
subjected to a force of 2000 newtons at its center equidistant from two 
support cylinders, the distance between which is 10 times the minimum 
cross-sectional dimension of the source.



Sec. 36.23  Access control.

    (a) Each entrance to a radiation room at a panoramic irradiator must 
have a door or other physical barrier to prevent inadvertent entry of 
personnel if the sources are not in the shielded position. Product 
conveyor systems may serve as barriers as long as they reliably and 
consistently function as a barrier. It must not be possible to move the 
sources out of their shielded position if the door or barrier is open. 
Opening the door or barrier while the sources are exposed must cause the 
sources to return promptly to their shielded position. The personnel 
entrance door or barrier must have a lock that is operated by the same 
key used to move the sources. The doors and barriers must not prevent 
any individual in the radiation room from leaving.
    (b) In addition, each entrance to a radiation room at a panoramic 
irradiator must have an independent backup access control to detect 
personnel entry while the sources are exposed. Detection of entry while 
the sources are exposed must cause the sources to return to their fully 
shielded position and must also activate a visible and audible alarm to 
make the individual entering the room aware of the hazard. The alarm 
must also alert at least one other individual who is onsite of the 
entry. That individual shall be trained on how to respond to the alarm 
and prepared to promptly render or summon assistance.
    (c) A radiation monitor must be provided to detect the presence of 
high radiation levels in the radiation room of a panoramic irradiator 
before personnel entry. The monitor must be integrated with personnel 
access door locks to prevent room access when radiation levels are high. 
Attempted personnel entry while the monitor measures high radiation 
levels, must activate the alarm described in paragraph (b) of this 
section. The monitor may be located in the entrance (normally referred 
to as the maze) but not in the direct radiation beam.
    (d) Before the sources move from their shielded position in a 
panoramic irradiator, the source control must automatically activate 
conspicuous visible and audible alarms to alert people in the radiation 
room that the sources will be moved from their shielded position. The 
alarms must give individuals enough time to leave the room before the 
sources leave the shielded position.
    (e) Each radiation room at a panoramic irradiator must have a 
clearly visible and readily accessible control that would allow an 
individual in the room to make the sources return to their fully 
shielded position.
    (f) Each radiation room of a panoramic irradiator must contain a 
control that prevents the sources from moving from the shielded position 
unless the control has been activated and the door or barrier to the 
radiation room has been closed within a preset time after activation of 
the control.
    (g) Each entrance to the radiation room of a panoramic irradiator 
and each entrance to the area within the personnel access barrier of an 
underwater irradiator must have a sign bearing the radiation symbol and 
the words, ``Caution (or danger) radioactive material.'' Panoramic 
irradiators must also have a sign stating ``High radiation area,'' but 
the sign may be removed, covered, or otherwise made inoperative when the 
sources are fully shielded.
    (h) If the radiation room of a panoramic irradiator has roof plugs 
or other

[[Page 548]]

movable shielding, it must not be possible to operate the irradiator 
unless the shielding is in its proper location. This requirement may be 
met by interlocks that prevent operation if shielding is not placed 
properly or by an operating procedure requiring inspection of shielding 
before operating.
    (i) Underwater irradiators must have a personnel access barrier 
around the pool which must be locked to prevent access when the 
irradiator is not attended. Only operators and facility management may 
have access to keys to the personnel access barrier. There must be an 
intrusion alarm to detect unauthorized entry when the personnel access 
barrier is locked. Activation of the intrusion alarm must alert an 
individual (not necessarily onsite) who is prepared to respond or summon 
assistance.



Sec. 36.25  Shielding.

    (a) The radiation dose rate in areas that are normally occupied 
during operation of a panoramic irradiator may not exceed 0.02 
millisievert (2 millirems) per hour at any location 30 centimeters or 
more from the wall of the room when the sources are exposed. The dose 
rate must be averaged over an area not to exceed 100 square centimeters 
having no linear dimension greater than 20 cm. Areas where the radiation 
dose rate exceeds 0.02 millisievert (2 millirems) per hour must be 
locked, roped off, or posted.
    (b) The radiation dose at 30 centimeters over the edge of the pool 
of a pool irradiator may not exceed 0.02 millisievert (2 millirems) per 
hour when the sources are in the fully shielded position.
    (c) The radiation dose rate at 1 meter from the shield of a dry-
source-storage panoramic irradiator when the source is shielded may not 
exceed 0.02 millisievert (2 millirems) per hour and at 5 centimeters 
from the shield may not exceed 0.2 millisievert (20 millirems) per hour.



Sec. 36.27  Fire protection.

    (a) The radiation room at a panoramic irradiator must have heat and 
smoke detectors. The detectors must activate an audible alarm. The alarm 
must be capable of alerting a person who is prepared to summon 
assistance promptly. The sources must automatically become fully 
shielded if a fire is detected.
    (b) The radiation room at a panoramic irradiator must be equipped 
with a fire extinguishing system capable of extinguishing a fire without 
the entry of personnel into the room. The system for the radiation room 
must have a shut-off valve to control flooding into unrestricted areas.



Sec. 36.29  Radiation monitors.

    (a) Irradiators with automatic product conveyor systems must have a 
radiation monitor with an audible alarm located to detect loose 
radioactive sources that are carried toward the product exit. If the 
monitor detects a source, an alarm must sound and product conveyors must 
stop automatically. The alarm must be capable of alerting an individual 
in the facility who is prepared to summon assistance. Underwater 
irradiators in which the product moves within an enclosed stationary 
tube are exempt from the requirements of this paragraph.
    (b) Underwater irradiators that are not in a shielded radiation room 
must have a radiation monitor over the pool to detect abnormal radiation 
levels. The monitor must have an audible alarm and a visible indicator 
at entrances to the personnel access barrier around the pool. The 
audible alarm may have a manual shut-off. The alarm must be capable of 
alerting an individual who is prepared to respond promptly.



Sec. 36.31  Control of source movement.

    (a) The mechanism that moves the sources of a panoramic irradiator 
must require a key to actuate. Actuation of the mechanism must cause an 
audible signal to indicate that the sources are leaving the shielded 
position. Only one key may be in use at any time, and only operators or 
facility management may possess it. The key must be attached to a 
portable radiation survey meter by a chain or cable. The lock for source 
control must be designed so that the key may not be removed if the 
sources are in an unshielded position. The door to the radiation room 
must require the same key.

[[Page 549]]

    (b) The console of a panoramic irradiator must have a source 
position indicator that indicates when the sources are in the fully 
shielded position, when they are in transit, and when the sources are 
exposed.
    (c) The control console of a panoramic irradiator must have a 
control that promptly returns the sources to the shielded position.
    (d) Each control for a panoramic irradiator must be clearly marked 
as to its function.



Sec. 36.33  Irradiator pools.

    (a) For licenses initially issued after July 1, 1993, irradiator 
pools must either:
    (1) Have a water-tight stainless steel liner or a liner 
metallurgically compatible with other components in the pool; or
    (2) Be constructed so that there is a low likelihood of substantial 
leakage and have a surface designed to facilitate decontamination. In 
either case, the licensee shall have a method to safely store the 
sources during repairs of the pool.
    (b) For licenses initially issued after July 1, 1993, irradiator 
pools must have no outlets more than 0.5 meter below the normal low 
water level that could allow water to drain out of the pool. Pipes that 
have intakes more than 0.5 meter below the normal low water level and 
that could act as siphons must have siphon breakers to prevent the 
siphoning of pool water.
    (c) A means must be provided to replenish water losses from the 
pool.
    (d) A visible indicator must be provided in a clearly visible 
location to indicate if the pool water level is below the normal low 
water level or above the normal high water level.
    (e) Irradiator pools must be equipped with a purification system 
designed to be capable of maintaining the water during normal operation 
at a conductivity of 20 microsiemens per centimeter or less and with a 
clarity so that the sources can be seen clearly.
    (f) A physical barrier, such as a railing or cover, must be used 
around or over irradiator pools during normal operation to prevent 
personnel from accidentally falling into the pool. The barrier may be 
removed during maintenance, inspection, and service operations.
    (g) If long-handled tools or poles are used in irradiator pools, the 
radiation dose rate on the handling areas of the tools may not exceed 
0.02 millisievert (2 millirems) per hour.



Sec. 36.35  Source rack protection.

    If the product to be irradiated moves on a product conveyor system, 
the source rack and the mechanism that moves the rack must be protected 
by a barrier or guides to prevent products and product carriers from 
hitting or touching the rack or mechanism.



Sec. 36.37  Power failures.

    (a) If electrical power at a panoramic irradiator is lost for longer 
than 10 seconds, the sources must automatically return to the shielded 
position.
    (b) The lock on the door of the radiation room of a panoramic 
irradiator may not be deactivated by a power failure.
    (c) During a power failure, the area of any irradiator where sources 
are located may be entered only when using an operable and calibrated 
radiation survey meter.



Sec. 36.39  Design requirements.

    Irradiators whose construction begins after July 1, 1993, must meet 
the design requirements of this section.
    (a) Shielding. For panoramic irradiators, the licensee shall design 
shielding walls to meet generally accepted building code requirements 
for reinforced concrete and design the walls, wall penetrations, and 
entranceways to meet the radiation shielding requirements of Sec. 36.25. 
If the irradiator will use more than 2  x  10\17\ becquerels (5 million 
curies) of activity, the licensee shall evaluate the effects of heating 
of the shielding walls by the irradiator sources.
    (b) Foundations. For panoramic irradiators, the licensee shall 
design the foundation, with consideration given to soil characteristics, 
to ensure it is adequate to support the weight of the facility shield 
walls.
    (c) Pool integrity. For pool irradiators, the licensee shall design 
the pool to assure that it is leak resistant, that it is strong enough 
to bear the weight of the

[[Page 550]]

pool water and shipping casks, that a dropped cask would not fall on 
sealed sources, that all outlets or pipes meet the requirements of 
Sec. 36.33(b), and that metal components are metallurgically compatible 
with other components in the pool.
    (d) Water handling system. For pool irradiators, the licensee shall 
verify that the design of the water purification system is adequate to 
meet the requirements of Sec. 36.33(e). The system must be designed so 
that water leaking from the system does not drain to unrestricted areas 
without being monitored.
    (e) Radiation monitors. For all irradiators, the licensee shall 
evaluate the location and sensitivity of the monitor to detect sources 
carried by the product conveyor system as required by Sec. 36.29(a). The 
licensee shall verify that the product conveyor is designed to stop 
before a source on the product conveyor would cause a radiation 
overexposure to any person. For pool irradiators, if the licensee uses 
radiation monitors to detect contamination under Sec. 36.59(b), the 
licensee shall verify that the design of radiation monitoring systems to 
detect pool contamination includes sensitive detectors located close to 
where contamination is likely to concentrate.
    (f) Source rack. For pool irradiators, the licensee shall verify 
that there are no crevices on the source or between the source and 
source holder that would promote corrosion on a critical area of the 
source. For panoramic irradiators, the licensee shall determine that 
source rack drops due to loss of power will not damage the source rack 
and that source rack drops due to failure of cables (or alternate means 
of support) will not cause loss of integrity of sealed sources. For 
panoramic irradiators, the licensee shall review the design of the 
mechanism that moves the sources to assure that the likelihood of a 
stuck source is low and that, if the rack sticks, a means exists to free 
it with minimal risk to personnel.
    (g) Access control. For panoramic irradiators, the licensee shall 
verify from the design and logic diagram that the access control system 
will meet the requirements of Sec. 36.23.
    (h) Fire protection. For panoramic irradiators, the licensee shall 
verify that the number, location, and spacing of the smoke and heat 
detectors are appropriate to detect fires and that the detectors are 
protected from mechanical and radiation damage. The licensee shall 
verify that the design of the fire extinguishing system provides the 
necessary discharge patterns, densities, and flow characteristics for 
complete coverage of the radiation room and that the system is protected 
from mechanical and radiation damage.
    (i) Source return. For panoramic irradiators, the licensee shall 
verify that the source rack will automatically return to the fully 
shielded position if offsite power is lost for more than 10 seconds.
    (j) Seismic. For panoramic irradiators to be built in seismic areas, 
the licensee shall design the reinforced concrete radiation shields to 
retain their integrity in the event of an earthquake by designing to the 
seismic requirements of an appropriate source such as American Concrete 
Institute Standard ACI 318-89, ``Building Code Requirements for 
Reinforced Concrete,'' Chapter 21, ``Special Provisions for Seismic 
Design,'' or local building codes, if current.
    (k) Wiring. For panoramic irradiators, the licensee shall verify 
that electrical wiring and electrical equipment in the radiation room 
are selected to minimize failures due to prolonged exposure to 
radiation.



Sec. 36.41  Construction monitoring and acceptance testing.

    The requirements of this section must be met for irradiators whose 
construction begins after July 1, 1993. The requirements must be met 
prior to loading sources.
    (a) Shielding. For panoramic irradiators, the licensee shall monitor 
the construction of the shielding to verify that its construction meets 
design specifications and generally accepted building code requirements 
for reinforced concrete.
    (b) Foundations. For panoramic irradiators, the licensee shall 
monitor the construction of the foundations to verify that their 
construction meets design specifications.

[[Page 551]]

    (c) Pool integrity. For pool irradiators, the licensee shall verify 
that the pool meets design specifications and shall test the integrity 
of the pool. The licensee shall verify that outlets and pipes meet the 
requirements of Sec. 36.33(b).
    (d) Water handling system. For pool irradiators, the licensee shall 
verify that the water purification system, the conductivity meter, and 
the water level indicators operate properly.
    (e) Radiation monitors. For all irradiators, the licensee shall 
verify the proper operation of the monitor to detect sources carried on 
the product conveyor system and the related alarms and interlocks 
required by Sec. 36.29(a). For pool irradiators, the licensee shall 
verify the proper operation of the radiation monitors and the related 
alarm if used to meet Sec. 36.59(b). For underwater irradiators, the 
licensee shall verify the proper operation of the over-the-pool monitor, 
alarms, and interlocks required by Sec. 36.29(b).
    (f) Source rack. For panoramic irradiators, the licensee shall test 
the movement of the source racks for proper operation prior to source 
loading; testing must include source rack lowering due to simulated loss 
of power. For all irradiators with product conveyor systems, the 
licensee shall observe and test the operation of the conveyor system to 
assure that the requirements in Sec. 36.35 are met for protection of the 
source rack and the mechanism that moves the rack; testing must include 
tests of any limit switches and interlocks used to protect the source 
rack and mechanism that moves the rack from moving product carriers.
    (g) Access control. For panoramic irradiators, the licensee shall 
test the completed access control system to assure that it functions as 
designed and that all alarms, controls, and interlocks work properly.
     (h) Fire protection. For panoramic irradiators, the licensee shall 
test the ability of the heat and smoke detectors to detect a fire, to 
activate alarms, and to cause the source rack to automatically become 
fully shielded. The licensee shall test the operability of the fire 
extinguishing system.
     (i) Source return. For panoramic irradiators, the licensee shall 
demonstrate that the source racks can be returned to their fully 
shielded positions without offsite power.
     (j) Computer systems. For panoramic irradiators that use a computer 
system to control the access control system, the licensee shall verify 
that the access control system will operate properly if offsite power is 
lost and shall verify that the computer has security features that 
prevent an irradiator operator from commanding the computer to override 
the access control system when it is required to be operable.
     (k) Wiring. For panoramic irradiators, the licensee shall verify 
that the electrical wiring and electrical equipment that were installed 
meet the design specifications.



                   Subpart D--Operation of Irradiators



Sec. 36.51  Training.

     (a) Before an individual is permitted to operate an irradiator 
without a supervisor present, the individual must be instructed in:
     (1) The fundamentals of radiation protection applied to irradiators 
(including the differences between external radiation and radioactive 
contamination, units of radiation dose, NRC dose limits, why large 
radiation doses must be avoided, how shielding and access controls 
prevent large doses, how an irradiator is designed to prevent 
contamination, the proper use of survey meters and personnel dosimeters, 
other radiation safety features of an irradiator, and the basic function 
of the irradiator);
     (2) The requirements of parts 19 and 36 of NRC regulations that are 
relevant to the irradiator;
     (3) The operation of the irradiator;
     (4) Those operating and emergency procedures listed in Sec. 36.53 
that the individual is responsible for performing; and
     (5) Case histories of accidents or problems involving irradiators.
     (b) Before an individual is permitted to operate an irradiator 
without a supervisor present, the individual shall pass a written test 
on the instruction received consisting primarily of questions based on 
the licensee's operating

[[Page 552]]

and emergency procedures that the individual is responsible for 
performing and other operations necessary to safely operate the 
irradiator without supervision.
     (c) Before an individual is permitted to operate an irradiator 
without a supervisor present, the individual must have received on-the-
job training or simulator training in the use of the irradiator as 
described in the license application. The individual shall also 
demonstrate the ability to perform those portions of the operating and 
emergency procedures that he or she is to perform.
     (d) The licensee shall conduct safety reviews for irradiator 
operators at least annually. The licensee shall give each operator a 
brief written test on the information. Each safety review must include, 
to the extent appropriate, each of the following--
     (1) Changes in operating and emergency procedures since the last 
review, if any;
     (2) Changes in regulations and license conditions since the last 
review, if any;
     (3) Reports on recent accidents, mistakes, or problems that have 
occurred at irradiators, if any;
     (4) Relevant results of inspections of operator safety performance;
     (5) Relevant results of the facility's inspection and maintenance 
checks; and
     (6) A drill to practice an emergency or abnormal event procedure.
     (e) The licensee shall evaluate the safety performance of each 
irradiator operator at least annually to ensure that regulations, 
license conditions, and operating and emergency procedures are followed. 
The licensee shall discuss the results of the evaluation with the 
operator and shall instruct the operator on how to correct any mistakes 
or deficiencies observed.
     (f) Individuals who will be permitted unescorted access to the 
radiation room of the irradiator or the area around the pool of an 
underwater irradiator, but who have not received the training required 
for operators and the radiation safety officer, shall be instructed and 
tested in any precautions they should take to avoid radiation exposure, 
any procedures or parts of procedures listed in Sec. 36.53 that they are 
expected to perform or comply with, and their proper response to alarms 
required in this part. Tests may be oral.
     (g) Individuals who must be prepared to respond to alarms required 
by Secs. 36.23(b), 36.23(i), 36.27(a), 36.29(a), 36.29(b), and 36.59(b) 
shall be trained and tested on how to respond. Each individual shall be 
retested at least once a year. Tests may be oral.



Sec. 36.53  Operating and emergency procedures.

     (a) The licensee shall have and follow written operating procedures 
for--
     (1) Operation of the irradiator, including entering and leaving the 
radiation room;
     (2) Use of personnel dosimeters;
     (3) Surveying the shielding of panoramic irradiators;
     (4) Monitoring pool water for contamination while the water is in 
the pool and before release of pool water to unrestricted areas;
     (5) Leak testing of sources;
     (6) Inspection and maintenance checks required by Sec. 36.61;
     (7) Loading, unloading, and repositioning sources, if the 
operations will be performed by the licensee; and
     (8) Inspection of movable shielding required by Sec. 36.23(h), if 
applicable.
     (b) The licensee shall have and follow emergency or abnormal event 
procedures, appropriate for the irradiator type, for--
     (1) Sources stuck in the unshielded position;
     (2) Personnel overexposures;
     (3) A radiation alarm from the product exit portal monitor or pool 
monitor;
     (4) Detection of leaking sources, pool contamination, or alarm 
caused by contamination of pool water;
     (5) A low or high water level indicator, an abnormal water loss, or 
leakage from the source storage pool;
     (6) A prolonged loss of electrical power;
     (7) A fire alarm or explosion in the radiation room;
     (8) An alarm indicating unauthorized entry into the radiation room, 
area around pool, or another alarmed area;
     (9) Natural phenomena, including an earthquake, a tornado, 
flooding, or other phenomena as appropriate for the

[[Page 553]]

geographical location of the facility; and
     (10) The jamming of automatic conveyor systems.
     (c) The licensee may revise operating and emergency procedures 
without Commission approval only if all of the following conditions are 
met:
     (1) The revisions do not reduce the safety of the facility,
     (2) The revisions are consistent with the outline or summary of 
procedures submitted with the license application,
     (3) The revisions have been reviewed and approved by the radiation 
safety officer, and
     (4) The users or operators are instructed and tested on the revised 
procedures before they are put into use.



Sec. 36.55  Personnel monitoring.

     (a) Irradiator operators shall wear either a film badge or a 
thermoluminescent dosimeter (TLD) while operating a panoramic irradiator 
or while in the area around the pool of an underwater irradiator. The 
film badge or TLD processor must be accredited by the National Voluntary 
Laboratory Accreditation Program for high energy photons in the normal 
and accident dose ranges (see 10 CFR 20.1501(c)). Each film badge or TLD 
must be assigned to and worn by only one individual. Film badges must be 
processed at least monthly, and TLDs must be processed at least 
quarterly.
    (b) Other individuals who enter the radiation room of a panoramic 
irradiator shall wear a dosimeter, which may be a pocket dosimeter. For 
groups of visitors, only two people who enter the radiation room are 
required to wear dosimeters. If pocket dosimeters are used to meet the 
requirements of this paragraph, a check of their response to radiation 
must be done at least annually. Acceptable dosimeters must read within 
plus or minus 30 percent of the true radiation dose.



Sec. 36.57  Radiation surveys.

    (a) A radiation survey of the area outside the shielding of the 
radiation room of a panoramic irradiator must be conducted with the 
sources in the exposed position before the facility starts to operate. A 
radiation survey of the area above the pool of pool irradiators must be 
conducted after the sources are loaded but before the facility starts to 
operate. Additional radiation surveys of the shielding must be performed 
at intervals not to exceed 3 years and before resuming operation after 
addition of new sources or any modification to the radiation room 
shielding or structure that might increase dose rates.
    (b) If the radiation levels specified in Sec. 36.25 are exceeded, 
the facility must be modified to comply with the requirements in 
Sec. 36.25.
    (c) Portable radiation survey meters must be calibrated at least 
annually to an accuracy of plus-minus20 percent for the gamma 
energy of the sources in use. The calibration must be done at two points 
on each scale or, for digital instruments, at one point per decade over 
the range that will be used. Portable radiation survey meters must be of 
a type that does not saturate and read zero at high radiation dose 
rates.
    (d) Water from the irradiator pool, other potentially contaminated 
liquids, and sediments from pool vacuuming must be monitored for 
radioactive contamination before release to unrestricted areas. 
Radioactive concentrations must not exceed those specified in 10 CFR 
part 20, Table 2, Column 2 or Table 3 of appendix B, ``Annual Limits on 
Intake (ALIs) and Derived Air Concentrations (DACs) of Radionuclides for 
Occupational Exposure; Effluent Concentrations; Concentrations for 
Release to Sewerage.''
    (e) Before releasing resins for unrestricted use, they must be 
monitored before release in an area with a background level less than 
0.5 microsievert (0.05 millirem) per hour. The resins may be released 
only if the survey does not detect radiation levels above background 
radiation levels. The survey meter used must be capable of detecting 
radiation levels of 0.5 microsievert (0.05 millirem) per hour.



Sec. 36.59  Detection of leaking sources.

    (a) Each dry-source-storage sealed source must be tested for leakage 
at intervals not to exceed 6 months using a leak test kit or method 
approved by the Commission or an Agreement State. In the absence of a 
certificate

[[Page 554]]

from a transferor that a test has been made within the 6 months before 
the transfer, the sealed source may not be used until tested. The test 
must be capable of detecting the presence of 200 becquerels (0.005 
microcurie) of radioactive material and must be performed by a person 
approved by the Commission or an Agreement State to perform the test.
    (b) For pool irradiators, sources may not be put into the pool 
unless the licensee tests the sources for leaks or has a certificate 
from a transferor that leak test has been done within the 6 months 
before the transfer. Water from the pool must be checked for 
contamination each day the irradiator operates. The check may be done 
either by using a radiation monitor on a pool water circulating system 
or by analysis of a sample of pool water. If a check for contamination 
is done by analysis of a sample of pool water, the results of the 
analysis must be available within 24 hours. If the licensee uses a 
radiation monitor on a pool water circulating system, the detection of 
above normal radiation levels must activate an alarm. The alarm set-
point must be set as low as practical, but high enough to avoid false 
alarms. The licensee may reset the alarm set-point to a higher level if 
necessary to operate the pool water purification system to clean up 
contamination in the pool if specifically provided for in written 
emergency procedures.
    (c) If a leaking source is detected, the licensee shall arrange to 
remove the leaking source from service and have it decontaminated, 
repaired, or disposed of by an NRC or Agreement State licensee that is 
authorized to perform these functions. The licensee shall promptly check 
its personnel, equipment, facilities, and irradiated product for 
radioactive contamination. No product may be shipped until the product 
has been checked and found free of contamination. If a product has been 
shipped that may have been inadvertently contaminated, the licensee 
shall arrange to locate and survey that product for contamination. If 
any personnel are found to be contaminated, decontamination must be 
performed promptly. If contaminated equipment, facilities, or products 
are found, the licensee shall arrange to have them decontaminated or 
disposed of by an NRC or Agreement State licensee that is authorized to 
perform these functions. If a pool is contaminated, the licensee shall 
arrange to clean the pool until the contamination levels do not exceed 
the appropriate concentration in Table 2, Column 2, appendix B to part 
20. (See 10 CFR 30.50 for reporting requirements.)

[58 FR 7728, Feb. 9, 1993, as amended at 58 FR 67660, Dec. 22, 1993]



Sec. 36.61  Inspection and maintenance.

    (a) The licensee shall perform inspection and maintenance checks 
that include, as a minimum, each of the following at the frequency 
specified in the license or license application:
    (1) Operability of each aspect of the access control system required 
by Sec. 36.23.
    (2) Functioning of the source position indicator required by 
Sec. 36.31(b).
    (3) Operability of the radiation monitor for radioactive 
contamination in pool water required by Sec. 36.59(b) using a radiation 
check source, if applicable.
    (4) Operability of the over-pool radiation monitor at underwater 
irradiators as required by Sec. 36.29(b).
    (5) Operability of the product exit monitor required by 
Sec. 36.29(a).
    (6) Operability of the emergency source return control required by 
Sec. 36.31(c).
    (7) Leak-tightness of systems through which pool water circulates 
(visual inspection).
    (8) Operability of the heat and smoke detectors and extinguisher 
system required by Sec. 36.27 (but without turning extinguishers on).
    (9) Operability of the means of pool water replenishment required by 
Sec. 36.33(c).
    (10) Operability of the indicators of high and low pool water levels 
required by Sec. 36.33(d).
    (11) Operability of the intrusion alarm required by Sec. 36.23(i), 
if applicable.
    (12) Functioning and wear of the system, mechanisms, and cables used 
to raise and lower sources.
    (13) Condition of the barrier to prevent products from hitting the 
sources

[[Page 555]]

or source mechanism as required by Sec. 36.35.
    (14) Amount of water added to the pool to determine if the pool is 
leaking.
    (15) Electrical wiring on required safety systems for radiation 
damage.
    (16) Pool water conductivity measurements and analysis as required 
by Sec. 36.63(b).
    (b) Malfunctions and defects found during inspection and maintenance 
checks must be repaired without undue delay.



Sec. 36.63  Pool water purity.

    (a) Pool water purification system must be run sufficiently to 
maintain the conductivity of the pool water below 20 microsiemens per 
centimeter under normal circumstances. If pool water conductivity rises 
above 20 microsiemens per centimeter, the licensee shall take prompt 
actions to lower the pool water conductivity and shall take corrective 
actions to prevent future recurrences.
    (b) The licensee shall measure the pool water conductivity 
frequently enough, but no less than weekly, to assure that the 
conductivity remains below 20 microsiemens per centimeter. Conductivity 
meters must be calibrated at least annually.



Sec. 36.65  Attendance during operation.

    (a) Both an irradiator operator and at least one other individual, 
who is trained on how to respond and prepared to promptly render or 
summon assistance if the access control alarm sounds, shall be present 
onsite:
    (1) Whenever the irradiator is operated using an automatic product 
conveyor system; and
    (2) Whenever the product is moved into or out of the radiation room 
when the irradiator is operated in a batch mode.
    (b) At a panoramic irradiator at which static irradiations (no 
movement of the product) are occurring, a person who has received the 
training on how to respond to alarms described in Sec. 36.51(g) must be 
onsite.
    (c) At an underwater irradiator, an irradiator operator must be 
present at the facility whenever the product is moved into or out of the 
pool. Individuals who move the product into or out of the pool of an 
underwater irradiator need not be qualified as irradiator operators; 
however, they must have received the training described in Sec. 36.51 
(f) and (g). Static irradiations may be performed without a person 
present at the facility.



Sec. 36.67  Entering and leaving the radiation room.

    (a) Upon first entering the radiation room of a panoramic irradiator 
after an irradiation, the irradiator operator shall use a survey meter 
to determine that the source has returned to its fully shielded 
position. The operator shall check the functioning of the survey meter 
with a radiation check source prior to entry.
    (b) Before exiting from and locking the door to the radiation room 
of a panoramic irradiator prior to a planned irradiation, the irradiator 
operator shall:
    (1) Visually inspect the entire radiation room to verify that no one 
else is in it; and
    (2) Activate a control in the radiation room that permits the 
sources to be moved from the shielded position only if the door to the 
radiation room is locked within a preset time after setting the control.
    (c) During a power failure, the area around the pool of an 
underwater irradiator may not be entered without using an operable and 
calibrated radiation survey meter unless the over-the-pool monitor 
required by Sec. 36.29(b) is operating with backup power.



Sec. 36.69  Irradiation of explosive or flammable materials.

    (a) Irradiation of explosive material is prohibited unless the 
licensee has received prior written authorization from the Commission. 
Authorization will not be granted unless the licensee can demonstrate 
that detonation of the explosive would not rupture the sealed sources, 
injure personnel, damage safety systems, or cause radiation 
overexposures of personnel.
    (b) Irradiation of more than small quantities of flammable material 
(flash point below 140  deg.F) is prohibited in panoramic irradiators 
unless the licensee

[[Page 556]]

has received prior written authorization from the Commission. 
Authorization will not be granted unless the licensee can demonstrate 
that a fire in the radiation room could be controlled without damage to 
sealed sources or safety systems and without radiation overexposures of 
personnel.



                           Subpart E--Records



Sec. 36.81  Records and retention periods.

    The licensee shall maintain the following records at the irradiator 
for the periods specified.
    (a) A copy of the license, license conditions, documents 
incorporated into a license by reference, and amendments thereto until 
superseded by new documents or until the Commission terminates the 
license for documents not superseded.
    (b) Records of each individual's training, tests, and safety reviews 
provided to meet the requirements of Sec. 36.51(a), (b), (c), (d), (f), 
and (g) until 3 years after the individual terminates work.
    (c) Records of the annual evaluations of the safety performance of 
irradiator operators required by Sec. 36.51(e) for 3 years after the 
evaluation.
    (d) A copy of the current operating and emergency procedures 
required by Sec. 36.53 until superseded or the Commission terminates the 
license. Records of the radiation safety officer's review and approval 
of changes in procedures as required by Sec. 36.53(c)(3) retained for 3 
years from the date of the change.
    (e) Film badge and TLD results required by Sec. 36.55 until the 
Commission terminates the license.
    (f) Records of radiation surveys required by Sec. 36.57 for 3 years 
from the date of the survey.
    (g) Records of radiation survey meter calibrations required by 
Sec. 36.57 and pool water conductivity meter calibrations required by 
Sec. 36.63(b) until 3 years from the date of calibration.
    (h) Records of the results of leak tests required by Sec. 36.59(a) 
and the results of contamination checks required by Sec. 36.59(b) for 3 
years from the date of each test.
    (i) Records of inspection and maintenance checks required by 
Sec. 36.61 for 3 years.
    (j) Records of major malfunctions, significant defects, operating 
difficulties or irregularities, and major operating problems that 
involve required radiation safety equipment for 3 years after repairs 
are completed.
    (k) Records of the receipt, transfer and disposal, of all licensed 
sealed sources as required by Secs. 30.51 and 30.41.
    (l) Records on the design checks required by Sec. 36.39 and the 
construction control checks as required by Sec. 36.41 until the license 
is terminated. The records must be signed and dated. The title or 
qualification of the person signing must be included.
    (m) Records related to decommissioning of the irradiator as required 
by Sec. 30.35(g).



Sec. 36.83  Reports.

    (a) In addition to the reporting requirements in other parts of NRC 
regulations, the licensee shall report the following events if not 
reported under other parts of NRC regulations:
    (1) Source stuck in an unshielded position.
    (2) Any fire or explosion in a radiation room.
    (3) Damage to the source racks.
    (4) Failure of the cable or drive mechanism used to move the source 
racks.
    (5) Inoperability of the access control system.
    (6) Detection of radiation source by the product exit monitor.
    (7) Detection of radioactive contamination attributable to licensed 
radioactive material.
    (8) Structural damage to the pool liner or walls.
    (9) Abnormal water loss or leakage from the source storage pool.
    (10) Pool water conductivity exceeding 100 microsiemens per 
centimeter.
    (b) The report must include a telephone report within 24 hours as 
described in Sec. 30.50(c)(1), and a written report within 30 days as 
described in Sec. 30.50(c)(2).



                         Subpart F--Enforcement



Sec. 36.91  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--

[[Page 557]]

    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.



Sec. 36.93  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 36 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 36 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 36.1, 36.2, 36.5, 36.8, 36.11, 36.13, 36.17, 36.19, 36.91, and 
36.93.



PART 39--LICENSES AND RADIATION SAFETY REQUIREMENTS FOR WELL LOGGING--Table of Contents




                      Subpart A--General Provisions

Sec.
39.1  Purpose and scope.
39.2  Definitions.
39.5  Interpretations.
39.8  Information collection requirements: OMB approval.

               Subpart B--Specific Licensing Requirements

39.11  Application for a specific license.
39.13  Specific license for well logging.
39.15  Agreement with well owner or operator.
39.17  Request for written statements.

                          Subpart C--Equipment

39.31  Labels, security, and transportation precautions.
39.33  Radiation detection instruments.
39.35  Leak testing of sealed sources.
39.37  Physical inventory.
39.39  Records of material use.
39.41  Design and performance criteria for sealed sources.
39.43  Inspection, maintenance, and opening of a source or source 
          holder.
39.45  Subsurface tracer studies.
39.47  Radioactive markers.
39.49  Uranium sinker bars.
39.51  Use of a sealed source in a well without surface casing.

                Subpart D--Radiation Safety Requirements

39.61  Training.
39.63  Operating and emergency procedures.
39.65  Personnel monitoring.
39.67  Radiation surveys.
39.69  Radioactive contamination control.

               Subpart E--Security, Records, Notifications

39.71  Security.
39.73  Documents and records required at field stations.
39.75  Documents and records required at temporary jobsites.
39.77  Notification of incidents and lost sources; abandonment 
          procedures for irretrievable sources.

                          Subpart F--Exemptions

39.91  Applications for exemptions.

                         Subpart G--Enforcement

39.101  Violations.
39.103  Criminal penalties.

    Authority: Secs. 53, 57, 62, 63, 65, 69, 81, 82, 161, 182, 183, 186, 
68 Stat. 929, 930, 932, 933, 934, 935, 948, 953, 954, 955, as amended, 
sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2073, 2077, 2092, 2093, 
2095, 2099, 2111, 2112, 2201, 2232, 2233, 2236, 2282); secs. 201, as 
amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 
5841, 5842, 5846).

    Source: 52 FR 8234, Mar. 17, 1987, unless otherwise noted.

[[Page 558]]



                      Subpart A--General Provisions



Sec. 39.1  Purpose and scope.

    (a) This part prescribes requirements for the issuance of a license 
authorizing the use of licensed materials including sealed sources, 
radioactive tracers, radioactive markers, and uranium sinker bars in 
well logging in a single well. This part also prescribes radiation 
safety requirements for persons using licensed materials in these 
operations. The provisions and requirements of this part are in addition 
to, and not in substitution for, other requirements of this chapter. In 
particular, the provisions of parts 19, 20, 21, 30, 40, 70, 71, and 150 
of this chapter apply to applicants and licensees subject to this part.
    (b) The requirements set out in this part do not apply to the 
issuance of a license authorizing the use of licensed material in tracer 
studies involving multiple wells, such as field flooding studies, or to 
the use of sealed sources auxiliary to well logging but not lowered into 
wells.



Sec. 39.2  Definitions.

    Field station means a facility where licensed material may be stored 
or used and from which equipment is dispatched to temporary jobsites.
    Fresh water aquifer, for the purpose of this part, means a geologic 
formation that is capable of yielding fresh water to a well or spring.
    Injection tool means a device used for controlled subsurface 
injection of radioactive tracer material.
    Irretrievable well logging source means any sealed source containing 
licensed material that is pulled off or not connected to the wireline 
that suspends the source in the well and for which all reasonable effort 
at recovery has been expended.
    Licensed material means byproduct, source, or special nuclear 
material received, processed, used, or transferred under a license 
issued by the Commission under the regulations in this chapter.
    Logging assistant means any individual who, under the personal 
supervision of a logging supervisor, handles sealed sources or tracers 
that are not in logging tools or shipping containers or who performs 
surveys required by Sec. 39.67.
    Logging supervisor means an individual who uses licensed material or 
provides personal supervision in the use of licensed material at a 
temporary jobsite and who is responsible to the licensee for assuring 
compliance with the requirements of the Commission's regulations and the 
conditions of the license.
    Logging tool means a device used subsurface to perform well logging.
    Personal supervision means guidance and instruction by a logging 
supervisor, who is physically present at a temporary jobsite, who is in 
personal contact with logging assistants, and who can give immediate 
assistance.
    Radioactive marker means licensed material used for depth 
determination or direction orientation. For purposes of this part, this 
term includes radioactive collar markers and radioactive iron nails.
    Safety review means a periodic review provided by the licensee for 
its employees on radiation safety aspects of well logging. The review 
may include, as appropriate, the results of internal inspections, new 
procedures or equipment, accidents or errors that have been observed, 
and opportunities for employees to ask safety questions.
    Sealed source means any licensed material that is encased in a 
capsule designed to prevent leakage or escape of the licensed material.
    Source holder means a housing or assembly into which a sealed source 
is placed to facilitate the handling and use of the source in well 
logging.
    Subsurface tracer study means the release of unsealed license 
material or a substance labeled with licensed material in a single well 
for the purpose of tracing the movement or position of the material or 
substance in the well or adjacent formation.
    Surface casing for protecting fresh water aquifers means a pipe or 
tube used as a lining in a well to isolate fresh water aquifers from the 
well.
    Temporary jobsite means a place where licensed materials are present 
for the purpose of performing well logging or subsurface tracer studies.
    Uranium sinker bar means a weight containing depleted uranium used 
to

[[Page 559]]

pull a logging tool toward the bottom of a well.
    Well means a drilled hole in which well logging may be performed. As 
used in this part, ``well'' includes drilled holes for the purpose of 
oil, gas, mineral, groundwater, or geological exploration.
    Well logging means all operations involving the lowering and raising 
of measuring devices or tools which contain licensed material or are 
used to detect licensed materials in wells for the purpose of obtaining 
information about the well or adjacent formations which may be used in 
oil, gas, mineral, groundwater, or geological exploration.



Sec. 39.5  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission, other than a written 
interpretation by the General Counsel, will be recognized to be binding 
upon the Commission.



Sec. 39.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S. 3501 et seq.) OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0130.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 39.11, 39.13, 39.15, 39.31, 39.33, 39.35, 
39.37, 39.39, 39.43, 39.49, 39.51, 39.61, 39.65, 39.67, 39.73, 39.75, 
and 39.77.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 39.11, Form NRC-313 is approved under control number 
3150-0120.
    (2) [Reserved]



               Subpart B--Specific Licensing Requirements



Sec. 39.11  Application for a specific license.

    A person, as defined in Sec. 30.4 of this chapter, shall file an 
application for a specific license authorizing the use of licensed 
material in well logging on Form NRC 313, ``Application for Material 
License.'' Each application for a license, other than a license exempted 
from part 170 of this chapter, must be accompanied by the fee prescribed 
in Sec. 170.31 of this chapter. The application must be sent to the 
appropriate NRC Regional Office listed in appendix D of part 20 of this 
chapter.



Sec. 39.13  Specific licenses for well logging.

    The Commission will approve an application for a specific license 
for the use of licensed material in well logging if the applicant meets 
the following requirements:
    (a) The applicant shall satisfy the general requirements specified 
in Sec. 30.33 of this chapter for byproduct material, in Sec. 40.32 of 
this chapter for source material, and in Sec. 70.33 of this chapter for 
special nuclear material, as appropriate, and any special requirements 
contained in this part.
    (b) The applicant shall develop a program for training logging 
supervisors and logging assistants and submit to the Commission a 
description of this program which specifies the--
    (1) Initial training;
    (2) On-the-job training;
    (3) Annual safety reviews provided by the licensee;
    (4) Means the applicant will use to demonstrate the logging 
supervisor's knowledge and understanding of and ability to comply with 
the Commission's regulations and licensing requirements and the 
applicant's operating and emergency procedures; and
    (5) Means the applicant will use to demonstrate the logging 
assistant's knowledge and understanding of and ability to comply with 
the applicant's operating and emergency procedures.
    (c) The applicant shall submit to the Commission written operating 
and emergency procedures as described in Sec. 39.63 or an outline or 
summary of the

[[Page 560]]

procedures that includes the important radiation safety aspects of the 
procedures.
    (d) The applicant shall establish and submit to the Commission its 
program for annual inspections of the job performance of each logging 
supervisor to ensure that the Commission's regulations, license 
requirements, and the applicant's operating and emergency procedures are 
followed. Inspection records must be retained for 3 years after each 
annual internal inspection.
    (e) The applicant shall submit a description of its overall 
organizational structure as it applies to the radiation safety 
responsibilities in well logging, including specified delegations of 
authority and responsibility.
    (f) If an applicant wants to perform leak testing of sealed sources, 
the applicant shall identify the manufacturers and the model numbers of 
the leak test kits to be used. If the applicant wants to analyze its own 
wipe samples, the applicant shall establish procedures to be followed 
and submit a description of these procedures to the Commission. The 
description must include the--
    (1) Instruments to be used;
    (2) Methods of performing the analysis; and
    (3) Pertinent experience of the person who will analyze the wipe 
samples.



Sec. 39.15  Agreement with well owner or operator.

    (a) A licensee may perform well logging with a sealed source only 
after the licensee has a written agreement with the employing well owner 
or operator. This written agreement must identify who will meet the 
following requirements:
    (1) If a sealed source becomes lodged in the well, a reasonable 
effort will be made to recover it.
    (2) A person may not attempt to recover a sealed source in a manner 
which, in the licensee's opinion, could result in its rupture.
    (3) The radiation monitoring required in Sec. 39.69(a) will be 
performed.
    (4) If the environment, any equipment, or personnel are contaminated 
with licensed material, they must be decontaminated before release from 
the site or release for unrestricted use; and
    (5) If the sealed source is classified as irretrievable after 
reasonable efforts at recovery have been expended, the following 
requirements must be implemented within 30 days:
    (i) Each irretrievable well logging source must be immobilized and 
sealed in place with a cement plug.
    (ii) A mechanical device to prevent inadvertent intrusion on the 
source must be set at some point in the well above the cement plug, 
unless the cement plug and source are not accessible to any subsequent 
drilling operations; and
    (iii) A permanent identification plaque, constructed of long lasting 
material such as stainless steel, brass, bronze, or monel, must be 
mounted at the surface of the well, unless the mounting of the plaque is 
not practical. The size of the plaque must be at least 7 inches (17 cm) 
square and 1/8-inch (3 mm) thick. The plaque must contain--
    (A) The word ``CAUTION'';
    (B) The radiation symbol (the color requirement in Sec. 20.1901(a) 
need not be met);
    (C) The date the source was abandoned;
    (D) The name of the well owner or well operator, as appropriate;
    (E) The well name and well identification number(s) or other 
designation;
    (F) An identification of the sealed source(s) by radionuclide and 
quantity;
    (G) The depth of the source and depth to the top of the plug; and
    (H) An appropriate warning, such as, ``DO NOT RE-ENTER THIS WELL.''
    (b) The licensee shall retain a copy of the written agreement for 3 
years after the completion of the well logging operation.
    (c) A licensee may apply, pursuant to Sec. 39.91, for Commission 
approval, on a case-by-case basis, of proposed procedures to abandon an 
irretrievable well logging source in a manner not otherwise authorized 
in paragraph (a)(5) of this section.
    (d) A written agreement between the licensee and the well owner or 
operator is not required if the licensee and the well owner or operator 
are part of the

[[Page 561]]

same corporate structure or otherwise similarly affiliated. However, the 
licensee shall still otherwise meet the requirements in paragraphs 
(a)(1) through (a)(5).

[52 FR 8234, Mar. 17, 1987, as amended at 56 FR 23472, May 21, 1991; 58 
FR 67660, Dec. 22, 1993]



Sec. 39.17  Request for written statements.

    Each license is issued with the condition that the licensee will, at 
any time before expiration of the license, upon the Commission's 
request, submit written statements, signed under oath or affirmation, to 
enable the Commission to determine whether or not the license should be 
modified, suspended, or revoked.



                          Subpart C--Equipment



Sec. 39.31  Labels, security, and transportation precautions.

    (a) Labels.
    (1) The licensee may not use a source, source holder, or logging 
tool that contains licensed material unless the smallest component that 
is transported as a separate piece of equipment with the licensed 
material inside bears a durable, legible, and clearly visible marking or 
label. The marking or label must contain the radiation symbol specified 
in Sec. 20.1901(a), without the conventional color requirements, and the 
wording ``DANGER (or CAUTION) RADIOACTIVE MATERIAL.''
    (2) The licensee may not use a container to store licensed material 
unless the container has securely attached to it a durable, legible, and 
clearly visible label. The label must contain the radiation symbol 
specified in Sec. 20.1901(a) of this chapter and the wording ``CAUTION 
(or DANGER), RADIOACTIVE MATERIAL, NOTIFY CIVIL AUTHORITIES (or NAME OF 
COMPANY).''
    (3) The licensee may not transport licensed material unless the 
material is packaged, labeled, marked, and accompanied with appropriate 
shipping papers in accordance with regulations set out in 10 CFR part 
71.
    (b) Security precautions during storage and transportation. (1) The 
licensee shall store each source containing licensed material in a 
storage container or transportation package. The container or package 
must be locked and physically secured to prevent tampering or removal of 
licensed material from storage by unauthorized personnel. The licensee 
shall store licensed material in a manner which will minimize danger 
from explosion or fire.
    (2) The licensee shall lock and physically secure the transport 
package containing licensed material in the transporting vehicle to 
prevent accidental loss, tampering, or unauthorized removal of the 
licensed material from the vehicle.

[52 FR 8234, Mar. 17, 1987, as amended at 56 FR 23472, May 21, 1991; 58 
FR 67660, Dec. 22, 1993]



Sec. 39.33  Radiation detection instruments.

    (a) The licensee shall keep a calibrated and operable radiation 
survey instrument capable of detecting beta and gamma radiation at each 
field station and temporary jobsite to make the radiation surveys 
required by this part and by part 20 of this chapter. To satisfy this 
requirement, the radiation survey instrument must be capable of 
measuring 0.1 milliroentgen 2.58 x 10-8 C/kg per hour through at 
least 50 milliroentgens 1.29 x 10-5 C/kg per hour. Survey 
instruments acquired before July 14, 1987, and capable of measuring 0.1 
milliroentgen (2.58 x 10-8 C/kg) per hour through at least 20 
milliroentgens (5.16 x 10-6 C/kg) per hour also satisfy this 
requirement until July 14, 1992.
    (b) The licensee shall have available additional calibrated and 
operable radiation detection instruments sensitive enough to detect the 
low radiation and contamination levels that could be encountered if a 
sealed source ruptured. The licensee may own the instruments or may have 
a procedure to obtain them quickly from a second party.
    (c) The licensee shall have each radiation survey instrument 
required under paragraph (a) of this section calibrated--
    (1) At intervals not to exceed 6 months and after instrument 
servicing;
    (2) For linear scale instruments, at two points located 
approximately \1/3\ and \2/3\ of full-scale on each scale; for

[[Page 562]]

logarithmic scale instruments, at midrange of each decade, and at two 
points of at least one decade; and for digital instruments, at 
appropriate points; and
    (3) So that an accuracy within plus or minus 20 percent of the 
calibration standard can be demonstrated on each scale.
    (d) The licensee shall retain calibration records for a period of 3 
years after the date of calibration for inspection by the Commission.



Sec. 39.35  Leak testing of sealed sources.

    (a) Testing and recordkeeping requirements. Each licensee who uses a 
sealed source shall have the source tested for leakage periodically. The 
licensee shall keep a record of leak test results in units of 
microcuries and retain the record for inspection by the Commission for 3 
years after the leak test is performed.
    (b) Method of testing. The wipe of a sealed source must be performed 
using a leak test kit or method approved by the Commission or an 
Agreement State. The wipe sample must be taken from the nearest 
accessible point to the sealed source where contamination might 
accumulate. The wipe sample must be analyzed for radioactive 
contamination. The analysis must be capable of detecting the presence of 
0.005 microcurie (185 Bq) of radioactive material on the test sample and 
must be performed by a person approved by the Commission or an Agreement 
State to perform the analysis.
    (c) Test frequency. Each sealed source must be tested at intervals 
not to exceed 6 months. In the absence of a certificate from a 
transferor that a test has been made within the 6 months before the 
transfer, the sealed source may not be used until tested.
    (d) Removal of leaking source from service. (1) If the test 
conducted pursuant to paragraphs (a) and (b) of this section reveals the 
presence of 0.005 microcurie (185 Bq) or more of removable radioactive 
material, the licensee shall remove the sealed source from service 
immediately and have it decontaminated, repaired, or disposed of by an 
NRC or Agreement State licensee that is authorized to perform these 
functions. The licensee shall check the equipment associated with the 
leaking source for radioactive contamination and, if contaminated, have 
it decontaminated or disposed of by an NRC or Agreement State licensee 
that is authorized to perform these functions.
    (2) The licensee shall submit a report to the appropriate NRC 
Regional Office listed in appendix D of part 20 of this chapter, within 
5 days of receiving the test results. The report must describe the 
equipment involved in the leak, the test results, any contamination 
which resulted from the leaking source, and the corrective actions taken 
up to the time the report is made.
    (e) Exemptions from testing requirements. The following sealed 
sources are exempt from the periodic leak test requirements set out in 
paragraphs (a) through (d) of this section:
    (1) Hydrogen-3 sources;
    (2) Sources containing licensed material with a half-life of 30 days 
or less;
    (3) Sealed sources containing licensed material in gaseous form;
    (4) Sources of beta- or gamma-emitting radioactive material with an 
activity of 100 microcuries (3,700,000 Bq) or less; and
    (5) Sources of alpha- or neutron-emitting radioactive material with 
an activity of 10 microcuries (370,000 Bq) or less.



Sec. 39.37  Physical inventory.

    Each licensee shall conduct a semi-annual physical inventory to 
account for all licensed material received and possessed under the 
license. The licensee shall retain records of the inventory for 3 years 
from the date of the inventory for inspection by the Commission. The 
inventory must indicate the quantity and kind of licensed material, the 
location of the licensed material, the date of the inventory, and the 
name of the individual conducting the inventory. Physical inventory 
records may be combined with leak test records.



Sec. 39.39  Records of material use.

    (a) Each licensee shall maintain records for each use of licensed 
material showing--
    (1) The make, model number, and a serial number or a description of 
each sealed source used;

[[Page 563]]

    (2) In the case of unsealed licensed material used for subsurface 
tracer studies, the radionuclide and quantity of activity used in a 
particular well and the disposition of any unused tracer materials;
    (3) The identity of the logging supervisor who is responsible for 
the licensed material and the identity of logging assistants present; 
and
    (4) The location and date of use of the licensed material.
    (b) The licensee shall make the records required by paragraph (a) of 
this section available for inspection by the Commission. The licensee 
shall retain the records for 3 years from the date of the recorded 
event.



Sec. 39.41  Design and performance criteria for sealed sources.

    (a) After July 14, 1989, a licensee may not use a sealed source in 
well logging unless the sealed source--
    (1) Is doubly encapsulated;
    (2) Contains licensed material whose chemical and physical forms are 
as insoluble and nondispersible as practical; and
    (3) The sealed source's prototype has been tested and found to 
maintain its integrity after each of the following tests:
    (i) Temperature. The test source must be held at -40  deg.C for 20 
minutes, 600  deg.C for 1 hour, and then be subject to a thermal shock 
test with a temperature drop from 600  deg.C to 20  deg.C within 15 
seconds.
    (ii) Impact Test. A 5 kg steel hammer, 2.5 cm in diameter, must be 
dropped from a height of 1 m onto the test source.
    (iii) Vibration test. The test source must be subject to a vibration 
from 25 Hz to 500 Hz at 5 g amplitude for 30 minutes.
    (iv) Puncture test. A 1 gram hammer and pin, 0.3 cm pin diameter, 
must be dropped from a height of 1 m onto the test source.
    (v) Pressure test. The test source must be subjected to an external 
pressure of 24,600 pounds per square inch absolute (1.695 x 107 
pascals).
    (b) The requirements in paragraph (a) of this section do not apply 
to sealed sources that contain licensed material in gaseous form.



Sec. 39.43  Inspection, maintenance, and opening of a source or source holder.

    (a) Each licensee shall visually check source holders, logging 
tools, and source handling tools, for defects before each use to ensure 
that the equipment is in good working condition and that required 
labeling is present. If defects are found, the equipment must be removed 
from service until repaired, and a record must be made listing: the date 
of check, name of inspector, equipment involved, defects found, and 
repairs made. These records must be retained for 3 years after the 
defect is found.
    (b) Each licensee shall have a program for semiannual visual 
inspection and routine maintenance of source holders, logging tools, 
injection tools, source handling tools, storage containers, transport 
containers, and uranium sinker bars to ensure that the required labeling 
is legible and that no physical damage is visible. If defects are found, 
the equipment must be removed from service until repaired, and a record 
must be made listing: date, equipment involved, inspection and 
maintenance operations performed, any defects found, and any actions 
taken to correct the defects. These records must be retained for 3 years 
after the defect is found.
    (c) Removal of a sealed source from a source holder or logging tool, 
and maintenance on sealed sources or holders in which sealed sources are 
contained may not be performed by the licensee unless a written 
procedure developed pursuant to Sec. 39.63 has been approved either by 
the Commission pursuant to Sec. 39.13(c) or by an Agreement State.
    (d) If a sealed source is stuck in the source holder, the licensee 
may not perform any operation, such as drilling, cutting, or chiseling, 
on the source holder unless the licensee is specifically approved by the 
Commission or an Agreement State to perform this operation.
    (e) The opening, repair, or modification of any sealed source must 
be performed by persons specifically approved to do so by the Commission 
or an Agreement State.

[[Page 564]]



Sec. 39.45  Subsurface tracer studies.

    (a) The licensee shall require all personnel handling radioactive 
tracer material to use protective gloves and, if required by the 
license, other protective clothing and equipment. The licensee shall 
take precautions to avoid ingestion or inhalation of radioactive tracer 
material and to avoid contamination of field stations and temporary 
jobsites.
    (b) A licensee may not knowingly inject licensed material into fresh 
water aquifers unless specifically authorized to do so by the 
Commission.



Sec. 39.47  Radioactive markers.

    The licensee may use radioactive markers in wells only if the 
individual markers contain quantities of licensed material not exceeding 
the quantities specified in Sec. 30.71 of this chapter. The use of 
markers is subject only to the requirements of Sec. 39.37.



Sec. 39.49  Uranium sinker bars.

    The licensee may use a uranium sinker bar in well logging after July 
14, 1988, only if it is legibly impressed with the words ``CAUTION--
RADIOACTIVE-DEPLETED URANIUM'' and ``NOTIFY CIVIL AUTHORITIES (or 
COMPANY NAME) IF FOUND.''



Sec. 39.51  Use of a sealed source in a well without a surface casing.

    The licensee may use a sealed source in a well without a surface 
casing for protecting fresh water aquifers only if the licensee follows 
a procedure for reducing the probability of the source becoming lodged 
in the well. The procedure must be approved by the Commission pursuant 
to Sec. 39.13(c) or by an Agreement State.



                Subpart D--Radiation Safety Requirements



Sec. 39.61  Training.

    (a) The licensee may not permit an individual to act as a logging 
supervisor until that person--
    (1) Has completed training in the subjects outlined in paragraph (e) 
of this section;
    (2) Has received copies of, and instruction in--
    (i) The NRC regulations contained in the applicable sections of 
parts 19, 20, and 39 of this chapter;
    (ii) The NRC license under which the logging supervisor will perform 
well logging; and
    (iii) The licensee's operating and emergency procedures required by 
Sec. 39.63;
    (3) Has completed on-the-job training and demonstrated competence in 
the use of licensed materials, remote handling tools, and radiation 
survey instruments by a field evaluation; and
    (4) Has demonstrated understanding of the requirements in paragraphs 
(a) (1) and (2) of this section by successfully completing a written 
test.
    (b) The licensee may not permit an individual to act as a logging 
assistant until that person-- 
    (1) Has received instruction in applicable sections of parts 19 and 
20 of this chapter; 
    (2) Has received copies of, and instruction in, the licensee's 
operating and emergency procedures required by Sec. 39.63;
    (3) Has demonstrated understanding of the materials listed in 
paragraphs (b) (1) and (2) of this section by successfully completing a 
written or oral test; and
    (4) Has received instruction in the use of licensed materials, 
remote handling tools, and radiation survey instruments, as appropriate 
for the logging assistant's intended job responsibilities.
    (c) The licensee shall provide safety reviews for logging 
supervisors and logging assistants at least once during each calendar 
year.
    (d) The licensee shall maintain a record on each logging 
supervisor's and logging assistant's training and annual safety review. 
The training records must include copies of written tests and dates of 
oral tests given after July 14, 1987. The training records must be 
retained until 3 years following the termination of employment. Records 
of annual safety reviews must list the topics discussed and be retained 
for 3 years.
    (e) The licensee shall include the following subjects in the 
training required in paragraph (a)(1) of this section:

[[Page 565]]

    (1) Fundamentals of radiation safety including--
    (i) Characteristics of radiation;
    (ii) Units of radiation dose and quantity of radioactivity;
    (iii) Hazards of exposure to radiation;
    (iv) Levels of radiation from licensed material;
    (v) Methods of controlling radiation dose (time, distance, and 
shielding); and
    (vi) Radiation safety practices, including prevention of 
contamination, and methods of decontamination.
    (2) Radiation detection instruments including--
    (i) Use, operation, calibration, and limitations of radiation survey 
instruments;
    (ii) Survey techniques; and
    (iii) Use of personnel monitoring equipment;
    (3) Equipment to be used including--
    (i) Operation of equipment, including source handling equipment and 
remote handling tools;
    (ii) Storage, control, and disposal of licensed material; and
    (iii) Maintenance of equipment.
    (4) The requirements of pertinent Federal regulations. And
    (5) Case histories of accidents in well logging.



Sec. 39.63  Operating and emergency procedures.

    Each licensee shall develop and follow written operating and 
emergency procedures that cover--
    (a) The handling and use of licensed materials including the use of 
sealed sources in wells without surface casing for protecting fresh 
water aquifers, if appropriate;
    (b) The use of remote handling tools for handling sealed sources and 
radioactive tracer material except low-activity calibration sources;
    (c) Methods and occasions for conducting radiation surveys, 
including surveys for detecting contamination, as required by 
Sec. 39.67(c)-(e);
    (d) Minimizing personnel exposure including exposures from 
inhalation and ingestion of licensed tracer materials;
    (e) Methods and occasions for locking and securing stored licensed 
materials;
    (f) Personnel monitoring and the use of personnel monitoring 
equipment;
    (g) Transportation of licensed materials to field stations or 
temporary jobsites, packaging of licensed materials for transport in 
vehicles, placarding of vehicles when needed, and physically securing 
licensed materials in transport vehicles during transportation to 
prevent accidental loss, tampering, or unauthorized removal;
    (h) Picking up, receiving, and opening packages containing licensed 
materials, in accordance with Sec. 20.205 of this chapter;
    (i) For the use of tracers, decontamination of the environment, 
equipment, and personnel;
    (j) Maintenance of records generated by logging personnel at 
temporary jobsites;
    (k) The inspection and maintenance of sealed sources, source 
holders, logging tools, injection tools, source handling tools, storage 
containers, transport containers, and uranium sinker bars as required by 
Sec. 39.43;
    (l) Identifying and reporting to NRC defects and noncompliance as 
required by Part 21 of this chapter;
    (m) Actions to be taken if a sealed source is lodged in a well;
    (n) Notifying proper persons in the event of an accident; and
    (o) Actions to be taken if a sealed source is ruptured including 
actions to prevent the spread of contamination and minimize inhalation 
and ingestion of licensed materials and actions to obtain suitable 
radiation survey instruments as required by Sec. 39.33(b).



Sec. 39.65  Personnel monitoring.

    (a) The licensee may not permit an individual to act as a logging 
supervisor or logging assistant unless that person wears, at all times 
during the handling of licensed radioactive materials, either a film 
badge or a thermoluminescent dosimeter (TLD), Each film badge or TLD 
must be assigned to and worn by only one individual. Film badges must be 
replaced at least monthly and TLDs replaced at least quarterly. After 
replacement, each film badge or TLD must be promptly processed.

[[Page 566]]

    (b) The licensee shall provide bioassay services to individuals 
using licensed materials in subsurface tracer studies if required by the 
license.
    (c) The licensee shall retain records of film badge, TLD and 
bioassay results for inspection until the Commission authorizes 
disposition of the records.



Sec. 39.67  Radiation surveys.

    (a) The licensee shall make radiation surveys, including but not 
limited to the surveys required under paragraphs (b) through (e) of this 
section, of each area where licensed materials are used and stored.
    (b) Before transporting licensed materials, the licensee shall make 
a radiation survey of the position occupied by each individual in the 
vehicle and of the exterior of each vehicle used to transport the 
licensed materials.
    (c) If the sealed source assembly is removed from the logging tool 
before departure from the temporary jobsite, the licensee shall confirm 
that the logging tool is free of contamination by energizing the logging 
tool detector or by using a survey meter.
    (d) If the licensee has reason to believe that, as a result of any 
operation involving a sealed source, the encapsulation of the sealed 
source could be damaged by the operation, the licensee shall conduct a 
radiation survey, including a contamination survey, during and after the 
operation.
    (e) The licensee shall make a radiation survey at the temporary 
jobsite before and after each subsurface tracer study to confirm the 
absence of contamination.
    (f) The results of surveys required under paragraphs (a) through (e) 
of this section must be recorded and must include the date of the 
survey, the name of the individual making the survey, the identification 
of the survey, instrument used, and the location of the survey. The 
licensee shall retain records of surveys for inspection by the 
Commission for 3 years after they are made.



Sec. 39.69  Radioactive contamination control.

    (a) If the licensee detects evidence that a sealed source has 
ruptured or licensed materials have caused contamination, the licensee 
shall initiate immediately the emergency procedures required by 
Sec. 39.63.
    (b) If contamination results from the use of licensed material in 
well logging, the licensee shall decontaminate all work areas, 
equipment, and unrestricted areas.
    (c) During efforts to recover a sealed source lodged in the well, 
the licensee shall continuously monitor, with an appropriate radiation 
detection instrument or a logging tool with a radiation detector, the 
circulating fluids from the well, if any, to check for contamination 
resulting from damage to the sealed source.



               Subpart E--Security, Records, Notifications



Sec. 39.71  Security.

    (a) A logging supervisor must be physically present at a temporary 
jobsite whenever licensed materials are being handled or are not stored 
and locked in a vehicle or storage place. The logging supervisor may 
leave the jobsite in order to obtain assistance if a source becomes 
lodged in a well.
    (b) During well logging, except when radiation sources are below 
ground or in shipping or storage containers, the logging supervisor or 
other individual designated by the logging supervisor shall maintain 
direct surveillance of the operation to prevent unauthorized entry into 
a restricted area, as defined in Sec. 20.3 of this chapter.



Sec. 39.73  Documents and records required at field stations.

    Each licensee shall maintain the following documents and records at 
the field station:
    (a) A copy of parts 19, 20, and 39 of NRC regulations;
    (b) The license authorizing the use of licensed material;
    (c) Operating and emergency procedures required by Sec. 39.63;
    (d) The record of radiation survey instrument calibrations required 
by Sec. 39.33;
    (e) The record of leak test results required by Sec. 39.35;
    (f) Physical inventory records required by Sec. 39.37;

[[Page 567]]

    (g) Utilization records required by Sec. 39.39;
    (h) Records of inspection and maintenance required by Sec. 39.43;
    (i) Training records required by Sec. 39.61(d); and
    (j) Survey records required by Sec. 39.67.



Sec. 39.75  Documents and records required at temporary jobsites.

    Each licensee conducting operations at a temporary jobsite shall 
maintain the following documents and records at the temporary jobsite 
until the well logging operation is completed:
    (a) Operating and emergency procedures required by Sec. 39.63.
    (b) Evidence of latest calibration of the radiation survey 
instruments in use at the site required by Sec. 39.33.
    (c) Latest survey records required by Secs. 39.67 (b), (c), and (e).
    (d) The shipping papers for the transportation of radioactive 
materials required by Sec. 71.5 of this chapter; and
    (e) When operating under reciprocity pursuant to Sec. 150.20 of this 
chapter, a copy of the Agreement State license authorizing use of 
licensed materials.



Sec. 39.77  Notification of incidents and lost sources; abandonment procedures for irretrievable sources.

    (a) The licensee shall immediately notify the appropriate NRC 
Regional Office by telephone and subsequently, within 30 days, by 
confirmatory letter if the licensee knows or has reason to believe that 
a sealed source has been ruptured. The letter must designate the well or 
other location, describe the magnitude and extent of the escape of 
licensed materials, assess the consequences of the rupture, and explain 
efforts planned or being taken to mitigate these consequences.
    (b) The licensee shall notify the Commission of the theft or loss of 
radioactive materials, radiation overexposures, excessive levels and 
concentrations of radiation, and certain other accidents as required by 
Secs. 20.2201-20.2202, Sec. 20.2203 and Sec. 30.50 of this chapter.
    (c) If a sealed source becomes lodged in a well, and when it becomes 
apparent that efforts to recover the sealed source will not be 
successful, the licensee shall--
    (1) Notify the appropriate NRC Regional Office by telephone of the 
circumstances that resulted in the inability to retrieve the source and 
obtain approval to implement abandonment procedures; and
    (2) Advise the well owner or operator, as appropriate, of the 
abandonment procedures under Sec. 39.15 (a) or (c); and
    (3) Either ensure that abandonment procedures are implemented within 
30 days after the sealed source has been classified as irretrievable or 
request an extension of time if unable to complete the abandonment 
procedures.
    (d) The licensee shall, within 30 days after a sealed source has 
been classified as irretrievable, make a report in writing to the 
appropriate NRC Regional Office. The licensee shall send a copy of the 
report to each appropriate State or Federal agency that issued permits 
or otherwise approved of the drilling operation. The report must contain 
the following information:
    (1) Date of occurrence;
    (2) A description of the irretrievable well logging source involved 
including the radionuclide and its quantity, chemical, and physical 
form;
    (3) Surface location and identification of the well;
    (4) Results of efforts to immobilize and seal the source in place;
    (5) A brief description of the attempted recovery effort;
    (6) Depth of the source;
    (7) Depth of the top of the cement plug;
    (8) Depth of the well;
    (9) Any other information, such as a warning statement, contained on 
the permanent identification plaque; and
    (10) State and Federal agencies receiving copy of this report.

[52 FR 8234, Mar. 17, 1987, as amended at 56 FR 64980, Dec. 13, 1991; 58 
FR 67660, Dec. 22, 1993]



                          Subpart F--Exemptions



Sec. 39.91  Applications for exemptions.

    The Commission may, upon application of any interested person or 
upon its own initiative, grant such exemptions from the requirements of 
the regulations in this part as it determines are authorized by law and 
will not endanger life or property or the common

[[Page 568]]

defense and security and are otherwise in the public interest.



                         Subpart G--Enforcement



Sec. 39.101  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55074, Nov. 24, 1992]



Sec. 39.103  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 39 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 39 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 39.1, 39.2, 39.5, 39.8, 39.13, 39.91, 39.101, and 39.103.

[57 FR 55074, Nov. 24, 1992]



PART 40--DOMESTIC LICENSING OF SOURCE MATERIAL--Table of Contents




                           General Provisions

Sec.
40.1  Purpose.
40.2  Scope.
40.2a  Coverage of inactive tailings sites.
40.3  License requirements.
40.4  Definitions.
40.5  Communications.
40.6  Interpretations.
40.7  Employee protection.
40.8  Information collection requirements: OMB approval.
40.9  Completeness and accuracy of information.
40.10  Deliberate misconduct.

                               Exemptions

40.11  Persons using source material under certain Department of Energy 
          and Nuclear Regulatory Commission contracts.
40.12  Carriers.
40.13  Unimportant quantities of source material.
40.14  Specific exemptions.

                            General Licenses

40.20  Types of licenses.
40.21  General license to receive title to source or byproduct material.
40.22  Small quantities of source material.
40.23  General license for carriers of transient shipments of natural 
          uranium other than in the form of ore or ore residue.
40.24  [Reserved]
40.25  General license for use of certain industrial products or 
          devices.
40.26  General license for possession and storage of byproduct material 
          as defined in this part.
40.27  General license for custody and long-term care of residual 
          radioactive material disposal sites.
40.28  General license for custody and long-term care of uranium or 
          thorium byproduct materials disposal sites.

                          License Applications

40.31  Application for specific licenses.
40.32  General requirements for issuance of specific licenses.
40.33  Issuance of a license for a uranium enrichment facility.
40.34  Special requirements for issuance of specific licenses.
40.35  Conditions of specific licenses issued pursuant to Sec. 40.34.
40.36  Financial assurance and recordkeeping for decommissioning.

[[Page 569]]

                                Licenses

40.41  Terms and conditions of licenses.
40.42  Expiration and termination of licenses and decommissioning of 
          sites and separate buildings or outdoor areas.
40.43  Renewal of licenses.
40.44  Amendment of licenses at request of licensee.
40.45  Commission action on applications to renew or amend.
40.46  Inalienability of licenses.

                       Transfer of Source Material

40.51  Transfer of source or byproduct material.

                    Records, Reports, and Inspections

40.60  Reporting requirements.
40.61  Records.
40.62  Inspections.
40.63  Tests.
40.64  Reports.
40.65  Effluent monitoring reporting requirements.
40.66  Requirement for advance notice of export shipments of natural 
          uranium.
40.67  Requirement for advance notice for importation of natural uranium 
          from countries that are not party to the Convention on the 
          Physical Protection of Nuclear Material.

                 Modification and Revocation of Licenses

40.71  Modification and revocation of licenses.

                               Enforcement

40.81  Violations.
40.82  Criminal penalties.

Appendix A to Part 40--Criteria Relating to the Operation of Uranium 
          Mills and the Disposition of Tailings or Wastes Produced by 
          the Extraction or Concentration of Source Material from Ores 
          Processed Primarily from their Source Material Content

    Authority: Secs. 62, 63, 64, 65, 81, 161, 182, 183, 186, 68 Stat. 
932, 933, 935, 948, 953, 954, 955, as amended, secs. 11e(2), 83, 84, 
Pub. L. 95-604, 92 Stat. 3033, as amended, 3039, sec. 234, 83 Stat. 444, 
as amended (42 U.S.C. 2014(e)(2), 2092, 2093, 2094, 2095, 2111, 2113, 
2114, 2201, 2232, 2233, 2236, 2282); sec. 274, Pub. L. 86-373, 73 Stat. 
688 (42 U.S.C. 2021); secs. 201, as amended, 202, 206, 88 Stat. 1242, as 
amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 275, 92 Stat. 
3021, as amended by Pub. L. 97-415, 96 Stat. 2067 (42 U.S.C. 2022).


    Section 40.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 
2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 
U.S.C. 5851). Section 40.31(g) also issued under sec. 122, 68 Stat. 939 
(42 U.S.C. 2152). Section 40.46 also issued under sec. 184, 68 Stat. 
954, as amended (42 U.S.C. 2234). Section 40.71 also issued under sec. 
187, 68 Stat. 955 (42 U.S.C. 2237).

    Source: 26 FR 284, Jan. 14, 1961, unless otherwise noted.

                           General Provisions



Sec. 40.1  Purpose.

    (a) The regulations in this part establish procedures and criteria 
for the issuance of licenses to receive title to, receive, possess, use, 
transfer, or deliver source and byproduct materials, as defined in this 
part, and establish and provide for the terms and conditions upon which 
the Commission will issue such licenses. (Additional requirements 
applicable to natural and depleted uranium at enrichment facilities are 
set forth in Sec. 70.22 of this chapter.) These regulations also provide 
for the disposal of byproduct material and for the long-term care and 
custody of byproduct material and residual radioactive material. The 
regulations in this part also establish certain requirements for the 
physical protection of import, export, and transient shipments of 
natural uranium. (Additional requirements applicable to the import and 
export of natural uranium are set forth in part 110 of this chapter.)
    (b) The regulations contained in this part are issued under the 
Atomic Energy Act of 1954, as amended (68 Stat. 919), title II of the 
Energy Reorganization Act of 1974, as amended (88 Stat. 1242), and 
titles I and II of the Uranium Mill Tailings Radiation Control Act of 
1978, as amended (42 U.S.C. 7901).

[55 FR 45597, Oct. 30, 1990, as amended at 56 FR 55997, Oct. 31, 1991]



Sec. 40.2   Scope.

    Except as provided in Secs. 40.11 to 40.14, inclusive, the 
regulations in this part apply to all persons in the United States. This 
part also gives notice to all persons who knowingly provide to any 
licensee, contractor, or subcontractor, components, equipment, 
materials, or other goods or services, that relate to a licensee's 
activities subject to this part, that they may be individually subject 
to NRC enforcement action for violation of Sec. 40.10.

[56 FR 40689, Aug. 15, 1991]

[[Page 570]]



Sec. 40.2a  Coverage of inactive tailings sites.

    (a) Prior to the completion of the remedial action, the Commission 
will not require a license pursuant to 10 CFR chapter I for possession 
of residual radioactive materials as defined in this part that are 
located at a site where milling operations are no longer active, if the 
site is covered by the remedial action program of title I of the Uranium 
Mill Tailings Radiation Control Act of 1978, as amended. The Commission 
will exert its regulatory role in remedial actions primarily through 
concurrence and consultation in the execution of the remedial action 
pursuant to title I of the Uranium Mill Tailings Radiation Control Act 
of 1978, as amended. After remedial actions are completed, the 
Commission will license the long-term care of sites, where residual 
radioactive materials are disposed, under the requirements set out in 
Sec. 40.27.
    (b) The Commission will regulate byproduct material as defined in 
this part that is located at a site where milling operations are no 
longer active, if such site is not covered by the remedial action 
program of title I of the Uranium Mill Tailings Radiation Control Act of 
1978. The criteria in appendix A of this part will be applied to such 
sites.

[45 FR 65531, Oct. 3, 1980, as amended at 55 FR 45598, Oct. 30, 1990]



Sec. 40.3  License requirements.

    A person subject to the regulations in this part may not receive 
title to, own, receive, possess, use, transfer, provide for long-term 
care, deliver or dispose of byproduct material or residual radioactive 
material as defined in this part or any source material after removal 
from its place of deposit in nature, unless authorized in a specific or 
general license issued by the Commission under the regulations in this 
part.

[55 FR 45598, Oct. 30, 1990]



Sec. 40.4   Definitions.

     Act means the Atomic Energy Act of 1954 (68 Stat. 919), including 
any amendments thereto;
     Agreement State means any State with which the Atomic Energy 
Commission or the Nuclear Regulatory Commission has entered into an 
effective agreement under subsection 274b. of the Atomic Energy Act of 
1954, as amended.
     Alert means events may occur, are in progress, or have occurred 
that could lead to a release of radioactive material but that the 
release is not expected to require a response by offsite response 
organizations to protect persons offsite.
     Byproduct Material means the tailings or wastes produced by the 
extraction or concentration of uranium or thorium from any ore processed 
primarily for its source material content, including discrete surface 
wastes resulting from uranium solution extraction processes. Underground 
ore bodies depleted by such solution extraction operations do not 
constitute ``byproduct material'' within this definition.
     With the exception of ``byproduct material'' as defined in section 
11e. of the Act, other terms defined in section 11 of the Act shall have 
the same meaning when used in the regulations in this part.
     Commencement of construction means any clearing of land, 
excavation, or other substantial action that would adversely affect the 
natural environment of a site but does not include changes desirable for 
the temporary use of the land for public recreational uses, necessary 
borings to determine site characteristics or other preconstruction 
monitoring to establish background information related to the 
suitability of a site or to the protection of environmental values.
     Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
     Decommission means to remove (as a facility) safely from service 
and reduce residual radioactivity to a level that permits release of the 
property for unrestricted use and termination of license.
     Department and Department of Energy means the Department of Energy 
established by the Department of Energy Organization Act (Pub. L. 95-91, 
91 Stat. 565, 42 U.S.C. 7101 et seq.) to the extent that the Department, 
or its duly authorized representatives, exercises functions formerly 
vested in the U.S.

[[Page 571]]

Atomic Energy Commission, its Chairman, members, officers and components 
and transferred to the U.S. Energy Research and Development 
Administration and to the Administrator thereof pursuant to sections 104 
(b), (c) and (d) of the Energy Reorganization Act of 1974 (Pub. L. 93-
438, 88 Stat. 1233 at 1237, 42 U.S.C. 5814) and retransferred to the 
Secretary of Energy pursuant to section 301(a) of the Department of 
Energy Organization Act (Pub. L. 95-91, 91 Stat. 565 at 577-578, 42 
U.S.C. 7151).
     Depleted uranium means the source material uranium in which the 
isotope uranium-235 is less than 0.711 weight percent of the total 
uranium present. Depleted uranium does not include special nuclear 
material.
     Effective kilogram means (1) for the source material uranium in 
which the uranium isotope uranium-235 is greater than 0.005 (0.5 weight 
percent) of the total uranium present: 10,000 kilograms, and (2) for any 
other source material: 20,000 kilograms.
     Government agency means any executive department, commission, 
independent establishment, corporation, wholly or partly owned by the 
United States of America which is an instrumentality of the United 
States, or any board, bureau, division, service, office, officer, 
authority, administration, or other establishment in the executive 
branch of the Government.
     License, except where otherwise specified, means a license issued 
pursuant to the regulations in this part.
     Persons means: (1) Any individual, corporation, partnership, firm, 
association, trust, estate, public or private institution, group, 
Government agency other than the Commission or the Department of Energy 
except that the Department of Energy shall be considered a person within 
the meaning of the regulations in this part to the extent that its 
facilities and activities are subject to the licensing and related 
regulatory authority of the Commission pursuant to section 202 of the 
Energy Reorganization Act of 1974 (88 Stat. 1244)1 and the Uranium 
Mill Tailings Radiation Control Act of 1978 (92 Stat. 3021), any State 
or any political subdivision of, or any political entity within a State, 
any foreign government or nation or any subdivision of any such 
government or nation, or other entity; and (2) any legal successor, 
representative, agent or agency of the foregoing.
---------------------------------------------------------------------------

    1 The Department of Energy facilities and activities identified 
in section 202 are:
    (1) Demonstration Liquid Metal Fast Breeder reactors when operated 
as part of the power generation facilities of an electric utility 
system, or when operated in any other manner for the purpose of 
demonstrating the suitability for commercial application of such a 
reactor.
    (2) Other demonstration nuclear reactors, except those in existence 
on January 19, 1975, when operated as part of the power generation 
facilities of an electric utility system, or when operated in any other 
manner for the purpose of demonstrating the suitability for commercial 
application of such a reactor.
    (3) Facilities used primarily for the receipt and storage of high-
level radioactive wastes resulting from licensed activities.
    (4) Retrievable Surface Storage Facilities and other facilities 
authorized for the express purpose of subsequent long-term storage of 
high-level radioactive waste generated by the Department of Energy, 
which are not used for, or are part of, research and development 
activities.
---------------------------------------------------------------------------

     Pharmacist means an individual registered by a state or territory 
of the United States, the District of Columbia or the Commonwealth of 
Puerto Rico to compound and dispense drugs, prescriptions and poisons.
     Physician means a medical doctor or doctor of osteopathy licensed 
by a State or Territory of the United States, the District of Columbia, 
or the Commonwealth of Puerto Rico to prescribe drugs in the practice of 
medicine.
    Principal activities, as used in this part, means activities 
authorized by the license which are essential to achieving the 
purpose(s) for which the license was issued or amended. Storage during 
which no licensed material is accessed for use or disposal and 
activities incidental to decontamination or decommissioning are not 
principal activities.
    Residual radioactive material means: (1) Waste (which the Secretary 
of Energy determines to be radioactive) in the form of tailings 
resulting from the processing of ores for the extraction of uranium and 
other valuable constituents of the ores; and (2) other waste

[[Page 572]]

(which the Secretary of Energy determines to be radioactive) at a 
processing site which relates to such processing, including any residual 
stock of unprocessed ores or low-grade materials. This term is used only 
with respect to materials at sites subject to remediation under title I 
of the Uranium Mill Tailings Radiation Control Act of 1978, as amended.
     Site area emergency means events may occur, are in progress, or 
have occurred that could lead to a significant release of radioactive 
material and that could require a response by offsite response 
organizations to protect persons offsite.
     Source Material means: (1) Uranium or thorium, or any combination 
thereof, in any physical or chemical form or (2) ores which contain by 
weight one-twentieth of one percent (0.05%) or more of: (i) Uranium, 
(ii) thorium or (iii) any combination thereof. Source material does not 
include special nuclear material.
     Special nuclear material means: (1) Plutonium, uranium 233, uranium 
enriched in the isotope 233 or in the isotope 235, and any other 
material which the Commission, pursuant to the provisions of section 51 
of the Act, determines to be special nuclear material; or (2) any 
material artificially enriched by any of the foregoing.
     Transient shipment means a shipment of nuclear material, 
originating and terminating in foreign countries, on a vessel or 
aircraft that stops at a United States port.
     United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States.
     Unrefined and unprocessed ore means ore in its natural form prior 
to any processing, such as grinding, roasting or beneficiating, or 
refining.
    Uranium enrichment facility means:
    (1) Any facility used for separating the isotopes of uranium or 
enriching uranium in the isotope 235, except laboratory scale facilities 
designed or used for experimental or analytical purposes only; or
    (2) Any equipment or device, or important component part especially 
designed for such equipment or device, capable of separating the 
isotopes of uranium or enriching uranium in the isotope 235.
     Uranium Milling means any activity that results in the production 
of byproduct material as defined in this part.

[26 FR 284, Jan. 14, 1961]

    Editorial Note: For additional Federal Register citations affecting 
Sec. 40.4, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



Sec. 40.5  Communications.

    (a) Unless otherwise specified or covered under the regional 
licensing program as provided in paragraph (b) of this section, any 
communication or report concerning the regulations in this part and any 
application filed under these regulations may be submitted to the 
Commission as follows:
    (1) By mail addressed to: Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555.
    (2) By delivery in person to the Commission's offices to the 
Director, Office of Nuclear Material Safety and Safeguards at:
    (i) 2120 L Street, NW., Washington, DC; or
    (ii) 11545 Rockville Pike, Two White Flint North, Rockville, 
Maryland.
    (b) The Commission has delegated to the five Regional Administrators 
licensing authority for selected parts of its decentralized licensing 
program for nuclear materials as described in paragraph (b)(1) of this 
section. Any communication, report, or application covered under this 
licensing program must be submitted as specified in paragraph (b)(2) of 
this section.
    (1) The delegated licensing program includes authority to issue, 
renew, amend, cancel, modify, suspend, or revoke licenses for nuclear 
materials issued pursuant to 10 CFR parts 30 through 36, 39, 40, and 70 
to all persons for academic, medical, and industrial uses, with the 
following exceptions:
    (i) Activities in the fuel cycle and special nuclear material in 
quantities sufficient to constitute a critical mass in any room or area. 
This exception does not apply to license modifications relating to 
termination of special nuclear material licenses that authorize 
possession of larger quantities when

[[Page 573]]

the case is referred for action from NRC's Headquarters to the Regional 
Administrators.
    (ii) Health and safety design review of sealed sources and devices 
and approval, for licensing purposes, of sealed sources and devices.
    (iii) Processing of source material for extracting of metallic 
compounds (including Zirconium, Hafnium, Tantalum, Titanium, Niobium, 
etc.).
    (iv) Distribution of products containing radioactive material to 
persons exempt pursuant to 10 CFR 32.11 through 32.26.
    (v) New uses or techniques for use of byproduct, source, or special 
nuclear material.
    (vi) Uranium enrichment facilities.
    (2) Submission--(i) Region I. The regional licensing program 
involves all Federal facilities in the region and non-Federal licensees 
in the following Region I non-Agreement States and the District of 
Columbia: Connecticut, Delaware, Maine, Massachusetts, New Jersey, 
Pennsylvania, and Vermont. All inquiries, communications, and 
applications for a new license or an amendment or renewal of an existing 
license specified in paragraph (b)(1) of this section must be sent to: 
U.S. Nuclear Regulatory Commission, Region I, 475 Allendale Road, King 
of Prussia, Pennsylvania 19406.
    (ii) Region II. The regional licensing program involves all Federal 
facilities in the region and non-Federal licensees in the following 
Region II non-Agreement states and territories: Virginia, West Virginia, 
Puerto Rico, and the Virgin Islands. All inquiries, communications, and 
applications for a new license or an amendment to an existing license 
specified in paragraph (b)(1) of this section must be sent to: U.S. 
Nuclear Regulatory Commission, Region II, Material Radiation Protection 
Section, 101 Marietta Street, NW, Suite 2900, Atlanta, Georgia 30323.
    (iii) Region III. The regional licensing program involves all 
Federal facilities in the region and non-Federal licensees in the 
following Region III non-Agreement States: Indiana, Michigan, Minnesota, 
Missouri, Ohio, and Wisconsin. All inquiries, communications, and 
applications for a new license or an amendment or renewal of an existing 
license specified in paragraph (b)(1) of this section must be sent to: 
U.S. Nuclear Regulatory Commission, Region III, Material Licensing 
Section, 801 Warrenville Road, Lisle, Illinois 60532-4351.
    (iv) Region IV. The regional licensing program involves all Federal 
facilities in the region and non-Federal licensees in the following 
Region IV non-Agreement States and a territory: Alaska, Hawaii, Montana, 
Oklahoma, South Dakota, Wyoming, and Guam. All inquiries, 
communications, and applications for a new license or an amendment or 
renewal of an existing license specified in paragraph (b)(1) of this 
section must be sent to: U.S. Nuclear Regulatory Commission, Region IV, 
Material Radiation Protection Section, 611 Ryan Plaza Drive, suite 400, 
Arlington, Texas 76011.

[48 FR 16031, Apr. 14, 1983, as amended at 49 FR 19631, May 9, 1984; 49 
FR 47824, Dec. 7, 1984; 50 FR 14694, Apr. 15, 1985; 51 FR 36001, Oct. 8, 
1986; 52 FR 8241, Mar. 17, 1987; 52 FR 38392, Oct. 16, 1987; 52 FR 
48093, Dec. 18, 1987; 53 FR 3862, Feb. 10, 1988; 53 FR 43420, Oct. 27, 
1988; 57 FR 18390, Apr. 30, 1992; 58 FR 7736, Feb. 9, 1993; 58 FR 64111, 
Dec. 6, 1993; 59 FR 17466, Apr. 13, 1994; 60 FR 24551, May 9, 1995]



Sec. 40.6   Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 40.7  Employee protection.

    (a) Discrimination by a Commission licensee, an applicant for a 
Commission license, or a contractor or subcontractor of a Commission 
licensee or applicant against an employee for engaging in certain 
protected activities is prohibited. Discrimination includes discharge 
and other actions that relate to compensation, terms, conditions, or 
privileges of employment. The protected activities are established in 
section 211 of the Energy Reorganization Act of 1974, as amended, and in 
general are related to the administration or enforcement of a 
requirement imposed

[[Page 574]]

under the Atomic Energy Act or the Energy Reorganization Act.
    (1) The protected activities include but are not limited to:
    (i) Providing the Commission or his or her employer information 
about alleged violations of either of the statutes named in paragraph 
(a) introductory text of this section or possible violations of 
requirements imposed under either of those statutes;
    (ii) Refusing to engage in any practice made unlawful under either 
of the statutes named in paragraph (a) introductory text or under these 
requirements if the employee has identified the alleged illegality to 
the employer;
    (iii) Requesting the Commission to institute action against his or 
her employer for the administration or enforcement of these 
requirements;
    (iv) Testifying in any Commission proceeding, or before Congress, or 
at any Federal or State proceeding regarding any provision (or proposed 
provision) of either of the statutes named in paragraph (a) introductory 
text.
    (v) Assisting or participating in, or is about to assist or 
participate in, these activities.
    (2) These activities are protected even if no formal proceeding is 
actually initiated as a result of the employee assistance or 
participation.
    (3) This section has no application to any employee alleging 
discrimination prohibited by this section who, acting without direction 
from his or her employer (or the employer's agent), deliberately causes 
a violation of any requirement of the Energy Reorganization Act of 1974, 
as amended, or the Atomic Energy Act of 1954, as amended.
    (b) Any employee who believes that he or she has been discharged or 
otherwise discriminated against by any person for engaging in protected 
activities specified in paragraph (a)(1) of this section may seek a 
remedy for the discharge or discrimination through an administrative 
proceeding in the Department of Labor. The administrative proceeding 
must be initiated within 180 days after an alleged violation occurs. The 
employee may do this by filing a complaint alleging the violation with 
the Department of Labor, Employment Standards Administration, Wage and 
Hour Division. The Department of Labor may order reinstatement, back 
pay, and compensatory damages.
    (c) A violation of paragraphs (a), (e), or (f) of this section by a 
Commission licensee, an applicant for a Commission license, or a 
contractor or subcontractor of a Commission licensee or applicant may be 
grounds for--
    (1) Denial, revocation, or suspension of the license.
    (2) Imposition of a civil penalty on the licensee or applicant.
    (3) Other enforcement action.
    (d) Actions taken by an employer, or others, which adversely affect 
an employee may be predicated upon nondiscriminatory grounds. The 
prohibition applies when the adverse action occurs because the employee 
has engaged in protected activities. An employee's engagement in 
protected activities does not automatically render him or her immune 
from discharge or discipline for legitimate reasons or from adverse 
action dictated by nonprohibited considerations.
    (e)(1) Each specific licensee, each applicant for a specific 
license, and each general licensee subject to part 19 shall prominently 
post the revision of NRC Form 3, ``Notice to Employees'', referenced in 
10 CFR 19.11(c).
    (2) The posting of NRC Form 3 must be at locations sufficient to 
permit employees protected by this section to observe a copy on the way 
to or from their place of work. Premises must be posted not later than 
30 days after an application is docketed and remain posted while the 
application is pending before the Commission, during the term of the 
license, and for 30 days following license termination.
    (3) Copies of NRC Form 3 may be obtained by writing to the Regional 
Administrator of the appropriate U.S. Nuclear Regulatory Commission 
Regional Office listed in Appendix D to Part 20 of this chapter or by 
calling the NRC Information and Records Management Branch at (301) 415-
7230.
    (f) No agreement affecting the compensation, terms, conditions, or 
privileges of employment, including an agreement to settle a complaint 
filed by an employee with the Department of Labor pursuant to section 
211 of the Energy Reorganization Act of 1974,

[[Page 575]]

may contain any provision which would prohibit, restrict, or otherwise 
discourage an employee from participating in protected activity as 
defined in paragraph (a)(1) of this section including, but not limited 
to, providing information to the NRC or to his or her employer on 
potential violations or other matters within NRC's regulatory 
responsibilities.

[58 FR 52409, Oct. 8, 1993, as amended at 60 FR 24551, May 9, 1995; 61 
FR 6765, Feb. 22, 1996]



Sec. 40.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0020.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 40.25, 40.26, 40.31, 40.35, 40.36, 40.42, 
40.43, 40.44, 40.60, 40.61, 40.64, 40.65, and appendix A to this part.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Secs. 40.31, 40.43, 40.44, and appendix A, NRC Form 313 is 
approved under control number 3150-0120.
    (2) In Sec. 40.31, Form N-71 is approved under control number 3150-
0056.
    (3) In Sec. 40.42, Form NRC-314 is approved under control number 
3150-0028.
    (4) In Sec. 40.64, Form NRC-741 is approved under control number 
3150-0003.

[49 FR 19626, May 9, 1984, as amended at 56 FR 40768, Aug. 16, 1991; 58 
FR 68731, Dec. 29, 1993]



Sec. 40.9  Completeness and accuracy of information.

    (a) Information provided to the Commission by an applicant for a 
license or by a licensee or information required by statute or by the 
Commission's regulations, orders, or license conditions to be maintained 
by the applicant or the licensee shall be complete and accurate in all 
material respects.
    (b) Each applicant or licensee shall notify the Commission of 
information identified by the applicant or licensee as having for the 
regulated activity a significant implication for public health and 
safety or common defense and security. An applicant or licensee violates 
this paragraph only if the applicant or licensee fails to notify the 
Commission of information that the applicant or licensee has identified 
as having a significant implication for public health and safety or 
common defense and security. Notification shall be provided to the 
Administrator of the appropriate Regional Office within two working days 
of identifying the information. This requirement is not applicable to 
information which is already required to be provided to the Commission 
by other reporting or undating requirements.

[52 FR 49371, Dec. 31, 1987]



Sec. 40.10  Deliberate misconduct.

    (a) Any licensee or any employee of a licensee; and any contractor 
(including a supplier or consultant), subcontractor, or any employee of 
a contractor or subcontractor, of any licensee, who knowingly provides 
to any licensee, contractor, or subcontractor, components, equipment, 
materials, or other goods or services, that relate to a licensee's 
activities subject to this part; may not:
    (1) Engage in deliberate misconduct that causes or, but for 
detection, would have caused, a licensee to be in violation of any rule, 
regulation, or order, or any term, condition, or limitation of any 
license, issued by the Commission, or
    (2) Deliberately submit to the NRC, a licensee, or a licensee's 
contractor or subcontractor, information that the person submitting the 
information knows to be incomplete or inaccurate in some respect 
material to the NRC.
    (b) A person who violates paragraph (a)(1) or (a)(2) of this section 
may be subject to enforcement action in accordance with the procedures 
in 10 CFR part 2, subpart B.
    (c) For purposes of paragraph (a)(1) of this section, deliberate 
misconduct by

[[Page 576]]

a person means an intentional act or omission that the person knows:
    (1) Would cause a licensee to be in violation of any rule, 
regulation, or order, or any term, condition, or limitation, of any 
license issued by the Commission, or
    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order or policy of a licensee, 
contractor, or subcontractor.

[56 FR 40689, Aug. 15, 1991]

                               Exemptions



Sec. 40.11   Persons using source material under certain Department of Energy and Nuclear Regulatory Commission contracts.

    Except to the extent that Department facilities or activities of the 
types subject to licensing pursuant to section 202 of the Energy 
Reorganization Act of 1974 or the Uranium Mill Tailings Radiation 
Control Act of 1978 are involved, any prime contractor of the Department 
is exempt from the requirements for a license set forth in sections 62, 
63, and 64 of the Act and from the regulations in this part to the 
extent that such contractor, under his prime contract with the 
Department, receives, possesses, uses, transfers or delivers source 
material for: (a) The performance of work for the Department at a United 
States Government-owned or controlled site, including the transportation 
of source material to or from such site and the performance of contract 
services during temporary interruptions of such transportation; (b) 
research in, or development, manufacture, storage, testing or 
transportation of, atomic weapons or components thereof; or (c) the use 
or operation of nuclear reactors or other nuclear devices in a United 
States Government-owned vehicle or vessel. In addition to the foregoing 
exemptions, and subject to the requirement for licensing of Department 
facilities and activities pursuant to section 202 of the Energy 
Reorganization Act of 1974 or the Uranium Mill Tailings Radiation 
Control Act of 1980, any prime contractor or subcontractor of the 
Department or the Commission is exempt from the requirements for a 
license set forth in sections 62, 63, and 64 of the Act and from the 
regulations in this part to the extent that such prime contractor or 
subcontractor receives, possesses, uses, transfers or delivers source 
material under his prime contract or subcontract when the Commission 
determines that the exemption of the prime contractor or subcontractor 
is authorized by law; and that, under the terms of the contract or 
subcontract, there is adequate assurance that the work thereunder can be 
accomplished without undue risk to the public health and safety.

[40 FR 8787, Mar. 3, 1975, as amended at 43 FR 6923, Feb. 17, 1978; 45 
FR 65531, Oct. 3, 1980]



Sec. 40.12  Carriers.

    (a) Except as specified in paragraph (b) of this section, common and 
contract carriers, freight forwarders, warehousemen, and the U.S. Postal 
Service are exempt from the regulations in this part and the 
requirements for a license set forth in section 62 of the Act to the 
extent that they transport or store source material in the regular 
course of the carriage for another or storage incident thereto.
    (b) The exemption in paragraph (a) of this section does not apply to 
a person who possesses a transient shipment (as defined in 
Sec. 40.4(r)), an import shipment, or an export shipment of natural 
uranium in an amount exceeding 500 kilograms, unless the shipment is in 
the form of ore or ore residue.

[52 FR 9651, Mar. 26, 1987]



Sec. 40.13   Unimportant quantities of source material.

    (a) Any person is exempt from the regulations in this part and from 
the requirements for a license set forth in section 62 of the Act to the 
extent that such person receives, possesses, uses, transfers or delivers 
source material in any chemical mixture, compound, solution, or alloy in 
which the source material is by weight less than one-twentieth of 1 
percent (0.05 percent) of the mixture, compound, solution or alloy. The 
exemption contained in this paragraph does not include byproduct 
material as defined in this part.
    (b) Any person is exempt from the regulations in this part and from 
the requirements for a license set forth in

[[Page 577]]

section 62 of the act to the extent that such person receives, 
possesses, uses, or transfers unrefined and unprocessed ore containing 
source material; provided, that, except as authorized in a specific 
license, such person shall not refine or process such ore.
    (c) Any person is exempt from the regulation in this part and from 
the requirements for a license set forth in section 62 of the Act to the 
extent that such person receives, possesses, uses, or transfers:
    (1) Any quantities of thorium contained in (i) incandescent gas 
mantles, (ii) vacuum tubes, (iii) welding rods, (iv) electric lamps for 
illuminating purposes: Provided, That each lamp does not contain more 
than 50 milligrams of thorium, (v) germicidal lamps, sunlamps, and lamps 
for outdoor or industrial lighting: Provided, That each lamp does not 
contain more than 2 grams of thorium, (vi) rare earth metals and 
compounds, mixtures, and products containing not more than 0.25 percent 
by weight thorium, uranium, or any combination of these, or (vii) 
personnel neutron dosimeters: Provided, That each dosimeter does not 
contain more than 50 milligrams of thorium.
    (2) Source material contained in the following products:
    (i) Glazed ceramic tableware, provided that the glaze contains not 
more than 20 percent by weight source material;
    (ii) Piezoelectric ceramic containing not more than 2 percent by 
weight source material;
    (iii) Glassware containing not more than 10 percent by weight source 
material; but not including commercially manufactured glass brick, pane 
glass, ceramic tile, or other glass or ceramic used in construction;
    (iv) Glass enamel or glass enamel frit containing not more than 10 
percent by weight source material imported or ordered for importation 
into the United States, or initially distributed by manufacturers in the 
United States, before July 25, 1983.\1\
---------------------------------------------------------------------------

    \1\ On July 25, 1983, the exemption of glass enamel or glass enamel 
frit was suspended. The exemption was eliminated on September 11, 1984.
---------------------------------------------------------------------------

    (3) Photographic film, negatives, and prints containing uranium or 
thorium;
    (4) Any finished product or part fabricated of, or containing 
tungsten or magnesium-thorium alloys, provided that the thorium content 
of the alloy does not exceed 4 percent by weight and that the exemption 
contained in this subparagraph shall not be deemed to authorize the 
chemical, physical or metallurgical treatment or processing of any such 
product or part; and
    (5) Uranium contained in counterweights installed in aircraft, 
rockets, projectiles, and missiles, or stored or handled in connection 
with installation or removal of such counterweights: Provided, That:
    (i) The counterweights are manufactured in accordance with a 
specific license issued by the Commission or the Atomic Energy 
Commission authorizing distribution by the licensee pursuant to this 
paragraph;
    (ii) Each counterweight has been impressed with the following legend 
clearly legible through any plating or other covering: ``Depleted 
Uranium'';2
---------------------------------------------------------------------------

    2 The requirements specified in paragraphs (c)(5) (ii) and (iii) of 
this section need not be met by counterweights manufactured prior to 
Dec. 31, 1969: Provided, That such counterweights were manufactured 
under a specific license issued by the Atomic Energy Commission and were 
impressed with the legend required by Sec. 40.13(c)(5)(ii) in effect on 
June 30, 1969.
---------------------------------------------------------------------------

    (iii) Each counterweight is durably and legibly labeled or marked 
with the identification of the manufacturer, and the statement: 
``Unauthorized Alterations Prohibited'';2 and
    (iv) The exemption contained in this paragraph shall not be deemed 
to authorize the chemical, physical, or metallurgical treatment or 
processing of any such counterweights other than repair or restoration 
of any plating or other covering.
    (6) Natural or depleted uranium metal used as shielding constituting 
part of any shipping container: Provided, That:
    (i) The shipping container is conspicuously and legibly impressed 
with the legend ``CAUTION--RADIOACTIVE SHIELDING--URANIUM''; and
    (ii) The uranium metal is encased in mild steel or equally fire 
resistant

[[Page 578]]

metal of minimum wall thickness of one-eighth inch (3.2 mm).
    (7) Thorium contained in finished optical lenses, provided that each 
lens does not contain more than 30 percent by weight of thorium; and 
that the exemption contained in this subparagraph shall not be deemed to 
authorize either:
    (i) The shaping, grinding or polishing of such lens or manufacturing 
processes other than the assembly of such lens into optical systems and 
devices without any alteration of the lens; or
    (ii) The receipt, possession, use, transfer, or of thorium contained 
in contact lenses, or in spectacles, or in eyepieces in binoculars or 
other optical instruments.
    (8) Thorium contained in any finished aircraft engine part 
containing nickel-thoria alloy, Provided, That:
    (i) The thorium is dispersed in the nickel-thoria alloy in the form 
of finely divided thoria (thorium dioxide); and
    (ii) The thorium content in the nickel-thoria alloy does not exceed 
4 percent by weight.
    (9) The exemptions in this paragraph (c) do not authorize the 
manufacture of any of the products described.
    (d) Any person is exempt from the regulations in this part and from 
the requirements for a license set forth in section 62 of the Act to the 
extent that such person receives, possesses, uses, or transfers uranium 
contained in detector heads for use in fire detection units, provided 
that each detector head contains not more than 0.005 microcurie of 
uranium. The exemption in this paragraph does not authorize the 
manufacture of any detector head containing uranium.

[26 FR 284, Jan. 14, 1961, as amended at 26 FR 10929, Nov. 22, 1961; 28 
FR 8021, Aug. 7, 1963; 28 FR 14309, Dec. 27, 1963; 30 FR 15802, Dec. 22, 
1965; 32 FR 15873, Nov. 18, 1967; 34 FR 14067, Sept. 5, 1969; 34 FR 
19546, Dec. 11, 1969; 35 FR 6313, Apr. 18, 1970]

    Editorial Note: For additional Federal Register citations affecting 
Sec. 40.11, see the Finding Aids section of this volume.



Sec. 40.14  Specific exemptions.

    (a) The Commission may, upon application of any interested person or 
upon its own initiative, grant such exemptions from the requirements of 
the regulation in this part as it determines are authorized by law and 
will not endanger life or property or the common defense and security 
and are otherwise in the public interest.
    (b) [Reserved]
    (c) The DOE is exempt from the requirements of this part to the 
extent that its activities are subject to the requirements of part 60 of 
this chapter.
    (d) Except as specifically provided in part 61 of this chapter any 
licensee is exempt from the requirements of this part to the extent that 
its activities are subject to the requirements of part 61 of this 
chapter.

[37 FR 5747, Mar. 21, 1972, as amended at 39 FR 26279, July 18, 1974; 40 
FR 8787, Mar. 3, 1975; 45 FR 65531, Oct. 3, 1980; 46 FR 13979, Feb. 25, 
1981; 47 FR 57481, Dec. 27, 1982]

                            General Licenses



Sec. 40.20   Types of licenses.

    (a) Licenses for source material and byproduct material are of two 
types: general and specific. Licenses for long-term care and custody of 
residual radioactive material at disposal sites are general licenses. 
The general licenses provided in this part are effective without the 
filing of applications with the Commission or the issuance of licensing 
documents to particular persons. Specific licenses are issued to named 
persons upon applications filed pursuant to the regulations in this 
part.
    (b) Section 40.27 contains a general license applicable for custody 
and long-term care of residual radioactive material at uranium mill 
tailings disposal sites remediated under title I of the Uranium Mill 
Tailings Radiation Control Act of 1978, as amended.
    (c) Section 40.28 contains a general license applicable for custody 
and long-term care of byproduct material at uranium or thorium mill 
tailings disposal sites under title II of the Uranium Mill Tailings 
Radiation Control Act of 1978, as amended.

[55 FR 45598, Oct. 30, 1990]



Sec. 40.21  General license to receive title to source or byproduct material.

    A general license is hereby issued authorizing the receipt of title 
to source or byproduct material, as defined in

[[Page 579]]

this part, without regard to quantity. This general license does not 
authorize any person to receive, possess, deliver, use, or transfer 
source or byproduct material.

[45 FR 65531, Oct. 3, 1980]



Sec. 40.22  Small quantities of source material.

    (a) A general license is hereby issued authorizing commercial and 
industrial firms, research, educational and medical institutions and 
Federal, State and local government agencies to use and transfer not 
more than fifteen (15) pounds of source material at any one time for 
research, development, educational, commercial or operational purposes. 
A person authorized to use or transfer source material, pursuant to this 
general license, may not receive more than a total of 150 pounds of 
source material in any one calendar year.
    (b) Persons who receive, possess, use, or transfer source material 
pursuant to the general license issued in paragraph (a) of this section 
are exempt from the provisions of parts 19, 20, and 21, of this chapter 
to the extent that such receipt, possession, use or transfer are within 
the terms of such general license: Provided, however, That this 
exemption shall not be deemed to apply to any such person who is also in 
possession of source material under a specific license issued pursuant 
to this part.
    (c) Persons who receive, possess, use or transfer source material 
pursuant to the general license in paragraph (a) of this section are 
prohibited from administering source material, or the radiation 
therefrom, either externally or internally, to human beings except as 
may be authorized by NRC in a specific license.

[26 FR 284, Jan. 14, 1961, as amended at 38 FR 22221, Aug. 17, 1973; 42 
FR 28896, June 6, 1977; 45 FR 55420, Aug. 20, 1980]



Sec. 40.23  General license for carriers of transient shipments of natural uranium other than in the form of ore or ore residue.

    (a) A general license is hereby issued to any person to possess a 
transient shipment of natural uranium, other than in the form of ore or 
ore residue, in amounts exceeding 500 kilograms.
    (b)(1) Persons generally licensed under paragraph (a) of this 
section, who plan to carry a transient shipment with scheduled stops at 
a United States port, shall notify the Division of Industrial and 
Medical Nuclear Safety, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555. The notification must be in writing and must be received at 
least 10 days before transport of the shipment commences at the shipping 
facility.
    (2) The notification must include the following information:
    (i) Location of all scheduled stops in United States territory;
    (ii) Arrival and departure times for all scheduled stops in United 
States territory;
    (iii) The type of transport vehicle;
    (iv) A physical description of the shipment;
    (v) The numbers and types of containers;
    (vi) The name and telephone number of the carrier's representatives 
at each stopover location in the United States territory;
    (vii) A listing of the modes of shipments, transfer points, and 
routes to be used;
    (viii) The estimated date and time that shipment will commence and 
that each nation (other than the United States) along the route is 
scheduled to be entered;
    (ix) For shipment between countries that are not party to the 
Convention on the Physical Protection of Nuclear Material (i.e., not 
listed in appendix F to part 73 of this chapter), a certification that 
arrangements have been made to notify the Division of Industrial and 
Medical Nuclear Safety when the shipment is received at the destination 
facility.
    (c) Persons generally licensed under this section making unscheduled 
stops at United States ports, immediately after the decision to make an 
unscheduled stop, shall provide to the Division of Industrial and 
Medical Nuclear Safety the information required under paragraph (b) of 
this section.
    (d) A licensee who needs to amend a notification may do so by 
telephoning

[[Page 580]]

the Division of Industrial and Medical Nuclear Safety at (301) 415-7197.

[52 FR 9651, Mar. 26, 1987, as amended at 53 FR 4110, Feb. 12, 1988; 60 
FR 24551, May 9, 1995]
Sec. 40.24  [Reserved]



Sec. 40.25   General license for use of certain industrial products or devices.

    (a) A general license is hereby issued to receive, acquire, possess, 
use, or transfer, in accordance with the provisions of paragraphs (b), 
(c), (d), and (e) of this section, depleted uranium contained in 
industrial products or devices for the purpose of providing a 
concentrated mass in a small volume of the product or device.
    (b) The general license in paragraph (a) of this section applies 
only to industrial products or devices which have been manufactured or 
initially transferred in accordance with a specific license issued 
pursuant to Sec. 40.34 (a) of this part or in accordance with a specific 
license issued by an Agreement State which authorizes manufacture of the 
products or devices for distribution to persons generally licensed by 
the Agreement State.
    (c)(1) Persons who receive, acquire, possess, or use depleted 
uranium pursuant to the general license established by paragraph (a) of 
this section shall file Form NRC 244, ``Registration Certificate--Use of 
Depleted Uranium Under General License,'' with the Director, Division of 
Industrial and Medical Nuclear Safety, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555 with a copy to the appropriate NRC 
Regional Administrator. The form shall be submitted within 30 days after 
the first receipt or acquisition of such depleted uranium. The 
registrant shall furnish on Form NRC 244 the following information and 
such other information as may be required by that form:
    (i) Name and address of the registrant;
    (ii) A statement that the registrant has developed and will maintain 
procedures designed to establish physical control over the depleted 
uranium described in paragraph (a) of this section and designed to 
prevent transfer of such depleted uranium in any form, including metal 
scrap, to persons not authorized to receive the depleted uranium; and
    (iii) Name and/or title, address, and telephone number of the 
individual duly authorized to act for and on behalf of the registrant in 
supervising the procedures identified in paragraph (c)(1)(ii) of this 
section.
    (2) The registrant possessing or using depleted uranium under the 
general license established by paragraph (a) of this section shall 
report in writing to the Director, Division of Industrial and Medical 
Nuclear Safety, with a copy to the Regional Administrator of the 
appropriate U.S. Nuclear Regulatory Commission Regional Office listed in 
appendix D of part 20 of this chapter, any changes in information 
furnished by him in the Form NRC 244 ``Registration Certificate--Use of 
Depleted Uranium Under General License.'' The report shall be submitted 
within 30 days after the effective date of such change.
    (d) A person who receives, acquires, possesses, or uses depleted 
uranium pursuant to the general license established by paragraph (a) of 
this section:
    (1) Shall not introduce such depleted uranium, in any form, into a 
chemical, physical, or metallurgical treatment or process, except a 
treatment or process for repair or restoration of any plating or other 
covering of the depleted uranium.
    (2) Shall not abandon such depleted uranium.
    (3) Shall transfer or dispose of such depleted uranium only by 
transfer in accordance with the provisions of Sec. 40.51 of this part. 
In the case where the transferee receives the depleted uranium pursuant 
to the general license established by paragraph (a) of this section, the 
transferor shall furnish the transferee a copy of this section and a 
copy of Form NRC 244. In the case where the transferee receives the 
depleted uranium pursuant to a general license contained in an Agreement 
State's regulation equivalent to this section, the transferor shall 
furnish the transferee a copy of this section and a copy of Form NRC 244 
accompanied by a note explaining that use of the product or device is 
regulated by the Agreement State under requirements substantially the 
same as those in this section.

[[Page 581]]

    (4) Within 30 days of any transfer, shall report in writing to the 
Director, Division of Industrial and Medical Nuclear Safety, with a copy 
to the Regional Administrator of the appropriate U.S. Nuclear Regulatory 
Commission Regional Office listed in appendix D of part 20 of this 
chapter, the name and address of the person receiving the source 
material pursuant to such transfer.
    (e) Any person receiving, acquiring, possessing, using, or 
transferring depleted uranium pursuant to the general license 
established by paragraph (a) of this section is exempt from the 
requirements of parts 19, 20 and 21 of this chapter with respect to the 
depleted uranium covered by that general license.

[41 FR 53331, Dec. 6, 1976, as amended at 42 FR 28896, June 6, 1977; 43 
FR 6923, Feb. 17, 1978; 43 FR 52202, Nov. 9, 1978; 52 FR 31611, Aug. 21, 
1987; 60 FR 24551, May 9, 1995]



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

    (a) A general license is hereby issued to receive title to, own, or 
possess byproduct material as defined in this part without regard to 
form or quantity.
    (b) The general license in paragraph (a) of this section applies 
only: In the case of licensees of the Commission, where activities that 
result in the production of byproduct material are authorized under a 
specific license issued by the Commission pursuant to this part, to 
byproduct material possessed or stored at an authorized disposal 
containment area or transported incident to such authorized activity: 
Provided, That authority to receive title to, own, or possess byproduct 
material under this general license shall terminate when the specific 
license for source material expires, is renewed, or is amended to 
include a specific license for byproduct material as defined in this 
part.
    (c) The general license in paragraph (a) of this section is subject 
to:
    (1) The provisions of parts 19, 20, 21, and Secs. 40.1, 40.2a, 40.3, 
40.4, 40.5, 40.6, 40.41, 40.46, 40.60, 40.61, 40.62, 40.63, 40.65, 
40.71, and 40.81 of part 40 of this chapter; and
    (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 Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, of 
any failure in a tailings or waste retention system that results in a 
release of tailings or waste into unrestricted areas, or of any unusual 
conditions (conditions not 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.
    (d) The general license in paragraph (a) of this section shall 
expire nine months from the effective date of this subparagraph unless 
an applicable licensee has submitted, pursuant to the provisions of 
Sec. 40.31 of this part, an application for license renewal or amendment 
which includes a detailed program for meeting the technical and 
financial criteria contained in appendix A of this part.

[44 FR 50014, Aug. 24, 1979, as amended at 45 FR 12377, Feb. 26, 1980; 
45 FR 65531, Oct. 3, 1980; 53 FR 19248, May 27, 1988; 56 FR 40768, Aug. 
16, 1991]



Sec. 40.27  General license for custody and long-term care of residual radioactive material disposal sites.

    (a) A general license is issued for the custody of and long-term 
care, including monitoring, maintenance, and emergency measures 
necessary to protect public health and safety and other actions 
necessary to comply with the standards promulgated under section 275(a) 
of the Atomic Energy Act of 1954, as amended, for disposal sites under 
title I of the Uranium Mill Tailings Radiation Control Act of 1978, as 
amended. The license is available only to the Department of Energy, or 
another Federal agency designated by the President to provide long-term 
care. The

[[Page 582]]

purpose of this general license is to ensure that uranium mill tailings 
disposal sites will be cared for in such a manner as to protect the 
public health, safety, and the environment after remedial action has 
been completed.
    (b) The general license in paragraph (a) of this section becomes 
effective when the Commission accepts a site Long-Term Surveillance Plan 
(LTSP) that meets the requirements of this section, and when the 
Commission concurs with the Department of Energy's determination of 
completion of remedial action at each disposal site. There is no 
termination of this general license. The LTSP may incorporate by 
reference information contained in documents previously submitted to the 
Commission if the references to the individual incorporated documents 
are clear and specific. Each LTSP must include--
    (1) A legal description of the disposal site to be licensed, 
including documentation on whether land and interests are owned by the 
United States or an Indian tribe. If the site is on Indian land, then, 
as specified in the Uranium Mill Tailings Radiation Control Act of 1978, 
as amended, the Indian tribe and any person holding any interest in the 
land shall execute a waiver releasing the United States of any liability 
or claim by the Tribe or person concerning or arising from the remedial 
action and holding the United States harmless against any claim arising 
out of the performance of the remedial action;
    (2) A detailed description, which can be in the form of a reference, 
of the final disposal site conditions, including existing ground water 
characterization and any necessary ground water protection activities or 
strategies. This description must be detailed enough so that future 
inspectors will have a baseline to determine changes to the site and 
when these changes are serious enough to require maintenance or repairs. 
If the disposal site has continuing aquifer restoration requirements, 
then the licensing process will be completed in two steps. The first 
step includes all items other than ground water restoration. Ground 
water monitoring, which would be addressed in the LTSP, may still be 
required in this first step to assess performance of the tailings 
disposal units. When the Commission concurs with the completion of 
ground water restoration, the licensee shall assess the need to modify 
the LTSP and report results to the Commission. If the proposed 
modifications meet the requirements of this section, the LTSP will be 
considered suitable to accommodate the second step.
    (3) A description of the long-term surveillance program, including 
proposed inspection frequency and reporting to the Commission (as 
specified in appendix A, criterion 12 of this part), frequency and 
extent of ground water monitoring if required, appropriate constituent 
concentration limits for ground water, inspection personnel 
qualifications, inspection procedures, recordkeeping and quality 
assurance procedures;
    (4) The criteria for follow-up inspections in response to 
observations from routine inspections or extreme natural events; and
    (5) The criteria for instituting maintenance or emergency measures.
    (c) The long-term care agency under the general license established 
by paragraph (a) of this section shall--
    (1) Implement the LTSP as described in paragraph (b) of this 
section;
    (2) Care for the disposal site in accordance with the provisions of 
the LTSP;
    (3) Notify the Commission of any changes to the LTSP; the changes 
may not conflict with the requirements of this section;
    (4) Guarantee permanent right-of-entry to Commission representatives 
for the purpose of periodic site inspections; and
    (5) Notify the Commission prior to undertaking any significant 
construction, actions, or repairs related to the disposal site, even if 
the action is required by a State or another Federal agency.
    (d) As specified in the Uranium Mill Tailings Radiation Control Act 
of 1978, as amended, the Secretary of the Interior, with the concurrence 
of the Secretary of Energy and the Commission, may sell or lease any 
subsurface mineral rights associated with land on which residual 
radioactive materials

[[Page 583]]

are disposed. In such cases, the Commission shall grant a license 
permitting use of the land if it finds that the use will not disturb the 
residual radioactive materials or that the residual radioactive 
materials will be restored to a safe and environmentally sound condition 
if they are disturbed by the use.
    (e) The general license in paragraph (a) of this section is exempt 
from parts 19, 20, and 21 of this chapter, unless significant 
construction, actions, or repairs are required. If these types of 
actions are to be undertaken, the licensee shall explain to the 
Commission which requirements from these parts apply for the actions and 
comply with the appropriate requirements.

[55 FR 45598, Oct. 30, 1990]



Sec. 40.28  General license for custody and long-term care of uranium or thorium byproduct materials disposal sites.

    (a) A general license is issued for the custody of and long-term 
care, including monitoring, maintenance, and emergency measures 
necessary to protect the public health and safety and other actions 
necessary to comply with the standards in this part for uranium or 
thorium mill tailings sites closed under title II of the Uranium Mill 
Tailings Radiation Control Act of 1978, as amended. The licensee will be 
the Department of Energy, another Federal agency designated by the 
President, or a State where the disposal site is located. The purpose of 
this general license is to ensure that uranium and thorium mill tailings 
disposal sites will be cared for in such a manner as to protect the 
public health, safety, and the environment after closure.
    (b) The general license in paragraph (a) of this section becomes 
effective when the Commission terminates, or concurs in an Agreement 
State's termination of, the current specific license and a site Long-
Term Surveillance Plan (LTSP) meeting the requirements of this section 
has been accepted by the Commission. There is no termination of this 
general license. If the LTSP has not been formally received by the NRC 
prior to termination of the current specific license, the Commission may 
issue a specific order to the intended custodial agency to ensure 
continued control and surveillance of the disposal site to protect the 
public health, safety, and the environment. The Commission will not 
unnecessarily delay the termination of the specific license solely on 
the basis that an acceptable LTSP has not been received. The LTSP may 
incorporate by reference information contained in documents previously 
submitted to the Commission if the references to the individual 
incorporated documents are clear and specific. Each LTSP must include--
    (1) A legal description of the disposal site to be transferred 
(unless transfer is exempted under provisions of the Atomic Energy Act, 
Sec. 83(b)(1)(A)) and licensed;
    (2) A detailed description, which can be in the form of a reference 
of the final disposal site conditions, including existing ground water 
characterization. This description must be detailed enough so that 
future inspectors will have a baseline to determine changes to the site 
and when these changes are serious enough to require maintenance or 
repairs;
    (3) A description of the long-term surveillance program, including 
proposed inspection frequency and reporting to the Commission (as 
specified in appendix A, Criterion 12 of this part), frequency and 
extent of ground water monitoring if required, appropriate constituent 
concentration limits for ground water, inspection personnel 
qualifications, inspection procedures, recordkeeping and quality 
assurance procedures;
    (4) The criteria for follow-up inspections in response to 
observations from routine inspections or extreme natural events; and
    (5) The criteria for instituting maintenance or emergency measures.
    (c) The long-term care agency who has a general license established 
by paragraph (a) of this section shall--
    (1) Implement the LTSP as described in paragraph (b) of this 
section;
    (2) Care for the disposal site in accordance with the provisions of 
the LTSP;
    (3) Notify the Commission of any changes to the LTSP; the changes 
may not conflict with the requirements of this section;

[[Page 584]]

    (4) Guarantee permanent right-of-entry to Commission representatives 
for the purpose of periodic site inspections; and
    (5) Notify the Commission prior to undertaking any significant 
construction, actions, or repairs related to the disposal site, even if 
the action is required by a State or another Federal agency.
    (d) Upon application, the Commission may issue a specific license, 
as specified in the Uranium Mill Tailings Radiation Control Act of 1978, 
as amended, permitting the use of surface and/or subsurface estates 
transferred to the United States or a State. Although an application may 
be received from any person, if permission is granted, the person who 
transferred the land to DOE or the State shall receive the right of 
first refusal with respect to this use of the land. The application must 
demonstrate that--
    (1) The proposed action does not endanger the public health, safety, 
welfare, or the environment;
    (2) Whether the proposed action is of a temporary or permanent 
nature, the site would be maintained and/or restored to meet 
requirements in appendix A of this part for closed sites; and
    (3) Adequate financial arrangements are in place to ensure that the 
byproduct materials will not be disturbed, or if disturbed that the 
applicant is able to restore the site to a safe and environmentally 
sound condition.
    (e) The general license in paragraph (a) of this section is exempt 
from parts 19, 20, and 21 of this chapter, unless significant 
construction, actions, or repairs are required. If these types of 
actions are to be undertaken, the licensee shall explain to the 
Commission which requirements from these parts apply for the actions and 
comply with the appropriate requirements.
    (f) In cases where the Commission determines that transfer of title 
of land used for disposal of any byproduct materials to the United 
States or any appropriate State is not necessary to protect the public 
health, safety or welfare or to minimize or eliminate danger to life or 
property (Atomic Energy Act, Sec. 83(b)(1)(A)), the Commission will 
consider specific modifications of the custodial agency's LTSP 
provisions on a case-by-case basis.

[55 FR 45599, Oct. 30, 1990]

                          License Applications



Sec. 40.31  Application for specific licenses.

    (a) A person may file an application for specific license in 
duplicate on NRC Form 313, ``Application for Material License,'' in 
accordance with the instructions in Sec. 40.5 of this chapter. 
Information contained in previous applications, statements or reports 
filed with the Commission may be incorporated by reference provided that 
the reference is clear and specific.
    (b) The Commission may at any time after the filing of the original 
application, and before the expiration of the license, require further 
statements in order to enable the Commission to determine whether the 
application should be granted or denied or whether a license should be 
modified or revoked. All applications and statements shall be signed by 
the applicant or licensee or a person duly authorized to act for and on 
his behalf.
    (c) Applications and documents submitted to the Commission in 
connection with applications will be made available for public 
inspection in accordance with the provisions of the regulations 
contained in parts 2 and 9 of this chapter.
    (d) An application for a license filed pursuant to the regulations 
in this part will be considered also as an application for licenses 
authorizing other activities for which licenses are required by the Act: 
Provided, That the application specifies the additional activities for 
which licenses are requested and complies with regulations of the 
Commission as to applications for such licenses.
    (e) Each application for a source material license, other than a 
license exempted from part 170 of this chapter, shall be accompanied by 
the fee prescribed in Sec. 170.31 of this chapter. No fee will be 
required to accompany an application for renewal or amendment of a 
license, except as provided in Sec. 170.31 of this chapter.
    (f) An application for a license to possess and use source material 
for

[[Page 585]]

uranium milling, production of uranium hexafluoride, or for the conduct 
of any other activity which the Commission has determined pursuant to 
subpart A of part 51 of this chapter will significantly affect the 
quality of the environment shall be filed at least 9 months prior to 
commencement of construction of the plant or facility in which the 
activity will be conducted and shall be accompanied by any Environmental 
Report required pursuant to subpart A of part 51 of this chapter.
    (g) In response to a written request by the Commission, an applicant 
for a license to possess and use source material in a uranium 
hexafluoride production plant or a fuel fabrication plant and any other 
applicant for a license to possess and use more than one effective 
kilogram of source material (except for ore processing, as defined in 
Sec. 75.4(o) of this chapter) shall file with the Commission the 
installation information described in Sec. 75.11 of this chapter, on 
Form N-71. The applicant shall also permit verification of this 
installation information by the International Atomic Energy Agency and 
take other action as may be necessary to implement the US/IAEA 
Safeguards Agreement, in the manner set forth Sec. 75.6 and Secs. 75.11 
through 75.14 of this chapter.
    (h) An application for a license to receive, possess, and use source 
material for uranium or thorium milling or byproduct material, as 
defined in this part, at sites formerly associated with such milling 
shall contain proposed written specifications relating to milling 
operations and the disposition of the byproduct material to achieve the 
requirements and objectives set forth in appendix A of this part. Each 
application must clearly demonstrate how the requirements and objectives 
set forth in appendix A of this part have been addressed. Failure to 
clearly demonstrate how the requirements and objectives in appendix A 
have been addressed shall be grounds for refusing to accept an 
application.
    (i) As provided by Sec. 40.36, certain applications for specific 
licenses filed under this part must contain a proposed decommissioning 
funding plan or a certification of financial assurance for 
decommissioning. In the case of renewal applications submitted before 
July 27, 1990, this submittal may follow the renewal application but 
must be submitted on or before July 27, 1990.
    (j)(1) Each application to possess uranium hexafluoride in excess of 
50 kilograms in a single container or 1000 kilograms total must contain 
either:
    (i) An evaluation showing that the maximum intake of uranium by a 
member of the public due to a release would not exceed 2 milligrams; or
    (ii) An emergency plan for responding to the radiological hazards of 
an accidental release of source material and to any associated chemical 
hazards directly incident thereto.
    (2) One or more of the following factors may be used to support an 
evaluation submitted under paragraph (j)(1)(i) of this section:
    (i) All or part of the radioactive material is not subject to 
release during an accident because of the way it is stored or packaged;
    (ii) Facility design or engineered safety features in the facility 
would reduce the amount of the release; or
    (iii) Other factors appropriate for the specific facility.
    (3) An emergency plan submitted under paragraph (j)(1)(ii) of this 
section must include the following:
    (i) Facility description. A brief description of the licensee's 
facility and area near the site.
    (ii) Types of accidents. An identification of each type of accident 
for which protective actions may be needed.
    (iii) Classification of accidents. A classification system for 
classifying accidents as alerts or site area emergencies.
    (iv) Detection of accidents. Identification of the means of 
detecting each type of radioactive materials accident in a timely 
manner.
    (v) Mitigation of consequences. A brief description of the means and 
equipment for mitigating the consequences of each type of accident, 
including those provided to protect workers onsite, and a description of 
the program for maintaining the equipment.
    (vi) Assessment of releases. A brief description of the methods and 
equipment to assess releases of radioactive materials.
    (vii) Responsibilities. A brief description of the responsibilities 
of licensee

[[Page 586]]

personnel should an accident occur, including identification of 
personnel responsible for promptly notifying offsite response 
organizations and the NRC; also responsibilities for developing, 
maintaining, and updating the plan.
    (viii) Notification and coordination. A commitment to and a brief 
description of the means to promptly notify offsite response 
organizations and request offsite assistance, including medical 
assistance for the treatment of contaminated injured onsite workers when 
appropriate. A control point must be established. The notification and 
coordination must be planned so that unavailability of some personnel, 
parts of the facility, and some equipment will not prevent the 
notification and coordination. The licensee shall also commit to notify 
the NRC operations center immediately after notification of the offsite 
response organizations and not later than one hour after the licensee 
declares an emergency.\1\
---------------------------------------------------------------------------

    \1\ These reporting requirements do not supersede or release 
licensees of complying with the requirements under the Emergency 
Planning and Community Right-to-Know Act of 1986, Title III. Pub. L. 99-
499 or other state or federal reporting requirements.
---------------------------------------------------------------------------

    (ix) Information to be communicated. A brief description of the 
types of information on facility status, radioactive releases, and 
recommended protective actions, if necessary, to be given to offsite 
response organizations and to the NRC.
    (x) Training. A brief description of the frequency, performance 
objectives and plans for the training that the licensee will provide 
workers on how to respond to an emergency including any special 
instructions and orientation tours the licensee would offer to fire, 
police, medical and other emergency personnel. The training shall 
familiarize personnel with site-specific emergency procedures. Also, the 
training shall thoroughly prepare site personnel for their 
responsibilities in the event of accident scenarios postulated as most 
probable for the specific site, including the use of team training for 
such scenarios.
    (xi) Safe shutdown. A brief description of the means of restoring 
the facility to a safe condition after an accident.
    (xii) Exercises. Provisions for conducting quarterly communications 
checks with offsite response organizations and biennial onsite exercises 
to test response to simulated emergencies. Quarterly communications 
checks with offsite response organizations must include the check and 
update of all necessary telephone numbers. The licensee shall invite 
offsite response organizations to participate in the biennial exercises. 
Participation of offsite response organizations in biennial exercises 
although recommended is not required. Exercises must use accident 
scenarios postulated as most probable for the specific site and the 
scenarios shall not be known to most exercise participants. The licensee 
shall critique each exercise using individuals not having direct 
implementation responsibility for the plan. Critiques of exercises must 
evaluate the appropriateness of the plan, emergency procedures, 
facilities, equipment, training of personnel, and overall effectiveness 
of the response. Deficiencies found by the critiques must be corrected.
    (xiii) Hazardous chemicals. A certification that the application has 
met its responsibilities under the Emergency Planning and Community 
Right-to-Know Act of 1986, title III, Pub. L. 99-499, if applicable to 
the applicant's activities at the proposed place of the use of the 
source material.
    (4) The licensee shall allow the offsite response organizations 
expected to respond in case of an accident 60 days to comment on the 
licensee's emergency plan before submitting it to the NRC. The licensee 
shall provide any comments received within the 60 days to the NRC with 
the emergency plan.
    (k) A license application for a uranium enrichment facility must be 
accompanied by an Environmental Report required under subpart A of part 
51 of this chapter.
    (l) A license application that involves the use of source material 
in a uranium enrichment facility must include the

[[Page 587]]

applicant's provisions for liability insurance.

[26 FR 284, Jan. 14, 1961, as amended at 31 FR 4669, Mar. 19, 1966; 34 
FR 19546, Dec. 11, 1969; 36 FR 145, Jan. 6, 1971; 37 FR 5748, Mar. 21, 
1972; 46 FR 13497, Feb. 23, 1981; 49 FR 9403, Mar. 12, 1984; 49 FR 
19626, May 9, 1984; 49 FR 21699, May 23, 1984; 49 FR 27924, July 9, 
1984; 53 FR 24047, June 27, 1988; 54 FR 14061, Apr. 7, 1989; 57 FR 
18390, Apr. 30, 1992]



Sec. 40.32   General requirements for issuance of specific licenses.

    An application for a specific license will be approved if:
    (a) The application is for a purpose authorized by the Act; and
    (b) The applicant is qualified by reason of training and experience 
to use the source material for the purpose requested in such manner as 
to protect health and minimize danger to life or property; and
    (c) The applicant's proposed equipment, facilities and procedures 
are adequate to protect health and minimize danger to life or property; 
and
    (d) The issuance of the license will not be inimical to the common 
defense and security or to the health and safety of the public; and
    (e) In the case of an application for a license for a uranium 
enrichment facility, or for a license to possess and use source and 
byproduct material for uranium milling, production of uranium 
hexafluoride, or for the conduct of any other activity which the 
Commission determines will significantly affect the quality of the 
environment, the Director of Nuclear Material Safety and Safeguards or 
his designee, before commencement of construction of the plant or 
facility in which the activity will be conducted, on the basis of 
information filed and evaluations made pursuant to subpart A of part 51 
of this chapter, has concluded, after weighing the environmental, 
economic, technical and other benefits against environmental costs and 
considering available alternatives, that the action called for is the 
issuance of the proposed license, with any appropriate conditions to 
protect environmental values. Commencement of construction prior to this 
conclusion is grounds for denial of a license to possess and use source 
and byproduct material in the plant or facility. As used in this 
paragraph, the term ``commencement of construction'' means any clearing 
of land, excavation, or other substantial action that would adversely 
affect the environment of a site. The term does not mean site 
exploration, roads necessary for site exploration, borings to determine 
foundation conditions, or other preconstruction monitoring or testing to 
establish background information related to the suitability of the site 
or the protection of environmental values.
    (f) The applicant satisfies any applicable special requirements 
contained in Sec. 40.34.
    (g) If the proposed activity involves use of source material in a 
uranium enrichment facility, the applicant has satisfied the applicable 
provisions of part 140 of this chapter.

[26 FR 284, Jan. 14, 1961, as amended at 36 FR 12731, July 7, 1971; 40 
FR 8787, Mar. 3, 1975; 41 FR 53332, Dec. 6, 1976; 43 FR 6924, Feb. 17, 
1978; 49 FR 9403, Mar. 12, 1984; 57 FR 18390, Apr. 30, 1992]



Sec. 40.33  Issuance of a license for a uranium enrichment facility.

    (a) The Commission will hold a hearing pursuant to 10 CFR part 2, 
subparts A, G, and I, on each application with regard to the licensing 
of the construction and operation of a uranium enrichment facility. The 
Commission will publish public notice of the hearing in the Federal 
Register at least 30 days before the hearing.
    (b) A license for a uranium enrichment facility may not be issued 
before the hearing is completed and a decision issued on the 
application.

[57 FR 18391, Apr. 30, 1992]



Sec. 40.34   Special requirements for issuance of specific licenses.

    (a) An application for a specific license to manufacture industrial 
products and devices containing depleted uranium, or to initially 
transfer such products or devices, for use pursuant to Sec. 40.25 of 
this part or equivalent regulations of an Agreement State, will be 
approved if:
    (1) The applicant satisfies the general requirements specified in 
Sec. 40.32;
    (2) The applicant submits sufficient information relating to the 
design,

[[Page 588]]

manufacture, prototype testing, quality control procedures, labeling or 
marking, proposed uses, and potential hazards of the industrial product 
or device to provide reasonable assurance that possession, use, or 
transfer of the depleted uranium in the product or device is not likely 
to cause any individual to receive in 1 year a radiation dose in excess 
of 10 percent of the annual limits specified in Sec. 20.1201(a) of this 
chapter; and
    (3) The applicant submits sufficient information regarding the 
industrial product or device and the presence of depleted uranium for a 
mass-volume application in the product or device to provide reasonable 
assurance that unique benefits will accrue to the public because of the 
usefulness of the product or device.
    (b) In the case of an industrial product or device whose unique 
benefits are questionable, the Commission will approve an application 
for a specific license under this paragraph only if the product or 
device is found to combine a high degree of utility and low probability 
of uncontrolled disposal and dispersal of significant quantities of 
depleted uranium into the environment.
    (c) The Commission may deny an applicant for a specific license 
under this paragraph if the end uses of the industrial product or device 
cannot be reasonably foreseen.

[41 FR 53332, Dec. 6, 1976, as amended at 43 FR 6924, Feb. 17, 1978; 58 
FR 67661, Dec. 22, 1993; 59 FR 41643, Aug. 15, 1994]



Sec. 40.35   Conditions of specific licenses issued pursuant to Sec. 40.34.

    Each person licensed pursuant to Sec. 40.34 shall:
    (a) Maintain the level of quality control required by the license in 
the manufacture of the industrial product or device, and in the 
installation of the depleted uranium into the product or device;
    (b) Label or mark each unit to: (1) Identify the manufacturer or 
initial transferor of the product or device and the number of the 
license under which the product or device was manufactured or initially 
transferred, the fact that the product or device contains depleted 
uranium, and the quantity of depleted uranium in each product or device; 
and (2) state that the receipt, possession, use, and transfer of the 
product or device are subject to a general license or the equivalent and 
the regulations of the U.S. NRC or of an Agreement State;
    (c) Assure that the depleted uranium before being installed in each 
product or device has been impressed with the following legend clearly 
legible through any plating or other covering: ``Depleted Uranium'';
    (d)(1) Furnish a copy of the general license contained in Sec. 40.25 
and a copy of Form NRC 244 to each person to whom he transfers source 
material in a product or device for use pursuant to the general license 
contained in Sec. 40.25; or
    (2) Furnish a copy of the general license contained in the Agreement 
State's regulation equivalent to Sec. 40.25 and a copy of the Agreement 
State's certificate, or alternately, furnish a copy of the general 
license contained in Sec. 40.25 and a copy of Form NRC 244 to each 
person to whom he transfers source material in a product or device for 
use pursuant to the general license of an Agreement State. If a copy of 
the general license in Sec. 40.25 and a copy of Form NRC 244 are 
furnished to such person, they shall be accompanied by a note explaining 
that use of the product or device is regulated by the Agreement State 
under requirements substantially the same as those in Sec. 40.25; and
    (e)(1) Report to the Director, Office of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
all transfers of industrial products or devices to persons for use under 
the general license in Sec. 40.25. Such report shall identify each 
general licensee by name and address, an individual by name and/or 
position who may constitute a point of contact between the Commission 
and the general licensee, the type and model number of device 
transferred, and the quantity of depleted uranium contained in the 
product or device. The report shall be submitted within 30 days after 
the end of each calendar quarter in which such a product or device is 
transferred to the generally licensed person. If no transfers

[[Page 589]]

have been made to persons generally licensed under Sec. 40.25 during the 
reporting period, the report shall so indicate;
    (2) Report to the responsible Agreement State Agency all transfers 
of industrial products or devices to persons for use under the general 
license in the Agreement State's regulation equivalent to Sec. 40.25. 
Such report shall identify each general licensee by name and address, an 
individual by name and/or position who may constitute a point of contact 
between the Agency and the general licensee, the type and model number 
of device transferred, and the quantity of depleted uranium contained in 
the product or device. The report shall be submitted within 30 days 
after the end of each calendar quarter in which such product or device 
is transferred to the generally licensed person. If no transfers have 
been made to a particular Agreement State during the reporting period, 
this information shall be reported to the responsible Agreement State 
Agency;
    (3) Keep records showing the name, address, and a point of contact 
for each general license to whom he or she transfers depleted uranium in 
industrial products or devices for use pursuant to the general license 
provided in Sec. 40.25 or equivalent regulations of an Agreement State. 
The records must be retained for three years from the date of transfer 
and must 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.
    (f) Licensees required to submit emergency plans by Sec. 40.31(i) 
shall follow the emergency plan approved by the Commission. The licensee 
may change the plan without Commission approval if the changes do not 
decrease the effectiveness of the plan. The licensee shall furnish the 
change to the Director of Nuclear Material Safety and Safeguards, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555 and to affected 
offsite response organizations within six months after the change is 
made. Proposed changes that decrease the effectiveness of the approved 
emergency plan may not be implemented without application to and prior 
approval by the Commission.

[41 FR 53332, Dec. 6, 1976, as amended at 43 FR 6924, Feb. 17, 1978; 52 
FR 31611, Aug. 21, 1987; 53 FR 19248, May 27, 1988; 54 FR 14062, Apr. 7, 
1989]



Sec. 40.36  Financial assurance and recordkeeping for decommissioning.

    Except for licenses authorizing the receipt, possession, and use of 
source material for uranium or thorium milling, or byproduct material at 
sites formerly associated with such milling, for which financial 
assurance requirements are set forth in appendix A of this part, 
criteria for providing financial assurance for decommissioning are as 
follows:
    (a) Each applicant for a specific license authorizing the possession 
and use of more than 100 mCi of source material in a readily dispersible 
form shall submit a decommissioning funding plan as described in 
paragraph (d) of this section.
    (b) Each applicant for a specific license authorizing possession and 
use of quantities of source material greater than 10 mCi but less than 
or equal to 100 mCi in a readily dispersible form shall either--
    (1) Submit a decommissioning funding plan as described in paragraph 
(d) of this section; or
    (2) Submit a certification that financial assurance for 
decommissioning has been provided in the amount of $150,000 using one of 
the methods described in paragraph (e) of this section. For an 
applicant, this certification may state that the appropriate assurance 
will be obtained after the application has been approved and the license 
issued but before the receipt of licensed material. If the applicant 
defers execution of the financial instrument until after the license has 
been issued, a signed original of the financial instrument obtained to 
satisfy the requirements of paragraph (e) of this section must be 
submitted to NRC prior to receipt of licensed material. If the applicant 
does not defer execution of the financial instrument, the applicant 
shall submit to NRC, as part of the certification, a signed original of 
the financial instrument obtained to satisfy the requirements of 
paragraph (e) of this section.

[[Page 590]]

    (c)(1) Each holder of a specific license issued on or after July 27, 
1990, which is covered by paragraph (a) or (b) of this section, shall 
provide financial assurance for decommissioning in accordance with the 
criteria set forth in this section.
    (2) Each holder of a specific license issued before July 27, 1990, 
and of a type described in paragraph (a) of this section shall submit, 
on or before July 27, 1990, a decommissioning funding plan as described 
in paragraph (d) of this section or a certification of financial 
assurance for decommissioning in an amount at least equal to $750,000 in 
accordance with the criteria set forth in this section. If the licensee 
submits the certification of financial assurance rather than a 
decommissioning funding plan, the licensee shall include a 
decommissioning funding plan in any application for license renewal.
    (3) Each holder of a specific license issued before July 27, 1990, 
and of a type described in paragraph (b) of this section shall submit, 
on or before July 27, 1990, a decommissioning funding plan, as described 
in paragraph (d) of this section, or a certification of financial 
assurance for decommissioning in accordance with the criteria set forth 
in this section.
    (4) Any licensee who has submitted an application before July 27, 
1990, for renewal of license in accordance with Sec. 40.43 shall provide 
financial assurance for decommissioning in accordance with paragraphs 
(a) and (b) of this section. This assurance must be submitted when this 
rule becomes effective November 24, 1995.
    (d) Each decommissioning funding plan must contain a cost estimate 
for decommissioning and a description of the method of assuring funds 
for decommissioning from paragraph (e) of this section, including means 
for adjusting cost estimates and associated funding levels periodically 
over the life of the facility. The decommissioning funding plan must 
also contain a certification by the licensee that financial assurance 
for decommissioning has been provided in the amount of the cost estimate 
for decommissioning and a signed original of the financial instrument 
obtained to satisfy the requirements of paragraph (e) of this section.
    (e) Financial assurance for decommissioning must be provided by one 
or more of the following methods:
    (1) Prepayment. Prepayment is the deposit prior to the start of 
operation into an account segregated from licensee assets and outside 
the licensee's administrative control of cash or liquid assets such that 
the amount of funds would be sufficient to pay decommissioning costs. 
Prepayment may be in the form of a trust, escrow account, government 
fund, certificate of deposit, or deposit of government securities.
    (2) A surety method, insurance, or other guarantee method. These 
methods guarantee that decommissioning costs will be paid. A surety 
method may be in the form of a surety bond, letter of credit, or line of 
credit. A parent company guarantee of funds for decommissioning costs 
based on a financial test may be used if the guarantee and test are as 
contained in appendix A of 10 CFR part 30. A parent company guarantee 
may not be used in combination with other financial methods to satisfy 
the requirements of this section. A guarantee of funds by the applicant 
or licensee for decommissioning costs based on a financial test may be 
used if the guarantee and test are as contained in appendix C of 10 CFR 
part 30. A guarantee by the applicant or licensee may not be used in 
combination with any other financial methods to satisfy the requirements 
of this section or in any situation where the applicant or licensee has 
a parent company holding majority control of the voting stock of the 
company. Any surety method or insurance used to provide financial 
assurance for decommissioning must contain the following conditions:
    (i) The surety method or insurance must be open-ended or, if written 
for a specified term, such as five years, must be renewed automatically 
unless 90 days or more prior to the renewal date, the issuer notifies 
the Commission, the beneficiary, and the licensee of its intention not 
to renew. The surety method or insurance must also provide that the full 
face amount be paid to the beneficiary automatically prior to the 
expiration without proof of forfeiture if

[[Page 591]]

the licensee fails to provide a replacement acceptable to the Commission 
within 30 days after receipt of notification of cancellation.
    (ii) The surety method or insurance must be payable to a trust 
established for decommissioning costs. The trustee and trust must be 
acceptable to the Commission. An acceptable trustee includes an 
appropriate State or Federal government agency or an entity which has 
the authority to act as a trustee and whose trust operations are 
regulated and examined by a Federal or State agency.
    (iii) The surety method or insurance must remain in effect until the 
Commission has terminated the license.
    (3) An external sinking fund in which deposits are made at least 
annually, coupled with a surety method or insurance, the value of which 
may decrease by the amount being accumulated in the sinking fund. An 
external sinking fund is a fund established and maintained by setting 
aside funds periodically in an account segregated from licensee assets 
and outside the licensee's administrative control in which the total 
amount of funds would be sufficient to pay decommissioning costs at the 
time termination of operation is expected. An external sinking fund may 
be in the form of a trust, escrow account, government fund, certificate 
of deposit, or deposit of government securities. The surety or insurance 
provision must be as stated in paragraph (e)(2) of this section.
    (4) In the case of Federal, State, or local government licensees, a 
statement of intent containing a cost estimate for decommissioning or an 
amount based on paragraph (b) of this section, and indicating that funds 
for decommissioning will be obtained when necessary.
    (f) Each person licensed under this part shall keep records of 
information important to the decommissioning of a facility in an 
identified location until the site is released for unrestricted use. 
Before licensed activities are transferred or assigned in accordance 
with Sec. 40.41(b) licensees shall transfer all records described in 
this paragraph to the new licensee. In this case, the new licensee will 
be responsible for maintaining these records until the license is 
terminated. If records important to the decommissioning of a facility 
are kept for other purposes, reference to these records and their 
locations may be used. Information the Commission considers important to 
decommissioning consists of--
    (1) Records of spills or other unusual occurrences involving the 
spread of contamination in and around the facility, equipment, or site. 
These records may be limited to instances when contamination remains 
after any cleanup procedures or when there is reasonable likelihood that 
contaminants may have spread to inaccessible areas as in the case of 
possible seepage into porous materials such as concrete. These records 
must include any known information on identification of involved 
nuclides, quantities, forms, and concentrations.
    (2) As-built drawings and modifications of structures and equipment 
in restricted areas where radioactive materials are used and/or stored, 
and of locations of possible inaccessible contamination such as buried 
pipes which may be subject to contamination. If required drawings are 
referenced, each relevant document need not be indexed individually. If 
drawings are not available, the licensee shall substitute appropriate 
records of available information concerning these areas and locations.
    (3) Except for areas containing depleted uranium used only for 
shielding or as penetrators in unused munitions, a list contained in a 
single document and updated every 2 years, of the following:
    (i) All areas designated and formerly designated as restricted areas 
as defined under 10 CFR 20.1003;
    (ii) All areas outside of restricted areas that require 
documentation under Sec. 40.36(f)(1);
    (iii) All areas outside of restricted areas where current and 
previous wastes have been buried as documented under 10 CFR 20.2108; and
    (iv) All areas outside of restricted areas which contain material so 
that, if the license expired, the licensee would be required to either 
decontaminate the area to unrestricted release levels or apply for 
approval for disposal under 10 CFR 20.2002.

[[Page 592]]

    (4) Records of the cost estimate performed for the decommissioning 
funding plan or of the amount certified for decommissioning, and records 
of the funding method used for assuring funds if either a funding plan 
or certification is used.

[53 FR 24047, June 27, 1988, as amended at 58 FR 39633, July 26, 1993; 
58 FR 67661, Dec. 22, 1993; 58 FR 68731, Dec. 29, 1993; 59 FR 1618, Jan. 
12, 1994; 60 FR 38238, July 26, 1995; 61 FR 24674, May 16, 1996]

                                Licenses



Sec. 40.41   Terms and conditions of licenses.

    (a) Each license issued pursuant to the regulations in this part 
shall be subject to all the provisions of the act, now or hereafter in 
effect, and to all rules, regulations and orders of the Commission.
    (b) Neither the license nor any right under the license shall be 
assigned or otherwise transferred in violation of the provisions of the 
Act.
    (c) Each person licensed by the Commission pursuant to the 
regulations in this part shall confine his possession and use of source 
or byproduct material to the locations and purposes authorized in the 
license. Except as otherwise provided in the license, a license issued 
pursuant to the regulations in this part shall carry with it the right 
to receive, possess, and use source or byproduct material. Preparation 
for shipment and transport of source or byproduct material shall be in 
accordance with the provisions of part 71 of this chapter.
    (d) Each license issued pursuant to the regulations in this part 
shall be deemed to contain the provisions set forth in sections 183b.-
d., of the Act, whether or not said provisions are expressly set forth 
in the license.
    (e) The Commission may incorporate in any license at the time of 
issuance, or thereafter, by appropriate rule, regulation or order, such 
additional requirements and conditions with respect to the licensee's 
receipt, possession, use, and transfer of source or byproduct material 
as it deems appropriate or necessary in order to:
    (1) Promote the common defense and security;
    (2) Protect health or to minimize danger of life or property;
    (3) Protect restricted data;
    (4) Require such reports and the keeping of such records, and to 
provide for such inspections of activities under the license as may be 
necessary or appropriate to effectuate the purposes of the act and 
regulations thereunder.
    (f)(1) Each licensee shall notify the appropriate NRC Regional 
Administrator, in writing, immediately following the filing of a 
voluntary or involuntary petition for bankruptcy under any chapter of 
title 11 (Bankruptcy) of the United States Code by or against:
    (i) The licensee;
    (ii) An entity (as that term is defined in 11 U.S.C. 101(14)) 
controlling the licensee or listing the license or licensee as property 
of the estate; or
    (iii) An affiliate (as that term is defined in 11 U.S.C. 101(2)) of 
the licensee.
    (2) This notification must indicate:
    (i) The bankruptcy court in which the petition for bankruptcy was 
filed; and
    (ii) The date of the filing of the petition.
    (g) No person may commence operation of a uranium enrichment 
facility until the Commission verifies through inspection that the 
facility has been constructed in accordance with the requirements of the 
license. The Commission shall publish notice of the inspection results 
in the Federal Register.

[26 FR 284, Jan. 14, 1961, as amended at 31 FR 15145, Dec. 2, 1966; 45 
FR 65531, Oct. 3, 1980; 48 FR 32328, July 15, 1983; 52 FR 1295, Jan. 12, 
1987; 57 FR 18391, Apr. 30, 1992]



Sec. 40.42   Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas.

    (a)(1) Except as provided in paragraph (a)(2) of this section, each 
specific license expires at the end of the day on the expiration date 
stated in the license unless the licensee has filed an application for 
renewal under Sec. 40.43 not less than 30 days before the expiration 
date stated in the existing license (or, for those licenses subject to 
paragraph (a)(2) of this section, 30 days before the deemed expiration 
date in that

[[Page 593]]

paragraph). If an application for renewal has been filed at least 30 
days before the expiration date stated in the existing license (or, for 
those licenses subject to paragraph (a)(2) of this section, 30 days 
before the deemed expiration date in that paragraph), the existing 
license expires at the end of the day on which the Commission makes a 
final determination to deny the renewal application or, if the 
determination states an expiration date, the expiration date stated in 
the determination.
    (2) Each specific license that has an expiration date after July 1, 
1995, and is not one of the licenses described in paragraph (a)(3) of 
this section, shall be deemed to have an expiration date that is five 
years after the expiration date stated in the current license.
    (3) The following specific licenses are not subject to, or otherwise 
affected by, the provisions of paragraph (a)(2) of this section:
    (i) Specific licenses for which, on February 15, 1996, an evaluation 
or an emergency plan is required in accordance with Sec. 40.31(j);
    (ii) Specific licenses whose holders are subject to the financial 
assurance requirements specified in 10 CFR 40.36, and on February 15, 
1996, the holders either:
    (A) Have not submitted a decommissioning funding plan nor 
certification of financial assurance for decommissioning; or
    (B) Have not received written notice that the decommissioning 
funding plan or certification of financial assurance for decommissioning 
is acceptable;
    (iii) Specific licenses whose holders are listed in the SDMP List 
published in NUREG 1444, Supplement 1 (November 1995);
    (iv) Specific licenses whose issuance, amendment, or renewal, as of 
February 15, 1996, is not a categorical exclusion under 10 CFR 
51.22(c)(14) and, therefore, need an environmental assessment or 
environmental impact statement pursuant to Subpart A of Part 51 of this 
chapter;
    (v) Specific licenses whose holders have not had at least one NRC 
inspection of licensed activities before February 15, 1996;
    (vi) Specific licenses whose holders, as the result of the most 
recent NRC inspection of licensed activities conducted before February 
15, 1996, have been:
    (A) Cited for a Severity Level I, II, or III violation in a Notice 
of Violation;
    (B) Subject to an Order issued by the NRC; or
    (C) Subject to a CAL issued by the NRC.
    (vii) Specific licenses with expiration dates before July 1, 1995, 
for which the holders have submitted applications for renewal under 10 
CFR 40.43 of this part.
    (b) Each specific license revoked by the Commission expires at the 
end of the day on the date of the Commission's final determination to 
revoke the license, or on the expiration date stated in the 
determination, or as otherwise provided by Commission Order.
    (c) Each specific license continues in effect, beyond the expiration 
date if necessary, with respect to possession of source material until 
the Commission notifies the licensee in writing that the license is 
terminated. During this time, the licensee shall--
    (1) Limit actions involving source material to those related to 
decommissioning; and
    (2) Continue to control entry to restricted areas until they are 
suitable for release in accordance with NRC requirements;
    (d) Within 60 days of the occurrence of any of the following, 
consistent with the administrative directions in Sec. 40.5, each 
licensee shall provide notification to the NRC in writing and either 
begin decommissioning its site, or any separate building or outdoor area 
that contains residual radioactivity, so that the building or outdoor 
area is suitable for release in accordance with NRC requirements, or 
submit within 12 months of notification a decommissioning plan, if 
required by paragraph (g)(1) of this section, and begin decommissioning 
upon approval of that plan if--
    (1) The license has expired pursuant to paragraph (a) or (b) of this 
section; or
    (2) The licensee has decided to permanently cease principal 
activities, as defined in this part, at the entire site

[[Page 594]]

or in any separate building or outdoor area; or
    (3) No principal activities under the license have been conducted 
for a period of 24 months; or
    (4) No principal activities have been conducted for a period of 24 
months in any separate building or outdoor area that contains residual 
radioactivity such that the building or outdoor area is unsuitable for 
release in accordance with NRC requirements.
    (e) Coincident with the notification required by paragraph (d) of 
this section, the licensee shall maintain in effect all decommissioning 
financial assurances established by the licensee pursuant to Sec. 40.36 
in conjunction with a license issuance or renewal or as required by this 
section. The amount of the financial assurance must be increased, or may 
be decreased, as appropriate, to cover the detailed cost estimate for 
decommissioning established pursuant to paragraph (g)(4)(v) of this 
section.
    (1) Any licensee who has not provided financial assurance to cover 
the detailed cost estimate submitted with the decommissioning plan shall 
do so when this rule becomes effective November 24, 1995.
    (2) Following approval of the decommissioning plan, a licensee may 
reduce the amount of the financial assurance as decommissioning proceeds 
and radiological contamination is reduced at the site with the approval 
of the Commission.
    (f) The Commission may grant a request to delay or postpone 
initiation of the decommissioning process if the Commission determines 
that such relief is not detrimental to the public health and safety and 
is otherwise in the public interest. The request must be submitted no 
later than 30 days before notification pursuant to paragraph (d) of this 
section. The schedule for decommissioning set forth in paragraph (d) of 
this section may not commence until the Commission has made a 
determination on the request.
    (g)(1) A decommissioning plan must be submitted if required by 
license condition or if the procedures and activities necessary to carry 
out decommissioning of the site or separate building or outdoor area 
have not been previously approved by the Commission and these procedures 
could increase potential health and safety impacts to workers or to the 
public, such as in any of the following cases:
    (i) Procedures would involve techniques not applied routinely during 
cleanup or maintenance operations;
    (ii) Workers would be entering areas not normally occupied where 
surface contamination and radiation levels are significantly higher than 
routinely encountered during operation;
    (iii) Procedures could result in significantly greater airborne 
concentrations of radioactive materials than are present during 
operation; or
    (iv) Procedures could result in significantly greater releases of 
radioactive material to the environment than those associated with 
operation.
    (2) The Commission may approve an alternate schedule for submittal 
of a decommissioning plan required pursuant to paragraph (d) of this 
section if the Commission determines that the alternative schedule is 
necessary to the effective conduct of decommissioning operations and 
presents no undue risk from radiation to the public health and safety 
and is otherwise in the public interest.
    (3) The procedures listed in paragraph (g)(1) of this section may 
not be carried out prior to approval of the decommissioning plan.
    (4) The proposed decommissioning plan for the site or separate 
building or outdoor area must include:
    (i) A description of the conditions of the site or separate building 
or outdoor area sufficient to evaluate the acceptability of the plan;
    (ii) A description of planned decommissioning activities;
    (iii) A description of methods used to ensure protection of workers 
and the environment against radiation hazards during decommissioning;
    (iv) A description of the planned final radiation survey; and
    (v) An updated detailed cost estimate for decommissioning, 
comparison of that estimate with present funds set aside for 
decommissioning, and a plan for assuring the availability of adequate 
funds for completion of decommissioning.

[[Page 595]]

    (vi) For decommissioning plans calling for completion of 
decommissioning later than 24 months after plan approval, a 
justification for the delay based on the criteria in paragraph (i) of 
this section.
    (5) The proposed decommissioning plan will be approved by the 
Commission if the information therein demonstrates that the 
decommissioning will be completed as soon as practicable and that the 
health and safety of workers and the public will be adequately 
protected.
    (h)(1) Except as provided in paragraph (i) of this section, 
licensees shall complete decommissioning of the site or separate 
building or outdoor area as soon as practicable but no later than 24 
months following the initiation of decommissioning.
    (2) Except as provided in paragraph (i) of this section, when 
decommissioning involves the entire site, the licensee shall request 
license termination as soon as practicable but no later than 24 months 
following the initiation of decommissioning.
    (i) The Commission may approve a request for an alternate schedule 
for completion of decommissioning of the site or separate building or 
outdoor area, and license termination if appropriate, if the Commission 
determines that the alternative is warranted by consideration of the 
following:
    (1) Whether it is technically feasible to complete decommissioning 
within the allotted 24-month period;
    (2) Whether sufficient waste disposal capacity is available to allow 
completion of decommissioning within the allotted 24-month period;
    (3) Whether a significant volume reduction in wastes requiring 
disposal will be achieved by allowing short-lived radionuclides to 
decay;
    (4) Whether a significant reduction in radiation exposure to workers 
can be achieved by allowing short-lived radionuclides to decay; and
    (5) Other site-specific factors which the Commission may consider 
appropriate on a case-by-case basis, such as the regulatory requirements 
of other government agencies, lawsuits, ground-water treatment 
activities, monitored natural ground-water restoration, actions that 
could result in more environmental harm than deferred cleanup, and other 
factors beyond the control of the licensee.
    (j) As the final step in decommissioning, the licensee shall--
    (1) Certify the disposition of all licensed material, including 
accumulated wastes, by submitting a completed NRC Form 314 or equivalent 
information; and
    (2) Conduct a radiation survey of the premises where the licensed 
activities were carried out and submit a report of the results of this 
survey unless the licensee demonstrates that the premises are suitable 
for release in some other manner. The licensee shall, as appropriate--
    (i) Report levels of gamma radiation in units of millisieverts 
(microroentgen) per hour at one meter from surfaces, and report levels 
of radioactivity, including alpha and beta, in units of megabecquerels 
(disintegrations per minute or microcuries) per 100 square centimeters 
removable and fixed for surfaces, megabecquerels (microcuries) per 
milliliter for water, and becquerels (picocuries) per gram for solids 
such as soils or concrete; and
    (ii) Specify the survey instrument(s) used and certify that each 
instrument is properly calibrated and tested.
    (k) Specific licenses, including expired licenses, will be 
terminated by written notice to the licensee when the Commission 
determines that:
    (1) Source material has been properly disposed;
    (2) Reasonable effort has been made to eliminate residual 
radioactive contamination, if present; and
    (3)(i) A radiation survey has been performed which demonstrates that 
the premises are suitable for release in accordance with NRC 
requirements.
    (ii) Other information submitted by the licensee is sufficient to 
demonstrate that the premises are suitable for release in accordance 
with NRC requirements.
    (4) Records required by Sec. 40.61(d) and (f) have been received.
    (l) Specific licenses for uranium and thorium milling are exempt 
from paragraphs (d)(4), (f) and (g) of this section with respect to 
reclamation of tailings

[[Page 596]]

impoundments and/or waste disposal areas.

[59 FR 36035, July 15, 1994, as amended at 60 FR 38239, July 26, 1995; 
61 FR 1114, Jan. 16, 1996; 61 FR 24674, May 16, 1996; 61 FR 29637, June 
12, 1996]



Sec. 40.43  Renewal of licenses.

    (a) Application for renewal of a specific license must be filed on 
NRC Form 314 and in accordance with Sec. 40.31.
    (b) If any licensee granted the extension described in 10 CFR 
40.42(a)(2) has a currently pending renewal application for the extended 
license, that application will be considered to be withdrawn by the 
licensee and any renewal fees paid by the licensee for that application 
will be refunded.

[59 FR 36037, July 15, 1994, as amended at 61 FR 1114, Jan. 16, 1996]



Sec. 40.44  Amendment of licenses at request of licensee.

    Applications for amendment of a license shall be filed on NRC Form 
313 in accordance with Sec. 40.31 and shall specify the respects in 
which the licensee desires the license to be amended and the grounds for 
such amendment.

[49 FR 19627, May 9, 1984, as amended at 56 FR 40768, Aug. 16, 1991]



Sec. 40.45   Commission action on applications to renew or amend.

    In considering an application by a licensee to renew or amend his 
license the Commission will apply the applicable criteria set forth in 
Sec. 40.32.

[26 FR 284, Jan. 14, 1961, as amended at 43 FR 6924, Feb. 17, 1978]



Sec. 40.46   Inalienability of licenses.

    No license issued or granted pursuant to the regulations in this 
part shall be transferred, assigned or in any manner disposed of, either 
voluntarily or involuntarily, directly or indirectly, through transfer 
of control of any license to any person, unless the Commission shall 
after securing full information, find that the transfer is in accordance 
with the provisions of this act, and shall give its consent in writing.

                       Transfer of Source Material



Sec. 40.51  Transfer of source or byproduct material.

    (a) No licensee shall transfer source or byproduct material except 
as authorized pursuant to this section.
    (b) Except as otherwise provided in his license and subject to the 
provisions of paragraphs (c) and (d) of this section, any licensee may 
transfer source or byproduct material:
    (1) To the Department of Energy;
    (2) To the agency in any Agreement State which regulates radioactive 
materials pursuant to an agreement with the Commission or the Atomic 
Energy Commission under section 274 of the Act;
    (3) To any person exempt from the licensing requirements of the Act 
and regulations in this part, to the extent permitted under such 
exemption;
    (4) To any person in an Agreement State subject to the jurisdiction 
of that State who has been exempted from the licensing requirements and 
regulations of that State, to the extent permitted under such 
exemptions;
    (5) To any person authorized to receive such source or byproduct 
material under terms of a specific license or a general license or their 
equivalents issued by the Commission or an Agreement State;
    (6) To any person abroad pursuant to an export license issued under 
part 110 of this chapter; or
    (7) As otherwise authorized by the commission in writing.
    (c) Before transferring source or byproduct material to a specific 
licensee of the Commission or an Agreement State or to a general 
licensee who is required to register with the Commission or with an 
Agreement State prior to receipt of the source or byproduct material, 
the licensee transferring the material shall verify that the 
transferee's license authorizes receipt of the type, form, and quantity 
of source or byproduct material to be transferred.
    (d) The following methods for the verification required by paragraph 
(c) of this section are acceptable:
    (1) The transferor may have in his possession, and read, a current 
copy of the transferee's specific license or registration certificate;

[[Page 597]]

    (2) The transferor may have in his possession a written 
certification by the transferee that he is authorized by license or 
registration certificate to receive the type, form, and quantity of 
source or byproduct material to be transferred, specifying the license 
or registration certification number, issuing agency and expiration 
date;
    (3) For emergency shipments the transferor may accept oral 
certification by the transferee that he is authorized by license or 
registration certificate to receive the type, form, and quantity of 
source or byproduct material to be transferred, specifying the license 
or registration certificate number, issuing agency and expiration date: 
Provided, That the oral certification is confirmed in writing within 10 
days;
    (4) The transferor may obtain other sources of information compiled 
by a reporting service from official records of the Commission or the 
licensing agency of an Agreement State as to the identity of licensees 
and the scope and expiration dates of licenses and registrations; or
    (5) When none of the methods of verification described in paragraphs 
(d)(1) to (4) of this section are readily available or when a transferor 
desires to verify that information received by one of such 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 source or byproduct material.

[45 FR 65532, Oct. 3, 1980]

                    Records, Reports, and Inspections



Sec. 40.60  Reporting requirements.

    (a) Immediate report. Each licensee shall notify the NRC as soon as 
possible but not later than 4 hours after the discovery of an event that 
prevents immediate protective actions necessary to avoid exposures to 
radiation or radioactive materials that could exceed regulatory limits 
or releases of licensed material that could exceed regulatory limits 
(events may include fires, explosions, toxic gas releases, etc.).
    (b) Twenty-four hour report. Each licensee shall notify the NRC 
within 24 hours after the discovery of any of the following events 
involving licensed material:
    (1) An unplanned contamination event that:
    (i) Requires access to the contaminated area, by workers or the 
public, to be restricted for more than 24 hours by imposing additional 
radiological controls or by prohibiting entry into the area;
    (ii) Involves a quantity of material greater than five times the 
lowest annual limit on intake specified in appendix B of Secs. 20.1001-
20.2401 of 10 CFR part 20 for the material; and
    (iii) Has access to the area restricted for a reason other than to 
allow isotopes with a half-life of less than 24 hours to decay prior to 
decontamination.
    (2) An event in which equipment is disabled or fails to function as 
designed when:
    (i) The equipment is required by regulation or license condition to 
prevent releases exceeding regulatory limits, to prevent exposures to 
radiation and radioactive materials exceeding regulatory limits, or to 
mitigate the consequences of an accident;
    (ii) The equipment is required to be available and operable when it 
is disabled or fails to function; and
    (iii) No redundant equipment is available and operable to perform 
the required safety function.
    (3) An event that requires unplanned medical treatment at a medical 
facility of an individual with spreadable radioactive contamination on 
the individual's clothing or body.
    (4) An unplanned fire or explosion damaging any licensed material or 
any device, container, or equipment containing licensed material when:
    (i) The quantity of material involved is greater than five times the 
lowest annual limit on intake specified in appendix B of Secs. 20.1001-
20.2401 of 10 CFR part 20 for the material; and
    (ii) The damage affects the integrity of the licensed material or 
its container.

[[Page 598]]

    (c) Preparation and submission of reports. Reports made by licensees 
in response to the requirements of this section must be made as follows:
    (1) Licensees shall make reports required by paragraphs (a) and (b) 
of this section by telephone to the NRC Operations Center.\1\ To the 
extent that the information is available at the time of notification, 
the information provided in these reports must include:
---------------------------------------------------------------------------

    \1\ The commercial telephone number for the NRC Operations Center is 
(301) 816-5100.
---------------------------------------------------------------------------

    (i) The caller's name and call back telephone number;
    (ii) A description of the event, including date and time;
    (iii) The exact location of the event;
    (iv) The isotopes, quantities, and chemical and physical form of the 
licensed material involved; and
    (v) Any personnel radiation exposure data available.
    (2) Written report. Each licensee who makes a report required by 
paragraph (a) or (b) of this section shall submit a written follow-up 
report within 30 days of the initial report. Written reports prepared 
pursuant to other regulations may be submitted to fulfill this 
requirement if the reports contain all of the necessary information and 
the appropriate distribution is made. These written reports must be sent 
to the U.S. Nuclear Regulatory Commission, Document Control Desk, 
Washington, DC 20555, with a copy to the appropriate NRC regional office 
listed in appendix D of 10 CFR part 20. The reports must include the 
following:
    (i) A description of the event, including the probable cause and the 
manufacturer and model number (if applicable) of any equipment that 
failed or malfunctioned;
    (ii) The exact location of the event;
    (iii) The isotopes, quantities, and chemical and physical form of 
the licensed material involved;
    (iv) Date and time of the event;
    (v) Corrective actions taken or planned and the results of any 
evaluations or assessments; and
    (vi) The extent of exposure of individuals to radiation or to 
radioactive materials without identification of individuals by name.
    (3) The provisions of Sec. 40.60 do not apply to licensees subject 
to the notification requirements in Sec. 50.72. They do apply to those 
part 50 licensees possessing material licensed under part 40 who are not 
subject to the notification requirements in Sec. 50.72.

[56 FR 40768, Aug. 16, 1991, as amended at 59 FR 14086, Mar. 25, 1994]



Sec. 40.61   Records.

    (a) Each person 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 
byproduct material as long as the material is possessed and for 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 recordkeeping requirement.
    (3) The licensee shall retain each record of disposal of source or 
byproduct material until the Commission terminates each license that 
authorizes the activity that is subject to the recordkeeping 
requirement.
    (4) If source or byproduct material is combined or mixed with other 
licensed material and subsequently treated in a manner that makes direct 
correlation of a receipt record with a transfer, export, or disposition 
record impossible, the licensee may use evaluative techniques (such as 
first-in-first-out), to make the records that are required by this Part 
account for 100 percent of the material received.
    (b) The licensee shall retain each record that is required by the 
regulations 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

[[Page 599]]

activity that is subject to the recordkeeping requirement.
    (c)(1) Records which must be maintained pursuant to this part may be 
the original or reproduced copy or microform if the reproduced copy or 
microform is duly authenticated by authorized personnel and the 
microform is capable of producing a clear and legible copy after storage 
for the period specified by Commission regulations. The record may also 
be stored in electronic media with the capability for producing legible, 
accurate, and complete records during the required retention period. 
Records such as letters, drawings, specifications, must include all 
pertinent information such as stamps, initials, and signatures. The 
licensee shall maintain adequate safeguards against tampering with and 
loss of records.
    (2) If there is a conflict between the Commission's regulations in 
this part, license condition, or other written Commission approval or 
authorization pertaining to the retention period for the same type of 
record, the retention period specified in the regulations in this part 
for such records shall apply unless the Commission, pursuant to 
Sec. 40.14 of this part, has granted a specific exemption from the 
record retention requirements specified in the regulations in this part.
    (d) Prior to license termination, each licensee authorized to 
possess source material, in an unsealed form, shall forward the 
following records to the appropriate NRC Regional Office:
    (1) Records of disposal of licensed material made under Sec. 20.2002 
(including burials authorized before January 28, 1981 1), 20.2003, 
20.2004, 20.2005; and
---------------------------------------------------------------------------

    \1\ A previous Sec. 20.304 permitted burial of small quantities of 
licensed materials in soil before January 28, 1981, without specific 
Commission authorization. See Sec. 20.304 contained in the 10 CFR, parts 
0 to 199, edition revised as of January 1, 1981.
---------------------------------------------------------------------------

    (2) Records required by Sec. 20.2103(b)(4).
    (e) If licensed activities are transferred or assigned in accordance 
with Sec. 40.41(b), each licensee authorized to possess source material, 
in an unsealed form, shall transfer the following records to the new 
licensee and the new licensee will be responsible for maintaining these 
records until the license is terminated:
    (1) Records of disposal of licensed material made under Sec. 20.2002 
(including burials authorized before January 28, 1981 1), 20.2003, 
20.2004, 20.2005; and
    (2) Records required by Sec. 20.2103(b)(4).
    (f) Prior to license termination, each licensee shall forward the 
records required by Sec. 40.36(f) to the appropriate NRC Regional 
Office.

[45 FR 65532, Oct. 3, 1980, as amended at 53 FR 19248, May 27, 1988; 61 
FR 24674, May 16, 1996]



Sec. 40.62  Inspections.

    (a) Each licensee shall afford to the Commission at all reasonable 
times opportunity to inspect source or byproduct material and the 
premises and facilities wherein source or byproduct material is used or 
stored.
    (b) Each licensee shall make available to the Commission for 
inspection, upon reasonable notice, records kept by him pursuant to the 
regulations in this chapter.

[45 FR 65532, Oct. 3, 1980]



Sec. 40.63  Tests.

    Each licensee shall perform, or permit the Commission to perform, 
such tests as the Commission deems appropriate or necessary for the 
administration of the regulations in this part, including tests of:
    (a) Source or byproduct material;
    (b) Facilities wherein source or byproduct material is utilized or 
stored;
    (c) Radiation detection and monitoring instruments; and
    (d) Other equipment and devices used in connection with the 
utilization and storage of source or byproduct material.

[45 FR 65533, Oct. 3, 1980]



Sec. 40.64   Reports.

    (a) Except as specified in paragraphs (d) and (e) of this section, 
each specific licensee who transfers, receives, or adjusts the 
inventory, in any manner, of uranium or thorium source material of 
foreign origin by 1 kilogram or more or who imports or exports 1 
kilogram of uranium or thorium source material of any origin shall 
complete a Nuclear Material Transaction Report in computer-readable 
format in accordance

[[Page 600]]

with instructions (NUREG/BR-0006 and NMMSS Report D-24 ``Personal 
Computer Data Input for NRC Licensees''). Copies of the instructions may 
be obtained from the U.S. Nuclear Regulatory Commission, Division of 
Fuel Cycle Safety and Safeguards, Washington, DC 20555-0001. Each 
licensee who transfers the material shall submit a Nuclear Material 
Transaction Report in computer-readable format in accordance with 
instructions no later than the close of business the next working day. 
Each licensee who receives the material shall submit a Nuclear Material 
Transaction Report in computer-readable format in accordance with 
instructions within ten (10) days after the material is received. The 
Commission's copy of the report must be submitted to the address 
specified in the instructions. These prescribed computer-readable forms 
replace the DOE/NRC Form 741 which has been previously submitted in 
paper form.
    (b) Except as specified in paragraphs (d) and (e) of this section, 
each licensee authorized to possess at any one time and location more 
than 1,000 kilograms of uranium or thorium, or any combination of 
uranium or thorium, shall submit to the Commission within 30 days after 
September 30 of each year a statement of its foreign origin source 
material inventory. This statement must be submitted to the address 
specified in the reporting instructions (NUREG/BR-0007), and include the 
Reporting Identification Symbol (RIS) assigned by the Commission to the 
licensee. Copies of the reporting instructions may be obtained by 
writing to the U.S. Nuclear Regulatory Commission, Division of 
Safeguards and Transportation, Washington, DC 20555.
    (c) Except as specified in paragraph (d) of this section, each 
licensee who is authorized to possess uranium or thorium pursuant to a 
specific license shall report promptly to the appropriate NRC Regional 
Office listed in appendix D of part 20 of this chapter by telephone and 
telegraph, mailgram, or facsimile any incident in which an attempt has 
been made or is believed to have been made to commit a theft or unlawful 
diversion of more than 15 pounds of such material at any one time or 
more than 150 pounds of such material in any one calendar year. The 
initial report shall be followed within a period of fifteen (15) days by 
a written report submitted to the appropriate NRC Regional Office which 
sets forth the details of the incident and its consequences. A copy of 
such written report shall be sent to the Director, Office of Nuclear 
Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555. Subsequent to the submission of the written report 
required by this paragraph, the licensee shall promptly inform the 
Director, Office of Nuclear Material Safety and Safeguards by means of a 
written report of any substantive additional information, which becomes 
available to the licensee, concerning an attempted or apparent theft or 
unlawful diversion of source material.
    (d) The reports described in paragraphs (a), (b), and (c) of this 
section are not required for:
    (1) Processed ores containing less than five (5) percent of uranium 
or thorium, or any combination of uranium or thorium, by dry weight;
    (2) Thorium contained in magnesium-thorium and tungsten-thorium 
alloys, if the thorium content in the alloys does not exceed 4 percent 
by weight;
    (3) Chemical catalysts containing uranium depleted in the U-235 
isotope to 0.4 percent or less, if the uranium content of the catalyst 
does not exceed 15 percent by weight; or
    (4) Any source material contained in non-nuclear end use devices or 
components, including but not limited to permanently installed 
shielding, teletherapy, radiography, X-ray, accelerator devices, or 
munitions.
    (e) Any licensee who is required to submit inventory change reports 
and material status reports pursuant to part 75 of this chapter 
(pertaining to implementation of the US/IAEA Safeguards Agreement) shall 
prepare and submit such reports only as provided in Secs. 75.34 and 
75.35 of this chapter (instead

[[Page 601]]

of as provided in paragraphs (a) and (b) of this section).

[35 FR 12195, July 30, 1970, as amended at 36 FR 10938, June 5, 1971; 38 
FR 1272, Jan. 11, 1973; 38 FR 2330, Jan. 24, 1973; 40 FR 8787, Mar. 3, 
1975; 41 FR 16446, Apr. 19, 1976; 45 FR 50710, July 31, 1980; 49 FR 
24707, June 15, 1984; 51 FR 9766, Mar. 21, 1986; 52 FR 31611, Aug. 21, 
1987; 59 FR 35620, July 13, 1994]



Sec. 40.65   Effluent monitoring reporting requirements.

    (a) Each licensee authorized to possess and use source material in 
uranium milling, in production of uranium hexafluoride, or in a uranium 
enrichment facility shall:
    (1) Submit a report to the appropriate NRC Regional Office shown in 
appendix D of part 20 of this chapter, with copies to the Director, 
Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, within 60 days after 
January 1, 1976 and July 1, 1976, and within 60 days after January 1 and 
July 1 of each year thereafter, specifying the quantity of each of the 
principal radionuclides released to unrestricted areas in liquid and in 
gaseous effluents during the previous six months of operation, and such 
other information the Commission may require to estimate maximum 
potential annual radiation doses to the public resulting from effluent 
releases. If quantities of radioactive materials released during the 
reporting period are significantly above the licensee's design 
objectives previously reviewed as part of the licensing action, the 
report shall cover this specifically. On the basis of such reports and 
any additional information the Commission may obtain from the licensee 
or others, the Commission may from time to time require the licensee to 
take such action as the Commission deems appropriate.
    (2) [Reserved]
    (b) [Reserved]

[40 FR 53230, Nov. 17, 1975, as amended at 41 FR 21627, May 27, 1976; 42 
FR 25721, May 19, 1977; 52 FR 31611, Aug. 21, 1987; 57 FR 18391, Apr. 
30, 1992]



Sec. 40.66  Requirements for advance notice of export shipments of natural uranium.

    (a) Each licensee authorized to export natural uranium, other than 
in the form of ore or ore residue, in amounts exceeding 500 kilograms, 
shall notify the Division of Industrial and Medical Nuclear Safety, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555.
    The notification must be in writing and must be received at least 10 
days before transport of the shipment commences at the shipping 
facility.
    (b) The notification must include the following information:
    (1) The name(s), address(es), and telephone number(s) of the 
shipper, receiver, and carrier(s);
    (2) A physical description of the shipment;
    (3) A listing of the mode(s) of shipment, transfer points, and 
routes to be used;
    (4) The estimated date and time that shipment will commence and that 
each nation (other than the United States) along the route is scheduled 
to be entered; and
    (5) A certification that arrangements have been made to notify the 
Division of Industrial and Medical Nuclear Safety when the shipment is 
received at the receiving facility.
    (c) A licensee who needs to amend a notification may do so by 
telephoning the Division of Industrial and Medical Nuclear Safety at 
(301) 415-7197.

[52 FR 9651, Mar. 26, 1987, as amended at 53 FR 4110, Feb. 12, 1988; 60 
FR 24551, May 9, 1995]



Sec. 40.67  Requirement for advance notice for importation of natural uranium from countries that are not party to the Convention on the Physical Protection of 
          Nuclear Material.

    (a) Each licensee authorized to import natural uranium, other than 
in the form of ore or ore residue, in amounts exceeding 500 kilograms, 
from countries not party to the Convention on the Physical Protection of 
Nuclear Material (see appendix F of part 73 of this chapter) shall 
notify the Division

[[Page 602]]

of Industrial and Medical Nuclear Safety, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555. The notification must be in writing 
and must be received at least 10 days before transport of the shipment 
commences at the shipping facility.
    (b) The notification must include the following information:
    (1) The name(s), address(es), and telephone number(s) of the 
shipper, receiver, and carrier(s);
    (2) A physical description of the shipment;
    (3) A listing of the mode(s) of shipment, transfer points, and 
routes to be used;
    (4) The estimated date and time that shipment will commence and that 
each nation along the route is scheduled to be entered.
    (c) The licensee shall notify the Division of Industrial and Medical 
Nuclear Safety by telephone at (301) 415-7197 when the shipment is 
received at the receiving facility.
    (d) A licensee who needs to amend a notification may do so by 
telephoning the Division of Industrial and Medical Nuclear Safety at 
(301) 415-7197.

[52 FR 9652, Mar. 26, 1987, as amended at 53 FR 4110, Feb. 12, 1988; 60 
FR 24551, May 9, 1995]

                 Modification and Revocation of Licenses



Sec. 40.71   Modification and revocation of licenses.

    (a) The terms and conditions of each license shall be subject to 
amendment, revision, or modification by reason of amendments to the Act, 
or by reason of rules, regulations, or orders issued in accordance with 
the Act.
    (b) Any license may be revoked, suspended, or modified, in whole or 
in part, for any material false statement in the application or any 
statement of fact required under section 182 of the Act, or because of 
conditions revealed by such application or statement of fact or any 
report, record, or inspection or other means which would warrant the 
Commission to refuse to grant a license on an original application, or 
for violation of, or failure to observe any of, the terms and conditions 
of the Act, or the license, or of any rule, regulation or order of the 
Commission.
    (c) Except in cases of willfulness or those in which the public 
health, interest or safety requires otherwise, no license shall be 
modified, suspended, or revoked unless, prior to the institution of 
proceedings therefor, facts or conduct which may warrant such action 
shall have been called to the attention of the licensee in writing and 
the licensee shall have been accorded opportunity to demonstrate or 
achieve compliance with all lawful requirements.

[26 FR 284, Jan. 14, 1961, as amended at 35 FR 11460, July 17, 1970; 48 
FR 32328, July 15, 1983]

                               Enforcement



Sec. 40.81  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55074, Nov. 24, 1992]



Sec. 40.82  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the

[[Page 603]]

Act. For purposes of section 223, all the regulations in part 40 are 
issued under one or more of sections 161b, 161i, or 161o, except for the 
sections listed in paragraph (b) of this section.
    (b) The regulations in part 40 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 40.1, 40.2, 40.2a, 40.4, 40.5, 40.6, 40.8, 40.11, 40.12, 40.13, 
40.14, 40.20, 40.21, 40.31, 40.32, 40.34, 40.43, 40.44, 40.45, 40.71, 
40.81, and 40.82.

[57 FR 55075, Nov. 24, 1992]

  Appendix A to Part 40--Criteria Relating to the Operation of Uranium 
    Mills and the Disposition of Tailings or Wastes Produced by the 
   Extraction or Concentration of Source Material From Ores Processed 
               Primarily for Their Source Material Content

    Introduction. Every applicant for a license to possess and use 
source material in conjunction with uranium or thorium milling, or 
byproduct material at sites formerly associated with such milling, is 
required by the provisions of Sec. 40.31(h) to include in a license 
application proposed specifications relating to milling operations and 
the disposition of tailings or wastes resulting from such milling 
activities. This appendix establishes technical, financial, ownership, 
and long-term site surveillance criteria relating to the siting, 
operation, decontamination, decommissioning, and reclamation of mills 
and tailings or waste systems and sites at which such mills and systems 
are located. As used in this appendix, the term ``as low as is 
reasonably achievable'' has the same meaning as in Sec. 20.1003 of this 
chapter.
    In many cases, flexibility is provided in the criteria to allow 
achieving an optimum tailings disposal program on a site-specific basis. 
However, in such cases the objectives, technical alternatives and 
concerns which must be taken into account in developing a tailings 
program are identified. As provided by the provisions of Sec. 40.31(h) 
applications for licenses must clearly demonstrate how the criteria have 
been addressed.
    The specifications must be developed considering the expected full 
capacity of tailings or waste systems and the lifetime of mill 
operations. Where later expansions of systems or operations may be 
likely (for example, where large quantities of ore now marginally 
uneconomical may be stockpiled), the amenability of the disposal system 
to accommodate increased capacities without degradation in long-term 
stability and other performance factors must be evaluated.
    Licensees or applicants may propose alternatives to the specific 
requirements in this appendix. The alternative proposals may take into 
account local or regional conditions, including geology, topography, 
hydrology, and meterology. The Commission may find that the proposed 
alternatives meet the Commission's requirements if the alternatives will 
achieve a level of stabilization and containment of the sites concerned, 
and a level of protection for public health, safety, and the environment 
from radiological and nonradiological hazards associated with the sites, 
which is equivalent to, to the extent practicable, or more stringent 
than the level which would be achieved by the requirements of this 
Appendix and the standards promulgated by the Environmental Protection 
Agency in 40 CFR Part 192, Subparts D and E.
    All site specific licensing decisions based on the criteria in this 
Appendix or alternatives proposed by licensees or applicants will take 
into account the risk to the public health and safety and the 
environment with due consideration to the economic costs involved and 
any other factors the Commission determines to be appropriate. In 
implementing this Appendix, the Commission will consider ``practicable'' 
and ``reasonably achievable'' as equivalent terms. Decisions involved 
these terms will take into account the state of technology, and the 
economics of improvements in relation to benefits to the public health 
and safety, and other societal and socioeconomic considerations, and in 
relation to the utilization of atomic energy in the public interest.
    The following definitions apply to the specified terms as used in 
this appendix:
    Aquifer means a geologic formation, group of formations, or part of 
a formation capable of yielding a significant amount of ground water to 
wells or springs. Any saturated zone created by uranium or thorium 
recovery operations would not be considered an aquifer unless the zone 
is or potentially is (1) hydraulically interconnected to a natural 
aquifer, (2) capable of discharge to surface water, or (3) reasonably 
accessible because of migration beyond the vertical projection of the 
boundary of the land transferred for long-term government ownership and 
care in accordance with Criterion 11 of this appendix.
    As expeditiously as practicable considering technological 
feasibility, for the purposes of Criterion 6A, means as quickly as 
possible considering: the physical characteristics of the tailings and 
the site; the limits of available technology; the need for consistency 
with mandatory requirements of other regulatory programs; and factors 
beyond the control of the licensee. The phrase permits consideration of 
the cost of compliance only to the extent specifically provided for by 
use of the term available technology.

[[Page 604]]

    Available technology means technologies and methods for emplacing a 
final radon barrier on uranium mill tailings piles or impoundments. This 
term shall not be construed to include extraordinary measures or 
techniques that would impose costs that are grossly excessive as 
measured by practice within the industry (or one that is reasonably 
analogous), (such as, by way of illustration only, unreasonable 
overtime, staffing, or transportation requirements, etc., considering 
normal practice in the industry; laser fusion of soils, etc.), provided 
there is reasonable progress toward emplacement of the final radon 
barrier. To determine grossly excessive costs, the relevant baseline 
against which cost shall be compared is the cost estimate for tailings 
impoundment closure contained in the licensee's approved reclamation 
plan, but costs beyond these estimates shall not automatically be 
considered grossly excessive.
    Closure means the activities following operations to decontaminate 
and decommission the buildings and site used to produce byproduct 
materials and reclaim the tailings and/or waste disposal area.
    Closure plan means the Commission approved plan to accomplish 
closure.
    Compliance period begins when the Commission sets secondary ground-
water protection standards and ends when the owner or operator's license 
is terminated and the site is transferred to the State or Federal agency 
for long-term care.
    Dike means an embankment or ridge of either natural or man-made 
materials used to prevent the movement of liquids, sludges, solids or 
other materials.
    Disposal area means the area containing byproduct materials to which 
the requirements of Criterion 6 apply.
    Existing portion means that land surface area of an existing surface 
impoundment on which significant quantities of uranium or thorium 
byproduct materials had been placed prior to September 30, 1983.
    Factors beyond the control of the licensee means factors proximately 
causing delay in meeting the schedule in the applicable reclamation plan 
for the timely emplacement of the final radon barrier notwithstanding 
the good faith efforts of the licensee to complete the barrier in 
compliance with paragraph (1) of Criterion 6A. These factors may 
include, but are not limited to--
    (1) Physical conditions at the site;
    (2) Inclement weather or climatic conditions;
    (3) An act of God;
    (4) An act of war;
    (5) A judicial or administrative order or decision, or change to the 
statutory, regulatory, or other legal requirements applicable to the 
licensee's facility that would preclude or delay the performance of 
activities required for compliance;
    (6) Labor disturbances;
    (7) Any modifications, cessation or delay ordered by State, Federal, 
or local agencies;
    (8) Delays beyond the time reasonably required in obtaining 
necessary government permits, licenses, approvals, or consent for 
activities described in the reclamation plan proposed by the licensee 
that result from agency failure to take final action after the licensee 
has made a good faith, timely effort to submit legally sufficient 
applications, responses to requests (including relevant data requested 
by the agencies), or other information, including approval of the 
reclamation plan; and
    (9) An act or omission of any third party over whom the licensee has 
no control.
    Final radon barrier means the earthen cover (or approved alternative 
cover) over tailings or waste constructed to comply with Criterion 6 of 
this appendix (excluding erosion protection features).
    Ground water means water below the land surface in a zone of 
saturation. For purposes of this appendix, ground water is the water 
contained within an aquifer as defined above.
    Leachate means any liquid, including any suspended or dissolved 
components in the liquid, that has percolated through or drained from 
the byproduct material.
    Licensed site means the area contained within the boundary of a 
location under the control of persons generating or storing byproduct 
materials under a Commission license.
    Liner means a continuous layer of natural or man-made materials, 
beneath or on the sides of a surface impoundment which restricts the 
downward or lateral escape of byproduct material, hazardous 
constituents, or leachate.
    Milestone means an action or event that is required to occur by an 
enforceable date.
    Operation means that a uranium or thorium mill tailings pile or 
impoundment is being used for the continued placement of byproduct 
material or is in standby status for such placement. A pile or 
impoundment is in operation from the day that byproduct material is 
first placed in the pile or impoundment until the day final closure 
begins.
    Point of compliance is the site specific location in the uppermost 
aquifer where the ground-water protection standard must be met.
    Reclamation plan, for the purposes of Criterion 6A, means the plan 
detailing activities to accomplish reclamation of the tailings or waste 
disposal area in accordance with the technical criteria of this 
appendix. The reclamation plan must include a schedule for reclamation 
milestones that are key to the completion of the final radon barrier 
including as appropriate, but not limited to, wind blown tailings 
retrieval and placement on the pile, interim stabilization (including

[[Page 605]]

dewatering or the removal of freestanding liquids and recontouring), and 
final radon barrier construction. (Reclamation of tailings must also be 
addressed in the closure plan; the detailed reclamation plan may be 
incorporated into the closure plan.)
    Surface impoundment means a natural topographic depression, man-made 
excavation, or diked area, which is designed to hold an accumulation of 
liquid wastes or wastes containing free liquids, and which is not an 
injection well.
    Uppermost aquifer means the geologic formation nearest the natural 
ground surface that is an aquifer, as well as lower aquifers that are 
hydraulically interconnected with this aquifer within the facility's 
property boundary.

                          I. Technical Criteria

    Criterion 1--The general goal or broad objective in siting and 
design decisions is permanent isolation of tailings and associated 
contaminants by minimizing disturbance and dispersion by natural forces, 
and to do so without ongoing maintenance. For practical reasons, 
specific siting decisions and design standards must involve finite times 
(e.g., the longevity design standard in Criterion 6). The following site 
features which will contribute to such a goal or objective must be 
considered in selecting among alternative tailings disposal sites or 
judging the adequacy of existing tailings sites:
    Remoteness from populated areas;
    Hydrologic and other natural conditions as they contribute to 
continued immobilization and isolation of contaminants from ground-water 
sources; and
    Potential for minimizing erosion, disturbance, and dispersion by 
natural forces over the long term.
    The site selection process must be an optimization to the maximum 
extent reasonably achievable in terms of these features.
    In the selection of disposal sites, primary emphasis must be given 
to isolation of tailings or wastes, a matter having long-term impacts, 
as opposed to consideration only of short-term convenience or benefits, 
such as minimization of transportation or land acquisition costs. While 
isolation of tailings will be a function of both site and engineering 
design, overriding consideration must be given to siting features given 
the long-term nature of the tailings hazards.
    Tailings should be disposed of in a manner that no active 
maintenance is required to preserve conditions of the site.
    Criterion 2--To avoid proliferation of small waste disposal sites 
and thereby reduce perpetual surveillance obligations, byproduct 
material from in situ extraction operations, such as residues from 
solution evaporation or contaminated control processes, and wastes from 
small remote above ground extraction operations must be disposed of at 
existing large mill tailings disposal sites; unless, considering the 
nature of the wastes, such as their volume and specific activity, and 
the costs and environmental impacts of transporting the wastes to a 
large disposal site, such offsite disposal is demonstrated to be 
impracticable or the advantages of onsite burial clearly outweigh the 
benefits of reducing the perpetual surveillance obligations.
    Criterion 3--The ``prime option'' for disposal of tailings is 
placement below grade, either in mines or specially excavated pits (that 
is, where the need for any specially constructed retention structure is 
eliminated). The evaluation of alternative sites and disposal methods 
performed by mill operators in support of their proposed tailings 
disposal program (provided in applicants' environmental reports) must 
reflect serious consideration of this disposal mode. In some instances, 
below grade disposal may not be the most environmentally sound approach, 
such as might be the case if a ground-water formation is relatively 
close to the surface or not very well isolated by overlying soils and 
rock. Also, geologic and topographic conditions might make full below 
grade burial impracticable: For example, bedrock may be sufficiently 
near the surface that blasting would be required to excavate a disposal 
pit at excessive cost, and more suitable alternative sites are not 
available. Where full below grade burial is not practicable, the size of 
retention structures, and size and steepness of slopes associated 
exposed embankments must be minimized by excavation to the maximum 
extent reasonably achievable or appropriate given the geologic and 
hydrologic conditions at a site. In these cases, it must be demonstrated 
that an above grade disposal program will provide reasonably equivalent 
isolation of the tailings from natural erosional forces.
    Criterion 4--The following site and design criteria must be adhered 
to whether tailings or wastes are disposed of above or below grade.
    (a) Upstream rainfall catchment areas must be minimized to decrease 
erosion potential and the size of the floods which could erode or wash 
out sections of the tailings disposal area.
    (b) Topographic features should provide good wind protection.
    (c) Embankment and cover slopes must be relatively flat after final 
stabilization to minimize erosion potential and to provide conservative 
factors of safety assuring long-term stability. The broad objective 
should be to contour final slopes to grades which are as close as 
possible to those which would be provided if tailings were disposed of 
below grade; this could, for example, lead to slopes of about 10 
horizontal to 1 vertical (10h:1v) or less steep. In general, slopes 
should not be steeper than about 5h:1v. Where steeper slopes are 
proposed, reasons why a slope less

[[Page 606]]

steep than 5h:1v would be impracticable should be provided, and 
compensating factors and conditions which make such slopes acceptable 
should be identified.
    (d) A full self-sustaining vegetative cover must be established or 
rock cover employed to reduce wind and water erosion to negligible 
levels.
    Where a full vegetative cover is not likely to be self-sustaining 
due to climatic or other conditions, such as in semi-arid and arid 
regions, rock cover must be employed on slopes of the impoundment 
system. The NRC will consider relaxing this requirement for extremely 
gentle slopes such as those which may exist on the top of the pile.
    The following factors must be considered in establishing the final 
rock cover design to avoid displacement of rock particles by human and 
animal traffic or by natural process, and to preclude undercutting and 
piping:
    Shape, size, composition, and gradation of rock particles (excepting 
bedding material average particles size must be at least cobble size or 
greater);
    Rock cover thickness and zoning of particles by size; and
    Steepness of underlying slopes.
    Individual rock fragments must be dense, sound, and resistant to 
abrasion, and must be free from cracks, seams, and other defects that 
would tend to unduly increase their destruction by water and frost 
actions. Weak, friable, or laminated aggregate may not be used.
    Rock covering of slopes may be unnecessary where top covers are very 
thick ( or less); bulk cover materials have inherently favorable erosion 
resistance characteristics; and, there is negligible drainage catchment 
area upstream of the pile and good wind protection as described in 
points (a) and (b) of this Criterion.
    Furthermore, all impoundment surfaces must be contoured to avoid 
areas of concentrated surface runoff or abrupt or sharp changes in slope 
gradient. In addition to rock cover on slopes, areas toward which 
surface runoff might be directed must be well protected with substantial 
rock cover (rip rap). In addition to providing for stability of the 
impoundment system itself, overall stability, erosion potential, and 
geomorphology of surrounding terrain must be evaluated to assure that 
there are not ongoing or potential processes, such as gully erosion, 
which would lead to impoundment instability.
    (e) The impoundment may not be located near a capable fault that 
could cause a maximum credible earthquake larger than that which the 
impoundment could reasonably be expected to withstand. As used in this 
criterion, the term ``capable fault'' has the same meaning as defined in 
section III(g) of Appendix A of 10 CFR Part 100. The term ``maximum 
credible earthquake'' means that earthquake which would cause the 
maximum vibratory ground motion based upon an evaluation of earthquake 
potential considering the regional and local geology and seismology and 
specific characteristics of local subsurface material.
    (f) The impoundment, where feasible, should be designed to 
incorporate features which will promote deposition. For example, design 
features which promote deposition of sediment suspended in any runoff 
which flows into the impoundment area might be utilized; the object of 
such a design feature would be to enhance the thickness of cover over 
time.
    Criterion 5--Criteria 5A-5D and new Criterion 13 incorporate the 
basic ground-water protection standards imposed by the Environmental 
Protection Agency in 40 CFR Part 192, Subparts D and E (48 FR 45926; 
October 7, 1983) which apply during operations and prior to the end of 
closure. Ground-water monitoring to comply with these standards is 
required by Criterion 7A.
    5A(1)--The primary ground-water protection standard is a design 
standard for surface impoundments used to manage uranium and thorium 
byproduct material. Unless exempted under paragraph 5A(3) of this 
criterion, surface impoundments (except for an existing portion) must 
have a liner that is designed, constructed, and installed to prevent any 
migration of wastes out of the impoundment to the adjacent subsurface 
soil, ground water, or surface water at any time during the active life 
(including the closure period) of the impoundment. The liner may be 
constructed of materials that may allow wastes to migrate into the liner 
(but not into the adjacent subsurface soil, ground water, or surface 
water) during the active life of the facility, provided that impoundment 
closure includes removal or decontamination of all waste residues, 
contaminated containment system components (liners, etc.), contaminated 
subsoils, and structures and equipment contaminated with waste and 
leachate. For impoundments that will be closed with the liner material 
left in place, the liner must be constructed of materials that can 
prevent wastes from migrating into the liner during the active life of 
the facility.
    5A(2)--The liner required by paragraph 5A(1) above must be--
    (a) Constructed of materials that have appropriate chemical 
properties and sufficient strength and thickness to prevent failure due 
to pressure gradients (including static head and external hydrogeologic 
forces), physical contact with the waste or leachate to which they are 
exposed, climatic conditions, the stress of installation, and the stress 
of daily operation;
    (b) Placed upon a foundation or base capable of providing support to 
the liner and resistance to pressure gradients above and below the liner 
to prevent failure of the liner

[[Page 607]]

due to settlement, compression, or uplift; and
    (c) Installed to cover all surrounding earth likely to be in contact 
with the wastes or leachate.
    5A(3)--The applicant or licensee will be exempted from the 
requirements of paragraph 5A(1) of this criterion if the Commission 
finds, based on a demonstration by the applicant or licensee, that 
alternate design and operating practices, including the closure plan, 
together with site characteristics will prevent the migration of any 
hazardous constituents into ground water or surface water at any future 
time. In deciding whether to grant an exemption, the Commission will 
consider--
    (a) The nature and quantity of the wastes;
    (b) The proposed alternate design and operation;
    (c) The hydrogeologic setting of the facility, including the 
attenuative capacity and thickness of the liners and soils present 
between the impoundment and ground water or surface water; and
    (d) All other factors which would influence the quality and mobility 
of the leachate produced and the potential for it to migrate to ground 
water or surface water.
    5A(4)--A surface impoundment must be designed, constructed, 
maintained, and operated to prevent overtopping resulting from normal or 
abnormal operations, overfilling, wind and wave actions, rainfall, or 
run-on; from malfunctions of level controllers, alarms, and other 
equipment; and from human error.
    5A(5)--When dikes are used to form the surface impoundment, the 
dikes must be designed, constructed, and maintained with sufficient 
structural integrity to prevent massive failure of the dikes. In 
ensuring structural integrity, it must not be presumed that the liner 
system will function without leakage during the active life of the 
impoundment.
    5B(1)--Uranium and thorium byproduct materials must be managed to 
conform to the following secondary ground-water protection standard: 
Hazardous constituents entering the ground water from a licensed site 
must not exceed the specified concentration limits in the uppermost 
aquifer beyond the point of compliance during the compliance period. 
Hazardous constituents are those constituents identified by the 
Commission pursuant to paragraph 5B(2) of this criterion. Specified 
concentration limits are those limits established by the Commission as 
indicated in paragraph 5B(5) of this criterion. The Commission will also 
establish the point of compliance and compliance period on a site 
specific basis through license conditions and orders. The objective in 
selecting the point of compliance is to provide the earliest practicable 
warning that the impoundment is releasing hazardous constituents to the 
ground water. The point of compliance must be selected to provide prompt 
indication of ground-water contamination on the hydraulically 
downgradient edge of the disposal area. The Commission shall identify 
hazardous constituents, establish concentration limits, set the 
compliance period, and may adjust the point of compliance if needed to 
accord with developed data and site information as to the flow of ground 
water or contaminants, when the detection monitoring established under 
Criterion 7A indicates leakage of hazardous constituents from the 
disposal area.
    5B(2)--A constituent becomes a hazardous constituent subject to 
paragraph 5B(5) only when the constituent meets all three of the 
following tests:
    (a) The constituent is reasonably expected to be in or derived from 
the byproduct material in the disposal area;
    (b) The constituent has been detected in the ground water in the 
uppermost aquifer; and
    (c) The constituent is listed in Criterion 13 of this appendix.
    5B(3)--Even when constituents meet all three tests in paragraph 
5B(2) of this criterion, the Commission may exclude a detected 
constituent from the set of hazardous constituents on a site specific 
basis if it finds that the constituent is not capable of posing a 
substantial present or potential hazard to human health or the 
environment. In deciding whether to exclude constituents, the Commission 
will consider the following:
    (a) Potential adverse effects on ground-water quality, considering--
    (i) The physical and chemical characteristics of the waste in the 
licensed site, including its potential for migration;
    (ii) The hydrogeological characteristics of the facility and 
surrounding land;
    (iii) The quantity of ground water and the direction of ground-water 
flow;
    (iv) The proximity and withdrawal rates of ground-water users;
    (v) The current and future uses of ground water in the area;
    (vi) The existing quality of ground water, including other sources 
of contamination and their cumulative impact on the ground-water 
quality;
    (vii) The potential for health risks caused by human exposure to 
waste constituents;
    (viii) The potential damage to wildlife, crops, vegetation, and 
physical structures caused by exposure to waste constituents;
    (ix) The persistence and permanence of the potential adverse 
effects.
    (b) Potential adverse effects on hydraulically-connected surface 
water quality, considering--
    (i) The volume and physical and chemical characteristics of the 
waste in the licensed site;

[[Page 608]]

    (ii) The hydrogeological characteristics of the facility and 
surrounding land;
    (iii) The quantity and quality of ground water, and the direction of 
ground-water flow;
    (iv) The patterns of rainfall in the region;
    (v) The proximity of the licensed site to surface waters;
    (vi) The current and future uses of surface waters in the area and 
any water quality standards established for those surface waters;
    (vii) The existing quality of surface water, including other sources 
of contamination and the cumulative impact on surface-water quality;
    (viii) The potential for health risks caused by human exposure to 
waste constituents;
    (ix) The potential damage to wildlife, crops, vegetation, and 
physical structures caused by exposure to waste constituents; and
    (x) The persistence and permanence of the potential adverse effects.
    5B(4)--In making any determinations under paragraphs 5B(3) and 5B(6) 
of this criterion about the use of ground water in the area around the 
facility, the Commission will consider any identification of underground 
sources of drinking water and exempted aquifers made by the 
Environmental Protection Agency.
    5B(5)--At the point of compliance, the concentration of a hazardous 
constituent must not exceed--
    (a) The Commission approved background concentration of that 
constituent in the ground water;
    (b) The respective value given in the table in paragraph 5C if the 
constituent is listed in the table and if the background level of the 
constituent is below the value listed; or
    (c) An alternate concentration limit established by the Commission.
    5B(6)--Conceptually, background concentrations pose no incremental 
hazards and the drinking water limits in paragraph 5C state acceptable 
hazards but these two options may not be practically achievable at a 
specific site. Alternate concentration limits that present no 
significant hazard may be proposed by licensees for Commission 
consideration. Licensees must provide the basis for any proposed limits 
including consideration of practicable corrective actions, that limits 
are as low as reasonably achievable, and information on the factors the 
Commission must consider. The Commission will establish a site specific 
alternate concentration limit for a hazardous constituent as provided in 
paragraph 5B(5) of this criterion if it finds that the proposed limit is 
as low as reasonably achievable, after considering practicable 
corrective actions, and that the constituent will not pose a substantial 
present or potential hazard to human health or the environment as long 
as the alternate concentration limit is not exceeded. In making the 
present and potential hazard finding, the Commission will consider the 
following factors:
    (a) Potential adverse effects on ground-water quality, considering--
    (i) The physical and chemical characteristics of the waste in the 
licensed site including its potential for migration;
    (ii) The hydrogeological characteristics of the facility and 
surrounding land;
    (iii) The quantity of ground water and the direction of ground-water 
flow;
    (iv) The proximity and withdrawal rates of ground-water users;
    (v) The current and future uses of ground water in the area;
    (vi) The existing quality of ground water, including other sources 
of contamination and their cumulative impact on the ground-water 
quality;
    (vii) The potential for health risks caused by human exposure to 
waste constituents;
    (viii) The potential damage to wildlife, crops, vegetation, and 
physical structures caused by exposure to waste constituents;
    (ix) The persistence and permanence of the potential adverse 
effects.
    (b) Potential adverse effects on hydraulically-connected surface 
water quality, considering--
    (i) The volume and physical and chemical characteristics of the 
waste in the licensed site;
    (ii) The hydrogeological characteristics of the facility and 
surrounding land;
    (iii) The quantity and quality of ground water, and the direction of 
ground-water flow;
    (iv) The patterns of rainfall in the region;
    (v) The proximity of the licensed site to surface waters;
    (vi) The current and future uses of surface waters in the area and 
any water quality standards established for those surface waters;
    (vii) The existing quality of surface water including other sources 
of contamination and the cumulative impact on surface water quality;
    (viii) The potential for health risks caused by human exposure to 
waste constituents;
    (ix) The potential damage to wildlife, crops, vegetation, and 
physical structures caused by exposure to waste constituents; and
    (x) The persistence and permanence of the potential adverse effects.

             5C--Maximum Values for Ground-Water Protection             
------------------------------------------------------------------------
                                                              Maximum   
                 Constituent or property                   concentration
------------------------------------------------------------------------
Milligrams per liter:                                                   
  Arsenic................................................        0.05   

[[Page 609]]

                                                                        
  Barium.................................................        1.0    
  Cadmium................................................        0.01   
  Chromium...............................................        0.05   
  Lead...................................................        0.05   
  Mercury................................................        0.002  
  Selenium...............................................        0.01   
  Silver.................................................        0.05   
  Endrin (1,2,3,4,10,10-hexachloro-1,7 -expoxy-1,4,4a,5,                
   6,7,8,9a-octahydro-1, 4-endo, endo-5,8-dimethano                     
   naphthalene)..........................................        0.0002 
  Lindane (1,2,3,4,5,6-hexachlorocyclohexane, gamma                     
   isomer)...............................................        0.004  
  Methoxychlor (1,1,1-Trichloro-2,2-bis (p-                             
   methoxyphenylethane)..................................        0.1    
  Toxaphene (C10H10C16, Technical chlorinated camphene,                 
   67-69 percent chlorine)...............................        0.005  
  2,4-D (2,4-Dichlorophenoxyacetic acid).................        0.1    
  2,4,5-TP Silvex (2,4,5-Trichlorophenoxypropionic acid).        0.01   
Picocuries per liter:                                                   
  Combined radium-226 and radium -228....................        5      
  Gross alpha--particle activity (excluding radon and                   
   uranium when producing uranium byproduct material or                 
   radon and thorium when producing thorium byproduct                   
   material).............................................       15      
------------------------------------------------------------------------

    5D--If the ground-water protection standards established under 
paragraph 5B(1) of this criterion are exceeded at a licensed site, a 
corrective action program must be put into operation as soon as is 
practicable, and in no event later than eighteen (18) months after the 
Commission finds that the standards have been exceeded. The licensee 
shall submit the proposed corrective action program and supporting 
rationale for Commission approval prior to putting the program into 
operation, unless otherwise directed by the Commission. The objective of 
the program is to return hazardous constituent concentration levels in 
ground water to the concentration limits set as standards. The 
licensee's proposed program must address removing the hazardous 
constituents that have entered the ground water at the point of 
compliance or treating them in place. The program must also address 
removing or treating in place any hazardous constituents that exceed 
concentration limits in ground water between the point of compliance and 
the downgradient facility property boundary. The licensee shall continue 
corrective action measures to the extent necessary to achieve and 
maintain compliance with the ground-water protection standard. The 
Commission will determine when the licensee may terminate corrective 
action measures based on data from the ground-water monitoring program 
and other information that provide reasonable assurance that the ground-
water protection standard will not be exceeded.
    5E--In developing and conducting ground-water protection programs, 
applicants and licensees shall also consider the following:
    (1) Installation of bottom liners (Where synthetic liners are used, 
a leakage detection system must be installed immediately below the liner 
to ensure major failures are detected if they occur. This is in addition 
to the ground-water monitoring program conducted as provided in 
Criterion 7. Where clay liners are proposed or relatively thin, in-situ 
clay soils are to be relied upon for seepage control, tests must be 
conducted with representative tailings solutions and clay materials to 
confirm that no significant deterioration of permeability or stability 
properties will occur with continuous exposure of clay to tailings 
solutions. Tests must be run for a sufficient period of time to reveal 
any effects if they are going to occur (in some cases deterioration has 
been observed to occur rather rapidly after about nine months of 
exposure)).
    (2) Mill process designs which provide the maximum practicable 
recycle of solutions and conservation of water to reduce the net input 
of liquid to the tailings impoundment.
    (3) Dewatering of tailings by process devices and/or in-situ 
drainage systems (At new sites, tailings must be dewatered by a drainage 
system installed at the bottom of the impoundment to lower the phreatic 
surface and reduce the driving head of seepage, unless tests show 
tailings are not amenable to such a system. Where in-situ dewatering is 
to be conducted, the impoundment bottom must be graded to assure that 
the drains are at a low point. The drains must be protected by suitable 
filter materials to assure that drains remain free running. The drainage 
system must also be adequately sized to assure good drainage).
    (4) Neutralization to promote immobilization of hazardous 
constituents.
    5F--Where ground-water impacts are occurring at an existing site due 
to seepage, action must be taken to alleviate conditions that lead to 
excessive seepage impacts and restore ground-water quality. The specific 
seepage control and ground-water protection method, or combination of 
methods, to be used must be worked out on a site-specific basis. 
Technical specifications must be prepared to control installation of 
seepage control systems. A quality assurance, testing, and inspection 
program, which includes supervision by a qualified engineer or 
scientist, must be established to assure the specifications are met.
    5G--In support of a tailings disposal system proposal, the 
applicant/operator shall supply information concerning the following:
    (1) The chemical and radioactive characteristics of the waste 
solutions.
    (2) The characteristics of the underlying soil and geologic 
formations particularly as they will control transport of contaminants

[[Page 610]]

and solutions. This includes detailed information concerning extent, 
thickness, uniformity, shape, and orientation of underlying strata. 
Hydraulic gradients and conductivities of the various formations must be 
determined. This information must be gathered from borings and field 
survey methods taken within the proposed impoundment area and in 
surrounding areas where contaminants might migrate to ground water. The 
information gathered on boreholes must include both geologic and 
geophysical logs in sufficient number and degree of sophistication to 
allow determining significant discontinuities, fractures, and channeled 
deposits of high hydraulic conductivity. If field survey methods are 
used, they should be in addition to and calibrated with borehole 
logging. Hydrologic parameters such as permeability may not be 
determined on the basis of laboratory analysis of samples alone; a 
sufficient amount of field testing (e.g., pump tests) must be conducted 
to assure actual field properties are adequately understood. Testing 
must be conducted to allow estimating chemi-sorption attenuation 
properties of underlying soil and rock.
    (3) Location, extent, quality, capacity and current uses of any 
ground water at and near the site.
    5H--Steps must be taken during stockpiling of ore to minimize 
penetration of radionuclides into underlying soils; suitable methods 
include lining and/or compaction of ore storage areas.
    Criterion 6--(1) In disposing of waste byproduct material, licensees 
shall place an earthen cover (or approved alternative) over tailings or 
wastes at the end of milling operations and shall close the waste 
disposal area in accordance with a design 1 which provides 
reasonable assurance of control of radiological hazards to (i) be 
effective for 1,000 years, to the extent reasonably achievable, and, in 
any case, for at least 200 years, and (ii) limit releases of radon-222 
from uranium byproduct materials, and radon-220 from thorium byproduct 
materials, to the atmosphere so as not to exceed an average 2 
release rate of 20 picocuries per square meter per second (pCi/m2s) 
to the extent practicable throughout the effective design life 
determined pursuant to (1)(i) of this Criterion. In computing required 
tailings cover thicknesses, moisture in soils in excess of amounts found 
normally in similar soils in similar circumstances may not be 
considered. Direct gamma exposure from the tailings or wastes should be 
reduced to background levels. The effects of any thin synthetic layer 
may not be taken into account in determining the calculated radon 
exhalation level. If non-soil materials are proposed as cover materials, 
it must be demonstrated that these materials will not crack or degrade 
by differential settlement, weathering, or other mechanism, over long-
term intervals.
---------------------------------------------------------------------------

    \1\ In the case of thorium byproduct materials, the standard applies 
only to design. Monitoring for radon emissions from thorium byproduct 
materials after installation of an appropriately designed cover is not 
required.
    \2\ This average applies to the entire surface of each disposal area 
over a period of a least one year, but a period short compared to 100 
years. Radon will come from both byproduct materials and from covering 
materials. Radon emissions from covering materials should be estimated 
as part of developing a closure plan for each site. The standard, 
however, applies only to emissions from byproduct materials to the 
atmosphere.
---------------------------------------------------------------------------

    (2) As soon as reasonably achievable after emplacement of the final 
cover to limit releases of radon-222 from uranium byproduct material and 
prior to placement of erosion protection barriers or other features 
necessary for long-term control of the tailings, the licensee shall 
verify through appropriate testing and analysis that the design and 
construction of the final radon barrier is effective in limiting 
releases of radon-222 to a level not exceeding 20 pCi/m \2\s averaged 
over the entire pile or impoundment using the procedures described in 40 
CFR part 61, appendix B, Method 115, or another method of verification 
approved by the Commission as being at least as effective in 
demonstrating the effectiveness of the final radon barrier.
    (3) When phased emplacement of the final radon barrier is included 
in the applicable reclamation plan, the verification of radon-222 
release rates required in paragraph (2) of this criterion must be 
conducted for each portion of the pile or impoundment as the final radon 
barrier for that portion is emplaced.
    (4) Within ninety days of the completion of all testing and analysis 
relevant to the required verification in paragraphs (2) and (3) of this 
criterion, the uranium mill licensee shall report to the Commission the 
results detailing the actions taken to verify that levels of release of 
radon-222 do not exceed 20 pCi/m \2\s when averaged over the entire pile 
or impoundment. The licensee shall maintain records until termination of 
the license documenting the source of input parameters including the 
results of all measurements on which they are based, the calculations 
and/or analytical methods used to derive values for input parameters, 
and the procedure used to determine compliance. These records shall be 
kept in a form suitable for transfer to the custodial agency at the time 
of transfer of the site to DOE or a State for long-term care if 
requested.
    (5) Near surface cover materials (i.e., within the top three meters) 
may not include waste or rock that contains elevated levels of radium; 
soils used for near surface cover

[[Page 611]]

must be essentially the same, as far as radioactivity is concerned, as 
that of surrounding surface soils. This is to ensure that surface radon 
exhalation is not significantly above background because of the cover 
material itself.
    (6) The design requirements in this criterion for longevity and 
control of radon releases apply to any portion of a licensed and/or 
disposal site unless such portion contains a concentration of radium in 
land, averaged over areas of 100 square meters, which, as a result of 
byproduct material, does not exceed the background level by more than: 
(i) 5 picocuries per gram (pCi/g) of radium-226, or, in the case of 
thorium byproduct material, radium-228, averaged over the first 15 
centimeters (cm) below the surface, and (ii) 15 pCi/g of radium-226, or, 
in the case of thorium byproduct material, radium-228, averaged over 15-
cm thick layers more than 15 cm below the surface.
    (7) The licensee shall also address the nonradiological hazards 
associated with the wastes in planning and implementing closure. The 
licensee shall ensure that disposal areas are closed in a manner that 
minimizes the need for further maintenance. To the extent necessary to 
prevent threats to human health and the environment, the licensee shall 
control, minimize, or eliminate post-closure escape of nonradiological 
hazardous constituents, leachate, contaminated rainwater, or waste 
decomposition products to the ground or surface waters or to the 
atmosphere.
    Criterion 6A--(1) For impoundments containing uranium byproduct 
materials, the final radon barrier must be completed as expeditiously as 
practicable considering technological feasibility after the pile or 
impoundment ceases operation in accordance with a written, Commission-
approved reclamation plan. (The term as expeditiously as practicable 
considering technological feasibility as specifically defined in the 
Introduction of this appendix includes factors beyond the control of the 
licensee.) Deadlines for completion of the final radon barrier and, if 
applicable, the following interim milestones must be established as a 
condition of the individual license: windblown tailings retrieval and 
placement on the pile and interim stabilization (including dewatering or 
the removal of freestanding liquids and recontouring). The placement of 
erosion protection barriers or other features necessary for long-term 
control of the tailings must also be completed in a timely manner in 
accordance with a written, Commission-approved reclamation plan.
    (2) The Commission may approve a licensee's request to extend the 
time for performance of milestones related to emplacement of the final 
radon barrier if, after providing an opportunity for public 
participation, the Commission finds that the licensee has adequately 
demonstrated in the manner required in paragraph (2) of Criterion 6 that 
releases of radon-222 do not exceed an average of 20 pCi/m\2\s. If the 
delay is approved on the basis that the radon releases do not exceed 20 
pCi/m\2\s, a verification of radon levels, as required by paragraph (2) 
of Criterion 6, must be made annually during the period of delay. In 
addition, once the Commission has established the date in the 
reclamation plan for the milestone for completion of the final radon 
barrier, the Commission may extend that date based on cost if, after 
providing an opportunity for public participation, the Commission finds 
that the licensee is making good faith efforts to emplace the final 
radon barrier, the delay is consistent with the definition of available 
technology, and the radon releases caused by the delay will not result 
in a significant incremental risk to the public health.
    (3) The Commission may authorize by license amendment, upon licensee 
request, a portion of the impoundment to accept uranium byproduct 
material or such materials that are similar in physical, chemical, and 
radiological characteristics to the uranium mill tailings and associated 
wastes already in the pile or impoundment, from other sources, during 
the closure process. No such authorization will be made if it results in 
a delay or impediment to emplacement of the final radon barrier over the 
remainder of the impoundment in a manner that will achieve levels of 
radon-222 releases not exceeding 20 pCi/m\2\s averaged over the entire 
impoundment. The verification required in paragraph (2) of Criterion 6 
may be completed with a portion of the impoundment being used for 
further disposal if the Commission makes a final finding that the 
impoundment will continue to achieve a level of radon-222 releases not 
exceeding 20 pCi/m2s averaged over the entire impoundment. In this 
case, after the final radon barrier is complete except for the 
continuing disposal area, (a) only byproduct material will be authorized 
for disposal, (b) the disposal will be limited to the specified existing 
disposal area, and (c) this authorization will only be made after 
providing opportunity for public participation. Reclamation of the 
disposal area, as appropriate, must be completed in a timely manner 
after disposal operations cease in accordance with paragraph (1) of 
Criterion 6; however, these actions are not required to be complete as 
part of meeting the deadline for final radon barrier construction.
    Criterion 7--At least one full year prior to any major site 
construction, a preoperational monitoring program must be conducted to 
provide complete baseline data on a milling site and its environs. 
Throughout the construction and operating phases of the mill, an 
operational monitoring program must be conducted to measure or evaluate 
compliance with applicable standards and

[[Page 612]]

regulations; to evaluate performance of control systems and procedures; 
to evaluate environmental impacts of operation; and to detect potential 
long-term effects.
    7A--The licensee shall establish a detection monitoring program 
needed for the Commission to set the site-specific ground-water 
protection standards in paragraph 5B(1) of this appendix. For all 
monitoring under this paragraph the licensee or applicant will propose 
for Commission approval as license conditions which constituents are to 
be monitored on a site specific basis. A detection monitoring program 
has two purposes.The initial purpose of the program is to detect leakage 
of hazardous constituents from the disposal area so that the need to set 
ground-water protection standards is monitored. If leakage is detected, 
the second purpose of the program is to generate data and information 
needed for the Commission to establish the standards under Criterion 5B. 
The data and information must provide a sufficient basis to identify 
those hazardous constituents which require concentration limit standards 
and to enable the Commission to set the limits for those constituents 
and the compliance period. They may also need to provide the basis for 
adjustments to the point of compliance. For licenses in effect September 
30, 1983, the detection monitoring programs must have been in place by 
October 1, 1984. For licenses issued after September 30, 1983, the 
detection monitoring programs must be in place when specified by the 
Commission in orders or license conditions. Once ground-water protection 
standards have been established pursuant to paragraph 5B(1), the 
licensee shall establish and implement a compliance monitoring program. 
The purpose of the compliance monitoring program is to determine that 
the hazardous constituent concentrations in ground water continue to 
comply with the standards set by the Commission. In conjunction with a 
corrective action program, the licensee shall establish and implement a 
corrective action monitoring program. The purpose of the corrective 
action monitoring program is to demonstrate the effectiveness of the 
corrective actions. Any monitoring program required by this paragraph 
may be based on existing monitoring programs to the extent the existing 
programs can meet the stated objective for the program.
    Criterion 8--Milling operations must be conducted so that all 
airborne effluent releases are reduced to levels as low as is reasonably 
achievable. The primary means of accomplishing this must be by means of 
emission controls. Institutional controls, such as extending the site 
boundary and exclusion area, may be employed to ensure that offsite 
exposure limits are met, but only after all practicable measures have 
been taken to control emissions at the source. Notwithstanding the 
existence of individual dose standards, strict control of emissions is 
necessary to assure that population exposures are reduced to the maximum 
extent reasonably achievable and to avoid site contamination. The 
greatest potential sources of offsite radiation exposure (aside from 
radon exposure) are dusting from dry surfaces of the tailings disposal 
area not covered by tailings solution and emissions from yellowcake 
drying and packaging operations. During operations and prior to closure, 
radiation doses from radon emissions from surface impoundments of 
uranium or thorium byproduct materials must be kept as low as is 
reasonably achievable.
    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 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.
    To control dusting from tailings, that portion not covered by 
standing liquids must be wetted or chemically stabilized to prevent or 
minimize blowing and dusting to the maximum extent reasonably 
achievable. This requirement may be relaxed if tailings are effectively 
sheltered from wind, such as may be the case where they are disposed of 
below grade and the tailings surface is not exposed to wind. 
Consideration must be given in planning tailings disposal programs to 
methods which would allow phased covering and reclamation of tailings 
impoundments because this will help in controlling particulate and radon 
emissions during operation. To control dusting from diffuse sources, 
such as tailings and ore pads where automatic

[[Page 613]]

controls do not apply, operators shall develop written operating 
procedures specifying the methods of control which will be utilized.
    Milling operations producing or involving thorium byproduct material 
must be conducted in such a manner as to provide reasonable assurance 
that the annual dose equivalent does not exceed 25 millirems to the 
whole body, 75 millirems to the thyroid, and 25 millirems to any other 
organ of any member of the public as a result of exposures to the 
planned discharge of radioactive materials, radon-220 and its daughters 
excepted, to the general environment.
    Uranium and thorium byproduct materials must be managed so as to 
conform to the applicable provisions of Title 40 of the Code of Federal 
Regulations, Part 440, ``Ore Mining and Dressing Point Source Category: 
Effluent Limitations Guidelines and New Source Performance Standards, 
Subpart C, Uranium, Radium, and Vanadium Ores Subcategory,'' as codified 
on January 1, 1983.
    Criterion 8A--Daily inspections of tailings or waste retention 
systems must be conducted by a qualified engineer or scientist and 
documented. The licensee shall retain the documentation for each daily 
inspection as a record for three years after the documentation is made. 
The appropriate NRC regional office as indicated in Appendix D to 10 CFR 
Part 20 of this chapter, or the Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC, 20555, must be immediately notified of any failure in a tailings or 
waste retention system that results in a release of tailings or waste 
into unrestricted areas, or of any unusual conditions (conditions not 
contemplated in the design of the retention system) that is not 
corrected could indicate the potential or lead to failure of the system 
and result in a release of tailings or waste into unrestricted areas.

                         II. Financial Criteria

    Criterion 9--Financial surety arrangements must be established by 
each mill operator prior to the commencement of operations to assure 
that sufficient funds will be available to carry out the decontamination 
and decommissioning of the mill and site and for the reclamation of any 
tailings or waste disposal areas. The amount of funds to be ensured by 
such surety arrangements must be based on Commission-approved cost 
estimates in a Commission-approved plan for (1) decontamination and 
decommissioning of mill buildings and the milling site to levels which 
allow unrestricted use of these areas upon decommissioning, and (2) the 
reclamation of tailings and/or waste areas in accordance with technical 
criteria delineated in Section I of this Appendix. The licensee shall 
submit this plan in conjunction with an environmental report that 
addresses the expected environmental impacts of the milling operation, 
decommissioning and tailings reclamation, and evaluates alternatives for 
mitigating these impacts. The surety must also cover the payment of the 
charge for long-term surveillance and control required by Criterion 10. 
In establishing specific surety arrangements, the licensee's cost 
estimates must take into account total costs that would be incurred if 
an independent contractor were hired to perform the decommissioning and 
reclamation work. In order to avoid unnecessary duplication and expense, 
the Commission may accept financial sureties that have been consolidated 
with financial or surety arrangements established to meet requirements 
of other Federal or state agencies and/or local governing bodies for 
such decommissioning, decontamination, reclamation, and long-term site 
surveillance and control, provided such arrangements are considered 
adequate to satisfy these requirements and that the portion of the 
surety which covers the decommissioning and reclamation of the mill, 
mill tailings site and associated areas, and the long-term funding 
charge is clearly identified and committed for use in accomplishing 
these activities. The licensees's surety mechanism will be reviewed 
annually by the Commission to assure, that sufficient funds would be 
available for completion of the reclamation plan if the work had to be 
performed by an independent contractor. The amount of surety liability 
should be adjusted to recognize any increases or decreases resulting 
from inflation, changes in engineering plans, activities performed, and 
any other conditions affecting costs. Regardless of whether reclamation 
is phased through the life of the operation or takes place at the end of 
operations, an appropriate portion of surety liability must be retained 
until final compliance with the reclamation plan is determined.
    This will yield a surety that is at least sufficient at all times to 
cover the costs of decommissioning and reclamation of the areas that are 
expected to be disturbed before the next license renewal. The term of 
the surety mechanism must be open ended, unless it can be demonstrated 
that another arrangement would provide an equivalent level of assurance. 
This assurance would be provided with a surety instrument which is 
written for a specified period of time (e.g., 5 years) yet which must be 
automatically renewed unless the surety notifies the beneficiary (the 
Commission or the State regulatory agency) and the principal (the 
licensee) some reasonable time (e.g., 90 days) prior to the renewal date 
of their intention not to renew. In such a situation the surety 
requirement still exists and the licensee would be required to submit an 
acceptable replacement surety within a brief period of time to allow at 
least 60 days for the regulatory agency to collect.

[[Page 614]]

    Proof of forfeiture must not be necessary to collect the surety so 
that in the event that the licensee could not provide an acceptable 
replacement surety within the required time, the surety shall be 
automatically collected prior to its expiration. The conditions 
described above would have to be clearly stated on any surety instrument 
which is not open-ended, and must be agreed to by all parties. Financial 
surety arrangements generally acceptable to the Commission are:
    (a) Surety bonds;
    (b) Cash deposits;
    (c) Certificates of deposits;
    (d) Deposits of government securities;
    (e) Irrevocable letters or lines of credit; and
    (f) Combinations of the above or such other types of arrangements as 
may be approved by the Commission. However, self insurance, or any 
arrangement which essentially constitutes self insurance (e.g., a 
contract with a State or Federal agency), will not satisfy the surety 
requirement since this provides no additional assurance other than that 
which already exists through license requirements.
    Criterion 10--A minimum charge of $250,000 (1978 dollars) to cover 
the costs of long-term surveillance must be paid by each mill operator 
to the general treasury of the United States or to an appropriate State 
agency prior to the termination of a uranium or thorium mill license.
    If site surveillance or control requirements at a particular site 
are determined, on the basis of a site-specific evaluation, to be 
significantly greater than those specified in Criterion 12 (e.g., if 
fencing is determined to be necessary), variance in funding requirements 
may be specified by the Commission. In any case, the total charge to 
cover the costs of long-term surveillance must be such that, with an 
assumed 1 percent annual real interest rate, the collected funds will 
yield interest in an amount sufficient to cover the annual costs of site 
surveillance. The total charge will be adjusted annually prior to actual 
payment to recognize inflation. The inflation rate to be used is that 
indicated by the change in the Consumer Price Index published by the 
U.S. Department of Labor, Bureau of Labor Statistics.

               III. Site and Byproduct Material Ownership

    Criterion 11--A. These criteria relating to ownership of tailings 
and their disposal sites become effective on November 8, 1981, and apply 
to all licenses terminated, issued, or renewed after that date.
    B. Any uranium or thorium milling license or tailings license must 
contain such terms and conditions as the Commission determines necessary 
to assure that prior to termination of the license, the licensee will 
comply with ownership requirements of this criterion for sites used for 
tailings disposal.
    C. Title to the byproduct material licensed under this Part and 
land, including any interests therein (other than land owned by the 
United States or by a State) which is used for the disposal of any such 
byproduct material, or is essential to ensure the long term stability of 
such disposal site, must be transferred to the United States or the 
State in which such land is located, at the option of such State. In 
view of the fact that physical isolation must be the primary means of 
long-term control, and Government land ownership is a desirable 
supplementary measure, ownership of certain severable subsurface 
interests (for example, mineral rights) may be determined to be 
unnecessary to protect the public health and safety and the environment. 
In any case, however, the applicant/operator must demonstrate a serious 
effort to obtain such subsurface rights, and must, in the event that 
certain rights cannot be obtained, provide notification in local public 
land records of the fact that the land is being used for the disposal of 
radioactive material and is subject to either an NRC general or specific 
license prohibiting the disruption and disturbance of the tailings. In 
some rare cases, such as may occur with deep burial where no ongoing 
site surveillance will be required, surface land ownership transfer 
requirements may be waived. For licenses issued before November 8, 1981, 
the Commission may take into account the status of the ownership of such 
land, and interests therein, and the ability of a licensee to transfer 
title and custody thereof to the United States or a State.
    D. If the Commission subsequent to title transfer determines that 
use of the surface or subsurface estates, or both, of the land 
transferred to the United States or to a State will not endanger the 
public health, safety, welfare, or environment, the Commission may 
permit the use of the surface or subsurface estates, or both, of such 
land in a manner consistent with the provisions provided in these 
criteria. If the Commission permits such use of such land, it will 
provide the person who transferred such land with the right of first 
refusal with respect to such use of such land.
    E. Material and land transferred to the United States or a State in 
accordance with this Criterion must be transferred without cost to the 
United States or a State other than administrative and legal costs 
incurred in carrying out such transfer.
    F. The provisions of this part respecting transfer of title and 
custody to land and tailings and wastes do not apply in the case of 
lands held in trust by the United States for any Indian tribe or lands 
owned by such Indian tribe subject to a restriction against alienation 
imposed by the United States. In the case of such lands which are used 
for the

[[Page 615]]

disposal of byproduct material, as defined in this Part, the licensee 
shall enter into arrangements with the Commission as may be appropriate 
to assure the long-term surveillance of such lands by the United States.

                     IV. Long-Term Site Surveillance

    Criterion 12--The final disposition of tailings, residual 
radioactive material, or wastes at milling sites should be such that 
ongoing active maintenance is not necessary to preserve isolation. As a 
minimum, annual site inspections must be conducted by the government 
agency responsible for long-term care of the disposal site to confirm 
its integrity and to determine the need, if any, for maintenance and/or 
monitoring. Results of the inspections for all the sites under the 
licensee's jurisdiction will be reported to the Commission annually 
within 90 days of the last site inspection in that calendar year. Any 
site where unusual damage or disruption is discovered during the 
inspection, however, will require a preliminary site inspection report 
to be submitted within 60 days. On the basis of a site specific 
evaluation, the Commission may require more frequent site inspections if 
necessary due to the features of a particular disposal site. In this 
case, a preliminary inspection report is required to be submitted within 
60 days following each inspection.

                        V. Hazardous Constituents

    Criterion 13--Secondary ground-water protection standards required 
by Criterion 5 of this appendix are concentration limits for individual 
hazardous constituents. The following list of constituents identifies 
the constituents for which standards must be set and complied with if 
the specific constituent is reasonably expected to be in or derived from 
the byproduct material and has been detected in ground water. For 
purposes of this appendix, the property of gross alpha activity will be 
treated as if it is a hazardous constituent. Thus, when setting 
standards under paragraph 5B(5) of Criterion 5, the Commission will also 
set a limit for gross alpha activity. The Commission does not consider 
the following list imposed by 40 CFR Part 192 to be exhaustive and may 
determine other constituents to be hazardous on a case-by-case basis, 
independent of those specified by the U.S. Environmental Protection 
Agency in Part 192.

                         Hazardous Constituents

Acetonitrile (Ethanenitrile)
Acetophenone (Ethanone, 1-phenyl)
3-(alpha-Acetonylbenzyl)-4-hydroxycoumarin and salts (Warfarin)
2-Acetylaminofluorene (Acetamide, N-(9H-fluoren-2-yl)-)
Acetyl chloride (Ethanoyl chloride)
1-Acetyl-2-thiourea (Acetamide, N-(aminothioxomethyl)-)
Acrolein (2-Propenal)
Acrylamide (2-Propenamide)
Acrylonitrile (2-Propenenitrile)
Aflatoxins
Aldrin (1,2,3,4,10,10-Hexachloro-1,4,4a,5,8,8a,8b-hexahydro-endo, exo-
1,4:5,8-Dimethanonaphthalene)
Allyl alcohol (2-Propen-1-ol)
Aluminum phosphide
4-Aminobiphenyl ([1,1'-Biphenyl]-4-amine)
6-Amino-1,1a,2,8,8a,8b-hexahydro-8-(hydroxymethyl)-8a-methoxy-5-methyl-
carbamate azirino[2',3':3,4]pyrrolo[1,2-a]indole-4,7-dione, (ester) 
(Mitomycin C) (Azirino[2'3':3,4]pyrrolo(1,2-a)indole-4,7-dione, 6-amino-
8-[((amino-cabonyl)oxy)methyl]-1,1a,2,8,8a,8b-hexa-hydro-8a methoxy-5-
methy-)
5-(Aminomethyl)-3-isoxazolol (3(2H)-Isoxazolone, 5-(aminomethyl)-) 4-
Aminopyridine (4-Pyridinamine)
Amitrole (1H-1,2,4-Triazol-3-amine)
Aniline (Benzenamine)
Antimony and compounds, N.O.S.\3\
---------------------------------------------------------------------------

    \3\ The abbreviation N.O.S. (not otherwise specified) signifies 
those members of the general class not specifically listed by name in 
this list.
---------------------------------------------------------------------------

Aramite (Sulfurous acid, 2-chloroethyl-, 2-[4-(1,1-dimethylethyl) 
phenoxy]-1-methylethyl ester)
Arsenic and compounds, N.O.S.\3\
Arsenic acid (Orthoarsenic acid)
Arsenic pentoxide (Arsenic (V) oxide)
Arsenic trioxide (Arsenic (III) oxide)
Auramine (Benzenamine, 4,4'-carbonimidoylbis[N,N-Dimethyl-, 
monohydrochloride)
Azaserine (L-Serine, diazoacetate (ester))
Barium and compounds, N.O.S.\3\
Barium cyanide
Benz[c]acridine (3,4-Benzacridine)
Benz[a]anthracene (1,2-Benzanthracene)
Benzene (Cyclohexatriene)
Benzenearsonic acid (Arsonic acid, phenyl-)
Benzene, dichloromethyl- (Benzal chloride)
Benzenethiol (Thiophenol)
Benzidine ([1,1'-Biphenyl]-4,4'diamine)
Benzo[b]fluoranthene (2,3-Benzofluoranthene)
Benzo[j]fluoranthene (7,8-Benzofluoranthene)
Benzo[a]pyrene (3,4-Benzopyrene)
p-Benzoquinone (1,4-Cyclohexadienedione)
Benzotrichloride (Benzene, trichloromethyl)
Benzyl chloride (Benzene, (chloromethyl)-)
Beryllium and compounds, N.O.S.\3\
Bis(2-chloroethoxy)methane (Ethane, 1,1'-[methylenebis(oxy)]bis[2-
chloro-])
Bis(2-chloroethyl) ether (Ethane, 1,1'-oxybis[2-chloro-])
N,N-Bis(2-chloroethyl)-2-naphthylamine (Chlornaphazine)
Bis(2-chloroisopropyl) ether (Propane, 2,2'-oxybis[2-chloro-])

[[Page 616]]

Bis(chloromethyl) ether (Methane, oxybis[chloro-])
Bis(2-ethylhexyl) phthalate (1,2-Benzenedicarboxylic acid, bis(2-
ethylhexyl) ester)
Bromoacetone (2-Propanone, 1-bromo-)
Bromomethane (Methyl bromide)
4-Bromophenyl phenyl ether (Benzene, 1-bromo-4-phenoxy-)
Brucine (Strychnidin-10-one, 2,3-dimethoxy-)
2-Butanone peroxide (Methyl ethyl ketone, peroxide)
Butyl benzyl phthalate (1,2-Benzenedicarboxylic acid, butyl phenylmethyl 
ester)
2-sec-Butyl-4,6-dinitrophenol (DNBP) (Phenol, 2,4-dinitro-6-(1-
methylpropyl)-)
Cadmium and compounds, N.O.S.\3\
Calcium chromate (Chromic acid, calcium salt)
Calcium cyanide
Carbon disulfide (Carbon bisulfide)
Carbon oxyfluoride (Carbonyl fluoride)
Chloral (Acetaldehyde, trichloro-)
Chlorambucil (Butanoic acid, 4-[bis(2-chloroethyl)amino]benzene-)
Chlordane (alpha and gamma isomers) (4,7-Methanoindan, 1,2,4,5,6,7,8,8-
octachloro-3,4,7,7a-tetrahydro-) (alpha and gamma isomers)
Chlorinated benzenes, N.O.S.\3\
Chlorinated ethane, N.O.S.\3\
Chlorinated fluorocarbons, N.O.S.\3\
Chlorinated naphthalene, N.O.S.\3\
Chlorinated phenol, N.O.S.\3\
Chloroacetaldehyde (Acetaldehyde, chloro-)
Chloroalkyl ethers, N.O.S.\3\
p-Chloroaniline (Benzenamine, 4-chloro-)
Chlorobenzene (Benzene, chloro-)
Chlorobenzilate (Benzeneacetic acid, 4-chloro-alpha-(4-chlorophenyl)-
alpha-hydroxy-,ethyl ester)
p-Chloro-m-cresol (Phenol, 4-chloro-3-methyl)
1-Chloro-2,3-epoxypropane (Oxirane, 2-(chloromethyl)-)
2-Chloroethyl vinyl ether (Ethene, (2-chloroethoxy)-)
Chloroform (Methane, trichloro-)
Chloromethane (Methyl chloride)
Chloromethyl methyl ether (Methane, chloromethoxy-)
2-Chloronaphthalene (Naphthalene, betachloro-)
2-Chlorophenol (Phenol, o-chloro-)
1-(o-Chlorophenyl)thiourea (Thiourea, (2-chlorophenyl)-)
3-Chloropropionitrile (Propanenitrile, 3-chloro-)
Chromium and compounds, N.O.S.\3\
Chrysene (1,2-Benzphenanthrene)
Citrus red No. 2 (2-Naphthol, 1-[(2,5-dimethoxyphenyl)azo]-)
Coal tars
Copper cyanide
Creosote (Creosote, wood)
Cresols (Cresylic acid) (Phenol, methyl-)
Crotonaldehyde (2-Butenal)
Cyanides (soluble salts and complexes), N.O.S.\3\
Cyanogen (Ethanedinitrile)
Cyanogen bromide (Bromine cyanide)
Cyanogen chloride (Chlorine cyanide)
Cycasin (beta-D-Glucopyranoside, (methyl-ONN-azoxy)methyl-)
2-Cyclohexyl-4,6-dinitrophenol (Phenol, 2-cyclohexyl-4,6-dinitro-)
Cyclophosphamide (2H-1,3,2,-Oxazaphosphorine, [bis(2-chloroethyl) 
amino]-tetrahydro-,2-oxide)
Daunomycin (5,12-Naphthacenedione, (8S-cis)-8-acetyl-10-[(3-amino-2,3,6-
trideoxy)-alpha-L-lyxo-hexopyranosyl)oxy]-7,8,9,10-tetrahydro-6,8,11-
trihydroxy-1-methoxy-)
DDD (Dichlorodiphenyldichloroethane) (Ethane, 1,1-dichloro-2,2-bis(p-
chlorophenyl)-)
DDE (Ethylene, 1,1-dichloro-2,2-bis(4-chlorophenyl)-)
DDT (Dichlorodiphenyltrichloroethane) (Ethane, 1,1,1-trichloro-2,2-bis 
(p-chlorophenyl)-)
Diallate (S-(2,3-dichloroallyl) diisopropylthiocarbamate)
Dibenz[a,h]acridine (1,2,5,6-Dibenzacridine)
Dibenz[a,j]acridine (1,2,7,8-Dibenzacridine)
Dibenz[a,h]anthracene (1,2,5,6-Dibenzanthracene)
7H-Dibenzo[c,g]carbazole (3,4,5,6-Dibenzcarbazole)
Dibenzo[a,e]pyrene (1,2,4,5-Dibenzpyrene)
Dibenzo[a,h]pyrene (1,2,5,6-Dibenzpyrene)
Dibenzo[a,i]pyrene (1,2,7,8-Dibenzpyrene)
1,2-Dibromo-3-chloropropane (Propane, 1,2-dibromo-3-chloro-)
1,2-Dibromoethane (Ethylene dibromide)
Dibromomethane (Methylene bromide)
Di-n-butyl phthalate (1,2-Benzenedicarboxylic acid, dibutyl ester)
o-Dichlorobenzene (Benzene, 1,2-dichloro-)
m-Dichlorobenzene (Benzene, 1,3-dichloro-)
p-Dichlorobenzene (Benzene, 1,4-dichlor-)
Dichlorobenzene, N.O.S.\3\ (Benzene, dichloro-, N.O.S.\3\)
3,3'-Dichlorobenzidine ([1,1'-Biphenyl]-4,4'-diamine, 3,3'-dichloro-)
1,4-Dichloro-2-butene (2-Butene, 1,4-dichloro-)
Dichlorodifluoromethane (Methane, dichlorodifluoro-)
1,1-Dichloroethane (Ethylidene dichloride)
1,2-Dichloroethane (Ethylene dichloride)
trans-1,2-Dichloroethene (1,2-Dichloroethylene)
Dichloroethylene, N.O.S.\3\ (Ethene, dichloro-, N.O.S.\3\)
1,1-Dichloroethylene (Ethene, 1,1-dichloro-)
Dichloromethane (Methylene chloride)
2,4-Dichlorophenol (Phenol, 2,4-dichloro-)
2,6-Dichlorophenol (Phenol, 2,6-dichloro-)
2,4-Dichlorophenoxyacetic acid (2,4-D), salts and esters (Acetic acid, 
2,4-dichlorophenoxy-, salts and esters)
Dichlorophenylarsine (Phenyl dichloroarsine)

[[Page 617]]

Dichloropropane, N.O.S.\3\ (Propane, dichloro-, N.O.S.\3\)
1,2-Dichloropropane (Propylene dichloride)
Dichloropropanol, N.O.S.\3\ (Propanol, dichloro-, N.O.S.\3\)
Dichloropropene, N.O.S.\3\ (Propene, dichloro-, N.O.S.\3\)
1,3-Dichloropropene (1-Propene, 1,3-dichloro-)
Dieldin (1,2,3,4,10.10-hexachloro-6,7-epoxy-1,4,4a,5,6,7,8,8a-octa-
hydro-endo, exo- 1,4:5,8-Dimethanonaphthalene)
1,2:3,4-Diepoxybutane (2,2'-Bioxirane)
Diethylarsine (Arsine, diethyl-)
N,N-Diethylhydrazine (Hydrazine, 1,2-diethyl)
O,O-Diethyl S-methyl ester of phosphorodithioic acid (Phosphorodithioic 
acid, O,O-diethyl S-methyl ester)
O,O-Diethylphosphoric acid, O-p-nitrophenyl ester (Phosphoric acid, 
diethyl p-nitrophenyl ester)
Diethyl phthalate (1,2-Benzenedicarboxylic acid, diethyl ester)
O,O-Diethyl O-2-pyrazinyl phosphorothioate (Phosphorothioic acid, O,O-
diethyl O-pyrazinyl ester)
Diethylstilbesterol (4,4'-Stilbenediol,alpha,alpha-diethyl, 
bis(dihydrogen phosphate, (E)-)
Dihydrosafrole (Benzene, 1,2-methylenedioxy-4-propyl-)
3,4-Dihydroxy-alpha-(methylamino)methyl benzyl alcohol (1,2-Benzenediol, 
4-[1-hydroxy-2-(methylamino)ethyl]-)
Dilsopropylfluorophosphate (DFP) (Phosphorofluoridic acid, bis(1-
methylethyl) ester)
Dimethoate (Phosphorodithioic acid, O,O-dimethyl S-[2-(methylamino)-2-
oxoethyl] ester)
3,3'-Dimethoxybenzidine ([1,1'-Biphenyl]- 4,4'-diamine, 3-3'-dimethoxy-)
p-Dimethylaminoazobenzene (Benzenamine, N,N-dimethyl-4-(phenylazo)-)
7,12-Dimethylbenz[a]anthracene (1,2-Benzanthracene, 7,12-dimethyl-)
3,3'-Dimethylbenzidine ([1,1'-Biphenyl]-4,4'-diamine, 3,3'-dimethyl-)
Dimethylcarbamoyl chloride (Carbamoyl chloride, dimethyl-)
1,1-Dimethylhydrazine (Hydrazine, 1,1-dimethyl-)
1,2-Dimethylhydrazine (Hydrazine, 1,2-dimethyl-)
3,3-Dimethyl-1-(methylthio)-2-butanone, O-[(methylamino) carbonyl] oxime 
(Thiofanox)
alpha,alpha-Dimethylphenethylamine (Ethanamine, 1,1-dimethyl-2-phenyl-)
2,4-Dimethylphenol (Phenol, 2,4-dimethyl-)
Dimethyl phthalate (1,2-Benzenedicarboxylic acid, dimethyl ester)
Dimethyl sulfate (Sulfuric acid, dimethyl ester)
Dinitrobenzene, N.O.S.\3\ (Benzene, dinitro-, N.O.S.\3\)
4,6-Dinitro-o-cresol and salts (Phenol, 2,4-dinitro-6-methyl-, and 
salts)
2,4-Dinitrophenol (Phenol, 2,4-dinitro-)
2,4-Dinitrotoluene (Benzene, 1-methyl-2,4-dinitro-)
2,6-Dinitrotoluene (Benzene, 1-methyl-2,6-dinitro-)
Di-n-octyl phthalate (1,2-Benzenedicarboxylic acid, dioctyl ester)
1,4-Dioxane (1,4-Diethylene oxide)
Diphenylamine (Benzenamine, N-phenyl-)
1,2-Diphenylhydrazine (Hydrazine, 1,2-diphenyl-)
Di-n-propylnitrosamine (N-Nitroso-di-n-propylamine)
Disulfoton (O,O-diethyl S-[2-(ethylthio)ethyl] phosphorodithioate)
2,4-Dithiobiuret (Thioimidodicarbonic diamide)
Endosulfan (5-Norbornene, 2,3-dimethanol, 1,4,5,6,7,7-hexachloro-, 
cyclic sulfite)
Endrin and metabolites (1,2,3,4,10,10-hexachloro-6,7-epoxy-
1,4,4a,5,6,7,8,8a-octahydro-endo,endo-1,4:5,8-dimethanonaphthalene, and 
metabolites)
Ethyl carbamate (Urethan) (Carbamic acid, ethyl ester)
Ethyl cyanide (propanenitrile)
Ethylenebisdithiocarbamic acid, salts and esters (1,2-Ethanediyl-
biscarbamodithioic acid, salts and esters)
Ethyleneimine (Aziridine)
Ethylene oxide (Oxirane)
Ethylenethiourea (2-Imidazolidinethione)
Ethyl methacrylate (2-Propenoic acid, 2-methyl-, ethyl ester)
Ethyl methanesulfonate (Methanesulfonic acid, ethyl ester)
Fluoranthene (Benzo[j,k]fluorene)
Fluorine
2-Fluoroacetamide (Acetamide, 2-fluoro-)
Fluoroacetic acid, sodium salt (Acetic acid, fluoro-, sodium salt)
Formaldehyde (Methylene oxide)
Formic acid (Methanoic acid)
Glycidylaldehyde (1-Propanol-2,3-epoxy)
Halomethane, N.O.S.\3\
Heptachlor (4,7-Methano-1H-indene, 1,4,5,6,7,8,8-heptachloro-3a,4,7,7a-
tetrahydro-)
Heptachlor epoxide (alpha, beta, and gamma isomers) (4,7-Methano-1H-
indene, 1,4,5,6,7,8,8-heptachloro-2,3-epoxy-3a,4,7,7-tetrahydro-, alpha, 
beta, and gamma isomers)
Hexachlorobenzene (Benzene, hexachloro-)
Hexachlorobutadiene (1,3-Butadiene, 1,1,2,3,4,4-hexachloro-)
Hexachlorocyclohexane (all isomers) (Lindane and isomers)
Hexachlorocyclopentadiene (1,3-Cyclopentadiene, 1,2,3,4,5,5-hexachloro-)
Hexachloroethane (Ethane, 1,1,1,2,2,2-hexachloro-)
1,2,3,4,10,10-Hexachloro-1,4,4a,5,8,8a-hexahydro-1,4:5,8-endo,endo-

[[Page 618]]

dimethanonaphthalene (Hexachlorohexa-hydro-endo,endo-
dimethanonaphthalene)
Hexachlorophene (2,2'-Methylenebis(3,4,6-trichlorophenol)
Hexachloropropene (1-Propene, 1,1,2,3,3,3-hexachloro-)
Hexaethyl tetraphosphate (Tetraphosphoric acid, hexaethyl ester)
Hydrazine (Diamine)
Hydrocyanic acid (Hydrogen cyanide)
Hydrofluoric acid (Hydrogen fluoride)
Hydrogen sulfide (Sulfur hydride)
Hydroxydimethylarsine oxide (Cacodylic acid)
Indeno (1,2,3-cd)pyrene (1,10-(1,2-phenylene)pyrene)
Iodomethane (Methyl iodide)
Iron dextran (Ferric dextran)
Isocyanic acid, methyl ester (Methyl isocyanate)
Isobutyl alcohol (1-Propanol, 2-methyl-)
Isosafrole (Benzene, 1,2-methylenedioxy-4-allyl-)
Kepone (Decachlorooctahydro-1,3,4-Methano-2H-cyclobuta[cd]pentalen-2-
one)
Lasiocarpine (2-Butenoic acid, 2-methyl-, 7-[(2,3-dihydroxy-2-(1-
methoxyethyl)-3-methyl-1-oxobutoxy)methyl]-2,3,5,7a- tetrahydro-1H-
pyrrolizin-1-yl ester)
Lead and compounds, N.O.S.\3\
Lead acetate (Acetic acid, lead salt)
Lead phosphate (Phosphoric acid, lead salt)
Lead subacetate (Lead, bis(acetato-0)tetrahydroxytri-)
Maleic anhydride (2,5-Furandione)
Maleic hydrazide (1,2-Dihydro-3,6-pyridazinedione)
Malononitrile (Propanedinitrile)
Melphalan (Alanine, 3-[p-bis(2-chloroethyl)amino]phenyl-,L-)
Mercury fulminate (Fulminic acid, mercury salt)
Mercury and compounds, N.O.S.\3\
Methacrylonitrile (2-Propenenitrile, 2-methyl-)
Methanethiol (Thiomethanol)
Methapyrilene (Pyridine. 2-[(2-dimethylamino)ethyl]-2-thenylamino-)
Metholmyl (Acetimidic acid, N-[(methylcarbamoyl)oxy]thio-, methyl ester)
Methoxychlor (Ethane, 1,1,1-trichloro-2,2'-bis(p-methoxyphenyl)-)
2-Methylaziridine (1,2-Propylenimine)
3-Methylcholanthrene (Benz[j]aceanthrylene, 1,2-dihydro-3-methyl-)
Methyl chlorocarbonate (Carbonochloridic acid, methyl ester)
4,4'-Methylenebis(2-chloroaniline) (Benzenamine, 4,4'-methylenebis- (2-
chloro-)
Methyl ethyl ketone (MEK) (2-Butanone)
Methyl hydrazine (Hydrazine, methyl-)
2-Methyllactonitrile (Propanenitrile, 2-hydroxy-2-methyl-)
Methyl methacrylate (2-Propenoic acid, 2-methyl-, methyl ester)
Methyl methanesulfonate (Methanesulfonic acid, methyl ester)
2-Methyl-2-(methylthio)propionaldehyde-o-(methylcarbonyl) oxime 
(Propanal, 2-methyl-2-(methylthio)-, 0-[(methylamino)carbonyl]oxime)
N-Methyl-N'-nitro-N-nitrosoguanidine (Guanidine, N-nitroso-N-methyl-N'- 
nitro-)
Methyl parathion (0,0-dimethyl 0-(4-nitrophenyl) phosphorothioate)
Methylthiouracil (4-IH-Pyrimidinone, 2,3-dihydro-6-methyl-2-thioxo-)
Molybdenum and compounds, N.O.S.\3\
Mustard gas (Sulfide, bis(2-chloroethyl)-)
Naphthalene
1,4-Naphthoquinone (1,4-Naphthalenedione)
1-Naphthylamine (alpha-Naphthylamine)
2-Naphthylamine (beta-Naphthylamine)
1-Naphthyl-2-thiourea (Thiourea, 1-naphthalenyl-)
Nickel and compounds, N.O.S.\3\
Nickel carbonyl (Nickel tetracarbonyl)
Nickel cyanide (Nickel (II) cyanide)
Nicotine and salts (Pyridine, (S)-3-(1-methyl-2-pyrrolidinyl)-, and 
salts)
Nitric oxide (Nitrogen (II) oxide)
p-Nitroaniline (Benzenamine, 4-nitro-)
Nitrobenzine (Benzene, nitro-)
Nitrogen dioxide (Nitrogen (IV) oxide)
Nitrogen mustard and hydrochloride salt (Ethanamine, 2-chloro-, N-(2-
chloroethyl)- N-methyl-, and hydrochloride salt)
Nitrogen mustard N-Oxide and hydrochloride salt (Ethanamine, 2-chloro-, 
N-(2-chloroethyl)-N-methyl-, and hydrochloride salt)
Nitroglycerine (1,2,3-Propanetriol, trinitrate)
4-Nitrophenol (Phenol, 4-nitro-)
4-Nitroquinoline-1-oxide (Quinoline, 4-nitro-1-oxide-)
Nitrosamine, N.O.S.\3\
N-Nitrosodi-n-butylamine (1-Butanamine, N-butyl-N-nitroso-)
N-Nitrosodiethanolamine (Ethanol, 2,2'-(nitrosoimino)bis-)
N-Nitrosodiethylamine (Ethanamine, N-ethyl-N-nitroso-)
N-Nitrosodimethylamine (Dimethylnitrosamine)
N-Nitroso-N-ethylurea (Carbamide, N-ethyl-N-nitroso-)
N-Nitrosomethylethylamine (Ethanamine, N-methyl-N-nitroso-)
N-Nitroso-N-methylurea (Carbamide, N-methyl-N-nitroso-)
N-Nitroso-N-methylurethane (Carbamic acid, methylnitroso-, ethyl ester)
N-Nitrosomethylvinylamine (Ethenamine, N-methyl-N-nitroso-)
N-Nitrosomorpholine (Morpholine, N-nitroso-)
N-Nitrosonornicotine (Nornicotine, N-nitroso-)
N-Nitrosopiperidine (Pyridine, hexahydro-, N-nitroso-)

[[Page 619]]

Nitrosopyrrolidine (Pyrrole, tetrahydro-, N-nitroso-)
N-Nitrososarcosine (Sarcosine, N-nitroso-)
5-Nitro-o-toluidine (Benzenamine, 2-methyl-5-nitro-)
Octamethylpyrophosphoramide (Diphosphoramide, octamethyl-)
Osmium tetroxide (Osmium (VIII) oxide)
7-Oxabicyclo[2.2.1]heptane-2,3-dicarboxylic acid (Endothal)
Paraldehyde (1,3,5-Trioxane, 2,4,6-trimethyl-)
Parathion (Phosphorothioic acid, O,O-diethyl O-(p-nitrophenyl)ester)
Pentachlorobenzene (Benzene, pentachloro-)
Pentachloroethane (Ethane, pentachloro-)
Pentachloronitrobenzene (PCNB) (Benzene, pentachloronitro-)
Pentachlorophenol (Phenol, pentachloro-)
Phenacetin (Acetamide, N-(4-ethoxyphenyl)-)
Phenol (Benzene, hydroxy-)
Phenylenediamine (Benzenediamine)
Phenylmercury acetate (Mercury, acetatophenyl-)
N-Phenylthiourea (Thiourea, phenyl-)
Phosgene (Carbonyl chloride)
Phosphine (Hydrogen phosphide)
Phosphorodithioic acid, O,O-diethyl S-[(ethylthio)methyl] ester 
(Phorate)
Phosphorothioic acid, O,O-dimethyl O-[p-((dimethylamino)sulfonyl)phenyl] 
ester (Famphur)
Phthalic acid esters, N.O.S.\3\ (Benzene, 1,2-dicarboxylic acid, esters, 
N.O.S.\3\)
Phthalic anhydride (1,2-Benzenedicarboxylic acid anhydride)
2-Picoline (Pyridine, 2-methyl-)
Polychlorinated biphenyl, N.O.S.\3\
Potassium cyanide
Potassium silver cyanide (Argentate(1-), dicyano-, potassium)
Pronamide (3,5-Dichloro-N-(1,1-dimethyl-2-propynyl)benzamide)
1,3-Propane sultone (1,2-Oxathiolane, 2,2-dioxide)
n-Propylamine (1-Propanamine)
Propylthiouracil (Undecamethylenediamine, N,N'-bis(2-chlorobenzyl-), 
dihydrochloride)
2-Propyn-1-ol (Propargyl alcohol)
Pyridine
Radium -226 and -228
Reserpine (Yohimban-16-carboxylic acid, 11,17-dimethoxy-18-[3,4,5- 
trimethoxybenzoyl)oxy]-, methyl ester)
Resorcinol (1,3-Benzenediol)
Saccharin and salts (1,2-Benzoisothiazolin-3-one, 1,1-dioxide, and 
salts)
Safrole (Benzene, 1,2-methylenedioxy-4-allyl-)
Selenious acid (Selenium dioxide)
Selenium and compounds, N.O.S.\3\
Selenium sulfide (Sulfur selenide)
Selenourea (Carbamimidoselenoic acid)
Silver and compounds, N.O.S.\3\
Silver cyanide
Sodium cyanide
Streptozotocin (D-Glucopyranose, 2-deoxy-2-(3-methyl-3-nitrosoureido)-)
Strontium sulfide
Strychnine and salts (Strychnidin-10-one, and salts)
1,2,4,5-Tetrachlorobenzene (Benzene, 1,2,4,5-tetrachloro-)
2,3,7,8-Tetrachlorodibenzo-p-dioxin (TCDD) (Dibenzo-p-dioxin, 2,3,7,8-
tetrachloro-)
Tetrachloroethane, N.O.S.\3\ (Ethane, tetrachloro-, N.O.S.\3\)
1,1,1,2-Tetrachlorethane (Ethane, 1,1,1,2-tetrachloro-)
1,1,2,2-Tetrachlorethane (Ethane, 1,1,2,2-tetrachloro-)
Tetrachloroethane (Ethene, 1,1,2,2-tetrachloro-)
Tetrachloromethane (Carbon tetrachloride)
2,3,4,6,-Tetrachlorophenol (Phenol, 2,3,4,6-tetrachloro-)
Tetraethyldithiopyrophosphate (Dithiopyrophosphoric acid, tetraethyl-
ester)
Tetraethyl lead (Plumbane, tetraethyl-)
Tetraethylpyrophosphate (Pyrophosphoric acide, tetraethyl ester)
Tetranitromethane (Methane, tetranitro-)
Thallium and compounds, N.O.S.\3\
Thallic oxide (Thallium (III) oxide)
Thallium (I) acetate (Acetic acid, thallium (I) salt)
Thallium (I) carbonate (Carbonic acid, dithallium (I) salt)
Thallium (I) chloride
Thallium (I) nitrate (Nitric acid, thallium (I) salt)
Thallium selenite
Thallium (I) sulfate (Sulfuric acid, thallium (I) salt)
Thioacetamide (Ethanethioamide)
Thiosemicarbazide (Hydrazinecarbothioamide)
Thiourea (Carbamide thio-)
Thiuram (Bis(dimethylthiocarbamoyl) disulfide)
Thorium and compounds, N.O.S.,\3\ when producing thorium byproduct 
material
Toluene (Benzene, methyl-)
Toluenediamine (Diaminotoluene)
o-Toluidine hydrochloride (Benzenamine, 2-methyl-, hydrochloride)
Tolylene diisocyanate (Benzene, l,3-diisocyanatomethyl-)
Toxaphene (Camphene, octachloro-)
Tribromomethane (Bromoform)
1,2,4-Trichlorobenzene (Benzene, 1,2,4-trichloro-)
1,1,1-Trichloroethane (Methyl chloroform)
1,1,2-Trichloroethane (Ethane, 1,1,2-trichloro-)
Trichloroethene (Trichloroethylene)
Trichloromethanethiol (Methanethiol, trichloro-)
Trichloromonofluoromethane (Methane, trichlorofluoro-)
2,4,5-Trichlorophenol (Phenol, 2,4,5-trichloro-)
2,4,6-Trichlorophenol (Phenol, 2,4,6-trichloro-)

[[Page 620]]

2,4,5-Trichlorophenoxyacetic acid (2,4,5-T) (Acetic acid, 2,4,5-
trichlorophenoxy-)
2,4,5-Trichlorophenoxypropionic acid (2,4,5-TP) (Silvex) (Propionoic 
acid, 2-(2,4,5-trichlorophenoxy)-)
Trichloropropane, N.O.S.\3\ (Propane, trichloro-, N.O.S.\3\)
1,2,3-Trichloropropane (Propane, 1,2,3-trichloro-)
O,O,O-Triethyl phosphorothioate (Phosphorothioic acid, O,O,O-triethyl 
ester)
sym-Trinitrobenzene (Benzene, 1,3,5-trinitro-)
Tris(1-azridinyl) phosphine sulfide (Phosphine sulfide, tris(1-
aziridinyl-)
Tris(2,3-dibromopropyl) phosphate (1-Propanol, 2,3-dibromo-, phosphate)
Trypan blue (2,7-Naphthalenedisulfonic acid, 3,3'-[(3,3'-dimethyl (1,1'-
biphenyl)- 4,4'-diyl)bis(azo)]bis(5-amino-4-hydroxy-, tetrasodium salt)
Uracil mustard (Uracil 5-[bis(2-chloroethyl)amino]-)
Uranium and compounds, N.O.S.\3\
Vanadic acid, ammonium salt (ammonium vanadate)
Vanadium pentoxide (Vanadium (V) oxide)
Vinyl chloride (Ethene, chloro-)
Zinc cyanide
Zinc phosphide

[50 FR 41862, Oct. 16, 1985, as amended at 52 FR 31611, Aug. 21, 1987; 
52 FR 43562, Nov. 13, 1987; 53 FR 19248, May 27, 1988; 55 FR 45600, Oct. 
30, 1990; 56 FR 23473, May 21, 1991; 58 FR 67661, Dec. 22, 1993; 59 FR 
28229, June 1, 1994]



PART 50--DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIES--Table of Contents




                           General Provisions

Sec.
50.1  Basis, purpose, and procedures applicable.
50.2  Definitions.
50.3  Interpretations.
50.4  Written communications.
50.5  Deliberate misconduct.
50.7  Employee protection.
50.8  Information collection requirements: OMB approval.
50.9  Completeness and accuracy of information.

                   Requirement of License, Exceptions

50.10  License required.
50.11  Exceptions and exemptions from licensing requirements.
50.12  Specific exemptions.
50.13  Attacks and destructive acts by enemies of the United States; and 
          defense activities.

               Classification and Description of Licenses

50.20  Two classes of licenses.
50.21  Class 104 licenses; for medical therapy and research and 
          development facilities.
50.22  Class 103 licenses; for commercial and industrial facilities.
50.23  Construction permits.

  Applications for Licenses, Form, Contents, Ineligibility of Certain 
                               Applicants

50.30  Filing of applications for licenses; oath or affirmation.
50.31  Combining applications.
50.32  Elimination of repetition.
50.33  Contents of applications; general information.
50.33a  Information requested by the Attorney General for antitrust 
          review.
50.34  Contents of applications; technical information.
50.34a  Design objectives for equipment to control releases of 
          radioactive material in effluents--nuclear power reactors.
50.35  Issuance of construction permits.
50.36  Technical specifications.
50.36a  Technical specifications on effluents from nuclear power 
          reactors.
50.36b  Environmental conditions.
50.37  Agreement limiting access to Restricted Data.
50.38  Ineligibility of certain applicants.
50.39  Public inspection of applications.

             Standards for Licenses and Construction Permits

50.40  Common standards.
50.41  Additional standards for class 104 licenses.
50.42  Additional standards for class 103 licenses.
50.43  Additional standards and provisions affecting class 103 licenses 
          for commercial power.
50.44  Standards for combustible gas control system in light-water-
          cooled power reactors.
50.45  Standards for construction permits.
50.46  Acceptance criteria for emergency core cooling systems for light-
          water nuclear power reactors.
50.47  Emergency plans.
50.48  Fire protection.
50.49  Environmental qualification of electric equipment important to 
          safety for nuclear power plants.

   Issuance, Limitations, and Conditions of Licenses and Construction 
                                 Permits

50.50  Issuance of licenses and construction permits.
50.51  Continuation of license.
50.52  Combining licenses.
50.53  Jurisdictional limitations.
50.54  Conditions of licenses.
50.55  Conditions of construction permits.

[[Page 621]]

50.55a  Codes and standards.
50.56  Conversion of construction permit to license; or amendment of 
          license.
50.57  Issuance of operating license.
50.58  Hearings and report of the Advisory Committee on Reactor 
          Safeguards.
50.59  Changes, tests and experiments.
50.60  Acceptance criteria for fracture prevention measures for 
          lightwater nuclear power reactors for normal operation.
50.61  Fracture toughness requirements for protection against 
          pressurized thermal shock events.
50.62  Requirements for reduction of risk from anticipated transients 
          without scram (ATWS) events for light-water-cooled nuclear 
          power plants.
50.63  Loss of all alternating current power.
50.64  Limitations on the use of highly enriched uranium (HEU) in 
          domestic non-power reactors.
50.65  Requirements for monitoring the effectiveness of maintenance at 
          nuclear power plants. (Eff. July 10, 1996)
50.66  Requirements for thermal annealing of the reactor pressure 
          vessel.

              Inspections, Records, Reports, Notifications

50.70  Inspections.
50.71  Maintenance of records, making of reports.
50.72  Immediate notification requirements for operating nuclear power 
          reactors.
50.73  License event report system.
50.74  Notification of change in operator or senior operator status.
50.75  Reporting and recordkeeping for decommissioning planning.

                      US/IAEA Safeguards Agreement

50.78  Installation information and verification.

     Transfers of Licenses--Creditors' Rights--Surrender of Licenses

50.80  Transfer of licenses.
50.81  Creditor regulations.
50.82  Termination of license.

    Amendment of License or Construction Permit at Request of Holder

50.90  Application for amendment of license or construction permit.
50.91  Notice for public comment; State consultation.
50.92  Issuance of amendment.

    Revocation, Suspension, Modification, Amendment of Licenses and 
      Construction Permits, Emergency Operations by the Commission

50.100  Revocation, suspension, modification of licenses and 
          construction permits for cause.
50.101  Retaking possession of special nuclear material.
50.102  Commission order for operation after revocation.
50.103  Suspension and operation in war or national emergency.

                               Backfitting

50.109  Backfitting.

                               Enforcement

50.110  Violations.
50.111  Criminal penalties.
50.120  Training and qualification of nuclear power plant personnel.

Appendix A to Part 50--General Design Criteria for Nuclear Power Plants
Appendix B to Part 50--Quality Assurance Criteria for Nuclear Power 
          Plants and Fuel Reprocessing Plants
Appendix C to Part 50--A Guide for the Financial Data and Related 
          Information Required To Establish Financial Qualifications for 
          Facility Construction Permits
Appendix D to Part 50--[Reserved]
Appendix E to Part 50--Emergency Planning and Preparedness for 
          Production and Utilization Facilities
Appendix F to Part 50--Policy Relating to the Siting of Fuel 
          Reprocessing Plants and Related Waste Management Facilities
Appendix G to Part 50--Fracture Toughness Requirements
Appendix H to Part 50--Reactor Vessel Material Surveillance Program 
          Requirements
Appendix I to Part 50--Numerical Guides for Design Objectives and 
          Limiting Conditions for Operation to Meet the Criterion ``As 
          Low as is Reasonably Achievable'' for Radioactive Material in 
          Light-Water-Cooled Nuclear Power Reactor Effluents
Appendix J to Part 50--Primary Reactor Containment Leakage Testing for 
          Water-Cooled Power Reactors
Appendix K to Part 50--ECCS Evaluation Models
Appendix L to Part 50--Information Requested by the Attorney General for 
          Antitrust Review of Facility License Applications
Appendix M to Part 50--Standardization of Design; Manufacture of Nuclear 
          Power Reactors; Construction and Operation of Nuclear Power 
          Reactors Manufactured Pursuant to Commission License
Appendix N to Part 50--Standardization of Nuclear Power Plant Designs: 
          Licenses to Construct and Operate Nuclear Power Reactors of 
          Duplicate Design at Multiple Sites

[[Page 622]]

Appendix O to Part 50--Standardization of Design: Staff Review of 
          Standard Designs
Appendix P to Part 50--[Reserved]
Appendix Q to Part 50--Pre-application Early Review of Site Suitability 
          Issues
Appendix R to Part 50--Fire Protection Program for Nuclear Power 
          Facilities Operating Prior to January 1, 1979
Appendix S to Part 50--Earthquake Engineering Criteria for Nuclear Power 
          Plants

    Authority: Secs. 102, 103, 104, 105, 161, 182, 183, 186, 189, 68 
Stat. 936, 937, 938, 948, 953, 954, 955, 956, as amended, sec. 234, 83 
Stat. 444, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2201, 2232, 
2233, 2236, 2239, 2282); secs. 201, as amended, 202, 206, 88 Stat. 1242, 
as amended 1244, 1246, (42 U.S.C. 5841, 5842, 5846).

    Section 50.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 
2951, as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 
U.S.C. 5851). Sections 50.10 also issued under secs. 101, 185, 68 Stat. 
936, 955, as amended (42 U.S.C. 2131, 2235); sec. 102, Pub. L. 91-190, 
83 Stat. 853 (42 U.S.C. 4332). Sections 50.13, 50.54(dd), and 50.103 
also issued under sec. 108, 68 Stat. 939, as amended (42 U.S.C. 2138). 
Sections 50.23, 50.35, 50.55, and 50.56 also issued under sec. 185, 68 
Stat. 955 (42 U.S.C. 2235). Sections 50.33a, 50.55a and Appendix Q also 
issued under sec. 102, Pub. L. 91-190, 83 Stat. 853 (42 U.S.C. 4332). 
Sections 50.34 and 50.54 also issued under sec. 204, 88 Stat. 1245 (42 
U.S.C. 5844). Sections 50.58, 50.91, and 50.92 also issued under Pub. L. 
97-415, 96 Stat. 2073 (42 U.S.C. 2239). Section 50.78 also issued under 
sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Sections 50.80 50.81 also 
issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). 
Appendix F also issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237).

    Source: 21 FR 355, Jan. 19, 1956, unless otherwise noted.

                           General Provisions



Sec. 50.1   Basis, purpose, and procedures applicable.

    The regulations in this part are promulgated by the Nuclear 
Regulatory Commission pursuant to the Atomic Energy Act of 1954, as 
amended (68 Stat. 919), and title II of the Energy Reorganization Act of 
1974 (88 Stat. 1242), to provide for the licensing of production and 
utilization facilities. This part also gives notice to all persons who 
knowingly provide to any licensee, contractor, or subcontractor, 
components, equipment, materials, or other goods or services, that 
relate to a licensee's activities subject to this part, that they may be 
individually subject to NRC enforcement action for violation of 
Sec. 50.5.

[56 FR 40690, Aug. 15, 1991]



Sec. 50.2  Definitions.

    As used in this part,
    Act means the Atomic Energy Act of 1954 (68 Stat. 919) including any 
amendments thereto.
    Alternate ac source means an alternating current (ac) power source 
that is available to and located at or nearby a nuclear power plant and 
meets the following requirements:
    (1) Is connectable to but not normally connected to the offsite or 
onsite emergency ac power systems;
    (2) Has minimum potential for common mode failure with offsite power 
or the onsite emergency ac power sources;
    (3) Is available in a timely manner after the onset of station 
blackout; and
    (4) Has sufficient capacity and reliability for operation of all 
systems required for coping with station blackout and for the time 
required to bring and maintain the plant in safe shutdown (non-design 
basis accident).
    Atomic energy means all forms of energy released in the course of 
nuclear fission or nuclear transformation.
    Atomic weapon means any device utilizing atomic energy, exclusive of 
the means for transporting or propelling the device (where such means is 
a separable and divisible part of the device), the prinicipal purpose of 
which is for use as, or for development of, a weapon, a weapon 
prototype, or a weapon test device.
    Basic component means, for the purposes of Sec. 50.55(e) of this 
chapter:
    (1) When applied to nuclear power reactors, any plant structure, 
system, component, or part thereof necessary to assure
    (i) The integrity of the reactor coolant pressure boundary,
    (ii) The capability to shut down the reactor and maintain it in a 
safe shutdown condition, or
    (iii) The capability to prevent or mitigate the consequences of 
accidents which could result in potential offsite exposures comparable 
to those referred to in Sec. 50.34(a)(1) or Sec. 100.11 of this chapter, 
as applicable.

[[Page 623]]

    (2) When applied to other types of facilities or portions of such 
facilities for which construction permits are issued under Sec. 50.23, a 
component, structure, system or part thereof that is directly procured 
by the construction permit holder for the facility subject to the 
regulations of this part and in which a defect or failure to comply with 
any applicable regulation in this chapter, order, or license issued by 
the Commission could create a substantial safety hazard.
    (3) In all cases, basic component includes safety related design, 
analysis, inspection, testing, fabrication, replacement parts, or 
consulting services that are associated with the component hardware, 
whether these services are performed by the component supplier or other 
supplier.
    By-product material means any radioactive material (except special 
nuclear material) yielded in or made radioactive by exposure to the 
radiation incident to the process of producing or utilizing special 
nuclear material.
    Certified fuel handler means, for a nuclear power reactor facility, 
a non-licensed operator who has qualified in accordance with a fuel 
handler training program approved by the Commission.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Committed dose equivalent means the dose equivalent to organs or 
tissues of reference that will be received from an intake of radioactive 
material by an individual during the 50-year period following the 
intake.
    Committed effective dose equivalent is the sum of the products of 
the weighting factors applicable to each of the body organs or tissues 
that are irradiated and the committed dose equivalent to these organs or 
tissues.
    Common defense and security means the common defense and security of 
the United States.
    Construction or constructing means, for the purposes of 
Sec. 50.55(e), the analysis, design, manufacture, fabrication, quality 
assurance, placement, erection, installation, modification, inspection, 
or testing of a facility or activity which is subject to the regulations 
in this part and consulting services related to the facility or activity 
that are safety related.
    Controls when used with respect to nuclear reactors means apparatus 
and mechanisms, the manipulation of which directly affects the 
reactivity or power level of the reactor.
    Controls when used with respect to any other facility means 
apparatus and mechanisms, the manipulation of which could affect the 
chemical, physical, metallurgical, or nuclear process of the facility in 
such a manner as to affect the protection of health and safety against 
radiation.
    Decommission means to remove (as a facility) safely from service and 
reduce residual radioactivity to a level that permits release of the 
property for unrestricted use and termination of license.
    Deep-dose equivalent, which applies to external whole-body exposure, 
is the dose equivalent at a tissue depth of 1 cm (1000mg/cm2).
    Defect means, for the purposes of Sec. 50.55(e) of this chapter:
    (1) A deviation in a basic component delivered to a purchaser for 
use in a facility or activity subject to a construction permit under 
this part, if on the basis of an evaluation, the deviation could create 
a substantial safety hazard; or
    (2) The installation, use, or operation of a basic component 
containing, a defect as defined in paragraph (1) of this definition; or
    (3) A deviation in a portion of a facility subject to the 
construction permit of this part provided the deviation could, on the 
basis of an evaluation, create a substantial safety hazard.
    Department and Department of Energy means the Department of Energy 
established by the Department of Energy Organization Act (Pub. L. 95-91, 
91 Stat. 565, 42 U.S.C. 7101 et seq.), to the extent that the 
department, or its duly authorized representatives, exercises functions 
formerly vested in the Atomic Energy Commission, its Chairman, members, 
officers and components and transferred to the U.S. Energy Research and 
Development Administration and to the Administrator thereof pursuant to 
sections 104 (b), (c) and (d) of the Energy Reorganization Act of 1974 
(Pub. L. 93-438, 88 Stat. 1233 at 1237,

[[Page 624]]

42 U.S.C. 5814) and retransferred to the Secretary of Energy pursuant to 
section 301(a) of the Department of Energy Organization Act (Pub. L. 95-
91, 91 Stat. 565 at 577-578, 42 U.S.C. 7151).
    Design bases means that information which identifies the specific 
functions to be performed by a structure, system, or component of a 
facility, and the specific values or ranges of values chosen for 
controlling parameters as reference bounds for design. These values may 
be (1) restraints derived from generally accepted ``state of the art'' 
practices for achieving functional goals, or (2) requirements derived 
from analysis (based on calculation and/or experiments) of the effects 
of a postulated accident for which a structure, system, or component 
must meet its functional goals.
    Deviation means, for the purposes of Sec. 50.55(e) of this chapter, 
a departure from the technical or quality assurance requirements defined 
in procurement documents, safety analysis report, construction permit, 
or other documents provided for basic components installed in a facility 
subject to the regulations of this part.
    Director means, for the purposes of Sec. 50.55(e) of this chapter, 
an individual, appointed or elected according to law, who is authorized 
to manage and direct the affairs of a corporation, partnership or other 
entity.
    Discovery means, for the purposes of Sec. 50.55(e) of this chapter, 
the completion of the documentation first identifying the existence of a 
deviation or failure to comply potentially associated with a substantial 
safety hazard within the evaluation procedures discussed in 
Sec. 50.55(e)(1).
    Electric utility means any entity that generates or distributes 
electricity and which recovers the cost of this electricity, either 
directly or indirectly, through rates established by the entity itself 
or by a separate regulatory authority. Investor-owned utilities, 
including generation or distribution subsidiaries, public utility 
districts, municipalities, rural electric coperatives, and State and 
Federal agencies, including associations of any of the foregoing, are 
included within the meaning of ``electric utility.''
    Evaluation means, for the purposes of Sec. 50.55(e) of this chapter, 
the process of determining whether a particular deviation could create a 
substantial safety hazard or determining whether a failure to comply is 
associated with a substantial safety hazard.
    Exclusion area means that area surrounding the reactor, in which the 
reactor licensee has the authority to determine all activities including 
exclusion or removal of personnel and property from the area. This area 
may be traversed by a highway, railroad, or waterway, provided these are 
not so close to the facility as to interfere with normal operations of 
the facility and provided appropriate and effective arrangements are 
made to control traffic on the highway, railroad, or waterway, in case 
of emergency, to protect the public health and safety. Residence within 
the exclusion area shall normally be prohibited. In any event, residents 
shall be subject to ready removal in case of necessity. Activities 
unrelated to operation of the reactor may be permitted in an exclusion 
area under appropriate limitations, provided that no significant hazards 
to the public health and safety will result.
    Federal Government funding for conversion means funds appropriated 
to the Department of Energy or to any other Federal Agency to pay 
directly to or to reimburse non-power reactor licensees for costs 
attendant to conversion.
    Fuel acceptable to the Commission means that the fuel replacing the 
existing HEU fuel in a specific non-power reactor (1) meets the 
operating requirements of the existing license or, through appropriate 
NRC safety review and approval, can be used in a manner which protects 
public health and safety and promotes the common defense and security; 
and (2) meets the Commission's policy of limiting, to the maximum extent 
possible, the use of HEU fuel in that reactor.
    Government agency means any executive department, commission, 
independent establishment, corporation, wholly or partly owned by the 
United States of America which is an instrumentality of the United 
States, or any board, bureau, division, service, office, officer, 
authority, administration, or

[[Page 625]]

other establishment in the executive branch of the Government.
    Highly enriched uranium (HEU) fuel means fuel in which the weight 
percent of U-235 in the uranium is 20% or greater. Target material, 
special instrumentation, or experimental devices using HEU are not 
included.
    Low enriched uranium (LEU) fuel means fuel in which the weight 
percent of U-235 in the uranium is less than 20%.
    Low population zone means the area immediately surrounding the 
exclusion area which contains residents, the total number and density of 
which are such that there is a reasonable probability that appropriate 
protective measures could be taken in their behalf in the event of a 
serious accident. These guides do not specify a permissible population 
density or total population within this zone because the situation may 
vary from case to case. Whether a specific number of people can, for 
example, be evacuated from a specific area, or instructed to take 
shelter, on a timely basis will depend on many factors such as location, 
number and size of highways, scope and extent of advance planning, and 
actual distribution of residents within the area.
    Major decommissioning activity means, for a nuclear power reactor 
facility, any activity that results in permanent removal of major 
radioactive components, permanently modifies the structure of the 
containment, or results in dismantling components for shipment 
containing greater than class C waste in accordance with Sec. 61.55 of 
this chapter.
    Major radioactive components means, for a nuclear power reactor 
facility, the reactor vessel and internals, steam generators, 
pressurizers, large bore reactor coolant system piping, and other large 
components that are radioactive to a comparable degree.
    Non-power reactor means a research or test reactor licensed under 
Secs. 50.21(c) or 50.22 of this part for research and development.
    Notification means the telephonic communication to the NRC 
Operations Center or written transmittal of information to the NRC 
Document Control Desk.
    Nuclear reactor means an apparatus, other than an atomic weapon, 
designed or used to sustain nuclear fission in a self-supporting chain 
reaction.
    Permanent cessation of operation(s) means, for a nuclear power 
reactor facility, a certification by a licensee to the NRC that it has 
permanently ceased or will permanently cease reactor operation(s), or a 
final legally effective order to permanently cease operation(s) has come 
into effect.
    Permanent fuel removal means, for a nuclear power reactor facility, 
a certification by the licensee to the NRC that it has permanently 
removed all fuel assemblies from the reactor vessel.
    Person means (1) any individual, corporation, partnership, firm, 
association, trust, estate, public or private institution, group, 
government agency other than the Commission or the Department, except 
that the Department shall be considered a person to the extent that its 
facilities are subject to the licensing and related regulatory authority 
of the Commission pursuant to section 202 of the Energy Reorganization 
Act of 1974,\1\ any State or any political subdivision of, or any 
political entity within a State, any foreign government or nation or any 
political subdivision of any such government or nation, or other entity; 
and (2) any legal successor, representative, agent, or agency of the 
foregoing.
---------------------------------------------------------------------------

    \1\ The Department facilities identified in section 202 are:
    (1) Demonstration Liquid Metal Fast Breeder reactors when operated 
as part of the power generation facilities of an electric utility 
system, or when operated in any other manner for the purpose of 
demonstrating the suitability for commercial application of such a 
reactor.
    (2) Other demonstration nuclear reactors, except those in existence 
on January 19, 1975, when operated as part of the power generation 
facilities of an electric utility system, or when operated in any other 
manner for the purpose of demonstrating the suitability for commercial 
application of such a reactor.
---------------------------------------------------------------------------

    Procurement document means, for the purposes of Sec. 50.55(e) of 
this chapter, a contract that defines the requirements which facilities 
or basic components must meet in order to be considered acceptable by 
the purchaser.
    Produce, when used in relation to special nuclear material, means 
(1) to

[[Page 626]]

manufacture, make, produce, or refine special nuclear material; (2) to 
separate special nuclear material from other substances in which such 
material may be contained; or (3) to make or to produce new special 
nuclear material.
    Production facility means:
    (1) Any nuclear reactor designed or used primarily for the formation 
of plutonium or uranium-233; or
    (2) Any facility designed or used for the separation of the isotopes 
of plutonium, except laboratory scale facilities designed or used for 
experimental or analytical purposes only; or
    (3) Any facility designed or used for the processing of irradiated 
materials containing special nuclear material, except (i) laboratory 
scale facilities designed or used for experimental or analytical 
purposes, (ii) facilities in which the only special nuclear materials 
contained in the irradiated material to be processed are uranium 
enriched in the isotope U-235 and plutonium produced by the irradiation, 
if the material processed contains not more than 10-6 grams of 
plutonium per gram of U-235 and has fission product activity not in 
excess of 0.25 millicuries of fission products per gram of U-235, and 
(iii) facilities in which processing is conducted pursuant to a license 
issued under parts 30 and 70 of this chapter, or equivalent regulations 
of an Agreement State, for the receipt, possession, use, and transfer of 
irradiated special nuclear material, which authorizes the processing of 
the irradiated material on a batch basis for the separation of selected 
fission products and limits the process batch to not more than 100 grams 
of uranium enriched in the isotope 235 and not more than 15 grams of any 
other special nuclear material.
    Reactor coolant pressure boundary means all those pressure-
containing components of boiling and pressurized water-cooled nuclear 
power reactors, such as pressure vessels, piping, pumps, and valves, 
which are:
    (1) Part of the reactor coolant system, or
    (2) Connected to the reactor coolant system, up to and including any 
and all of the following:
    (i) The outermost containment isolation valve in system piping which 
penetrates primary reactor containment,
    (ii) The second of two valves normally closed during normal reactor 
operation in system piping which does not penetrate primary reactor 
containment,
    (iii) The reactor coolant system safety and relief valves.

For nuclear power reactors of the direct cycle boiling water type, the 
reactor coolant system extends to and includes the outermost containment 
isolation valve in the main steam and feedwater piping.
    Research and development means (1) theoretical analysis, 
exploration, or experimentation; or (2) the extension of investigative 
findings and theories of a scientific or technical nature into practical 
application for experimental and demonstration purposes, including the 
experimental production and testing of models, devices, equipment, 
materials, and processes.
    Responsible officer means, for the purposes of Sec. 50.55(e) of this 
chapter, the president, vice-president, or other individual in the 
organization of a corporation, partnership, or other entity who is 
vested with executive authority over activities subject to this part.
    Restricted Data means all data concerning (1) design, manufacture, 
or utilization of atomic weapons; (2) the production of special nuclear 
material; or (3) the use of special nuclear material in the production 
of energy, but shall not include data declassified or removed from the 
Restricted Data category pursuant to section 142 of the Act.
    Safe shutdown (non-design basis accident (non-DBA)) for station 
blackout means bringing the plant to those shutdown conditions specified 
in plant technical specifications as Hot Standby or Hot Shutdown, as 
appropriate (plants have the option of maintaining the RCS at normal 
operating temperatures or at reduced temperatures).
    Safety-related structures, systems, and components means those 
structures, systems, and components that are relied on to remain 
functional during and following design basis (postulated) events to 
assure:

[[Page 627]]

    (1) The integrity of the reactor coolant pressure boundary;
    (2) The capability to shut down the reactor and maintain it in a 
safe shutdown condition; and
    (3) The capability to prevent or mitigate the consequences of 
accidents which could result in potential offsite exposures comparable 
to the applicable guideline exposures set forth in Sec. 50.34(a)(1) or 
Sec. 100.11 of this chapter, as applicable.
    Source material means source material as defined in subsection 11z. 
of the Act and in the regulations contained in part 40 of this chapter.
    Special nuclear material means (1) plutonium, uranium-233, uranium 
enriched in the isotope-233 or in the isotope-235, and any other 
material which the Commission, pursuant to the provisions of section 51 
of the act, determines to be special nuclear material, but does not 
include source material; or (2) any material artificially enriched by 
any of the foregoing, but does not include source material.
    Station blackout means the complete loss of alternating current (ac) 
electric power to the essential and nonessential switchgear buses in a 
nuclear power plant (i.e., loss of offsite electric power system 
concurrent with turbine trip and unavailability of the onsite emergency 
ac power system). Station blackout does not include the loss of 
available ac power to buses fed by station batteries through inverters 
or by alternate ac sources as defined in this section, nor does it 
assume a concurrent single failure or design basis accident. At single 
unit sites, any emergency ac power source(s) in excess of the number 
required to meet minimum redundancy requirements (i.e., single failure) 
for safe shutdown (non-DBA) is assumed to be available and may be 
designated as an alternate power source(s) provided the applicable 
requirements are met. At multi-unit sites, where the combination of 
emergency ac power sources exceeds the minimum redundancy requirements 
for safe shutdown (non-DBA) of all units, the remaining emergency ac 
power sources may be used as alternate ac power sources provided they 
meet the applicable requirements. If these criteria are not met, station 
blackout must be assumed on all the units.
    Substantial safety hazard means, for the purposes of Sec. 50.55(e) 
of this chapter, a loss of safety function to the extent that there is a 
major reduction in the degree of protection provided to public health 
and safety for any facility or activity authorized by the construction 
permit issued under this part.
    Testing facility means a nuclear reactor which is of a type 
described in Sec. 50.21(c) of this part and for which an application has 
been filed for a license authorizing operation at:
    (1) A thermal power level in excess of 10 megawatts; or
    (2) A thermal power level in excess of 1 megawatt, if the reactor is 
to contain:
    (i) A circulating loop through the core in which the applicant 
proposes to conduct fuel experiments; or
    (ii) A liquid fuel loading; or
    (iii) An experimental facility in the core in excess of 16 square 
inches in cross-section.
    Total effective dose equivalent (TEDE) means the sum of the deep-
dose equivalent (for external exposures) and the committed effective 
dose equivalent (for internal exposures).
    Unique purpose means a project, program, or commercial activity 
which cannot reasonably be accomplished without the use of HEU fuel, and 
may include: (1) A specific experiment, program, or commercial activity 
(typically long-term) that significantly serves the U.S. national 
interest and cannot be accomplished without the use of HEU fuel; (2) 
Reactor physics or reactor development based explicitly on the use of 
HEU fuel; (3) Research projects based on neutron flux levels or spectra 
attainable only with HEU fuel; or (4) A reactor core of special design 
that could not perform its intended function without using HEU fuel.
    United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States.
    Utilization facility means any nuclear reactor other than one 
designed or used primarily for the formation of plutonium or U-233.


[[Page 628]]


    Note: Pursuant to subsections 11v. and 11cc., respectively, of the 
Act, the Commission may from time to time add to, or otherwise alter, 
the foregoing definitions of production and utilization facility. It may 
also include as a facility an important component part especially 
designed for a facility, but has not at this time included any component 
parts in the definitions.

[21 FR 355, Jan. 19, 1956]

    Editorial Note: For additional Federal Register citations affecting 
Sec. 50.2, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.

    Effective Date Note: At 61 FR 65171, Dec. 11, 1996, Sec. 50.2 was 
amended by adding the definitions for Committed dose equivalent, 
Committed effective dose equivalent, Deep-dose equivalent, Exclusion 
area, Low population zone, Safety-related structures, systems, and 
components and Total effective dose equivalent and revising paragraph 
(1)(iii) in the definition for Basic component, effective Jan. 10, 1997. 
For the convenience of the user, the superseded text is set forth as 
follows:
Sec. 50.2  Definitions.

                                * * * * *

    Basic component. * * *
    (1) * * *
    (iii) The capability to prevent or mitigate the consequences of 
accidents which could result in potential offsite exposures comparable 
to those referred to in Sec. 100.11 of this chapter.

                                * * * * *



Sec. 50.3   Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 50.4  Written communications.

    (a) Address requirements. The signed original of all correspondence, 
reports, applications, and other written communications from the 
applicant or licensee to the Nuclear Regulatory Commission concerning 
the regulations in this part or individual license conditions must be 
addressed to the U.S. Nuclear Regulatory Commission, ATTN: Document 
Control Desk, Washington, DC 20555.
    (b) Distribution requirements. Copies of all correspondence, 
reports, and other written communications concerning the regulations in 
this part or individual license conditions must be submitted to the 
Nuclear Regulatory Commission at the locations and in the quantities set 
forth below (addresses for the NRC Regional Offices are listed in 
appendix D of part 20 of this chapter).
    (1) Applications for amendment of permits and licenses; reports; and 
other communications. All written communications (including responses 
to: generic letters, bulletins, information notices, inspection reports, 
and miscellaneous requests for additional information), that are 
required of holders of operating licenses or construction permits issued 
pursuant to this part, must be submitted as follows, except as otherwise 
specified in paragraphs (b)(2) through (b)(7) of this section: the 
signed original to the Nuclear Regulatory Commission, Document Control 
Desk, Washington, DC 20555, one copy to the appropriate Regional Office, 
and one copy to the appropriate NRC Resident Inspector, if one has been 
assigned to the site of the facility.
    (2) Applications for permits and licenses, and amendments to 
applications. Applications for construction permits, applications for 
operating licenses and amendments to either type of application must be 
submitted as follows, except as otherwise specified in paragraphs (b)(3) 
through (b)(7) of this section.
    (i) Applications for licenses for facilities described in Sec. 50.21 
(a) and (c) and amendments to these applications: The signed original 
must be sent to the Nuclear Regulatory Commission. Document Control 
Desk, Washington, DC 20555 and one copy to the appropriate Regional 
Office.
    (ii) Applications for permits and licenses for facilities described 
in Sec. 50.21(b) or Sec. 50.22, and amendments to these applications: 
the signed original and 37 copies must be sent to the Nuclear Regulatory 
Commission, Document Control Desk, Washington, DC 20555, one copy to the 
appropriate Regional Office, and one copy to the appropriate NRC 
Resident Inspector, if one has been assigned to the site of the 
facility.

[[Page 629]]

    (3) Acceptance review application. Written communications required 
for an application for determination of suitability for docketing 
pursuant to Sec. 50.30(a)(6) must be submitted as follows: the signed 
original and 13 copies to the Nuclear Regulatory Commission, Document 
Control Desk, Washington, DC 20555 and one copy to the appropriate 
Regional Office.
    (4) Security plan and related submittals. Written communications, as 
defined in paragraphs (b)(4)(i) through (iv) of this section must be 
submitted as follows: The signed original and three copies to the 
Nuclear Regulatory Commission, Document Control Desk, Washington, DC 
20555, and two copies to the appropriate Regional Office;
    (i) Physical security plan pursuant to Sec. 50.34;
    (ii) Safeguards contingency plan pursuant to Sec. 50.34;
    (iii) Change to security plan, guard training and qualification 
plan, or safeguards contingency plan made without prior Commission 
approval pursuant to Sec. 50.54(p);
    (iv) Application for amendment of physical security plan, guard 
training and qualification plan, or safeguards contingency plan pursuant 
to Sec. 50.90.
    (5) Emergency plan and related submittals. Written communications as 
defined in paragraphs (b)(5)(i) through (iii) in this section, must be 
submitted as follows: the signed original to the Nuclear Regulatory 
Commission, Document Control Desk, Washington, DC 20555, two copies to 
the appropriate Regional Office, and one copy to the appropriate NRC 
Resident Inspector if one has been assigned to the site of the facility.
    (i) Emergency plan pursuant to Sec. 50.34;
    (ii) Change to an emergency plan pursuant to Sec. 50.54(q);
    (iii) Emergency implementing procedures pursuant to appendix E.V of 
this part.
    (6) Updated FSAR. An updated Final Safety Analysis Report (FSAR) or 
replacement pages, pursuant to Sec. 50.71(e) must be submitted as 
follows: the signed original and 10 copies to the Nuclear Regulatory 
Commission, Document Control Desk, Washington, DC 20555, one copy to the 
appropriate Regional Office, and one copy to the appropriate NRC 
Resident Inspector if one has been assigned to the site of the facility.
    (7) Quality assurance related submittals. (i) A change to the Safety 
Analysis Report quality assurance program description pursuant to 
Sec. 50.54(a)(3) or Sec. 50.55(f)(3), or a change to a licensee's NRC-
accepted quality assurance topical report pursuant to Sec. 50.54(a)(3) 
or Sec. 50.55(f)(3), must be submitted as follows: the signed original 
to the Nuclear Regulatory Commission, Document Control Desk, Washington, 
DC 20555, one copy to the appropriate Regional Office, and one copy to 
the appropriate NRC Resident Inspector if one has been assigned to the 
site of the facility.
    (ii) A change to an NRC-accepted quality assurance topical report 
from nonlicensees (i.e., architect/engineers, NSSS suppliers, fuel 
suppliers, constructors, etc.) must be submitted as follows: one signed 
original to the Nuclear Regulatory Commission, Document Control Desk, 
Washington, DC 20555.
    (8) Certification of permanent cessation of operations. The 
licensee's certification of permanent cessation of operations, pursuant 
to Sec. 50.82(a)(1), must state the date on which operations have ceased 
or will cease, and the signed and notarized original must be submitted 
to: The Nuclear Regulatory Commission, Document Control Desk, 
Washington, DC 20555-0001.
    (9) Certification of permanent fuel removal. The licensee's 
certification of permanent fuel removal, pursuant to Sec. 50.82(a)(1), 
must state the date on which the fuel was removed from the reactor 
vessel and the disposition of the fuel, and the signed and notarized 
original must be submitted to: The Nuclear Regulatory Commission, 
Document Control Desk, Washington, DC 20555-0001.
    (c) Form of communications. All copies submitted to meet the 
requirements set forth in paragraph (b) of this section must be 
typewritten, printed or otherwise reproduced in permanent form on 
unglazed paper. Exceptions to these requirements may be granted for the 
submittal of micrographic, photographic, or electronic forms. Prior to 
making any submittal in other than

[[Page 630]]

paper form, the applicant or licensee must contact the Information and 
Records Management Branch, Nuclear Regulatory Commission, Washington, DC 
20555, telephone (301) 415-7230, to obtain specifications, copy 
requirements, and prior approval.
    (d) Delivery of communications. Written communications may be 
delivered to the Document Control Desk at 11555 Rockville Pike, 
Rockville, Maryland between the hours of 8:15 a.m. and 4:00 p.m. Eastern 
Time. If a submittal due date falls on Saturday, Sunday, or Federal 
holiday, the next Federal working day becomes the official due date.
    (e) Regulation governing submission. Licensees and applicants 
submitting correspondence, reports, and other written communications 
pursuant to the regulations of this part are requested but not required 
to cite whenever practical, in the upper right corner of the first page 
of the submittal, the specific regulation or other basis, requiring 
submission.
    (f) Conflicting requirements. The communications requirements 
contained in this section and Secs. 50.12, 50.30, 50.36, 50.36a. 50.44, 
50.49, 50.54, 50.55, 50.55a, 50.59, 50.62, 50.71, 50.73, 50.82, 50.90, 
and 50.91 supersede and replace all existing requirements in any license 
conditions or technical specifications in effect on January 5, 1987. 
Exceptions to these requirements must be approved by the Information and 
Records Management Branch, Nuclear Regulatory Commission, Washington, DC 
20555, Telephone (301) 415-7230.

[51 FR 40306, Nov. 6, 1986, as amended at 52 FR 31611, Aug. 21, 1987; 53 
FR 6139, Mar. 1, 1988; 60 FR 24551, May 9, 1995; 61 FR 39298, July 29, 
1996]



Sec. 50.5  Deliberate misconduct.

    (a) Any licensee or any employee of a licensee; and any contractor 
(including a supplier or consultant), subcontractor, or any employee of 
a contractor or subcontractor, of any licensee, who knowingly provides 
to any licensee, contractor, or subcontractor, components, equipment, 
materials, or other goods or services, that relate to a licensee's 
activities subject to this part; may not:
    (1) Engage in deliberate misconduct that causes or, but for 
detection, would have caused, a licensee to be in violation of any rule, 
regulation, or order, or any term, condition, or limitation of any 
license, issued by the Commission, or
    (2) Deliberately submit to the NRC, a licensee, or a licensee's 
contractor or subcontractor, information that the person submitting the 
information knows to be incomplete or inaccurate in some respect 
material to the NRC.
    (b) A person who violates paragraph (a)(1) or (a)(2) of this section 
may be subject to enforcement action in accordance with the procedures 
in 10 CFR part 2, subpart B.
    (c) For purposes of paragraph (a)(1) of this section, deliberate 
misconduct by a person means an intentional act or omission that the 
person knows:
    (1) Would cause a licensee to be in violation of any rule, 
regulation, or order, or any term, condition, or limitation, of any 
license issued by the Commission, or
    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order or policy of a licensee, 
contractor, or subcontractor.

[56 FR 40690, Aug. 15, 1991]



Sec. 50.7  Employee protection.

    (a) Discrimination by a Commission licensee, an applicant for a 
Commission license, or a contractor or subcontractor of a Commission 
licensee or applicant against an employee for engaging in certain 
protected activities is prohibited. Discrimination includes discharge 
and other actions that relate to compensation, terms, conditions, or 
privileges of employment. The protected activities are established in 
section 211 of the Energy Reorganization Act of 1974, as amended, and in 
general are related to the administration or enforcement of a 
requirement imposed under the Atomic Energy Act or the Energy 
Reorganization Act.
    (1) The protected activities include but are not limited to:
    (i) Providing the Commission or his or her employer information 
about alleged violations of either of the statutes named in paragraph 
(a) introductory text of this section or possible violations of 
requirements imposed under either of those statutes;

[[Page 631]]

    (ii) Refusing to engage in any practice made unlawful under either 
of the statutes named in paragraph (a) introductory text or under these 
requirements if the employee has identified the alleged illegality to 
the employer;
    (iii) Requesting the Commission to institute action against his or 
her employer for the administration or enforcement of these 
requirements;
    (iv) Testifying in any Commission proceeding, or before Congress, or 
at any Federal or State proceeding regarding any provision (or proposed 
provision) of either of the statutes named in paragraph (a) introductory 
text.
    (v) Assisting or participating in, or is about to assist or 
participate in, these activities.
    (2) These activities are protected even if no formal proceeding is 
actually initiated as a result of the employee assistance or 
participation.
    (3) This section has no application to any employee alleging 
discrimination prohibited by this section who, acting without direction 
from his or her employer (or the employer's agent), deliberately causes 
a violation of any requirement of the Energy Reorganization Act of 1974, 
as amended, or the Atomic Energy Act of 1954, as amended.
    (b) Any employee who believes that he or she has been discharged or 
otherwise discriminated against by any person for engaging in protected 
activities specified in paragraph (a)(1) of this section may seek a 
remedy for the discharge or discrimination through an administrative 
proceeding in the Department of Labor. The administrative proceeding 
must be initiated within 180 days after an alleged violation occurs. The 
employee may do this by filing a complaint alleging the violation with 
the Department of Labor, Employment Standards Administration, Wage and 
Hour Division. The Department of Labor may order reinstatement, back 
pay, and compensatory damages.
    (c) A violation of paragraph (a), (e), or (f) of this section by a 
Commission licensee, an applicant for a Commission license, or a 
contractor or subcontractor of a Commission licensee or applicant may be 
grounds for--
    (1) Denial, revocation, or suspension of the license.
    (2) Imposition of a civil penalty on the licensee or applicant.
    (3) Other enforcement action.
    (d) Actions taken by an employer, or others, which adversely affect 
an employee may be predicated upon nondiscriminatory grounds. The 
prohibition applies when the adverse action occurs because the employee 
has engaged in protected activities. An employee's engagement in 
protected activities does not automatically render him or her immune 
from discharge or discipline for legitimate reasons or from adverse 
action dictated by nonprohibited considerations.
    (e)(1) Each licensee and each applicant for a license shall 
prominently post the revision of NRC Form 3, ``Notice to Employees,'' 
referenced in 10 CFR 19.11(c). This form must be posted at locations 
sufficient to permit employees protected by this section to observe a 
copy on the way to or from their place of work. Premises must be posted 
not later than 30 days after an application is docketed and remain 
posted while the application is pending before the Commission, during 
the term of the license, and for 30 days following license termination.
    (2) Copies of NRC Form 3 may be obtained by writing to the Regional 
Administrator of the appropriate U.S. Nuclear Regulatory Commission 
Regional Office listed in Appendix D to Part 20 of this chapter or by 
calling the NRC Information and Records Management Branch at (301) 415-
7230.
    (f) No agreement affecting the compensation, terms, conditions, or 
privileges of employment, including an agreement to settle a complaint 
filed by an employee with the Department of Labor pursuant to section 
211 of the Energy Reorganization Act of 1974, as amended, may contain 
any provision which would prohibit, restrict, or otherwise discourage an 
employee from participating in protected activity as defined in 
paragraph (a)(1) of this section including, but not limited to, 
providing information to the NRC or to his or her employer on potential 
violations or other matters within NRC's regulatory responsibilities.

[58 FR 52410, Oct. 8, 1993, as amended at 60 FR 24551, May 9, 1995; 61 
FR 6765, Feb. 22, 1996]

[[Page 632]]



Sec. 50.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0011.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 50.30, 50.33, 50.33a, 50.34, 50.34a, 50.35, 
50.36, 50.36a, 50.36b, 50.44, 50.46, 50.47, 50.48, 50.49, 50.54, 50.55, 
50.55a, 50.59, 50.60, 50.61, 50.62, 50.63, 50.64, 50.65, 50.66, 50.71, 
50.72, 50.74, 50.75, 50.80, 50.82, 50.90, 50.91, 50.120, and Appendices 
A, B, E, G, H, I, J, K, M, N, O, Q, R, and S to this part.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 50.73, Form NRC-366 is approved under control number 
3150-0104.
    (2) In Sec. 50.78, Form N-71 is approved under control number 3150-
0056.

[49 FR 19627, May 9, 1984, as amended at 58 FR 68731, Dec. 29, 1993; 60 
FR 65468, Dec. 19, 1995; 61 FR 65172, Dec. 11, 1996]

    Effective Date Note: At 61 FR 65172, Dec. 11, 1996, in Sec. 50.8, 
paragraph (b) was revised, effective Jan. 1, 1997. For the convenience 
of the user, the superseded text is set forth as follows:
Sec. 50.8  Information collection requirements: OMB approval.

                                * * * * *

    (b) The approved information collection requirements contained in 
this part appear in Secs. 50.30, 50.33, 50.33a, 50.34, 50.34a, 50.35, 
50.36, 50.36a, 50.48, 50.49, 50.54, 50.55, 50.55a, 50.59, 50.60, 50.61, 
50.63, 50.64, 50.65, 50.66, 70.71, 50.72, 50.73, 50.75, 50.80, 50.82, 
50.90, 50.91, 50.120, and Appendices A, B, E, G, H, I, J, K, M, N, O, Q, 
and R, to this part.

                                * * * * *



Sec. 50.9  Completeness and accuracy of information.

    (a) Information provided to the Commission by an applicant for a 
license or by a licensee or information required by statute or by the 
Commission's regulations, orders, or license conditions to be maintained 
by the applicant or the licensee shall be complete and accurate in all 
material respects.
    (b) Each applicant or licensee shall notify the Commission of 
information identified by the applicant or licensee as having for the 
regulated activity a significant implication for public health and 
safety or common defense and security. An applicant or licensee violates 
this paragraph only if the applicant or licensee fails to notify the 
Commission of information that the applicant or licensee has identified 
as having a significant implication for public health and safety or 
common defense and security. Notification shall be provided to the 
Administrator of the appropriate Regional Office within two working days 
of identifying the information. This requirement is not applicable to 
information which is already required to be provided to the Commission 
by other reporting or updating requirements.

[52 FR 49372, Dec. 31, 1987]

                   Requirement of License, Exceptions



Sec. 50.10   License required.

    (a) Except as provided in Sec. 50.11, no person within the United 
States shall transfer or receive in interstate commerce, manufacture, 
produce, transfer, acquire, possess, or use any production or 
utilization facility except as authorized by a license issued by the 
Commission.
    (b) No person shall begin the construction of a production or 
utilization facility on a site on which the facility is to be operated 
until a construction permit has been issued. As used in this paragraph, 
the term ``construction'' shall be deemed to include pouring the 
foundation for, or the installation of, any portion of the permanent 
facility on the site, but does not include:
    (1) Site exploration, site excavation, preparation of the site for 
construction of the facility, including the driving of

[[Page 633]]

piles, and construction of roadways, railroad spurs, and transmission 
lines;
    (2) Procurement or manufacture of components of the facility;
    (3) Construction of non-nuclear facilities (such as turbogenerators 
and turbine buildings) and temporary buildings (such as construction 
equipment storage sheds) for use in connection with the construction of 
the facility; and
    (4) With respect to production or utilization facilities, other than 
testing facilities, required to be licensed pursuant to section 104a or 
section 104c of the Act, the construction of buildings which will be 
used for activities other than operation of a facility and which may 
also be used to house a facility. (For example, the construction of a 
college laboratory building with space for installation of a training 
reactor is not affected by this paragraph. This paragraph does not apply 
to production or utilization facilities subject to paragraph (c) of this 
section.
    (c) Notwithstanding the provisions of paragraph (b) of this section, 
and subject to paragraphs (d) and (e) of this section, no person shall 
effect commencement of construction of a production or utilization 
facility subject to the provisions of Sec. 51.20(b) of this chapter on a 
site on which the facility is to be operated until a construction permit 
has been issued. As used in this paragraph, the term ``commencement of 
construction'' means any clearing of land, excavation or other 
substantial action that would adversely affect the environment of a 
site, but does not mean:
    (1) Changes desirable for the temporary use of the land for public 
recreational uses, necessary borings to determine foundation conditions 
or other preconstruction monitoring to establish background information 
related to the suitability of the site or to the protection of 
environmental values;
    (2) Procurement or manufacture of components of the facility; and
    (3) With respect to production or utilization facilities, other than 
testing facilities, required to be licensed pursuant to section 104a or 
section 104c of the Act, the construction of buildings which will be 
used for activities other than operation of a facility and which may 
also be used to house a facility. (For example, the construction of a 
college laboratory building with space for installation of a training 
reactor is not affected by this paragraph.)
    (d)(1) Each person subject to the provisions of paragraph (c) of 
this section, who is, on March 21, 1972, conducting activities permitted 
pursuant to paragraph (b) of this section in effect prior to March 21, 
1972, may furnish to the Commission within 30 days after March 21, 1972 
or such later date as may be approved by the Commission upon good cause 
shown, a written statement of any reasons, with supporting factual 
submission, why, with reference to the factors stated in paragraph 
(d)(2) of this section, the activities should be continued, pending the 
issuance of a construction permit, notwithstanding the provisions of 
paragraph (c) of this section. If such written statement has been 
submitted, within the time specified, such activities may continue to be 
conducted pending Commission action pursuant to paragraph (d)(2) of this 
section.
    (2) Upon submission of a statement of reasons pursuant to paragraph 
(d)(1) of this section the Commission may authorize the continued 
conduct of activities permitted by paragraph (b) of this section in 
effect prior to March 21, 1972, upon consideration and balancing of the 
following factors:
    (i) Whether continuation of the activities will give rise to a 
significant adverse impact on the environment and the nature and extent 
of such impact, if any;
    (ii) Whether redress of any adverse environmental impact from 
continuation of the activities can reasonably be effected should such 
redress be necessary;
    (iii) Whether continuation of the activities would foreclose 
subsequent adoption of alternatives; and
    (iv) The effect of delay in conducting such activities on the public 
interest, including the power needs to be served by the proposed 
facility, the availability of alternative sources, if any, to meet those 
needs on a timely basis, and delay costs to the applicant and to 
consumers.
    (3) Activities permitted to be continued pursuant to this paragraph 
(d)

[[Page 634]]

shall be conducted in such a manner as will minimize or reduce their 
environmental impact.
    (e)(1) The Director of Nuclear Reactor Regulation may authorize an 
applicant for a construction permit for a utilization facility which is 
subject to Sec. 51.20(b) of this chapter, and is of the type specified 
in Sec. 50.21(b) (2) or (3) or Sec. 50.22 or is a testing facility to 
conduct the following activities: (i) Preparation of the site for 
construction of the facility (including such activities as clearing, 
grading, construction of temporary access roads and borrow areas); (ii) 
installation of temporary construction support facilities (including 
such items as warehouse and shop facilities, utilities, concrete mixing 
plants, docking and unloading facilities, and construction support 
buildings); (iii) excavation for facility structures; (iv) construction 
of service facilities (including such facilities as roadways, paving, 
railroad spurs, fencing, exterior utility and lighting systems, 
transmission lines, and sanitary sewerage treatment facilities); and (v) 
the construction of structures, systems and components which do not 
prevent or mitigate the consequences of postulated accidents that could 
cause undue risk to the health and safety of the public. No such 
authorization shall be granted unless the staff has completed a final 
environmental impact statement on the issuance of the construction 
permit as required by subpart A of part 51 of this chapter.
    (2) Such an authorization shall be granted only after the presiding 
officer in the proceeding on the construction permit application (i) has 
made all the findings required by Secs. 51.104(b) and 51.105 of this 
chapter to be made prior to issuance of the construction permit for the 
facility, and (ii) has determined that, based upon the available 
information and review to date, there is reasonable assurance that the 
proposed site is a suitable location for a reactor of the general size 
and type proposed from the standpoint of radiological health and safety 
considerations under the Act and rules and regulations promulgated by 
the Commission pursuant thereto.
    (3)(i) The Director of Nuclear Reactor Regulation may authorize an 
applicant for a construction permit for a utilization facility which is 
subject to Sec. 51.20(b) of this chapter, and is of the type specified 
in Sec. 50.21(b) (2) or (3) or Sec. 50.22 or is a testing facility to 
conduct, in addition to the activities described in paragraph (e)(1) of 
this section, the installation of structural foundations, including any 
necessary subsurface preparation, for structures, systems and components 
which prevent or mitigate the consequences of postulated accidents that 
could cause undue risk to the health and safety of the public.
    (ii) Such an authorization, which may be combined with the 
authorization described in paragraph (e)(1) of this section, or may be 
granted at a later time, shall be granted only after the presiding 
officer in the proceeding on the construction permit application has, in 
addition to making the findings and determinations required by paragraph 
(e)(2) of this section, determined that there are no unresolved safety 
issues relating to the additional activities that may be authorized 
pursuant to this paragraph that would constitute good cause for 
withholding authorization.
    (4) Any activities undertaken pursuant to an authorization granted 
under this paragraph shall be entirely at the risk of the applicant and, 
except as to matters determined under paragraphs (e)(2) and (e)(3)(ii), 
the grant of the authorization shall have no bearing on the issuance of 
a construction permit with respect to the requirements of the Act, and 
rules, regulations, or orders promulgated pursuant thereto.

[21 FR 355, Jan. 19, 1956, as amended at 25 FR 8712, Sept. 9, 1960; 33 
FR 2381, Jan. 31, 1968; 35 FR 11460, July 7, 1970; 37 FR 5748, Mar. 21, 
1972; 39 FR 14508, Apr. 24, 1974; 39 FR 26279, July 18, 1974; 39 FR 
33202, Sept. 16, 1974; 43 FR 6924, Feb. 17, 1978; 49 FR 9403, Mar. 12, 
1984]



Sec. 50.11   Exceptions and exemptions from licensing requirements.

    Nothing in this part shall be deemed to require a license for:
    (a) The manufacture, production, or acquisition by the Department of 
Defense of any utilization facility authorized pursuant to section 91 of 
the Act, or the use of such facility by the Department of Defense or by 
a person

[[Page 635]]

under contract with and for the account of the Department of Defense;
    (b) Except to the extent that Administration facilities of the types 
subject to licensing pursuant to section 202 of the Energy 
Reorganization Act of 1974 2 are involved;
---------------------------------------------------------------------------

    2 The Department facilities identified in section 202 are:
    (1) Demonstration Liquid Metal Fast Breeder reactors when operated 
as part of the power generation facilities of an electric utility 
system, or when operated in any other manner for the purpose of 
demonstrating the suitability for commercial application of such a 
reactor.
    (2) Other demonstration nuclear reactors, except those in existence 
on January 19, 1975, when operated as part of the power generation 
facilities of an electric utility system, or when operated in any other 
manner for the purpose of demonstrating the suitability for commercial 
application of such a reactor.
---------------------------------------------------------------------------

    (1)(i) The processing, fabrication or refining of special nuclear 
material or the separation of special nuclear material, or the 
separation of special nuclear material from other substances by a prime 
contractor of the Department under a prime contract for:
    (A) The performance of work for the Department at a United States 
government-owned or controlled site;
    (B) Research in, or development, manufacture, storage, testing or 
transportation of, atomic weapons or components thereof; or
    (C) The use or operation of a production or utilization facility in 
a United States owned vehicle or vessel; or
    (ii) By a prime contractor or subcontractor of the Commission or the 
Department under a prime contract or subcontract when the Commission 
determines that the exemption of the prime contractor or subcontractor 
is authorized by law; and that, under the terms of the contract or 
subcontract, there is adequate assurance that the work thereunder can be 
accomplished without undue risk to the public health and safety;
    (2)(i) The construction or operation of a production or utilization 
facility for the Department at a United States government-owned or 
controlled site, including the transportation of the production or 
utilization facility to or from such site and the performance of 
contract services during temporary interruptions of such transportation; 
or the construction or operation of a production or utilization facility 
for the Department in the performance of research in, or development, 
manufacture, storage, testing, or transportation of, atomic weapons or 
components thereof; or the use or operation of a production or 
utilization facility for the Department in a United States government-
owned vehicle or vessel: Provided, That such activities are conducted by 
a prime contractor of the Department under a prime contract with the 
Department.
    (ii) The construction or operation of a production or utilization 
facility by a prime contractor or subcontractor of the Commission or the 
Department under his prime contract or subcontract when the Commission 
determines that the exemption of the prime contractor or subcontractor 
is authorized by law; and that, under the terms of the contract or 
subcontract, there is adequate assurance that the work thereunder can be 
accomplished without undue risk to the public health and safety.
    (c) The transportation or possession of any production or 
utilization facility by a common or contract carrier or warehousemen in 
the regular course of carriage for another or storage incident thereto.

[40 FR 8788, Mar. 3, 1975]



Sec. 50.12   Specific exemptions.

    (a) The Commission may, upon application by any interested person or 
upon its own initiative, grant exemptions from the requirements of the 
regulations of this part, which are--
    (1) Authorized by law, will not present an undue risk to the public 
health and safety, and are consistent with the common defense and 
security.
    (2) The Commission will not consider granting an exemption unless 
special circumstances are present. Special circumstances are present 
whenever--
    (i) Application of the regulation in the particular circumstances 
conflicts with other rules or requirements of the Commission; or
    (ii) Application of the regulation in the particular circumstances 
would not serve the underlying purpose of the

[[Page 636]]

rule or is not necessary to achieve the underlying purpose of the rule; 
or
    (iii) Compliance would result in undue hardship or other costs that 
are significantly in excess of those contemplated when the regulation 
was adopted, or that are significantly in excess of those incurred by 
others similarly situated; or
    (iv) The exemption would result in benefit to the public health and 
safety that compensates for any decrease in safety that may result from 
the grant of the exemption; or
    (v) The exemption would provide only temporary relief from the 
applicable regulation and the licensee or applicant has made good faith 
efforts to comply with the regulation; or
    (vi) There is present any other material circumstance not considered 
when the regulation was adopted for which it would be in the public 
interest to grant an exemption. If such condition is relied on 
exclusively for satisfying paragraph (a)(2) of this section, the 
exemption may not be granted until the Executive Director for Operations 
has consulted with the Commission.
    (b) Any person may request an exemption permitting the conduct of 
activities prior to the issuance of a construction permit prohibited by 
Sec. 50.10. The Commission may grant such an exemption upon considering 
and balancing the following factors:
    (1) Whether conduct of the proposed activities will give rise to a 
significant adverse impact on the environment and the nature and extent 
of such impact, if any;
    (2) Whether redress of any adverse environment impact from conduct 
of the proposed activities can reasonably be effected should such 
redress be necessary;
    (3) Whether conduct of the proposed activities would foreclose 
subsequent adoption of alternatives; and
    (4) The effect of delay in conducting such activities on the public 
interest, including the power needs to be used by the proposed facility, 
the availability of alternative sources, if any, to meet those needs on 
a timely basis and delay costs to the applicant and to consumers.

Issuance of such an exemption shall not be deemed to constitute a 
commitment to issue a construction permit. During the period of any 
exemption granted pursuant to this paragraph (b), any activities 
conducted shall be carried out in such a manner as will minimize or 
reduce their environmental impact.

[37 FR 5748, Mar. 21, 1972, as amended at 40 FR 8789, Mar. 3, 1975; 50 
FR 50777, Dec. 12, 1985]



Sec. 50.13   Attacks and destructive acts by enemies of the United States; and defense activities.

    An applicant for a license to construct and operate a production or 
utilization facility, or for an amendment to such license, is not 
required to provide for design features or other measures for the 
specific purpose of protection against the effects of (a) attacks and 
destructive acts, including sabotage, directed against the facility by 
an enemy of the United States, whether a foreign government or other 
person, or (b) use or deployment of weapons incident to U.S. defense 
activities.

[32 FR 13445, Sept. 26, 1967]

               Classification and Description of Licenses



Sec. 50.20   Two classes of licenses.

    Licenses will be issued to named persons applying to the Commission 
therefor, and will be either class 104 or class 103.



Sec. 50.21   Class 104 licenses; for medical therapy and research and development facilities.

    A class 104 license will be issued, to an applicant who qualifies, 
for any one or more of the following: to transfer or receive in 
interstate commerce, manufacture, produce, transfer, acquire, possess, 
or use.
    (a) A utilization facility for use in medical therapy; or
    (b)(1) A production or utilization facility the construction or 
operation of which was licensed pursuant to subsection 104b of the Act 
prior to December 19, 1970;
    (2) A production or utilization facility for industrial or 
commercial purposes constructed or operated under an arrangement with 
the Administration entered into under the Cooperative

[[Page 637]]

Power Reactor Demonstration Program, except as otherwise specifically 
required by applicable law; and
    (3) A production or utilization facility for industrial or 
commercial purposes, when specifically authorized by law.
    (c) A production or utilization facility, which is useful in the 
conduct of research and development activities of the types specified in 
section 31 of the Act, and which is not a facility of the type specified 
in paragraph (b) of this section or in Sec. 50.22.

[21 FR 355, Jan. 19, 1956, as amended at 31 FR 15145 Dec. 2, 1966; 35 FR 
19659, Dec. 29, 1970; 38 FR 11446, May 8, 1973; 43 FR 6924, Feb. 17, 
1978]



Sec. 50.22   Class 103 licenses; for commercial and industrial facilities.

    A class 103 license will be issued, to an applicant who qualifies, 
for any one or more of the following: To transfer or receive in 
interstate commerce, manufacture, produce, transfer, acquire, possess, 
or use a production or utilization facility for industrial or commercial 
purposes; Provided, however, That in the case of a production or 
utilization facility which is useful in the conduct of research and 
development activities of the types specified in section 31 of the Act, 
such facility is deemed to be for industrial or commercial purposes if 
the facility is to be used so that more than 50 percent of the annual 
cost of owning and operating the facility is devoted to the production 
of materials, products, or energy for sale or commercial distribution, 
or to the sale of services, other than research and development or 
education or training.

[38 FR 11446, May 8, 1973, as amended at 43 FR 6924, Feb. 17, 1978]



Sec. 50.23   Construction permits.

    A construction permit for the construction of a production or 
utilization facility will be issued prior to the issuance of a license 
if the application is otherwise acceptable, and will be converted upon 
due completion of the facility and Commission action into a license as 
provided in Sec. 50.56 of this part. A construction permit for the 
alteration of a production or utilization facility will be issued prior 
to the issuance of an amendment of a license, if the application for 
amendment is otherwise acceptable, as provided in Sec. 50.91.

[21 FR 355, June 19, 1956, as amended at 35 FR 11461, July 17, 1970]

  Applications for Licenses, Form, Contents, Ineligibility of Certain 
                               Applicants



Sec. 50.30  Filing of application for licenses; oath or affirmation.

    (a) Serving of applications. (1) Each filing of an application for a 
license to construct and/or operate a production or utilization facility 
(including amendments to the applications) must be submitted to the U.S. 
Nuclear Regulatory Commission in accordance with Sec. 50.4.
    (2) An additional 10 copies of the general information and 30 copies 
of the safety analysis report, or part thereof or amendment thereto, 
must be retained by the applicant for distribution in accordance with 
the written instructions of the Director, Office of Nuclear Reactor 
Regulation, or the Director, Office of Nuclear Material Safety and 
Safeguards, as appropriate.
    (3) Each applicant shall, upon notification by the Atomic Safety and 
Licensing Board appointed to conduct the public hearing required by the 
Atomic Energy Act for the issuance of a construction permit, update the 
application and serve the updated copies of the application or parts of 
it, eliminating all superseded information, together with an index of 
the updated application, as directed by the Atomic Safety and Licensing 
Board. In addition, at that time the applicant shall serve a copy of the 
updated application on the Atomic Safety and Licensing Appeal Panel. Any 
subsequent amendment to the application must be served on those served 
copies of the application and must be submitted to the U.S. Nuclear 
Regulatory Commission as specified in Sec. 50.4.
    (4) The applicant must make a copy of the updated application 
available at the public hearing for the use of any other parties to the 
proceeding, and shall certify that the updated copies of the application 
contain the current contents of the application submitted in accordance 
with the requirements of this part.

[[Page 638]]

    (5) At the time of filing an application, the Commission will 
establish a Local Public Document Room near the site of the proposed 
facility, for the use of the public, where a copy of the application, 
subsequent amendments, and other records pertinent to the facility will 
be available for public inspection and copying.
    (6) The serving of copies required by this section must not occur 
until the application has been docketed pursuant to Sec. 2.101(a) of 
this chapter. Copies must be submitted to the Commission, as specified 
in Sec. 50.4, to enable the Director, Office of Nuclear Reactor 
Regulation, or the Director, Office of Nuclear Material Safety and 
Safeguards, as appropriate, to determine whether the application is 
sufficiently complete to permit docketing.
    (b) Oath or affirmation. Each application for a license, including 
whenever appropriate a construction permit, or amendment of it, and each 
amendment of each application must be executed in a signed original by 
the applicant or duly authorized officer thereof under oath or 
affirmation.
    (c) [Reserved]
    (d) Application for operating licenses. The holder of a construction 
permit for a production or utilization facility shall, at the time of 
submission of the final safety analysis report, file an application for 
an operating license or an amendment to an application for a license to 
construct and operate a production or utilization facility for the 
issuance of an operating license, as appropriate. The application or 
amendment shall state the name of the applicant, the name, location and 
power level, if any, of the facility and the time when the facility is 
expected to be ready for operation, and may incorporate by reference any 
pertinent information submitted in accordance with Sec. 50.33 with the 
application for a construction permit.
    (e) Filing fees. Each application for a production or utilization 
facility license, including, whenever appropriate, a construction 
permit, other than a license exempted from part 170 of this chapter, 
shall be accompanied by the fee prescribed in part 170 of this chapter. 
No fee will be required to accompany an application for renewal, 
amendment or termination of a construction permit or operating license, 
except as provided in Sec. 170.21 of this chapter.
    (f) Environmental report. An application for a construction permit 
or an operating license for a nuclear power reactor, testing facility, 
fuel reprocessing plant, or such other production or utilization 
facility whose construction or operation may be determined by the 
Commission to have a significant impact on the environment shall be 
accompanied by any Environmental Report required pursuant to subpart A 
of part 51 of this chapter.

[23 FR 3115, May 10, 1958, as amended at 33 FR 10924, Aug. 1, 1968; 34 
FR 6307, Apr. 3, 1969; 35 FR 19660, Dec. 29, 1970; 37 FR 5749, Mar. 21, 
1972; 51 FR 40307, Nov 6. 1986]



Sec. 50.31   Combining applications.

    An applicant may combine in one his several applications for 
different kinds of licenses under the regulations in this chapter.



Sec. 50.32   Elimination of repetition.

    In his application, the applicant may incorporate by reference 
information contained in previous applications, statements or reports 
filed with the Commission: Provided, That such references are clear and 
specific.



Sec. 50.33   Contents of applications; general information.

    Each application shall state:
    (a) Name of applicant;
    (b) Address of applicant;
    (c) Description of business or occupation of applicant;
    (d)(1) If applicant is an individual, state citizenship.
    (2) If applicant is a partnership, state name, citizenship and 
address of each partner and the principal location where the partnership 
does business.
    (3) If applicant is a corporation or an unincorporated association, 
state:
    (i) The state where it is incorporated or organized and the 
principal location where it does business;
    (ii) The names, addresses and citizenship of its directors and of 
its principal officers;

[[Page 639]]

    (iii) Whether it is owned, controlled, or dominated by an alien, a 
foreign corporation, or foreign government, and if so, give details.
    (4) If the applicant is acting as agent or representative of another 
person in filing the application, identify the principal and furnish 
information required under this paragraph with respect to such 
principal.
    (e) The class of license applied for, the use to which the facility 
will be put, the period of time for which the license is sought, and a 
list of other licenses, except operator's licenses, issued or applied 
for in connection with the proposed facility.
    (f) Except for an electric utility applicant for a license to 
operate a utilization facility of the type described in Sec. 50.21(b) or 
Sec. 50.22, information sufficient to demonstrate to the Commission the 
financial qualification of the applicant to carry out, in accordance 
with regulations in this chapter, the activities for which the permit or 
license is sought. As applicable, the following should be provided:
    (1) If the application is for a construction permit, the applicant 
shall submit information that demonstrates that the applicant possesses 
or has reasonable assurance of obtaining the funds necessary to cover 
estimated construction costs and related fuel cycle costs. The applicant 
shall submit estimates of the total construction costs of the facility 
and related fuel cycle costs, and shall indicate the source(s) of funds 
to cover these costs.
    (2) If the application is for an operating license, the applicant 
shall submit information that demonstrates the applicant possesses or 
has reasonable assurance of obtaining the funds necessary to cover 
estimated operation costs for the period of the license. The applicant 
shall submit estimates for total annual operating costs for each of the 
first five years of operation of the facility. The applicant shall also 
indicate the source(s) of funds to cover these costs. An application to 
renew or extend the term of an operating license must include the same 
financial information as is required in an application for an initial 
license.
    (3) Each application for a construction permit or an operating 
license submitted by a newly-formed entity organized for the primary 
purpose of constructing or operating a facility must also include 
information showing:
    (i) The legal and financial relationships it has or proposes to have 
with its stockholders or owners;
    (ii) Its financial ability to meet any contractual obligation to the 
entity which they have incurred or proposed to incur; and
    (iii) Any other information considered necessary by the Commission 
to enable it to determine the applicant's financial qualification.
    (4) The Commission may request an established entity or newly-formed 
entity to submit additional or more detailed information respecting its 
financial arrangements and status of funds if the Commission considers 
this information appropriate. This may include information regarding a 
licensee's ability to continue the conduct of the activities authorized 
by the license and to decommission the facility.
    (g) If the application is for an operating license for a nuclear 
power reactor, the applicant shall submit radiological emergency 
response plans of State and local governmental entities in the United 
States that are wholly or partially within the plume exposure pathway 
Emergency Planning Zone (EPZ)3, as well as the plans of State 
governments wholly or partially within the ingestion pathway EPZ.4 
Generally, the plume exposure pathway EPZ for nuclear power reactors 
shall consist of an area about 10 miles (16 km) in radius and the 
ingestion pathway EPZ shall consist of an area about 50 miles (80 km) in 
radius. The exact size and configuration of the EPZs surrounding a 
particular nuclear power reactor shall be determined in relation to the 
local

[[Page 640]]

emergency response needs and capabilities as they are affected by such 
conditions as demography, topography, land characteristics, access 
routes, and jurisdictional boundaries. The size of the EPZs also may be 
determined on a case-by-case basis for gas-cooled reactors and for 
reactors with an authorized power level less than 250 MW thermal. The 
plans for the ingestion pathway shall focus on such actions as are 
appropriate to protect the food ingestion pathway.

    3 Emergency Planning Zones (EPZs) are discussed in NUREG-0396, 
EPA 520/1-78-016, ``Planning Basis for the Development of State and 
Local Government Radiological Emergency Response Plans in Support of 
Light-Water Nuclear Power Plants,'' December 1978.
    4 If the State and local emergency response plans have been 
previously provided to the NRC for inclusion in the facility docket, the 
applicant need only provide the appropriate reference to meet this 
requirement.
---------------------------------------------------------------------------

    (h) If the applicant proposes to construct or alter a production or 
utilization facility, the application shall state the earliest and 
latest dates for completion of the construction or alteration.
    (i) If the proposed activity is the generation and distribution of 
electric energy under a class 103 license, a list of the names and 
addresses of such regulatory agencies as may have jurisdiction over the 
rates and services incident to the proposed activity, and a list of 
trade and news publications which circulate in the area where the 
proposed activity will be conducted and which are considered appropriate 
to give reasonable notice of the application to those municipalities, 
private utilities, public bodies, and cooperatives, which might have a 
potential interest in the facility.
    (j) If the application contains Restricted Data or other defense 
information, it shall be prepared in such manner that all Restricted 
Data and other defense information are separated from the unclassified 
information.
    (k) (1) For an application for an operating license for a production 
or utilization facility, information in the form of a report, as 
described in Sec. 50.75 of this part, indicating how reasonable 
assurance will be provided that funds will be available to decommission 
the facility.
    (2) On or before July 26, 1990, each holder of an operating license 
for a production or utilization facility in effect on July 27, 1990, 
shall submit information in the form of a report as described in 
Sec. 50.75 of this part, indicating how reasonable assurance will be 
provided that funds will be available to decommission the facility.

[21 FR 355, Jan. 19, 1956, as amended at 35 FR 19660, Dec. 29, 1970; 38 
FR 3956, Feb. 9, 1973; 45 FR 55408, Aug. 19, 1980; 49 FR 35752, Sept. 
12, 1984; 53 FR 24049, June 27, 1988]



Sec. 50.33a  Information requested by the Attorney General for antitrust review.

    (a)(1) An applicant for a construction permit for a nuclear power 
reactor shall submit the information requested by the Attorney General 
as described in appendix L to this part, if the application is for a 
class 103 permit and if the applicant has electrical generating capacity 
exceeding 1400 MW(e).
    (2) An applicant for a construction permit for a nuclear power 
reactor shall submit the information requested by the Attorney General 
as described in paragraph 9 of section II of appendix L if the applicant 
has electrical generating capacity exceeding 200 MW(e) but no more than 
1400 MW(e). Upon request of the Commission, the applicant shall furnish 
the other information described in Appendix L.
    (3) An applicant for a construction permit for a nuclear power 
reactor is not required to submit the information described in appendix 
L unless specifically requested by the Commission to provide the 
information, if the applicant has electrical generating capacity of 200 
MW(e) or less.
    (4) The information described in paragraphs (a)(1) and (2) of this 
section shall be submitted as a separate document prior to any other 
part of the license application as provided in paragraph (b) and in 
accordance with Sec. 2.101 of this chapter.
    (b) Except as provided in paragraph (d), any person who applies for 
a class 103 construction permit for a nuclear power reactor on or after 
July 28, 1975 shall submit the document titled ``Information Requested 
by the Attorney General for Antitrust Review'' at least nine (9) months 
but not more than thirty-six months prior to the date of submittal of 
any part of the application for a class 103 construction permit.
    (c) [Reserved]
    (d) Any person who applies for a class 103 construction permit for a 
nuclear

[[Page 641]]

power reactor pursuant to the provisions of Sec. 2.101(a-1) and subpart 
F of part 2 of this chapter shall submit the document title 
``Information Requested by the Attorney General for Antitrust Review'' 
at least nine (9) months but not more than thirty-six months prior to 
the filing of part two or part three of the application, whichever part 
is filed first, as specified in Sec. 2.101(a-1) of this chapter.
    (e) Any person who applies for a class 103 construction permit for a 
fuel reprocessing plant shall submit the information requested by the 
Attorney General for antitrust review, as a separate document, as soon 
as possible and in accordance with Sec. 2.101 of this chapter.

[39 FR 34395, Sept. 25, 1974, as amended at 42 FR 22887, May 5, 1977; 42 
FR 25721, May 19, 1977; 43 FR 49775, Oct. 25, 1978; 44 FR 60716, Oct. 
22, 1979; 57 FR 18391, Apr. 30, 1992]



Sec. 50.34   Contents of applications; technical information.

    (a) Preliminary safety analysis report. Each application for a 
construction permit shall include a preliminary safety analysis report. 
The minimum information 5 to be included shall consist of the 
following:
---------------------------------------------------------------------------

    5 The applicant may provide information required by this 
paragraph in the form of a discussion, with specific references, of 
similarities to and differences from, facilities of similar design for 
which applications have previously been filed with the Commission.
---------------------------------------------------------------------------

    (1) Stationary power reactor applicants for a construction permit 
pursuant to this part, or a design certification or combined license 
pursuant to part 52 of this chapter who apply on or after January 10, 
1997, shall comply with paragraph (a)(1)(ii) of this section. All other 
applicants for a construction permit pursuant to this part or a design 
certification or combined license pursuant to part 52 of this chapter, 
shall comply with paragraph (a)(1)(i) of this section.
    (i) A description and safety assessment of the site on which the 
facility is to be located, with appropriate attention to features 
affecting facility design. Special attention should be directed to the 
site evaluation factors identified in part 100 of this chapter. The 
assessment must contain an analysis and evaluation of the major 
structures, systems and components of the facility which bear 
significantly on the acceptability of the site under the site evaluation 
factors identified in part 100 of this chapter, assuming that the 
facility will be operated at the ultimate power level which is 
contemplated by the applicant. With respect to operation at the 
projected initial power level, the applicant is required to submit 
information prescribed in paragraphs (a)(2) through (a)(8) of this 
section, as well as the information required by this paragraph, in 
support of the application for a construction permit, or a design 
approval.
    (ii) A description and safety assessment of the site and a safety 
assessment of the facility. It is expected that reactors will reflect 
through their design, construction and operation an extremely low 
probability for accidents that could result in the release of 
significant quantities of radioactive fission products. The following 
power reactor design characteristics and proposed operation will be 
taken into consideration by the Commission:
    (A) Intended use of the reactor including the proposed maximum power 
level and the nature and inventory of contained radioactive materials;
    (B) The extent to which generally accepted engineering standards are 
applied to the design of the reactor;
    (C) The extent to which the reactor incorporates unique, unusual or 
enhanced safety features having a significant bearing on the probability 
or consequences of accidental release of radioactive materials;
    (D) The safety features that are to be engineered into the facility 
and those barriers that must be breached as a result of an accident 
before a release of radioactive material to the environment can occur. 
Special attention must be directed to plant design features intended to 
mitigate the radiological consequences of accidents. In

[[Page 642]]

performing this assessment, an applicant shall assume a fission product 
release 6 from the core into the containment assuming that the 
facility is operated at the ultimate power level contemplated. The 
applicant shall perform an evaluation and analysis of the postulated 
fission product release, using the expected demonstrable containment 
leak rate and any fission product cleanup systems intended to mitigate 
the consequences of the accidents, together with applicable site 
characteristics, including site meteorology, to evaluate the offsite 
radiological consequences. Site characteristics must comply with part 
100 of this chapter. The evaluation must determine that:
---------------------------------------------------------------------------

    \6\ The fission product release assumed for this evaluation should 
be based upon a major accident, hypothesized for purposes of site 
analysis or postulated from considerations of possible accidental 
events. Such accidents have generally been assumed to result in 
substantial meltdown of the core with subsequent release into the 
containment of appreciable quantities of fission products.
---------------------------------------------------------------------------

    (1) An individual located at any point on the boundary of the 
exclusion area for any 2 hour period following the onset of the 
postulated fission product release, would not receive a radiation dose 
in excess of 25 rem 7 total effective dose equivalent (TEDE).
---------------------------------------------------------------------------

    \7\ A whole body dose of 25 rem has been stated to correspond 
numerically to the once in a lifetime accidental or emergency dose for 
radiation workers which, according to NCRP recommendations at the time 
could be disregarded in the determination of their radiation exposure 
status (see NBS Handbook 69 dated June 5, 1959). However, its use is not 
intended to imply that this number constitutes an acceptable limit for 
an emergency dose to the public under accident conditions. Rather, this 
dose value has been set forth in this section as a reference value, 
which can be used in the evaluation of plant design features with 
respect to postulated reactor accidents, in order to assure that such 
designs provide assurance of low risk of public exposure to radiation, 
in the event of such accidents.
---------------------------------------------------------------------------

    (2) An individual located at any point on the outer boundary of the 
low population zone, who is exposed to the radioactive cloud resulting 
from the postulated fission product release (during the entire period of 
its passage) would not receive a radiation dose in excess of 25 rem 
total effective dose equivalent (TEDE);
    (E) With respect to operation at the projected initial power level, 
the applicant is required to submit information prescribed in paragraphs 
(a)(2) through (a)(8) of this section, as well as the information 
required by this paragraph (a)(1)(i), in support of the application for 
a construction permit, or a design approval.
    (2) A summary description and discussion of the facility, with 
special attention to design and operating characteristics, unusual or 
novel design features, and principal safety considerations.
    (3) The preliminary design of the facility including:
    (i) The principal design criteria for the facility.8 Appendix 
A, General Design Criteria for Nuclear Power Plants, establishes minimum 
requirements for the principal design criteria for water-cooled nuclear 
power plants similar in design and location to plants for which 
construction permits have previously been issued by the Commission and 
provides guidance to applicants for construction permits in establishing 
principal design criteria for other types of nuclear power units;
---------------------------------------------------------------------------

    8 General design criteria for chemical processing facilities 
are being developed.
---------------------------------------------------------------------------

    (ii) The design bases and the relation of the design bases to the 
principal design criteria;
    (iii) Information relative to materials of construction, general 
arrangement, and approximate dimensions, sufficient to provide 
reasonable assurance that the final design will conform to the design 
bases with adequate margin for safety.
    (4) A preliminary analysis and evaluation of the design and 
performance of structures, systems, and components of the facility with 
the objective of assessing the risk to public health and safety 
resulting from operation of the facility and including determination of 
(i) the margins of safety during normal operations and transient 
conditions anticipated during the life of the facility, and (ii) the 
adequacy of structures, systems, and components provided for the 
prevention of accidents and the mitigation of the consequences of 
accidents.

[[Page 643]]

Analysis and evaluation of ECCS cooling performance following postulated 
loss-of-coolant accidents shall be performed in accordance with the 
requirements of Sec. 50.46 of this part for facilities for which 
construction permits may be issued after December 28, 1974.
    (5) An identification and justification for the selection of those 
variables, conditions, or other items which are determined as the result 
of preliminary safety analysis and evaluation to be probable subjects of 
technical specifications for the facility, with special attention given 
to those items which may significantly influence the final design: 
Provided, however, That this requirement is not applicable to an 
application for a construction permit filed prior to January 16, 1969.
    (6) A preliminary plan for the applicant's organization, training of 
personnel, and conduct of operations.
    (7) A description of the quality assurance program to be applied to 
the design, fabrication, construction, and testing of the structures, 
systems, and components of the facility. Appendix B, ``Quality Assurance 
Criteria for Nuclear Power Plants and Fuel Reprocessing Plants,'' sets 
forth the requirements for quality assurance programs for nuclear power 
plants and fuel reprocessing plants. The description of the quality 
assurance program for a nuclear power plant or a fuel reprocessing plant 
shall include a discussion of how the applicable requirements of 
appendix B will be satisfied.
    (8) An identification of those structures, systems, or components of 
the facility, if any, which require research and development to confirm 
the adequacy of their design; and identification and description of the 
research and development program which will be conducted to resolve any 
safety questions associated with such structures, systems or components; 
and a schedule of the research and development program showing that such 
safety questions will be resolved at or before the latest date stated in 
the application for completion of construction of the facility.
    (9) The technical qualifications of the applicant to engage in the 
proposed activities in accordance with the regulations in this chapter.
    (10) A discussion of the applicant's preliminary plans for coping 
with emergencies. Appendix E sets forth items which shall be included in 
these plans.
    (11) On or after February 5, 1979, applicants who apply for 
construction permits for nuclear powerplants to be built on multiunit 
sites shall identify potential hazards to the structures, systems and 
components important to safety of operating nuclear facilities from 
construction activities. A discussion shall also be included of any 
managerial and administrative controls that will be used during 
construction to assure the safety of the operating unit.
    (12) On or after January 10, 1997, stationary power reactor 
applicants who apply for a construction permit pursuant to this part, or 
a design certification or combined license pursuant to part 52 of this 
chapter, as partial conformance to General Design Criterion 2 of 
Appendix A to this part, shall comply with the earthquake engineering 
criteria in Appendix S to this part.
    (b) Final safety analysis report. Each application for a license to 
operate a facility shall include a final safety analysis report. The 
final safety analysis report shall include information that describes 
the facility, presents the design bases and the limits on its operation, 
and presents a safety analysis of the structures, systems, and 
components and of the facility as a whole, and shall include the 
following:
    (1) All current information, such as the results of environmental 
and meteorological monitoring programs, which has been developed since 
issuance of the construction permit, relating to site evaluation factors 
identified in part 100 of this chapter.
    (2) A description and analysis of the structures, systems, and 
components of the facility, with emphasis upon performance requirements, 
the bases, with technical justification therefor, upon which such 
requirements have been established, and the evaluations required to show 
that safety functions will be accomplished. The description shall be 
sufficient to permit understanding of the system designs and their 
relationship to safety evaluations.

[[Page 644]]

    (i) For nuclear reactors, such items as the reactor core, reactor 
coolant system, instrumentation and control systems, electrical systems, 
containment system, other engineered safety features, auxiliary and 
emergency systems, power conversion systems, radioactive waste handling 
systems, and fuel handling systems shall be discussed insofar as they 
are pertinent.
    (ii) For facilities other than nuclear reactors, such items as the 
chemical, physical, metallurgical, or nuclear process to be performed, 
instrumentation and control systems, ventilation and filter systems, 
electrical systems, auxiliary and emergency systems, and radioactive 
waste handling systems shall be discussed insofar as they are pertinent.
    (3) The kinds and quantities of radioactive materials expected to be 
produced in the operation and the means for controlling and limiting 
radioactive effluents and radiation exposures within the limits set 
forth in part 20 of this chapter.
    (4) A final analysis and evaluation of the design and performance of 
structures, systems, and components with the objective stated in 
paragraph (a)(4) of this section and taking into account any pertinent 
information developed since the submittal of the preliminary safety 
analysis report. Analysis and evaluation of ECCS cooling performance 
following postulated loss-of-coolant accidents shall be performed in 
accordance with the requirements of Sec. 50.46 for facilities for which 
a license to operate may be issued after December 28, 1974.
    (5) A description and evaluation of the results of the applicant's 
programs, including research and development, if any, to demonstrate 
that any safety questions identified at the construction permit stage 
have been resolved.
    (6) The following information concerning facility operation:
    (i) The applicant's organizational structure, allocations or 
responsibilities and authorities, and personnel qualifications 
requirements.
    (ii) Managerial and administrative controls to be used to assure 
safe operation. Appendix B, ``Quality Assurance Criteria for Nuclear 
Power Plants and Fuel Reprocessing Plants,'' sets forth the requirements 
for such controls for nuclear power plants and fuel reprocessing plants. 
The information on the controls to be used for a nuclear power plant or 
a fuel reprocessing plant shall include a discussion of how the 
applicable requirements of appendix B will be satisfied.
    (iii) Plans for preoperational testing and initial operations.
    (iv) Plans for conduct of normal operations, including maintenance, 
surveillance, and periodic testing of structures, systems, and 
components.
    (v) Plans for coping with emergencies, which shall include the items 
specified in appendix E.
    (vi) Proposed technical specifications prepared in accordance with 
the requirements of Sec. 50.36.
    (vii) On or after February 5, 1979, applicants who apply for 
operating licenses for nuclear powerplants to be operated on multiunit 
sites shall include an evaluation of the potential hazards to the 
structures, systems, and components important to safety of operating 
units resulting from construction activities, as well as a description 
of the managerial and administrative controls to be used to provide 
assurance that the limiting conditions for operation are not exceeded as 
a result of construction activities at the multiunit sites.
    (7) The technical qualifications of the applicant to engage in the 
proposed activities in accordance with the regulations in this chapter.
    (8) A description and plans for implementation of an operator 
requalification program. The operator requalification program must as a 
minimum, meet the requirements for those programs contained in 
Sec. 55.59 of part 55 of this chapter.
    (9) A description of protection provided against pressurized thermal 
shock events, including projected values of the reference temperature 
for reactor vessel beltline materials as defined in Sec. 50.61 (b)(1) 
and (b)(2).
    (10) On or after January 10, 1997, stationary power reactor 
applicants who apply for an operating license pursuant to this part, or 
a design certification or combined license pursuant to part 52 of this 
chapter, as partial conformance to General Design Criterion 2 of 
Appendix

[[Page 645]]

A to this part, shall comply with the earthquake engineering criteria of 
Appendix S to this part. However, for those operating license applicants 
and holders whose construction permit was issued prior to January 10, 
1997, the earthquake engineering criteria in Section VI of Appendix A to 
part 100 of this chapter continues to apply.
    (11) On or after January 10, 1997, stationary power reactor 
applicants who apply for an operating license pursuant to this part, or 
a combined license pursuant to part 52 of this chapter, shall provide a 
description and safety assessment of the site and of the facility as in 
Sec. 50.34(a)(1)(ii) of this part. However, for either an operating 
license applicant or holder whose construction permit was issued prior 
to January 10, 1997, the reactor site criteria in part 100 of this 
chapter and the seismic and geologic siting criteria in Appendix A to 
part 100 of this chapter continues to apply.
    (c) Each application for a license to operate a production or 
utilization facility must include a physical security plan. The plan 
must describe how the applicant will meet the requirements of part 73 
(and part 11 of this chapter, if applicable, including the 
identification and description of jobs as required by Sec. 11.11(a), at 
the proposed facility). The plan must list tests, inspections, audits, 
and other means to be used to demonstrate compliance with the 
requirements of 10 CFR Parts 11 and 73, if applicable.
    (d) Safeguards contingency plan. Each application for a license to 
operate a production or utilization facility that will be subject to 
Secs. 73.50, 73.55, or Sec. 73.60 of this chapter must include a 
licensee safeguards contingency plan in accordance with the criteria set 
forth in appendix C to 10 CFR part 73. The safeguards contingency plan 
shall include plans for dealing with threats, thefts, and radiological 
sabotage, as defined in part 73 of this chapter, relating to the special 
nuclear material and nuclear facilities licensed under this chapter and 
in the applicant's possession and control. Each application for such a 
license shall 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 10 CFR part 73 
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.)\9\
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    \9\A physical security plan that contains all the information 
required in both Sec. 73.55 and appendix C to part 73 satisfies the 
requirement for a contingency plan.
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    (e) Each applicant for a license to operate a production or 
utilization facility, who prepares a physical security plan, a 
safeguards contingency plan, or a guard qualification and training plan, 
shall protect the plans and other related Safeguards Information against 
unauthorized disclosure in accordance with the requirements of 
Sec. 73.21 of this chapter, as appropriate.
    (f) Additional TMI-related requirements. In addition to the 
requirements of paragraph (a) of this section, each applicant for a 
light-water-reactor construction permit or manufacturing license whose 
application was pending as of February 16, 1982 shall meet the 
requirements in paragraphs (f) (1) through (3) of this section. This 
rule applies only to the pending applications by Duke Power Company 
(Perkins Nuclear Station Units 1, 2 and 3), Houston Lighting & Power 
Company (Allens Creek Nuclear Generating Station, Unit 1), Portland 
General Electric Company (Pebble Springs Nuclear Plant, Units 1 and 2), 
Public Service Company of Oklahoma (Black Fox Station, Units 1 and 2), 
Puget Sound Power & Light Company (Skagit/Hanford Nuclear Power Project, 
Units 1 and 2), and Offshore Power Systems (License to Manufacture 
Floating Nuclear Plants). The number of units that will be specified in 
the manufacturing license, if issued, will be that number whose start of 
manufacture, as defined in the license application, can practically 
begin within a ten-year period commencing on the date of issuance of the 
manufacturing license, but in no event will that number be in excess of 
ten. The manufacturing license will require the plant design to be 
updated no later than five years after its approval. Paragraphs 
(f)(1)(xii), (2)(ix), and (3)(v) of this section, pertaining to hydrogen

[[Page 646]]

control measures, must be met by all applicants covered by this rule. 
However, the Commission may decide to impose additional requirements and 
the issue of whether compliance with these provisions, together with 10 
CFR 50.44 and Criterion 50 of appendix A to 10 CFR part 50, is 
sufficient for issuance of the manufacturing license may be considered 
in the manufacturing license proceeding.
    (1) To satisfy the following requirements, the application shall 
provide sufficient information to describe the nature of the studies, 
how they are to be conducted, estimated submittal dates, and a program 
to ensure that the results of such studies are factored into the final 
design of the facility. All studies shall be completed no later than two 
years following issuance of the construction permit or manufacturing 
license.10
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    10 Alphanumeric designations correspond to the related action plan 
items in NUREG 0718 and NUREG 0660, ``NRC Action Plan Developed as a 
Result of the TMI-2 Accident.'' They are provided herein for information 
only.
---------------------------------------------------------------------------

    (i) Perform a plant/site specific probabilistic risk assessment, the 
aim of which is to seek such improvements in the reliability of core and 
containment heat removal systems as are significant and practical and do 
not impact excessively on the plant. (II.B.8)
    (ii) Perform an evaluation of the proposed auxiliary feedwater 
system (AFWS), to include (applicable to PWR's only) (II.E.1.1):
    (A) A simplified AFWS reliability analysis using event-tree and 
fault-tree logic techniques.
    (B) A design review of AFWS.
    (C) An evaluation of AFWS flow design bases and criteria.
    (iii) Perform an evaluation of the potential for and impact of 
reactor coolant pump seal damage following small-break LOCA with loss of 
offsite power. If damage cannot be precluded, provide an analysis of the 
limiting small-break loss-of-coolant accident with subsequent reactor 
coolant pump seal damage. (II.K.2.16 and II.K.3.25)
    (iv) Perform an analysis of the probability of a small-break loss-
of-coolant accident (LOCA) caused by a stuck-open power-operated relief 
valve (PORV). If this probability is a significant contributor to the 
probability of small-break LOCA's from all causes, provide a description 
and evaluation of the effect on small-break LOCA probability of an 
automatic PORV isolation system that would operate when the reactor 
coolant system pressure falls after the PORV has opened. (Applicable to 
PWR's only). (II.K.3.2)
    (v) Perform an evaluation of the safety effectiveness of providing 
for separation of high pressure coolant injection (HPCI) and reactor 
core isolation cooling (RCIC) system initiation levels so that the RCIC 
system initiates at a higher water level than the HPCI system, and of 
providing that both systems restart on low water level. (For plants with 
high pressure core spray systems in lieu of high pressure coolant 
injection systems, substitute the words, ``high pressure core spray'' 
for ``high pressure coolant injection'' and ``HPCS'' for ``HPCI'') 
(Applicable to BWR's only). (II.K.3.13)
    (vi) Perform a study to identify practicable system modifications 
that would reduce challenges and failures of relief valves, without 
compromising the performance of the valves or other systems. (Applicable 
to BWR's only). (II.K.3.16)
    (vii) Perform a feasibility and risk assessment study to determine 
the optimum automatic depressurization system (ADS) design modifications 
that would eliminate the need for manual activation to ensure adequate 
core cooling. (Applicable to BWR's only). (II.K.3.18)
    (viii) Perform a study of the effect on all core-cooling modes under 
accident conditions of designing the core spray and low pressure coolant 
injection systems to ensure that the systems will automatically restart 
on loss of water level, after having been manually stopped, if an 
initiation signal is still present. (Applicable to BWR's only). 
(II.K.3.21)
    (ix) Perform a study to determine the need for additional space 
cooling to ensure reliable long-term operation of the reactor core 
isolation cooling (RCIC) and high-pressure coolant injection (HPCI) 
systems, following a complete loss of offsite power to the plant for at 
least two (2) hours. (For plants

[[Page 647]]

with high pressure core spray systems in lieu of high pressure coolant 
injection systems, substitute the words, ``high pressure core spray'' 
for ``high pressure coolant injection'' and ``HPCS'' for ``HPCI'') 
(Applicable to BWR's only). (II.K.3.24)
    (x) Perform a study to ensure that the Automatic Depressurization 
System, valves, accumulators, and associated equipment and 
instrumentation will be capable of performing their intended functions 
during and following an accident situation, taking no credit for non-
safety related equipment or instrumentation, and accounting for normal 
expected air (or nitrogen) leakage through valves. (Applicable to BWR's 
only). (II.K.3.28)
    (xi) Provide an evaluation of depressurization methods, other than 
by full actuation of the automatic depressurization system, that would 
reduce the possibility of exceeding vessel integrity limits during rapid 
cooldown. (Applicable to BWR's only) (II.K.3.45)
    (xii) Perform an evaluation of alternative hydrogen control systems 
that would satisfy the requirements of paragraph (f)(2)(ix) of this 
section. As a minimum include consideration of a hydrogen ignition and 
post-accident inerting system. The evaluation shall include:
    (A) A comparison of costs and benefits of the alternative systems 
considered.
    (B) For the selected system, analyses and test data to verify 
compliance with the requirements of (f)(2)(ix) of this section.
    (C) For the selected system, preliminary design descriptions of 
equipment, function, and layout.
    (2) To satisfy the following requirements, the application shall 
provide sufficient information to demonstrate that the required actions 
will be satisfactorily completed by the operating license stage. This 
information is of the type customarily required to satisfy 10 CFR 
50.35(a)(2) or to address unresolved generic safety issues.
    (i) Provide simulator capability that correctly models the control 
room and includes the capability to simulate small-break LOCA's. 
(Applicable to construction permit applicants only) (I.A.4.2.)
    (ii) Establish a program, to begin during construction and follow 
into operation, for integrating and expanding current efforts to improve 
plant procedures. The scope of the program shall include emergency 
procedures, reliability analyses, human factors engineering, crisis 
management, operator training, and coordination with INPO and other 
industry efforts. (Applicable to construction permit applicants only) 
(I.C.9)
    (iii) Provide, for Commission review, a control room design that 
reflects state-of-the-art human factor principles prior to committing to 
fabrication or revision of fabricated control room panels and layouts. 
(I.D.1)
    (iv) Provide a plant safety parameter display console that will 
display to operators a minimum set of parameters defining the safety 
status of the plant, capable of displaying a full range of important 
plant parameters and data trends on demand, and capable of indicating 
when process limits are being approached or exceeded. (I.D.2)
    (v) Provide for automatic indication of the bypassed and operable 
status of safety systems. (I.D.3)
    (vi) Provide the capability of high point venting of noncondensible 
gases from the reactor coolant system, and other systems that may be 
required to maintain adequate core cooling. Systems to achieve this 
capability shall be capable of being operated from the control room and 
their operation shall not lead to an unacceptable increase in the 
probability of loss-of-coolant accident or an unacceptable challenge to 
containment integrity. (II.B.1)
    (vii) Perform radiation and shielding design reviews of spaces 
around systems that may, as a result of an accident, contain TID 14844 
source term radioactive materials, and design as necessary to permit 
adequate access to important areas and to protect safety equipment from 
the radiation environment. (II.B.2)
    (viii) Provide a capability to promptly obtain and analyze samples 
from the reactor coolant system and containment that may contain TID-
14844 source term radioactive materials without radiation exposures to 
any individual exceeding 5 rems to the whole

[[Page 648]]

body or 50 rems to the extremities. Materials to be analyzed and 
quantified include certain radionuclides that are indicators of the 
degree of core damage (e.g., noble gases, iodines and cesiums, and 
nonvolatile isotopes), hydrogen in the containment atmosphere, dissolved 
gases, chloride, and boron concentrations. (II.B.3)
    (ix) Provide a system for hydrogen control that can safely 
accommodate hydrogen generated by the equivalent of a 100% fuel-clad 
metal water reaction. Preliminary design information on the tentatively 
preferred system option of those being evaluated in paragraph 
(f)(1)(xii) of this section is sufficient at the construction permit 
stage. The hydrogen control system and associated systems shall provide, 
with reasonable assurance, that: (II.B.8)
    (A) Uniformly distributed hydrogen concentrations in the containment 
do not exceed 10% during and following an accident that releases an 
equivalent amount of hydrogen as would be generated from a 100% fuel 
clad metal-water reaction, or that the post-accident atmosphere will not 
support hydrogen combustion.
    (B) Combustible concentrations of hydrogen will not collect in areas 
where unintended combustion or detonation could cause loss of 
containment integrity or loss of appropriate mitigating features.
    (C) Equipment necessary for achieving and maintaining safe shutdown 
of the plant and maintaining containment integrity will perform its 
safety function during and after being exposed to the environmental 
conditions attendant with the release of hydrogen generated by the 
equivalent of a 100% fuel-clad metal water reaction including the 
environmental conditions created by activation of the hydrogen control 
system.
    (D) If the method chosen for hydrogen control is a post-accident 
inerting system, inadvertent actuation of the system can be safely 
accommodated during plant operation.
    (x) Provide a test program and associated model development and 
conduct tests to qualify reactor coolant system relief and safety valves 
and, for PWR's, PORV block valves, for all fluid conditions expected 
under operating conditions, transients and accidents. Consideration of 
anticipated transients without scram (ATWS) conditions shall be included 
in the test program. Actual testing under ATWS conditions need not be 
carried out until subsequent phases of the test program are developed. 
(II.D.1)
    (xi) Provide direct indication of relief and safety valve position 
(open or closed) in the control room. (II.D.3)
    (xii) Provide automatic and manual auxiliary feedwater (AFW) system 
initiation, and provide auxiliary feedwater system flow indication in 
the control room. (Applicable to PWR's only) (II.E.1.2)
    (xiii) Provide pressurizer heater power supply and associated motive 
and control power interfaces sufficient to establish and maintain 
natural circulation in hot standby conditions with only onsite power 
available. (Applicable to PWR's only) (II.E.3.1)
    (xiv) Provide containment isolation systems that: (II.E.4.2)
    (A) Ensure all non-essential systems are isolated automatically by 
the containment isolation system,
    (B) For each non-essential penetration (except instrument lines) 
have two isolation barriers in series,
    (C) Do not result in reopening of the containment isolation valves 
on resetting of the isolation signal,
    (D) Utilize a containment set point pressure for initiating 
containment isolation as low as is compatible with normal operation,
    (E) Include automatic closing on a high radiation signal for all 
systems that provide a path to the environs.
    (xv) Provide a capability for containment purging/venting designed 
to minimize the purging time consistent with ALARA principles for 
occupational exposure. Provide and demonstrate high assurance that the 
purge system will reliably isolate under accident conditions. (II.E.4.4)
    (xvi) Establish a design criterion for the allowable number of 
actuation cycles of the emergency core cooling system and reactor 
protection system consistent with the expected occurrence rates of 
severe overcooling events (considering both anticipated transients and 
accidents). (Applicable to B&W designs only). (II.E.5.1)

[[Page 649]]

    (xvii) Provide instrumentation to measure, record and readout in the 
control room: (A) containment pressure, (B) containment water level, (C) 
containment hydrogen concentration, (D) containment radiation intensity 
(high level), and (E) noble gas effluents at all potential, accident 
release points. Provide for continuous sampling of radioactive iodines 
and particulates in gaseous effluents from all potential accident 
release points, and for onsite capability to analyze and measure these 
samples. (II.F.1)
    (xviii) Provide instruments that provide in the control room an 
unambiguous indication of inadequate core cooling, such as primary 
coolant saturation meters in PWR's, and a suitable combination of 
signals from indicators of coolant level in the reactor vessel and in-
core thermocouples in PWR's and BWR's. (II.F.2)
    (xix) Provide instrumentation adequate for monitoring plant 
conditions following an accident that includes core damage. (II.F.3)
    (xx) Provide power supplies for pressurizer relief valves, block 
valves, and level indicators such that: (A) Level indicators are powered 
from vital buses; (B) motive and control power connections to the 
emergency power sources are through devices qualified in accordance with 
requirements applicable to systems important to safety and (C) electric 
power is provided from emergency power sources. (Applicable to PWR's 
only). (II.G.1)
    (xxi) Design auxiliary heat removal systems such that necessary 
automatic and manual actions can be taken to ensure proper functioning 
when the main feedwater system is not operable. (Applicable to BWR's 
only). (II.K.1.22)
    (xxii) Perform a failure modes and effects analysis of the 
integrated control system (ICS) to include consideration of failures and 
effects of input and output signals to the ICS. (Applicable to B&W-
designed plants only). (II.K.2.9)
    (xxiii) Provide, as part of the reactor protection system, an 
anticipatory reactor trip that would be actuated on loss of main 
feedwater and on turbine trip. (Applicable to B&W-designed plants only). 
(II.K.2.10)
    (xxiv) Provide the capability to record reactor vessel water level 
in one location on recorders that meet normal post-accident recording 
requirements. (Applicable to BWR's only). (II.K.3.23)
    (xxv) Provide an onsite Technical Support Center, an onsite 
Operational Support Center, and, for construction permit applications 
only, a nearsite Emergency Operations Facility. (III.A.1.2).
    (xxvi) Provide for leakage control and detection in the design of 
systems outside containment that contain (or might contain) TID 14844 
source term radioactive materials following an accident. Applicants 
shall submit a leakage control program, including an initial test 
program, a schedule for re-testing these systems, and the actions to be 
taken for minimizing leakage from such systems. The goal is to minimize 
potential exposures to workers and public, and to provide reasonable 
assurance that excessive leakage will not prevent the use of systems 
needed in an emergency. (III.D.1.1)
    (xxvii) Provide for monitoring of inplant radiation and airborne 
radioactivity as appropriate for a broad range of routine and accident 
conditions. (III.D.3.3)
    (xxviii) Evaluate potential pathways for radioactivity and radiation 
that may lead to control room habitability problems under accident 
conditions resulting in a TID 14844 source term release, and make 
necessary design provisions to preclude such problems. (III.D.3.4)
    (3) To satisfy the following requirements, the application shall 
provide sufficient information to demonstrate that the requirement has 
been met. This information is of the type customarily required to 
satisfy paragraph (a)(1) of this section or to address the applicant's 
technical qualifications and management structure and competence.
    (i) Provide administrative procedures for evaluating operating, 
design and construction experience and for ensuring that applicable 
important industry experiences will be provided in a timely manner to 
those designing and constructing the plant. (I.C.5)
    (ii) Ensure that the quality assurance (QA) list required by 
Criterion II, app.

[[Page 650]]

B, 10 CFR part 50 includes all structures, systems, and components 
important to safety. (I.F.1)
    (iii) Establish a quality assurance (QA) program based on 
consideration of: (A) Ensuring independence of the organization 
performing checking functions from the organization responsible for 
performing the functions; (B) performing quality assurance/quality 
control functions at construction sites to the maximum feasible extent; 
(C) including QA personnel in the documented review of and concurrence 
in quality related procedures associated with design, construction and 
installation; (D) establishing criteria for determining QA programmatic 
requirements; (E) establishing qualification requirements for QA and QC 
personnel; (F) sizing the QA staff commensurate with its duties and 
responsibilities; (G) establishing procedures for maintenance of ``as-
built'' documentation; and (H) providing a QA role in design and 
analysis activities. (I.F.2)
    (iv) Provide one or more dedicated containment penetrations, 
equivalent in size to a single 3-foot diameter opening, in order not to 
preclude future installation of systems to prevent containment failure, 
such as a filtered vented containment system. (II.B.8)
    (v) Provide preliminary design information at a level of detail 
consistent with that normally required at the construction permit stage 
of review sufficient to demonstrate that: (II.B.8)
    (A)(1) Containment integrity will be maintained (i.e., for steel 
containments by meeting the requirements of the ASME Boiler and Pressure 
Vessel Code, Section III, Division 1, Subsubarticle NE-3220, Service 
Level C Limits, except that evaluation of instability is not required, 
considering pressure and dead load alone. For concrete containments by 
meeting the requirements of the ASME Boiler Pressure Vessel Code, 
Section III, Division 2 Subsubarticle CC-3720, Factored Load Category, 
considering pressure and dead load alone) during an accident that 
releases hydrogen generated from 100% fuel clad metal-water reaction 
accompanied by either hydrogen burning or the added pressure from post-
accident inerting assuming carbon dioxide is the inerting agent. As a 
minimum, the specific code requirements set forth above appropriate for 
each type of containment will be met for a combination of dead load and 
an internal pressure of 45 psig. Modest deviations from these criteria 
will be considered by the staff, if good cause is shown by an applicant. 
Systems necessary to ensure containment integrity shall also be 
demonstrated to perform their function under these conditions.
    (2) Subarticle NE-3220, Division 1, and subarticle CC-3720, Division 
2, of section III of the July 1, 1980 ASME Boiler and Pressure Vessel 
Code, which are referenced in paragraphs (f)(3)(v)(A)(1) and 
(f)(3)(v)(B)(1) of this section, were approved for incorporation by 
reference by the Director of the Office of the Federal Register. A 
notice of any changes made to the material incorporated by reference 
will be published in the Federal Register. Copies of the ASME Boiler and 
Pressure Vessel Code may be purchased from the American Society of 
Mechanical Engineers, United Engineering Center, 345 East 47th St., New 
York, NY 10017. It is also available for inspection at the NRC Library, 
11545 Rockville Pike, Rockville, Maryland 20852-2738.
    (B)(1) Containment structure loadings produced by an inadvertent 
full actuation of a post-accident inerting hydrogen control system 
(assuming carbon dioxide), but not including seismic or design basis 
accident loadings will not produce stresses in steel containments in 
excess of the limits set forth in the ASME Boiler and Pressure Vessel 
Code, Section III, Division 1, Subsubarticle NE-3220, Service Level A 
Limits, except that evaluation of instability is not required (for 
concrete containments the loadings specified above will not produce 
strains in the containment liner in excess of the limits set forth in 
the ASME Boiler and Pressure Vessel Code, Section III, Division 2, 
Subsubarticle CC-3720, Service Load Category, (2) The containment has 
the capability to safely withstand pressure tests at 1.10 and 1.15 times 
(for steel and concrete containments, respectively) the pressure 
calculated to result from carbon dioxide inerting.

[[Page 651]]

    (vi) For plant designs with external hydrogen recombiners, provide 
redundant dedicated containment penetrations so that, assuming a single 
failure, the recombiner systems can be connected to the containment 
atmosphere. (II.E.4.1)
    (vii) Provide a description of the management plan for design and 
construction activities, to include: (A) The organizational and 
management structure singularly responsible for direction of design and 
construction of the proposed plant; (B) technical resources director by 
the applicant; (C) details of the interaction of design and construction 
within the applicant's organization and the manner by which the 
applicant will ensure close integration of the architect engineer and 
the nuclear steam supply vendor; (D) proposed procedures for handling 
the transition to operation; (E) the degree of top level management 
oversight and technical control to be exercised by the applicant during 
design and construction, including the preparation and implementation of 
procedures necessary to guide the effort. (II.J.3.1)
    (g) Conformance with the Standard Review Plan (SRP). (1)(i) 
Applications for light water cooled nuclear power plant operating 
licenses docketed after May 17, 1982 shall include an evaluation of the 
facility against the Standard Review Plan (SRP) in effect on May 17, 
1982 or the SRP revision in effect six months prior to the docket date 
of the application, whichever is later.
    (ii) Applications for light water cooled nuclear power plant 
construction permits, manufacturing licenses, and preliminary or final 
design approvals for standard plants docketed after May 17, 1982 shall 
include an evaluation of the facility against the SRP in effect on May 
17, 1982 or the SRP revision in effect six months prior to the docket 
date of the application, whichever is later.
    (2) The evaluation required by this section shall include an 
identification and description of all differences in design features, 
analytical techniques, and procedural measures proposed for a facility 
and those corresponding features, techniques, and measures given in the 
SRP acceptance criteria. Where such a difference exists, the evaluation 
shall discuss how the alternative proposed provides an acceptable method 
of complying with those rules or regulations of Commission, or portions 
thereof, that underlie the corresponding SRP acceptance criteria.
    (3) The SRP was issued to establish criteria that the NRC staff 
intends to use in evaluating whether an applicant/licensee meets the 
Commission's regulations. The SRP is not a substitute for the 
regulations, and compliance is not a requirement. Applicants shall 
identify differences from the SRP acceptance criteria and evaluate how 
the proposed alternatives to the SRP criteria provide an acceptable 
method of complying with the Commission's regulations.

[33 FR 18612, Dec. 17, 1968]

    Editorial Note: For additional Federal Register citations affecting 
Sec. 50.34, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.

    Effective Date Note: At 61 FR 65172, Dec. 11, 1996, in Sec. 50.34, 
footnotes 6, 7 and 8 were redesignated as footnotes 8, 9 and 10, 
paragraph (a)(1) was revised, and paragraphs (b)(10) and (11) were 
added, effective Jan. 10, 1997. For the convenience of the user, the 
superseded text is set forth as follows:
Sec. 50.34  Contents of applications; technical information.
    (a) * * *
    (1) A description and safety assessment of the site on which the 
facility is to be located, with appropriate attention to features 
affecting facility design. Special attention should be directed to the 
site evaluation factors identified in part 100 of this chapter. Such 
assessment shall contain an analysis and evaluation of the major 
structures, systems and components of the facility which bear 
significantly on the acceptability of the site under the site evaluation 
factors identified in part 100 of this chapter, assuming that the 
facility will be operated at the ultimate power level which is 
contemplated by the applicant. With respect to operation at the 
projected initial power level, the applicant is required to submit 
information prescribed in paragraphs (a)(2) through (8) of this section, 
as well as the information required by this paragraph, in support of the 
application for a construction permit.

                                * * * * *

[[Page 652]]



Sec. 50.34a   Design objectives for equipment to control releases of radioactive material in effluents--nuclear power reactors.

    (a) An application for a permit to construct a nuclear power reactor 
shall include a description of the preliminary design of equipment to be 
installed to maintain control over radioactive materials in gaseous and 
liquid effluents produced during normal reactor operations, including 
expected operational occurrences. In the case of an application filed on 
or after January 2, 1971, the application shall also identify the design 
objectives, and the means to be employed, for keeping levels of 
radioactive material in effluents to unrestricted areas as low as is 
reasonably achievable. The term ``as low as is reasonably achievable'' 
as used in this part means as low as is reasonably achievable taking 
into account the state of technology, and the economics of improvements 
in relation to benefits to the public health and safety and other 
societal and socioeconomic considerations, and in relation to the 
utilization of atomic energy in the public interest. The guides set out 
in appendix I to this part provide numerical guidance on design 
objectives for light-water-cooled nuclear power reactors to meet the 
requirements that radioactive material in effluents released to 
unrestricted areas be kept as low as is reasonably achievable. These 
numerical guides for design objectives and limiting conditions for 
operation are not to be construed as radiation protection standards.
    (b) Each application for a permit to construct a nuclear power 
reactor shall include:
    (1) A description of the preliminary design of equipment to be 
installed pursuant to paragraph (a) of this section;
    (2) An estimate of:
    (i) The quantity of each of the principal radio-nuclides expected to 
be released annually to unrestricted areas in liquid effluents produced 
during normal reactor operations; and
    (ii) The quantity of each of the principal radio-nuclides of the 
gases, halides, and particulates expected to be released annually to 
unrestricted areas in gaseous effluents produced during normal reactor 
operations.
    (3) A general description of the provisions for packaging, storage, 
and shipment offsite of solid waste containing radioactive materials 
resulting from treatment of gaseous and liquid effluents and from other 
sources.
    (c) Each application for a license to operate a nuclear power 
reactor shall include (1) a description of the equipment and procedures 
for the control of gaseous and liquid effluents and for the maintenance 
and use of equipment installed in radioactive waste systems, pursuant to 
paragraph (a) of this section; an (2) a revised estimate of the 
information required in paragraph (b)(2) of this section if the expected 
releases and exposures differ significantly from the estimates submitted 
in the application for a construction permit.

[35 FR 18387, Dec. 3, 1970, as amended at 40 FR 58847, Dec. 19, 1975; 61 
FR 65172, Dec. 11, 1996]



Sec. 50.35  Issuance of construction permits.1
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    \1\ The Commission may issue a provisional construction permit 
pursuant to the regulations in this part in effect on March 30, 1970, 
for any facility for which a notice of hearing on an application for a 
provisional construction permit has been published on or before that 
date.

    (a) When an applicant has not supplied initially all of the 
technical information required to complete the application and support 
the issuance of a construction permit which approves all proposed design 
features, the Commission may issue a construction permit if the 
Commission finds that (1) the applicant has described the proposed 
design of the facility, including, but not limited to, the principal 
architectural and engineering criteria for the design, and has 
identified the major features or components incorporated therein for the 
protection of the health and safety of the public; (2) such further 
technical or design information as may be required to complete the 
safety analysis, and which can reasonably be left for later 
consideration, will be supplied in the final safety analysis report; (3) 
safety features or components, if any,

[[Page 653]]

which require research and development have been described by the 
applicant and the applicant has identified, and there will be conducted, 
a research and development program reasonably designed to resolve any 
safety questions associated with such features or components; and that 
(4) on the basis of the foregoing, there is reasonable assurance that, 
(i) such safety questions will be satisfactorily resolved at or before 
the latest date stated in the application for completion of construction 
of the proposed facility, and (ii) taking into consideration the site 
criteria contained in part 100 of this chapter, the proposed facility 
can be constructed and operated at the proposed location without undue 
---------------------------------------------------------------------------
risk to the health and safety of the public.

    Note: When an applicant has supplied initially all of the technical 
information required to complete the application, including the final 
design of the facility, the findings required above will be 
appropriately modified to reflect that fact.

    (b) A construction permit will constitute an authorization to the 
applicant to proceed with construction but will not constitute 
Commission approval of the safety of any design feature or specification 
unless the applicant specifically requests such approval and such 
approval is incorporated in the permit. The applicant, at his option, 
may request such approvals in the construction permit or, from time to 
time, by amendment of his construction permit. The Commission may, in 
its discretion, incorporate in any construction permit provisions 
requiring the applicant to furnish periodic reports of the progress and 
results of research and development programs designed to resolve safety 
questions.
    (c) Any construction permit will be subject to the limitation that a 
license authorizing operation of the facility will not be issued by the 
Commission until (1) the applicant has submitted to the Commission, by 
amendment to the application, the complete final safety analysis report, 
portions of which may be submitted and evaluated from time to time, and 
(2) the Commission has found that the final design provides reasonable 
assurance that the health and safety of the public will not be 
endangered by operation of the facility in accordance with the 
requirements of the license and the regulations in this chapter.

[27 FR 12915, Dec. 29, 1962, as amended at 31 FR 12780, Sept. 30, 1966; 
35 FR 5318, Mar. 31, 1970; 35 FR 6644, Apr. 25, 1970; 35 FR 11461, July 
7, 1970]



Sec. 50.36   Technical specifications.

    (a) Each applicant for a license authorizing operation of a 
production or utilization facility shall include in his application 
proposed technical specifications in accordance with the requirements of 
this section. A summary statement of the bases or reasons for such 
specifications, other than those covering administrative controls, shall 
also be included in the application, but shall not become part of the 
technical specifications.
    (b) Each license authorizing operation of a production or 
utilization facility of a type described in Sec. 50.21 or Sec. 50.22 
will include technical specifications. The technical specifications will 
be derived from the analyses and evaluation included in the safety 
analysis report, and amendments thereto, submitted pursuant to 
Sec. 50.34. The Commission may include such additional technical 
specifications as the Commission finds appropriate.
    (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 license for the reactor, except for nuclear power reactors licensed 
under Sec. 50.21(b) or Sec. 50.22 of this part. For these reactors, the 
licensee shall notify

[[Page 654]]

the Commission as required by Sec. 50.72 and submit a Licensee Event 
Report to the Commission as required by Sec. 50.73. Licensees in these 
cases shall retain the records of the review for a period of three years 
following issuance of a Licensee Event Report.
    (B) Safety limits for fuel reprocessing plants are those bounds 
within which the process variables must be maintained for adequate 
control of the operation and that must not be exceeded in order to 
protect the integrity of the physical system that is designed to guard 
against the uncontrolled release or 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 
terminates the license for the plant.
    (ii)(A) Limiting safety system settings for nuclear reactors are 
settings for automatic protective devices related to those variables 
having significant safety functions. Where a limiting safety system 
setting is specified for a variable on which a safety limit has been 
placed, the setting must be so chosen that automatic protective action 
will correct the abnormal situation before a safety limit is exceeded. 
If, during operation, it is determined that the automatic safety system 
does not function as required, the licensee shall take appropriate 
action, which may include shutting down the reactor. 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 reactor except for nuclear power reactors 
licensed under Sec. 50.21(b) or Sec. 50.22 of this part. For these 
reactors, the licensee shall notify the Commission as required by 
Sec. 50.72 and submit a Licensee Event Report to the Commission as 
required by Sec. 50.73. Licensees in these cases shall retain the 
records of the review for a period of three years following issuance of 
a Licensee Event Report.
    (B) Limiting control settings for fuel reprocessing plants are 
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. (i) Limiting conditions for 
operation are the lowest functional capability or performance levels of 
equipment required for safe operation of the facility. When a limiting 
condition for operation of a nuclear reactor is not met, the licensee 
shall shut down the reactor or follow any remedial action permitted by 
the technical specifications until the condition 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

[[Page 655]]

the condition can be met. In the case of a nuclear reactor not licensed 
under Sec. 50.21(b) or Sec. 50.22 of this part or fuel reprocessing 
plant, 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 nuclear reactor or the fuel 
reprocessing plant. In the case of nuclear power reactors licensed under 
Sec. 50.21(b) or Sec. 50.22, the licensee shall notify the Commission if 
required by Sec. 50.72 and shall submit a Licensee Event Report to the 
Commission as required by Sec. 50.73. In this case, licensees shall 
retain records associated with preparation of a Licensee Event Report 
for a period of three years following issuance of the report. For events 
which do not require a Licensee Event Report, the licensee shall retain 
each record as required by the technical specifications.
    (ii) A technical specification limiting condition for operation of a 
nuclear reactor must be established for each item meeting one or more of 
the following criteria:
    (A) Criterion 1. Installed instrumentation that is used to detect, 
and indicate in the control room, a significant abnormal degradation of 
the reactor coolant pressure boundary.
    (B) Criterion 2. A process variable, design feature, or operating 
restriction that is an initial condition of a design basis accident or 
transient analysis that either assumes the failure of or presents a 
challenge to the integrity of a fission product barrier.
    (C) Criterion 3. A structure, system, or component that is part of 
the primary success path and which functions or actuates to mitigate a 
design basis accident or transient that either assumes the failure of or 
presents a challenge to the integrity of a fission product barrier.
    (D) Criterion 4. A structure, system, or component which operating 
experience or probabilistic risk assessment has shown to be significant 
to public health and safety.
    (iii) A licensee is not required to propose to modify technical 
specifications that are included in any license issued before August 18, 
1995, to satisfy the criteria in paragraph (c)(2)(ii) of this section.
    (3) Surveillance requirements. Surveillance requirements are 
requirements relating to test, calibration, or inspection to assure that 
the necessary quality of systems and components is maintained, that 
facility operation will be within safety limits, and that the limiting 
conditions for operation will be met.
    (4) Design features. Design features to be included are those 
features of the facility such as materials of construction and geometric 
arrangements, which, if altered or modified, would have a significant 
effect on safety and are not covered in categories described in 
paragraphs (c) (1), (2), and (3) of this section.
    (5) Administrative controls. Administrative controls are the 
provisions relating to organization and management, procedures, 
recordkeeping, review and audit, and reporting necessary to assure 
operation of the facility in a safe manner. Each licensee shall submit 
any reports to the Commission pursuant to approved technical 
specifications as specified in Sec. 50.4.
    (6) Decommissioning. This paragraph applies only to nuclear power 
reactor facilities that have submitted the certifications required by 
Sec. 50.82(a)(1) and to non-power reactor facilities which are not 
authorized to operate. Technical specifications involving safety limits, 
limiting safety system settings, and limiting control system settings; 
limiting conditions for operation; surveillance requirements; design 
features; and administrative controls will be developed on a case-by-
case basis.
    (7) Initial notification. Reports made to the Commission by 
licensees in response to the requirements of this section must be made 
as follows:
    (i) Licensees that have an installed Emergency Notification System 
shall make the initial notification to the NRC Operations Center in 
accordance with Sec. 50.72 of this part.
    (ii) All other licensees shall make the initial notification by 
telephone to the Administrator of the appropriate NRC Regional Office 
listed in appendix D, part 20, of this chapter.

[[Page 656]]

    (8) Written Reports. Licensees for nuclear power reactors licensed 
under Sec. 50.21(b) and Sec. 50.22 of this part shall submit written 
reports to the Commission in accordance with Sec. 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.
    (d)(1) This section shall not be deemed to modify the technical 
specifications included in any license issued prior to January 16, 1969. 
A license in which technical specifications have not been designated 
shall be deemed to include the entire safety analysis report as 
technical specifications.
    (2) An applicant for a license authorizing operation of a production 
or utilization facility to whom a construction permit has been issued 
prior to January 16, 1969, may submit technical specifications in 
accordance with this section, or in accordance with the requirements of 
this part in effect prior to January 16, 1969.
    (3) At the initiative of the Commission or the licensee, any license 
may be amended to include technical specifications of the scope and 
content which would be required if a new license were being issued.
    (e) The provisions of this section apply to each nuclear reactor 
licensee whose authority to operate the reactor has been removed by 
license amendment, order, or regulation.

[33 FR 18612, Dec. 17, 1968, as amended at 48 FR 33860, July 26, 1983; 
51 FR 40308, Nov. 6, 1986; 53 FR 19249, May 27, 1988; 60 FR 36959, July 
19, 1995; 61 FR 39299, July 29, 1996]



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

    (a) In order to keep releases of radioactive materials to 
unrestricted areas during normal conditions, including expected 
occurrences, as low as is reasonably achievable, each licensee of a 
nuclear power reactor will include technical specifications that, in 
addition to requiring compliance with applicable provisions of 
Sec. 20.1301 of this chapter, require that:
    (1) Operating procedures developed pursuant to Sec. 50.34a(c) for 
the control of effluents be established and followed and that the 
radioactive waste system, pursuant to Sec. 50.34a, be maintained and 
used. The licensee shall retain the operating procedures in effect as a 
record until the Commission terminates the license and shall retain each 
superseded revision of the procedures for 3 years from the date it was 
superseded.
    (2) Each licensee shall submit a report to the Commission annually 
that specifies the quantity of each of the principal radionuclides 
released to unrestricted areas in liquid and in gaseous effluents during 
the previous 12 months, including any other information as may be 
required by the Commission to estimate maximum potential annual 
radiation doses to the public resulting from effluent releases. The 
report must be submitted as specified in Sec. 50.4, and the time between 
submission of the reports must be no longer than 12 months. If 
quantities of radioactive materials released during the reporting period 
are significantly above design objectives, the report must cover this 
specifically. On the basis of these reports and any additional 
information the Commission may obtain from the licensee or others, the 
Commission may require the licensee to take action as the Commission 
deems appropriate.
    (b) In establishing and implementing the operating procedures 
described in paragraph (a) of this section, the licensee shall be guided 
by the following considerations: Experience with the design, 
construction, and operation of nuclear power reactors indicates that 
compliance with the technical specifications described in this section 
will keep average annual releases of radioactive material in effluents 
and their resultant committed effective dose equivalents at small 
percentages of the dose limits specified in Sec. 20.1301 and in the 
license. At the same time, the licensee is permitted the flexibility of 
operation, compatible with considerations of health and safety, to 
assure that the public is provided a dependable source of power even 
under unusual conditions which may temporarily result in releases higher 
than such small percentages, but still within the limits specified in 
Sec. 20.1301 of this chapter and in the license. It is expected that in 
using this flexibility under unusual conditions, the licensee

[[Page 657]]

will exert its best efforts to keep levels of radioactive material in 
effluents as low as is reasonably achievable. The guides set out in 
appendix I, provide numerical guidance on limiting conditions for 
operation for light-water cooled nuclear power reactors to meet the 
requirement that radioactive materials in effluents released to 
unrestricted areas be kept as low as is reasonably achievable.

[61 FR 39299, July 29, 1996]



Sec. 50.36b  Environmental conditions.

    Each license authorizing operation of a production or utilization 
facility, and each license for a nuclear power reactor facility for 
which the certification of permanent cessation of operations required 
under Sec. 50.82(a)(1) has been submitted, which is of a type described 
in Sec. 50.21(b) (2) or (3) or Sec. 50.22 or is a testing facility, may 
include conditions to protect the environment to be set out in an 
attachment to the license which is incorporated in and made a part of 
the license. These conditions will be derived from information contained 
in the environmental report and the supplement to the environmental 
report submitted pursuant to Secs. 51.50 and 51.53 of this chapter as 
analyzed and evaluated in the NRC record of decision, and will identify 
the obligations of the licensee in the environmental area, including, as 
appropriate, requirements for reporting and keeping records of 
environmental data, and any conditions and monitoring requirement for 
the protection of the nonaquatic environment.

[61 FR 39299, July 29, 1996]



Sec. 50.37   Agreement limiting access to Restricted Data.

    As part of his application and in any event prior to the receipt of 
Restricted Data or the issuance of a license or construction permit, the 
applicant shall agree in writing that he will not permit any individual 
to have access to Restricted Data until the Civil Service Commission 
shall have made an investigation and report to the Commission on the 
character, associations, and loyalty of such individual, and the 
Commission shall have determined that permitting such person to have 
access to Restricted Data will not endanger the common defense and 
security. The agreement of the applicant in this regard shall be deemed 
part of the license or construction permit, whether so stated therein or 
not.



Sec. 50.38   Ineligibility of certain applicants.

    Any person who is a citizen, national, or agent of a foreign 
country, or any corporation, or other entity which the Commission knows 
or has reason to believe is owned, controlled, or dominated by an alien, 
a foreign corporation, or a foreign government, shall be ineligible to 
apply for and obtain a license.

[21 FR 355, Jan. 16, 1956, as amended at 43 FR 6924, Feb. 17, 1978]



Sec. 50.39   Public inspection of applications.

    Applications and documents submitted to the Commission in connection 
with applications may be made available for public inspection in 
accordance with the provisions of the regulations contained in part 2 of 
this chapter.

             Standards for Licenses and Construction Permits



Sec. 50.40   Common standards.

    In determining that a license will be issued to an applicant, the 
Commission will be guided by the following considerations:
    (a) The processes to be performed, the operating procedures, the 
facility and equipment, the use of the facility, and other technical 
specifications, or the proposals, in regard to any of the foregoing 
collectively provide reasonable assurance that the applicant will comply 
with the regulations in this chapter, including the regulations in part 
20, and that the health and safety of the public will not be endangered.
    (b) The applicant is technically and financially qualified to engage 
in the proposed activities in accordance with the regulations in this 
chapter. However, no consideration of financial qualification is 
necessary for an electric utility applicant for an operating license for 
a utilization facility of the type described in Sec. 50.21(b) or 
Sec. 50.22.

[[Page 658]]

    (c) The issuance of a license to the applicant will not, in the 
opinion of the Commission, be inimical to the common defense and 
security or to the health and safety of the public.
    (d) Any applicable requirements of subpart A of part 51 have been 
satisfied.

[21 FR 355, Jan. 19, 1956, as amended at 36 FR 12731, July 7, 1971; 49 
FR 9404, Mar. 12, 1984; 49 FR 35753, Sept. 12, 1984]



Sec. 50.41   Additional standards for class 104 licenses.

    In determining that a class 104 license will be issued to an 
applicant, the Commission will, in addition to applying the standards 
set forth in Sec. 50.40 be guided by the following considerations:
    (a) The Commission will permit the widest amount of effective 
medical therapy possible with the amount of special nuclear material 
available for such purposes.
    (b) The Commission will permit the conduct of widespread and diverse 
research and development.
    (c) An application for a class 104 operating license as to which a 
person who intervened or sought by timely written notice to the 
Commission to intervene in the construction permit proceeding for the 
facility to obtain a determination of antitrust considerations or to 
advance a jurisdictional basis for such determination has requested an 
antitrust review under section 105 of the Act within 25 days after the 
date of publication in the Federal Register of notice of filing of the 
application for an operating license or December 19, 1970, whichever is 
later, is also subject to the provisions of Sec. 50.42(b).

[21 FR 355, Jan. 19, 1956, as amended at 35 FR 19660, Dec. 29, 1970]



Sec. 50.42   Additional standards for class 103 licenses.

    In determining whether a class 103 license will be issued to an 
applicant, the Commission will, in addition to applying the standards 
set forth in Sec. 50.40, be guided by the following considerations:
    (a) The proposed activities will serve a useful purpose 
proportionate to the quantities of special nuclear material or source 
material to be utilized.
    (b) Due account will be taken of the advice provided by the Attorney 
General, pursuant to subsection 105c of the Act, and to such evidence as 
may be provided during any proceedings in connection with the antitrust 
aspects of the application. For this purpose, the Commission will 
promptly transmit to the Attorney General a copy of the license 
application, and request such advice as the Attorney General determines 
to be appropriate in regard to the finding to be made by the Commission 
as to whether the proposed license would create or maintain a situation 
inconsistent with the antitrust laws, as specified in subsection 105a of 
the Act: Provided, That this requirement will not apply with respect to 
the types of class 103 licenses which the Commission, with the approval 
of the Attorney General, may determine would not significantly affect 
the applicant's activities under the antitrust laws: And provided 
further, That this requirement will not apply to an application for a 
license to operate a production or utilization facility for which a 
class 103 construction permit was issued unless the Commission, after 
consultation with the Attorney General, determines such review is 
advisable on the ground that significant changes in the licensee's 
activities or proposed activities have occurred subsequent to the 
previous review by the Attorney General and the Commission. Upon receipt 
of the Attorney General's advice, the Commission will cause such advice 
to be published in the Federal Register. After consideration of the 
antitrust aspects of the application, the Commission, if it finds that 
the license to be issued or continued, would create or maintain a 
situation inconsistent with the antitrust laws as specified in 
subsection 105a of the Act, will consider, in determining whether a 
license should be issued or continued, such other factors as the 
Commission in its judgment deems necessary to protect the public 
interest, including the need for power in the affected area.\1\
---------------------------------------------------------------------------

    \1\ As permitted by subsection 105c(8) of the Act, with respect to 
proceedings in which an application for a construction permit was filed 
prior to Dec. 19, 1970, and proceedings in which a written request for 
antitrust review of an application for an operating license to be issued 
under section 104b has been made by a person who intervened or sought by 
timely written notice to the Atomic Energy Commission to intervene in 
the construction permit proceeding for the facility to obtain a 
determination of antitrust considerations or to advance a jurisdictional 
basis for such determination within 25 days after the date of 
publication in the Federal Register of notice of filing of the 
application for an operating license or Dec. 19, 1970, whichever is 
later, the Commission may issue a construction permit or operating 
license in advance of consideration of, and findings with respect to the 
antitrust aspects of the application, provided that the permit or 
license so issued contains the condition specified in Sec. 50.55b.


[[Page 659]]


---------------------------------------------------------------------------

[21 FR 355, Jan. 19, 1956, as amended at 35 FR 11461, July 17, 1970; 35 
FR 19660, Dec. 29, 1970]



Sec. 50.43   Additional standards and provisions affecting class 103 licenses for commercial power.

    In addition to applying the standards set forth in Secs. 50.40 and 
50.42, in the case of a class 103 license for a facility for the 
generation of commercial power:
    (a) The Commission will give notice in writing of each application 
to such regulatory agency as may have jurisdiction over the rates and 
services incident to the proposed activity; will publish notice of the 
application in such trade or news publications as it deems appropriate 
to give reasonable notice to municipalities, private utilities, public 
bodies, and cooperatives which might have a potential interest in such 
utilization or production facility; and will publish notice of the 
application once each week for 4 consecutive weeks in the Federal 
Register. No license will be issued by the Commission prior to the 
giving of such notices and until 4 weeks after the last publication in 
the Federal Register.
    (b) If there are conflicting applications for a limited opportunity 
for such license, the Commission will give preferred consideration in 
the following order: First, to applications submitted by public or 
cooperative bodies for facilities to be located in high cost power areas 
in the United States; second, to applications submitted by others for 
facilities to be located in such areas; third, to applications submitted 
by public or cooperative bodies for facilities to be located in other 
than high cost power areas; and, fourth, to all other applicants.
    (c) The licensee who transmits electric energy in interstate 
commerce, or sells it at wholesale in interstate commerce, shall be 
subject to the regulatory provisions of the Federal Power Act.
    (d) Nothing herein shall preclude any government agency, now or 
hereafter authorized by law to engage in the production, marketing, or 
distribution of electric energy, if otherwise qualified, from obtaining 
a license for the construction and operation of a utilization facility 
for the primary purpose of producing electric energy for disposition for 
ultimate public consumption.

[21 FR 355, Jan. 19, 1956, as amended at 35 FR 19660, Dec. 29, 1970]



Sec. 50.44  Standards for combustible gas control system in light-water-cooled power reactors.

    (a) Each boiling or pressurized light-water nuclear power reactor 
fueled with oxide pellets within cylindrical zircaloy or ZIRLO cladding, 
must, as provided in paragraphs (b) through (d) of this section, include 
means for control of hydrogen gas that may be generated, following a 
postulated loss-of-coolant accident (LOCA) by--
    (1) Metal-water reaction involving the fuel cladding and the reactor 
coolant,
    (2) Radiolytic decomposition of the reactor coolant, and
    (3) Corrosion of metals.

This section does not apply to a nuclear power reactor facility for 
which the certifications required under Sec. 50.82(a)(1) have been 
submitted.
    (b) Each boiling or pressurized light-water nuclear power reactor 
fueled with oxide pellets within cylindrical zircaloy or ZIRLO cladding 
must be provided with the capability for--
    (1) Measuring the hydrogen concentration in the containment,
    (2) Insuring a mixed atmosphere in the containment, and
    (3) Controlling combustible gas concentrations in the containment 
following a postulated LOCA.
    (c)(1) For each boiling or pressurized light-water nuclear power 
reactor

[[Page 660]]

fueled with oxide pellets within cylindrical zircaloy or ZIRLO cladding, 
it must be shown that during the time period following a postulated 
LOCA, but prior to effective operation of the combustible gas control 
system, either:
    (i) An uncontrolled hydrogen-oxygen recombination would not take 
place in the containment; or
    (ii) The plant could withstand the consequences of uncontrolled 
hydrogen-oxygen recombination without loss of safety function.
    (2) If the conditions set out in paragraph (c)(1) of this section 
cannot be shown, the containment shall be provided with an inerted or an 
oxygen deficient atmosphere in order to provide protection against 
hydrogen burning and explosions during the time period specified in 
paragraph (c)(1) of this section.
    (3) Notwithstanding paragraphs (c)(1) and (c)(2) of this section:
    (i) Effective May 4, 1982 or 6 months after initial criticality, 
whichever is later, an inerted atmosphere shall be provided for each 
boiling light-water nuclear power reactor with a Mark I or Mark II type 
containment; and
    (ii) By the end of the first scheduled outage beginning after July 
5, 1982 and of sufficient duration to permit required modifications, 
each light-water nuclear power reactor that relies upon a purge/
repressurization system as the primary means for controlling combustible 
gases following a LOCA shall be provided with either an internal 
recombiner or the capability to install an external recombiner following 
the start of an accident. The internal or external recombiners must meet 
the combustible gas control requirements in paragraph (d) of this 
section. The containment penetrations used for external recombiners must 
either be:
    (A) Dedicated to that service only, conform to the requirements of 
Criteria 54 and 56 of appendix A of this part, be designed against 
postulated single failures for containment isolation purposes, and be 
sized to satisfy the flow requirements of the external recombiners, or
    (B) Of a combined design for use by either external recombiners or 
purge/repressurization systems and other systems, conform to the 
requirements of criteria 54 and 56 of appendix A of this part, be 
designed against postulated single failures both for containment 
isolation purposes and for operation of the external recombiners or 
purge/repressurization systems, and be sized to satisfy the flow 
requirements of the external recombiners or purge repressurization 
systems.
    (iii) To provide improved operational capability to maintain 
adequate core cooling following an accident, by the end of the first 
scheduled outage beginning after July 1, 1982 and of sufficient duration 
to permit required modifications, each light-water nuclear power reactor 
shall be provided with high point vents for the reactor coolant system, 
for the reactor vessel head, and for other systems required to maintain 
adequate core cooling if the accumulation of noncondensible gases would 
cause the loss of function of these systems. (High point vents are not 
required, however, for the tubes in U-tube steam generators.) The high 
point vents must be remotely operated from the control room. Since these 
vents form a part of the reactor coolant pressure boundary, the design 
of the vents and associated controls, instruments and power sources must 
conform to the requirements of appendix A and appendix B of this part. 
In particular, the vent system shall be designed to ensure a low 
probability that (A) the vents will not perform their safety functions 
and (B) there would be inadvertent or irreversible actuation of a vent. 
Furthermore, the use of these vents during and following an accident 
must not aggravate the challenge to the containment or the course of the 
accident.
    (iv) (A) Each licensee with a boiling light-water nuclear power 
reactor with a Mark III type of containment and each licensee with a 
pressurized light-water nuclear power reactor with an ice condenser type 
of containment issued a construction permit before March 28, 1979, shall 
provide its nuclear power reactor with a hydrogen control system 
justified by a suitable program of experiment and analysis. The hydrogen 
control system must be capable of handling without loss of containment 
structural integrity an amount of hydrogen equivalent to that generated 
from a metal-water reaction involving

[[Page 661]]

75% of the fuel cladding surrounding the active fuel region (excluding 
the cladding surrounding the plenum volume).
    (B) Containment structural integrity must be demonstrated by use of 
an analytical technique that is accepted by the NRC staff. This 
demonstration must include sufficient supporting justification to show 
that the technique describes the containment response to the structural 
loads involved. This method could include the use of actual material 
properties with suitable margins to account for uncertainties in 
modeling, in material properties, in construction tolerances, and so on. 
Another method could include a showing that the following specific 
criteria of the ASME Boiler and Pressure Vessel Code are met:
    (1) That steel containments meet the requirements of the ASME Boiler 
and Pressure Vessel Code (Edition and Addenda as incorporated by 
reference in Sec. 50.55a(b)(1) of this part), specifically in Section 
III, Division 1, Subsubarticle NE-3220, Service Level C Limits, 
considering pressure and dead load alone (evaluation of instability is 
not required); and
    (2) That concrete containments meet the requirements of the ASME 
Boiler and Pressure vessel Code, Section III, Division 2, Subsubarticle 
CC-3720, Factored Load Category, considering pressure and dead load 
alone.
    (C) Subsubarticle NE-3220, Divisin 1, and Subsubarticle CC-3720, 
Division 2, of Section III of the ASME Boiler and Pressure Vessel Code, 
referenced in paragraphs (c)(3)(iv)(B)(1) and (c)(3)(iv)(B)(2) of this 
section, have been approved for incorporation by reference by the 
Director of the Office of the Federal Register. A notice of any changes 
made to the material incorporated by reference will be published in the 
Federal Register. Copies of the ASME Boiler and Pressure Vessel Code may 
be purchased from the American Society of Mechanical Engineers, United 
Engineering Center, 345 East 47th Street, New York, N.Y. 10017. It is 
also available for inspection at the Nuclear Regulatory Commission's 
Public Document Room, 2120 L Street, NW., Washington, DC.
    (D) If the hydrogen control system relies on post-accident inerting, 
the containment structure must be capable of withstanding the increased 
pressure:
    (1) During the accident, where it is acceptable to show that it does 
not exceed Service Level C Limits or the Factored load Category (as 
described in paragraph (c)(3)(iv)(B) of this section; and
    (2) Following inadvertent full inerting during normal plant 
operations, where it is acceptable to show that it does not exceed 
either the Service Level A Limits of Subsubarticle NE-3220 (for a steel 
containment) or the Service Load Category of Subsubarticle CC-3720 (for 
a concrete containment.)
    (3) Modest deviations from the criteria in paragraph (c)(3)(iv)(D) 
of this section will be considered by the Commission if good cause is 
shown.
    (E) If the hydrogen control system relies on post-accident inerting, 
the systems and components required to establish and maintain safe 
shutdown and containment integrity must be designed and qualified for 
the environment caused by such inerting. Furthermore, inadvertent full 
inerting during normal plant operations must not adversely affect 
systems and components needed for safe operation of the plant.
    (v) (A) Each licensee with a boiling light-water nuclear power 
reactor with a Mark III type of containment and each licensee with a 
pressurized light-water nuclear power reactor with an ice condenser type 
of containment issued a construction permit before March 28, 1979, for a 
reactor that does not rely upon an inerted atmosphere to control 
hydrogen inside the containment, shall provide its nuclear power reactor 
with systems and components necessary to establish and maintain safe 
shutdown and to maintain containment integrity. These systems and 
components must be capable of performing their functions during and 
after exposure to the environmental conditions created by the burning of 
hydrogen. Environmental conditions caused by local detonations of 
hydrogen must also be included, unless such detonations can be shown 
unlikely to occur.

[[Page 662]]

    (B) The amount of hydrogen to be considered is equivalent to that 
generated from a metal-water reaction involving 75% of the fuel cladding 
surrounding the active fuel region (excluding the cladding surrounding 
the plenum volume).
    (vi)(A) Each applicant for or holder of an operating license for a 
boiling light-water nuclear power reactor with a Mark III type of 
containment or for a pressurized light-water nuclear power reactor with 
an ice condenser type of containment issued a construction permit before 
March 28, 1979, shall submit an analysis to the Commission as specified 
in Sec. 50.4.
    (B) The analysis required by paragraph (c)(3)(vi)(A) of this section 
must:
    (1) Provide an evaluation of the consequences of large amounts of 
hydrogen generated after the start of an accident (hydrogen resulting 
from the metal-water reaction of up to and including 75% of the fuel 
cladding surrounding the active fuel region, excluding the cladding 
surrounding the plenum volume) and include consideration of hydrogen 
control measures as appropriate;
    (2) Include the period of recovery from the degraded condition;
    (3) Use accident scenarios that are accepted by the NRC staff. These 
scenarios must be accompanied by sufficient supporting justification to 
show that they describe the behavior of the reactor system during and 
following an accident resulting in a degraded core.
    (4) Support the design of the hydrogen control system selected under 
paragraph (c)(3)(iv) of this section; and,
    (5) Show that for those reactors described in paragraph (c)(3)(iv) 
of this section that do not rely upon an inerted atmosphere to control 
hydrogen inside the containment:
    (i) The containment structural integrity as described in paragraph 
(c)(3)(iv) of this section will be maintained; and
    (ii) Systems and components necessary to establish and maintain safe 
shutdown and to maintain containment integrity will be capable of 
performing their functions during and after exposure to the 
environmental conditions created by the burning of hydrogen, including 
the effect of local detonations, unless such detonations can be shown 
unlikely to occur.
    (vii)(A) By June 25, 1985, each applicant for or holder of an 
operating license subject to the requirements of paragraphs (c)(3) (iv), 
(v) and (vi) of this section shall develop and submit to the Commission 
a proposed schedule for meeting these requirements. The schedule may be 
developed using integrated scheduling systems previously approved for 
the facility by the NRC.
    (B) For each applicant for an operating license as of Febuary 25, 
1985, the schedule shall provide for compliance with the requirements of 
paragraph (c)(3)(iv)(A) of this section prior to operation of the 
reactor in excess of 5 percent power. Completed final analyses are not 
necessary for a staff determination that a plant is safe to operate at 
full power provided that prior to such operation an applicant has 
provided a preliminary analysis which the staff has determined provides 
a satisfactory basis for a decision to support interim operation at full 
power until the final analysis has been completed. However, the record 
in this rulemaking shows that such preliminary analyses are not 
necessary for a staff determination that a plant is safe to operate at 
full power if the staff has determined for similar plants, referenced in 
this notice of rulemaking, that similar systems provide a satisfactory 
basis for a decision to support operation at full power until the 
preliminary analyses have been completed.
    (C) For those holders of operating licenses containing license 
conditions on Hydrogen Control Measures covered by this section, the 
schedule shall be consistent with those license conditions, or approved 
amendments thereto.
    (D) For those facilities not having an NRC approved integrated 
scheduling system, a final schedule for meeting the requirements of 
paragraphs (c)(3) (iv), (v) and (vi) of this section shall be 
established by the NRC staff within 90 days of receipt of a proposed 
schedule from the licensee or applicant, taking into account the current 
status of efforts at the facility to comply with the requirements; 
analyses that may be

[[Page 663]]

provided by applicants or licensees regarding the impacts of these 
requirements on other scheduled plant modifications, including any NRC-
mandated safety modifications, and their relative importance to safety; 
and the Commission's objective that these requirements be complied with 
without undue delay.
    (d)(1) For facilities that are in compliance with Sec. 50.46(b), the 
amount of hydrogen contributed by core metal-water reaction (percentage 
of fuel cladding that reacts with water), as a result of degradation, 
but not total failure, of emergency core cooling functioning shall be 
assumed either to be five times the total amount of hydrogen calculated 
in demonstrating compliance with Sec. 50.46(b)(3), or to be the amount 
that would result from reaction of all the metal in the outside surfaces 
of the cladding cylinders surrounding the fuel (excluding the cladding 
surrounding the plenum volume) to a depth of 0.00023 inch (0.0058 mm), 
whichever amount is greater. A time period of 2 minutes shall be used as 
the interval after the postulated LOCA over which the metal-water 
reaction occurs.
    (2) For facilities as to which no evaluation of compliance in 
accordance with Sec. 50.46(b) has been submitted and evaluated, the 
amounts of hydrogen so contributed shall be assumed to be that amount 
resulting from the reaction of 5 percent of the mass of metal in the 
cladding cylinders surrounding the fuel, excluding the cladding 
surrounding the plenum volume.
    (e) For facilities whose notice of hearing on the application for a 
construction permit was published on or after November 5, 1970, purging 
and/or repressurization shall not be the primary means for controlling 
combustible gases following a LOCA. However, the capability for 
controlled purging shall be provided. For these facilities, the primary 
means for controlling combustible gases following a LOCA shall consist 
of a combustible gas control system, such as recombiners, that does not 
result in a significant release from containment.
    (f) For facilities with respect to which the notice of hearing on 
the application for a construction permit was published between December 
22, 1968, and November 5, 1970, if the incremental radiation dose from 
purging (and repressurization if a repressurization system is provided) 
occurring at all points beyond the exclusion area boundary after a 
postulated LOCA calculated in accordance with Sec. 100.11(a)(2) of this 
chapter is less than 2.5 rem to the whole body and less than 30 rem to 
the thyroid, and if the combined radiation dose at the low population 
zone outer boundary from purging and the postulated LOCA calculated in 
accordance with Sec. 100.11(a)(2) of this chapter is less than 25 rem to 
the whole body and less than 300 rem to the thyroid, only a purging 
system is necessary, provided that the purging system and any filtration 
system associated with it are designed to conform with the general 
requirements of Criteria 41, 42, and 43 of appendix A to this part. 
Otherwise the facility shall be provided with another type of 
combustible gas control system (a repressurization system is acceptable) 
designed to conform with the general requirements of Criteria 41, 42, 
and 43 of appendix A to this part. If a purge system is used as part of 
the repressurization system, the purge system shall be designed to 
conform with the general requirements of Criteria 41, 42, and 43 of 
appendix A to this part. The containment shall not be repressurized 
beyond 50 percent of the containment design pressure.
    (g) For facilities with respect to which the notice of hearing on 
the application for a construction permit was published on or before 
December 22, 1968, if the combined radiation dose at the low population 
zone outer boundary from purging (and repressurization if a 
repressurization system is provided) and the postulated LOCA calculated 
in accordance with Sec. 100.11(a)(2) of this chapter is less than 25 rem 
to the whole body and less than 300 rem to the thyroid, only a purging 
system is necessary, provided that the purging system and any filtration 
system associated with it are designed to conform with the general 
requirements of Criteria 41, 42, and 43 of appendix A to this part. 
Otherwise, the facility shall be provided with another type of 
combustible gas control system (a repressurization system is acceptable)

[[Page 664]]

designed to conform with the general requirements of Criteria 41, 42, 
and 43 of appendix A to this part. If a purge system is used as part of 
the repressurization system, it shall be designed to conform with the 
general requirements of Criteria 41, 42, and 43 of appendix A to this 
part. The containment shall not be repressurized beyond 50 percent of 
the containment design pressure.
    (h) As used in this section: (1) Degradation, but not total failure, 
of emergency core cooling functioning means that the performance of the 
emergency core cooling system is postulated, for purposes of design of 
the combustible gas control system, not to meet the acceptance criteria 
in Sec. 50.46 and that there could be localized clad melting and metal-
water reaction to the extent postulated in paragraph (d) of this 
section. The degree of performance degradation is not postulated to be 
sufficient to cause core meltdown.
    (2) A combustible gas control system is a system that operates after 
a LOCA to maintain the concentrations of combustible gases within the 
containment, such as hydrogen, below flammability limits. Combustible 
gas control systems are of two types: (i) Systems that allow controlled 
release from containment, through filters if necessary, such as purging 
systems and repressurization systems, and (ii) systems that do not 
result in a significant release from containment such as recombiners.
    (3) A purging system is a system for the controlled release of the 
containment atmosphere to the environment through filters if needed.
    (4) A repressurization system is a system used to dilute the 
concentration of combustible gas within containment by adding inert gas 
or air to the containment. Dilution of the combustible gas results in a 
delay in time until a flammable concentration is reached and permits 
fission product decay. Operation is limited to a containment 
repressurization to 50 percent of the containment design pressure. A 
purging system is normally part of the repressurization system.

[43 FR 50163, Oct. 27, 1978, as amended at 46 FR 58486, Dec. 2, 1981; 50 
FR 3504, Jan. 25, 1985; 50 FR 5567, Feb. 11, 1985; 51 FR 40308, Nov. 6, 
1986; 53 FR 43420, Oct. 27, 1988; 57 FR 39358, Aug. 31, 1992, 61 FR 
39299, July 29, 1996]



Sec. 50.45  Standards for construction permits.

    An applicant for a license or an amendment of a license who proposes 
to construct or alter a production or utilization facility will be 
initially granted a construction permit, if the application is in 
conformity with and acceptable under the criteria of Secs. 50.31 through 
50.38 and the standards of Secs. 50.40 through 50.43.



Sec. 50.46   Acceptance criteria for emergency core cooling systems for light-water nuclear power reactors.

    (a)(1)(i) Each boiling or pressurized light-water nuclear power 
reactor fueled with uranium oxide pellets within cylindrical zircaloy or 
ZIRLO cladding must be provided with an emergency core cooling system 
(ECCS) that must be designed so that its calculated cooling performance 
following postulated loss-of-coolant accidents conforms to the criteria 
set forth in paragraph (b) of this section. ECCS cooling performance 
must be calculated in accordance with an acceptable evaluation model and 
must be calculated for a number of postulated loss-of-coolant accidents 
of different sizes, locations, and other properties sufficient to 
provide assurance that the most severe postulated loss-of-coolant 
accidents are calculated. Except as provided in paragraph (a)(1)(ii) of 
this section, the evaluation model must include sufficient supporting 
justification to show that the analytical technique realistically 
describes the behavior of the reactor system during a loss-of-coolant 
accident. Comparisons to applicable experimental data must be made and 
uncertainties in the analysis method and inputs must be identified and 
assessed so that the uncertainty in the calculated results can be 
estimated. This uncertainty must be accounted for, so

[[Page 665]]

that, when the calculated ECCS cooling performance is compared to the 
criteria set forth in paragraph (b) of this section, there is a high 
level of probability that the criteria would not be exceeded. Appendix 
K, Part II Required Documentation, sets forth the documentation 
requirements for each evaluation model. This section does not apply to a 
nuclear power reactor facility for which the certifications required 
under Sec. 50.82(a)(1) have been submitted.
    (ii) Alternatively, an ECCS evaluation model may be developed in 
conformance with the required and acceptable features of appendix K ECCS 
Evaluation Models.
    (2) The Director of Nuclear Reactor Regulations may impose 
restrictions on reactor operation if it is found that the evaluations of 
ECCS cooling performance submitted are not consistent with paragraphs 
(a)(1) (i) and (ii) of this section.
    (3)(i) Each applicant for or holder of an operating license or 
construction permit shall estimate the effect of any change to or error 
in an acceptable evaluation model or in the application of such a model 
to determine if the change or error is significant. For this purpose, a 
significant change or error is one which results in a calculated peak 
fuel cladding temperature different by more than 50 deg.F from the 
temperature calculated for the limiting transient using the last 
acceptable model, or is a cumulation of changes and errors such that the 
sum of the absolute magnitudes of the respective temperature changes is 
greater than 50 deg.F.
    (ii) For each change to or error discovered in an acceptable 
evaluation model or in the application of such a model that affects the 
temperature calculation, the applicant or licensee shall report the 
nature of the change or error and its estimated effect on the limiting 
ECCS analysis to the Commission at least annually as specified in 
Sec. 50.4. If the change or error is signficant, the applicant or 
licensee shall provide this report within 30 days and include with the 
report a proposed schedule for providing a reanalysis or taking other 
action as may be needed to show compliance with Sec. 50.46 requirements. 
This schedule may be developed using an integrated scheduling system 
previously approved for the facility by the NRC. For those facilities 
not using an NRC approved integrated scheduling system, a schedule will 
be established by the NRC staff within 60 days of receipt of the 
proposed schedule. Any change or error correction that results in a 
calculated ECCS performance that does not conform to the criteria set 
forth in paragraph (b) of this section is a reportable event as 
described in Secs. 50.55(e), 50.72 and 50.73. The affected applicant or 
licensee shall propose immediate steps to demonstrate compliance or 
bring plant design or operation into compliance with Sec. 50.46 
requirements.
    (b)(1) Peak cladding temperature. The calculated maximum fuel 
element cladding temperature shall not exceed 2200 deg. F.
    (2) Maximum cladding oxidation. The calculated total oxidation of 
the cladding shall nowhere exceed 0.17 times the total cladding 
thickness before oxidation. As used in this subparagraph total oxidation 
means the total thickness of cladding metal that would be locally 
converted to oxide if all the oxygen absorbed by and reacted with the 
cladding locally were converted to stoichiometric zirconium dioxide. If 
cladding rupture is calculated to occur, the inside surfaces of the 
cladding shall be included in the oxidation, beginning at the calculated 
time of rupture. Cladding thickness before oxidation means the radial 
distance from inside to outside the cladding, after any calculated 
rupture or swelling has occurred but before significant oxidation. Where 
the calculated conditions of transient pressure and temperature lead to 
a prediction of cladding swelling, with or without cladding rupture, the 
unoxidized cladding thickness shall be defined as the cladding cross-
sectional area, taken at a horizontal plane at the elevation of the 
rupture, if it occurs, or at the elevation of the highest cladding 
temperature if no rupture is calculated to occur, divided by the average 
circumference at that elevation. For ruptured cladding the circumference 
does not include the rupture opening.
    (3) Maximum hydrogen generation. The calculated total amount of 
hydrogen

[[Page 666]]

generated from the chemical reaction of the cladding with water or steam 
shall not exceed 0.01 times the hypothetical amount that would be 
generated if all of the metal in the cladding cylinders surrounding the 
fuel, excluding the cladding surrounding the plenum volume, were to 
react.
    (4) Coolable geometry. Calculated changes in core geometry shall be 
such that the core remains amenable to cooling.
    (5) Long-term cooling. After any calculated successful initial 
operation of the ECCS, the calculated core temperature shall be 
maintained at an acceptably low value and decay heat shall be removed 
for the extended period of time required by the long-lived radioactivity 
remaining in the core.
    (c) As used in this section: (1) Loss-of-coolant accidents (LOCA's) 
are hypothetical accidents that would result from the loss of reactor 
coolant, at a rate in excess of the capability of the reactor coolant 
makeup system, from breaks in pipes in the reactor coolant pressure 
boundary up to and including a break equivalent in size to the double-
ended rupture of the largest pipe in the reactor coolant system.
    (2) An evaluation model is the calculational framework for 
evaluating the behavior of the reactor system during a postulated loss-
of-coolant accident (LOCA). It includes one or more computer programs 
and all other information necessary for application of the calculational 
framework to a specific LOCA, such as mathematical models used, 
assumptions included in the programs, procedure for treating the program 
input and output information, specification of those portions of 
analysis not included in computer programs, values of parameters, and 
all other information necessary to specify the calculational procedure.
    (d) The requirements of this section are in addition to any other 
requirements applicable to ECCS set forth in this part. The criteria set 
forth in paragraph (b), with cooling performance calculated in 
accordance with an acceptable evaluation model, are in implementation of 
the general requirements with respect to ECCS cooling performance design 
set forth in this part, including in particular Criterion 35 of appendix 
A.

[39 FR 1002, Jan. 4, 1974, as amended at 53 FR 36004, Sept. 16, 1988; 57 
FR 39358, Aug. 31, 1992; 61 FR 39299, July 29, 1996]



Sec. 50.47  Emergency plans.

    (a)(1) Except as provided in paragraph (d) of this section, no 
initial operating license for a nuclear power reactor will be issued 
unless a finding is made by the NRC that there is reasonable assurance 
that adequate protective measures can and will be taken in the event of 
a radiological emergency. No finding under this section is necessary for 
issuance of a renewed nuclear power reactor operating license.
    (2) The NRC will base its finding on a review of the Federal 
Emergency Management Agency (FEMA) findings and determinations as to 
whether State and local emergency plans are adequate and whether there 
is reasonable assurance that they can be implemented, and on the NRC 
assessment as to whether the applicant's onsite emergency plans are 
adequate and whether there is reasonable assurance that they can be 
implemented. A FEMA finding will primarily be based on a review of the 
plans. Any other information already available to FEMA may be considered 
in assessing whether there is reasonable assurance that the plans can be 
implemented. In any NRC licensing proceeding, a FEMA finding will 
constitute a rebuttable presumption on questions of adequacy and 
implementation capability.
    (b) The onsite and, except as provided in paragraph (d) of this 
section, offsite emergency response plans for nuclear power reactors 
must meet the following standards:
    (1) Primary responsibilities for emergency response by the nuclear 
facility licensee and by State and local organizations within the 
Emergency Planning Zones have been assigned, the emergency 
responsibilities of the various supporting organizations have been 
specifically established, and each principal response organization has 
staff to respond and to augment its initial response on a continuous 
basis.
    (2) On-shift facility licensee responsibilities for emergency 
response are

[[Page 667]]

unambiguously defined, adequate staffing to provide initial facility 
accident response in key functional areas is maintained at all times, 
timely augmentation of response capabilities is available and the 
interfaces among various onsite response activities and offsite support 
and response activities are specified.
    (3) Arrangements for requesting and effectively using assistance 
resources have been made, arrangements to accommodate State and local 
staff at the licensee's near-site Emergency Operations Facility have 
been made, and other organizations capable of augmenting the planned 
response have been identified.
    (4) A standard emergency classification and action level scheme, the 
bases of which include facility system and effluent parameters, is in 
use by the nuclear facility licensee, and State and local response plans 
call for reliance on information provided by facility licensees for 
determinations of minimum initial offsite response measures.
    (5) Procedures have been established for notification, by the 
licensee, of State and local response organizations and for notification 
of emergency personnel by all organizations; the content of initial and 
followup messages to response organizations and the public has been 
established; and means to provide early notification and clear 
instruction to the populace within the plume exposure pathway Emergency 
Planning Zone have been established.
    (6) Provisions exist for prompt communications among principal 
response organizations to emergency personnel and to the public.
    (7) Information is made available to the public on a periodic basis 
on how they will be notified and what their initial actions should be in 
an emergency (e.g., listening to a local broadcast station and remaining 
indoors), the principal points of contact with the news media for 
dissemination of information during an emergency (including the physical 
location or locations) are established in advance, and procedures for 
coordinated dissemination of information to the public are established.
    (8) Adequate emergency facilities and equipment to support the 
emergency response are provided and maintained.
    (9) Adequate methods, systems, and equipment for assessing and 
monitoring actual or potential offsite consequences of a radiological 
emergency condition are in use.
    (10) A range of protective actions have been developed for the plume 
exposure pathway EPZ for emergency workers and the public. Guidelines 
for the choice of protective actions during an emergency, consistent 
with Federal guidance, are developed and in place, and protective 
actions for the ingestion exposure pathway EPZ appropriate to the locale 
have been developed.
    (11) Means for controlling radiological exposures, in an emergency, 
are established for emergency workers. The means for controlling 
radiological exposures shall include exposure guidelines consistent with 
EPA Emergency Worker and Lifesaving Activity Protective Action Guides.
    (12) Arrangements are made for medical services for contaminated 
injured individuals.
    (13) General plans for recovery and reentry are developed.
    (14) Periodic exercises are (will be) conducted to evaluate major 
portions of emergency response capabilities, periodic drills are (will 
be) conducted to develop and maintain key skills, and deficiencies 
identified as a result of exercises or drills are (will be) corrected.
    (15) Radiological emergency response training is provided to those 
who may be called on to assist in an emergency.
    (16) Responsibilities for plan development and review and for 
distribution of emergency plans are established, and planners are 
properly trained.
    (c)(1) Failure to meet the applicable standards set forth in 
paragraph (b) of this section may result in the Commission declining to 
issue an operating license; however, the applicant will have an 
opportunity to demonstrate to the satisfaction of the Commission that 
deficiencies in the plans are not significant for the plant in question, 
that adequate interim compensating actions have been or will be taken 
promptly, or that there are other compelling reasons to permit plant 
operations. Where an applicant for an operating license asserts that its 
inability to demonstrate compliance with the requirements of paragraph 
(b) of this section

[[Page 668]]

results wholly or substantially from the decision of state and/or local 
governments not to participate further in emergency planning, an 
operating license may be issued if the applicant demonstrates to the 
Commission's satisfaction that:
    (i) The applicant's inability to comply with the requirements of 
paragraph (b) of this section is wholly or substantially the result of 
the non-participation of state and/or local governments.
    (ii) The applicant has made a sustained, good faith effort to secure 
and retain the participation of the pertinent state and/or local 
governmental authorities, including the furnishing of copies of its 
emergency plan.
    (iii) The applicant's emergency plan provides reasonable assurance 
that public health and safety is not endangered by operation of the 
facility concerned. To make that finding, the applicant must demonstrate 
that, as outlined below, adequate protective measures can and will be 
taken in the event of an emergency. A utility plan will be evaluated 
against the same planning standards applicable to a state or local plan, 
as listed in paragraph (b) of this section, with due allowance made both 
for--
    (A) Those elements for which state and/or local non-participation 
makes compliance infeasible and
    (B) The utility's measures designed to compensate for any 
deficiencies resulting from state and/or local non-participation.

In making its determination on the adequacy of a utility plan, the NRC 
will recognize the reality that in an actual emergency, state and local 
government officials will exercise their best efforts to protect the 
health and safety of the public. The NRC will determine the adequacy of 
that expected response, in combination with the utility's compensating 
measures, on a case-by-case basis, subject to the following guidance. In 
addressing the circumstance where applicant's inability to comply with 
the requirements of paragraph (b) of this section is wholly or 
substantially the result of non-participation of state and/or local 
governments, it may be presumed that in the event of an actual 
radiological emergency state and local officials would generally follow 
the utility plan. However, this presumption may be rebutted by, for 
example, a good faith and timely proffer of an adequate and feasible 
state and/or local radiological emergency plan that would in fact be 
relied upon in a radiological emergency.
    (2) Generally, the plume exposure pathway EPZ for nuclear power 
plants shall consist of an area about 10 miles (16 km) in radius and the 
ingestion pathway EPZ shall consist of an area about 50 miles (80 km) in 
radius. The exact size and configuration of the EPZs surrounding a 
particular nuclear power reactor shall be determined in relation to 
local emergency response needs and capabilities as they are affected by 
such conditions as demography, topography, land characteristics, access 
routes, and jurisdictional boundaries. The size of the EPZs also may be 
determined on a case-by-case basis for gas-cooled nuclear reactors and 
for reactors with an authorized power level less than 250 MW thermal. 
The plans for the ingestion pathway shall focus on such actions as are 
appropriate to protect the food ingestion pathway.
    (d) Notwithstanding the requirements of paragraphs (a) and (b) of 
this section, and except as specified by this paragraph, no NRC or FEMA 
review, findings, or determinations concerning the state of offsite 
emergency preparedness or the adequacy of and capability to implement 
State and local or utility offsite emergency plans are required prior to 
issuance of an operating license authorizing only fuel loading or low 
power testing and training (up to 5 percent of the rated power). Insofar 
as emergency planning and preparedness requirements are concerned, a 
license authorizing fuel loading and/or low power testing and training 
may be issued after a finding is made by the NRC that the state of 
onsite emergency preparedness provides reasonable assurance that 
adequate protective measures can and will be taken in the event of a 
radiological emergency. The NRC will base this finding on its assessment 
of the applicant's onsite emergency plans against the pertinent 
standards in paragraph (b) of this section and appendix E. Review of 
applicant's emergency plans will include the

[[Page 669]]

following standards with offsite aspects:
    (1) Arrangements for requesting and effectively using offsite 
assistance on site have been made, arrangements to accommodate State and 
local staff at the licensee's near-site Emergency Operations Facility 
have been made, and other organizations capable of augmenting the 
planned onsite response have been identified.
    (2) Procedures have been established for licensee communications 
with State and local response organizations, including initial 
notification of the declaration of emergency and periodic provision of 
plant and response status reports.
    (3) Provisions exist for prompt communications among principal 
response organizations to offsite emergency personnel who would be 
responding onsite.
    (4) Adequate emergency facilities and equipment to support the 
emergency response onsite are provided and maintained.
    (5) Adequate methods, systems, and equipment for assessing and 
monitoring actual or potential offsite consequences of a radiological 
emergency condition are in use onsite.
    (6) Arrangements are made for medical services for contaminated and 
injured onsite individuals.
    (7) Radiological emergency response training has been made available 
to those offsite who may be called to assist in an emergency onsite.

[45 FR 55409, Aug. 8, 1980, as amended at 47 FR 30235, July 13, 1982; 47 
FR 40537, Sept. 15, 1982; 49 FR 27736, July 6, 1984; 50 FR 19324, May 8, 
1985; 52 FR 42085, Nov. 3, 1987; 53 FR 36959, Sept. 23, 1988; 56 FR 
64976, Dec. 13, 1991; 61 FR 30132, June 14, 1996]



Sec. 50.48  Fire protection.

    (a) Each operating nuclear power plant must have a fire protection 
plan that satisfies Criterion 3 of appendix A of 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 these positions to implement those 
responsibilities, and outline the plans for fire protection, fire 
detection and suppression capability, and limitation of fire damage. The 
plan must also describe specific features necessary to implement the 
program described above, such as administrative controls and personnel 
requirements for fire prevention and manual fire suppression activities, 
automatic and manually operated fire detection and suppression systems, 
and the means to limit fire damage to structures, systems, or components 
important to safety so that the capability to safely shut down the plant 
is ensured.\3\ The licensee shall retain the fire protection plan and 
each change to the plan as a record until the Commission terminates the 
reactor license and shall retain each superseded revision of the 
procedures for three years from the date it was superseded.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    (b) Appendix R to this part establishes fire protection features 
required to satisfy Criterion 3 of appendix A to this part with respect 
to certain generic issues for nuclear power plants licensed to operate 
prior to January 1, 1979. Except for the requirements of sections III.G, 
III.J, and III.O, the provisions of appendix R to this part shall not be 
applicable to nuclear power plants licensed to operate prior to January 
1, 1979, to the extent that fire protection features proposed or 
implemented by the licensee have been accepted by the NRC staff as 
satisfying the provisions of appendix A to Branch Technical Position BTP 
APCSB 9.5-1 \4\

[[Page 670]]

reflected in staff fire protection safety evaluation reports issued 
prior to the effective date of this rule, or to the extent that fire 
protection features were accepted by the staff in comprehensive fire 
protection safety evaluation reports issued before appendix A to Branch 
Technical Position BTP APCSB 9.5-1 was published in August 1976. With 
respect to all other fire protection features covered by appendix R, all 
nuclear power plants licensed to operate prior to January 1, 1979 shall 
satisfy the applicable requirements of appendix R to this part, 
including specifically the requirements of sections III.G, III.J, and 
III.O.
---------------------------------------------------------------------------

    \4\ Clarification and guidance with respect to permissible 
alternatives to satisfy Appendix A to BTP APCSB 9.5-1 has been provided 
in four other NRC documents.
     ``Supplementary Guidance on Information Needed for Fire Protection 
Evaluation,'' dated October 21, 1976.
     ``Sample Technical Specification,'' dated May 12, 1977.
     ``Nuclear Plant Fire Protection Functional Responsibilities, 
Administrative Control and Quality Assurance,'' dated June 14, 1977.
     ``Manpower Requirements for Operating Reactors,'' dated May 11, 
1978.
    A Fire Protection Safety Evaluation Report that has been issued for 
each operating plant states how these guidelines were applied to each 
facility and identifies open fire protection issues that will be 
resolved when the facility satisfies the appropriate requirements of 
Appendix R to this part.
---------------------------------------------------------------------------

    (c) All fire protection modifications required to satisfy the 
provisions of appendix R to this part or directly affected by such 
requirements shall be completed on the following schedule:
    (1) Those fire protection features that involve revisions of 
administrative controls, manpower changes, and training, shall be 
implemented within 30 days after the effective date of this section and 
appendix R to this part.
    (2) Those fire protection features that involve installation of 
modifications that do not require prior NRC approval or plant shutdown 
shall be implemented within 9 months after the effective date of this 
section and appendix R to this part.
    (3) Those fire protection features, except for those requiring prior 
NRC approval by paragraph (c)(5) of this section, that involve 
installation of modifications that do require plant shutdown, the need 
for which is justified in the plans and schedules required by the 
provisions of paragraph (c)(5) of this section, shall be implemented 
before startup after the earliest of the following events commencing 180 
days or more after the effective date of this section and appendix R to 
this part:
    (i) The first refueling outage;
    (ii) Another planned outage that lasts for at least 60 days; or
    (iii) An unplanned outage that lasts for at least 120 days.
    (4) Those fire protection features that require prior NRC approval 
by paragraph (c)(5) of this section, shall be implemented within the 
following schedule: Dedicated shutdown systems--30 months after NRC 
approval; modifications requiring plant shutdown--before startup after 
the earliest of the events given in paragraph (c)(3) commencing 180 days 
after NRC approval; modifications not requiring plant shutdown--6 months 
after NRC approval.
    (5) Licensees shall make any modifications necessary to comply with 
these requirements in accordance with the above schedule without prior 
review and approval by NRC except for modifications required by section 
III.G.3 of appendix R to this part. Licensees shall submit plans and 
schedules for meeting the provisions of paragraphs (c)(2), (c)(3), and 
(c)(4) within 30 days after the effective date of this section and 
appendix R to this part. Licensees shall submit design descriptions of 
modifications needed to satisfy section III.G.3 of appendix R to this 
part within 30 days after the the effective date of this section and 
appendix R to this part.
    (6) In the event that a request for exemption from a requirement to 
comply with one or more of the provisions of Appendix R filed within 30 
days of the effective date of this rule is based on an assertion by the 
licensee that such required modifications would not enhance fire 
protection safety in the facility or that such modifications may be 
detrimental to overall facility safety, the schedule requirements of 
paragraph (c) shall be tolled until final Commission action on the 
exemption request upon a determination by the Director of Nuclear 
Reactor Regulation that the licensee has provided a sound technical 
basis for such assertion that warrants further staff review of the 
request.

[[Page 671]]

    (d) Fire protection features accepted by the NRC staff in Fire 
Protection Safety Evaluation Reports referred to in paragraph (b) of 
this section and supplements to such reports, other than features 
covered by paragraph (c), shall be completed as soon as practicable but 
no later than the completion date currently specified in license 
conditions or technical specifications for such facility, or the date 
determined by paragraphs (d)(1) through (d)(4) of this section, 
whichever is sooner, unless the Director of Nuclear Reactor Regulation 
determines, upon a showing by the licensee, that there is good cause for 
extending such date and that the public health and safety is not 
adversely affected by such extension. Extensions of such date shall not 
exceed the dates determined by paragraphs (c)(1) through (c)(4) of this 
section.
    (1) Those fire protection features that involve revisions of 
administrative controls, manpower changes, and training shall be 
implemented within 4 months after the date of the NRC staff Fire 
Protection Evaluation Report accepting or requiring such features.
    (2) Those fire protection features involving installation of 
modifications not requiring prior approval or plant shutdown shall be 
implemented within 12 months after the date of the NRC staff Fire 
Protection Safety Evaluation Report accepting or requiring such 
features.
    (3) Those fire protection features, including alternative shutdown 
capability, involving installation of modifications requiring plant 
shutdown shall be implemented before the startup after the earliest of 
the following events commencing 9 months or more after the date of the 
NRC staff Fire Protection Safety Evaluation Report accepting or 
requiring such features:
    (i) The first refueling outage;
    (ii) Another planned outage that lasts for at least 60 days; or
    (iii) An unplanned outage that lasts for at least 120 days.
    (4) Those fire protection features involving dedicated shutdown 
capability requiring new buildings and systems shall be implemented 
within 30 months of NRC approval. Other modifications requiring NRC 
approval prior to installation shall be implemented within 6 months 
after NRC approval.
    (e) Nuclear power plants licensed to operate after January 1, 1979, 
shall complete all fire protection modifications needed to satisfy 
Criterion 3 of appendix A to this part in accordance with the provisions 
of their licenses.
    (f) Licensees that have submitted the certifications required under 
Sec. 50.82(a)(1) shall maintain a fire protection program to address the 
potential for fires which could cause the release or spread of 
radioactive materials (i.e., which could result in a radiological 
hazard).
    (1) The objectives of the fire protection program are to--
    (i) Reasonably prevent such fires from occurring;
    (ii) Rapidly detect, control, and extinguish those fires which do 
occur and which could result in a radiological hazard; and
    (iii) Ensure that the risk of fire-induced radiological hazards to 
the public, environment and plant personnel is minimized.
    (2) The fire protection program must be assessed by the licensee on 
a regular basis and revised as appropriate throughout the various stages 
of facility decommissioning.
    (3) The licensee may make changes to the fire protection program 
without NRC approval if these changes do not reduce the effectiveness of 
fire protection for facilities, systems, and equipment which could 
result in a radiological hazard, taking into account the decommissioning 
plant conditions and activities.

[45 FR 76610, Nov. 19, 1980, as amended at 53 FR 19250, May 27, 1988; 61 
FR 39300, July 29, 1996]



Sec. 50.49  Environmental qualification of electric equipment important to safety for nuclear power plants.

    (a) Each holder of or an applicant for a license for a nuclear power 
plant, other than a nuclear power plant for which the certifications 
required under Sec. 50.82(a)(1) have been submitted, shall establish a 
program for qualifying the electric equipment defined in paragraph (b) 
of this section.
    (b) Electric equipment important to safety covered by this section 
is:

[[Page 672]]

    (1) Safety-related electric equipment.3
---------------------------------------------------------------------------

    \3\ Safety-related electric equipment is referred to as ``Class 1E'' 
equipment in IEEE 323-1974. Copies of this standard may be obtained from 
the Institute of Electrical and Electronics Engineers, Inc., 345 East 
47th Street, New York, NY 10017.
---------------------------------------------------------------------------

    (i) This equipment is that relied upon to remain functional during 
and following design basis events to ensure--
    (A) The integrity of the reactor coolant pressure boundary;
    (B) The capability to shut down the reactor and maintain it in a 
safe shutdown condition; and
    (C) The capability to prevent or mitigate the consequences of 
accidents that could result in potential offsite exposures comparable to 
the guidelines in Sec. 50.34(a)(1) or Sec. 100.11 of this chapter, as 
applicable.
    (ii) Design basis events are defined as conditions of normal 
operation, including anticipated operational occurrences, design basis 
accidents, external events, and natural phenomena for which the plant 
must be designed to ensure functions (b)(1)(i) (A) through (C) of this 
section.
    (2) Nonsafety-related electric equipment whose failure under 
postulated environmental conditions could prevent satisfactory 
accomplishment of safety functions specified in subparagraphs (i) 
through (iii) of paragraph (b)(1) of this section by the safety-related 
equipment.
    (3) Certain post-accident monitoring equipment.\4\
---------------------------------------------------------------------------

    \4\ Specific guidance concerning the types of variables to be 
monitored is provided in Revision 2 of Regulatory Guide 1.97, 
``Instrumentation for Light-Water-Cooled Nuclear Power Plants to Assess 
Plant and Environs Conditions During and Following an Accident.'' Copies 
of the Regulatory Guide may be purchased through the U.S. Government 
Printing Office by calling 202-275-2060 or by writing to the U.S. 
Government Printing Office, P.O. Box 37082, Washington, DC 20013-7082.
---------------------------------------------------------------------------

    (c) Requirements for (1) dynamic and seismic qualification of 
electric equipment important to safety, (2) protection of electric 
equipment important to safety against other natural phenomena and 
external events, and (3) environmental qualification of electric 
equipment important to safety located in a mild environment are not 
included within the scope of this section. A mild environment is an 
environment that would at no time be significantly more severe than the 
environment that would occur during normal plant operation, including 
anticipated operational occurrences.
    (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 qualification file. The applicant or licensee 
shall keep the list and information in the file current and retain the 
file 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 is important 
to safely meet the requirements of paragraph (j) of this section.
    (1) The performance specifications under conditions existing during 
and following design basis accidents.
    (2) The voltage, frequency, load, and other electrical 
characteristics for which the performance specified in accordance with 
paragraph (d)(1) of this section can be ensured.
    (3) The environmental conditions, including temperature, pressure, 
humidity, radiation, chemicals, and submergence at the location where 
the equipment must perform as specified in accordance with paragraphs 
(d)(1) and (2) of this section.
    (e) The electric equipment qualification program must include and be 
based on the following:
    (1) Temperature and pressure. The time-dependent temperature and 
pressure at the location of the electric equipment important to safety 
must be established for the most severe design basis accident during or 
following which this equipment is required to remain functional.
    (2) Humidity. Humidity during design basis accidents must be 
considered.
    (3) Chemical effects. The composition of chemicals used must be at 
least as severe as that resulting from the most limiting mode of plant 
operation (e.g., containment spray, emergency core

[[Page 673]]

cooling, or recirculation from containment sump). If the composition of 
the chemical spray can be affected by equipment malfunctions, the most 
severe chemical spray environment that results from a single failure in 
the spray system must be assumed.
    (4) Radiation. The radiation environment must be based on the type 
of radiation, the total dose expected during normal operation over the 
installed life of the equipment, and the radiation environment 
associated with the most severe design basis accident during or 
following which the equipment is required to remain functional, 
including the radiation resulting from recirculating fluids for 
equipment located near the recirculating lines and including dose-rate 
effects.
    (5) Aging. Equipment qualified by test must be preconditioned by 
natural or artificial (accelerated) aging to its end-of-installed life 
condition. Consideration must be given to all significant types of 
degradation which can have an effect on the functional capability of the 
equipment. If preconditioning to an end-of-installed life condition is 
not practicable, the equipment may be preconditioned to a shorter 
designated life. The equipment must be replaced or refurbished at the 
end of this designated life unless ongoing qualification demonstrates 
that the item has additional life.
    (6) Submergence (if subject to being submerged).
    (7) Synergistic effects. Synergistic effects must be considered when 
these effects are believed to have a significant effect on equipment 
performance.
    (8) Margins. Margins must be applied to account for unquantified 
uncertainty, such as the effects of production variations and 
inaccuracies in test instruments. These margins are in addition to any 
conservatisms applied during the derivation of local environmental 
conditions of the equipment unless these conservatisms can be quantified 
and shown to contain appropriate margins.
    (f) Each item of electric equipment important to safety must be 
qualified by one of the following methods:
    (1) Testing an identical item of equipment under identical 
conditions or under similar conditions with a supporting analysis to 
show that the equipment to be qualified is acceptable.
    (2) Testing a similar item of equipment with a supporting analysis 
to show that the equipment to be qualified is acceptable.
    (3) Experience with identical or similar equipment under similar 
conditions with a supporting analysis to show that the equipment to be 
qualified is acceptable.
    (4) Analysis in combination with partial type test data that 
supports the analytical assumptions and conclusions.
    (g) Each holder of an operating license issued prior to February 22, 
1983, shall, by May 20, 1983, identify the electric equipment important 
to safety within the scope of this section already qualified and submit 
a schedule for either the qualification to the provisions of this 
section or for the replacement of the remaining electric equipment 
important to safety within the scope of this section. This schedule must 
establish a goal of final environmental qualification of the electric 
equipment within the scope of this section by the end of the second 
refueling outage after March 31, 1982 or by March 31, 1985, whichever is 
earlier. The Director of the Office of Nuclear Reactor Regulation may 
grant requests for extensions of this deadline to a date no later than 
November 30, 1985, for specific pieces of equipment if these requests 
are filed on a timely basis and demonstrate good cause for the 
extension, such as procurement lead time, test complications, and 
installation problems. In exceptional cases, the Commission itself may 
consider and grant extensions beyond November 30, 1985, for completion 
of environmental qualification.

The schedule in this paragraph supersedes the June 30, 1982, deadline, 
or any other previously imposed date, for environmental qualification of 
electric equipment contained in certain nuclear power operating 
licenses.
    (h) Each license shall notify the Commission as specified in 
Sec. 50.4 of any significant equipment qualification problem that may 
require extension of the completion date provided in accordance with 
paragraph (g) of this section within 60 days of its discovery.

[[Page 674]]

    (i) Applicants for operating licenses granted after February 22, 
1983, but prior to November 30, 1985, shall perform an analysis to 
ensure that the plant can be safely operated pending completion of 
equipment qualification required by this section. This analysis must be 
submitted, as specified in Sec. 50.4, for consideration prior to the 
granting of an operating license and must include, where appropriate, 
consideration of:
    (1) Accomplishing the safety function by some designated alternative 
equipment if the principal equipment has not been demonstrated to be 
fully qualified.
    (2) The validity of partial test data in support of the original 
qualification.
    (3) Limited use of administrative controls over equipment that has 
not been demonstrated to be fully qualified.
    (4) Completion of the safety function prior to exposure to the 
accident environment resulting from a design basis event and ensuring 
that the subsequent failure of the equipment does not degrade any safety 
function or mislead the operator.
    (5) No significant degradation of any safety function or misleading 
information to the operator as a result of failure of equipment under 
the accident environment resulting from a design basis event.
    (j) A record of the qualification, including documentation in 
paragraph (d) of this section, must be maintained in an 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 covered by this 
section:
    (1) Is qualified for its application; and
    (2) Meets its specified performance requirements when it is 
subjected to the conditions predicted to be present when it must perform 
its safety function up to the end of its qualified life.
    (k) Applicants for and holders of operating licenses are not 
required to requalify electric equipment important to safety in 
accordance with the provisions of this section if the Commission has 
previously required qualification of that equipment in accordance with 
``Guidelines for Evaluating Environmental Qualification of Class 1E 
Electrical Equipment in Operating Reactors,'' November 1979 (DOR 
Guidelines), or NUREG-0588 (For Comment version), ``Interim Staff 
Position on Environmental Qualification of Safety-Related Electrical 
Equipment.''
    (l) Replacement equipment must be qualified in accordance with the 
provisions of this section unless there are sound reasons to the 
contrary.

[48 FR 2733, Jan. 21, 1983, as amended at 49 FR 45576, Nov. 19, 1984; 51 
FR 40308, Nov. 6, 1986; 51 FR 43709, Dec. 3, 1986; 52 FR 31611, Aug. 21, 
1987; 53 FR 19250, May 27, 1988; 61 FR 39300, July 29, 1996; 61 FR 
65173, Dec. 11, 1996]

    Effective Date Note: At 61 FR 65173, Dec. 11, 1996. in Sec. 50.49, 
paragraph (b)(1) was revised, effective Jan. 10, 1997. For the 
convenience of the user, the superseded text is set forth as follows:
Sec. 50.49  Environmental qualification of electric equipment important 
to safety for nuclear power plants.

                                * * * * *

    (b) * * *
    (1) Safety-related electric equipment:\3\ This equipment is that 
relied upon to remain functional during and following design basis 
events to ensure (i) the integrity of the reactor coolant pressure 
boundary, (ii) the capability to shut down the reactor and maintain it 
in a safe shutdown condition, and (iii) the capability to prevent or 
mitigate the consequences of accidents that could result in potential 
offsite exposures comparable to the 10 CFR part 100 guidelines. Design 
basis events are defined as conditions of normal operation, including 
anticipated operational occurrences, design basis accidents, external 
events, and natural phenomena for which the plant must be designed to 
ensure functions (i) through (iii) of this paragraph.

                                * * * * *

[[Page 675]]

   Issuance, Limitations, and Conditions of Licenses and Construction 
                                 Permits



Sec. 50.50   Issuance of licenses and construction permits.

    Upon determination that an application for a license meets the 
standards and requirements of the act and regulations, and that 
notifications, if any, to other agencies or bodies have been duly made, 
the Commission will issue a license, or if appropriate a construction 
permit, in such form and containing such conditions and limitations 
including technical specifications, as it deems appropriate and 
necessary.



Sec. 50.51  Continuation of license.

    (a) Each license will be issued for a fixed period of time to be 
specified in the license but in no case to exceed 40 years from date of 
issuance. Where the operation of a facility is involved, the Commission 
will issue the license for the term requested by the applicant or for 
the estimated useful life of the facility if the Commission determines 
that the estimated useful life is less than the term requested. Where 
construction of a facility is involved, the Commission may specify in 
the construction permit the period for which the license will be issued 
if approved pursuant to Sec. 50.56. Licenses may be renewed by the 
Commission upon the expiration of the period. Renewal of operating 
licenses for nuclear power plants is governed by 10 CFR part 54. 
Application for termination of license is to be made pursuant to 
Sec. 50.82.
    (b) Each license for a facility that has permanently ceased 
operations, continues in effect beyond the expiration date to authorize 
ownership and possession of the production or utilization facility, 
until the Commission notifies the licensee in writing that the license 
is terminated. During such period of continued effectiveness the 
licensee shall--
    (1) Take actions necessary to decommission and decontaminate the 
facility and continue to maintain the facility, including, where 
applicable, the storage, control and maintenance of the spent fuel, in a 
safe condition, and
    (2) Conduct activities in accordance with all other restrictions 
applicable to the facility in accordance with the NRC regulations and 
the provisions of the specific 10 CFR part 50 license for the facility.

[56 FR 64976, Dec. 13, 1991, as amended at 61 FR 39300, July 29, 1996]



Sec. 50.52   Combining licenses.

    The Commission may combine in a single license the activities of an 
applicant which would otherwise be licensed severally.



Sec. 50.53   Jurisdictional limitations.

    No license under this part shall be deemed to have been issued for 
activities which are not under or within the jurisdiction of the United 
States.

[21 FR 355, Jan. 19, 1956, as amended at 43 FR 6924, Feb. 17, 1978]



Sec. 50.54   Conditions of licenses.

    Whether stated therein or not, the following shall be deemed 
conditions in every license issued:
    (a)(1) Each nuclear power plant or fuel reprocessing plant licensee 
subject to the quality assurance criteria in appendix B of this part 
shall implement, pursuant to Sec. 50.34(b)(6)(ii) of this part, the 
quality assurance program described or referenced in the Safety Analysis 
Report, including changes to that report.
    (2) Each licensee described in paragraph (a)(1) of this section 
shall, by June 10, 1983, submit to the appropriate NRC Regional Office 
shown in appendix D of part 20 of this chapter the current description 
of the quality assurance program it is implementing for inclusion in the 
Safety Analysis Report, unless there are no changes to the description 
previously accepted by NRC. This submittal must identify changes made to 
the quality assurance program description since the description was 
submitted to NRC. (Should a licensee need additional time beyond June 
10, 1983 to submit its current quality assurance program description to 
NRC, it shall notify the appropriate NRC Regional Office in writing, 
explain why additional time is needed, and provide a schedule for NRC 
approval showing when its current quality assurance program description 
will be submitted.)

[[Page 676]]

    (3) After March 11, 1983, each licensee described in paragraph 
(a)(1) of this section may make a change to a previously accepted 
quality assurance program description included or referenced in the 
Safety Analysis Report, provided the change does not reduce the 
commitments in the program description previously accepted by the NRC. 
Changes to the quality assurance program description that do not reduce 
the commitments must be submitted to the NRC in accordance with the 
requirements of Sec. 50.71(e). Changes to the quality assurance program 
description that do reduce the commitments must be submitted to NRC and 
receive NRC approval prior to implementation, as follows:
    (i) Changes made to the Safety Analysis Report must be submitted, as 
specified in Sec. 50.4. Changes made to NRC-accepted quality assurance 
topical report descriptions must be submitted, as specified in 
Sec. 50.4.
    (ii) The submittal of a change to the Safety Analysis Report quality 
assurance program description must include all pages affected by that 
change and must be accompanied by a forwarding letter identifying the 
change, the reason for the change, and the basis for concluding that the 
revised program incorporating the change continues to satisfy the 
criteria of appendix B of this part and the Safety Analysis Report 
quality assurance program description commitments previously accepted by 
the NRC (the letter need not provide the basis for changes that correct 
spelling, punctuation, or editorial items).
    (iii) A copy of the forwarding letter identifying the changes must 
be maintained as a facility record for three years.
    (iv) Changes to the quality assurance program description included 
or referenced in the Safety Analysis Report shall be regarded as 
accepted by the Commission upon receipt of a letter to this effect from 
the appropriate reviewing office of the Commission or 60 days after 
submittal to the Commission, whichever occurs first.
    (b) No right to the special nuclear material shall be conferred by 
the license except as may be defined by the license.
    (c) Neither the license, nor any right thereunder, nor any right to 
utilize or produce special nuclear material shall be transferred, 
assigned, or disposed of in any manner, either voluntarily or 
involuntarily, directly or indirectly, through transfer of control of 
the license to any person, unless the Commission shall, after securing 
full information, find that the transfer is in accordance with the 
provisions of the act and give its consent in writing.
    (d) The license shall be subject to suspension and to the rights of 
recapture of the material or control of the facility reserved to the 
Commission under section 108 of the act in a state of war or national 
emergency declared by Congress.
    (e) The license shall be subject to revocation, suspension, 
modification, or amendment for cause as provided in the act and 
regulations, in accordance with the procedures provided by the act and 
regulations.
    (f) The licensee shall at any time before expiration of the license, 
upon request of the Commission, submit, as specified in Sec. 50.4, 
written statements, signed under oath or affirmation, to enable the 
Commission to determine whether or not the license should be modified, 
suspended, or revoked. Except for information sought to verify licensee 
compliance with the current licensing basis for that facility, the NRC 
must prepare the reason or reasons for each information request prior to 
issuance to ensure that the burden to be imposed on respondents is 
justified in view of the potential safety significance of the issue to 
be addressed in the requested information. Each such justification 
provided for an evaluation performed by the NRC staff must be approved 
by the Executive Director for Operations or his or her designee prior to 
issuance of the request.
    (g) The issuance or existence of the license shall not be deemed to 
waive, or relieve the licensee from compliance with, the antitrust laws, 
as specified in subsection 105a of the Act. In the event that the 
licensee should be found by a court of competent jurisdiction to have 
violated any provision of such antitrust laws in the conduct of the 
licensed activity, the Commission may suspend or revoke the license or 
take

[[Page 677]]

such other action with respect to it as shall be deemed necessary.
    (h) The license shall be subject to the provisions of the Act now or 
hereafter in effect and to all rules, regulations, and orders of the 
Commission. The terms and conditions of the license shall be subject to 
amendment, revision, or modification, by reason of amendments of the Act 
or by reason of rules, regulations, and orders issued in accordance with 
the terms of the act.
    (i) Except as provided in Sec. 55.13 of this chapter, the licensee 
may not permit the manipulation of the controls of any facility by 
anyone who is not a licensed operator or senior operator as provided in 
part 55 of this chapter.
    (i-1) Within three months after issuance of an operating license, 
the licensee shall have in effect an operator requalification program 
which must as a minimum, meet the requirements of Sec. 55.59(c) of this 
chapter. Notwithstanding the provisions of Sec. 50.59, the licensee may 
not, except as specifically authorized by the Commission decrease the 
scope of an approved operator requalification program.
    (j) Apparatus and mechanisms other than controls, the operation of 
which may affect the reactivity or power level of a reactor shall be 
manipulated only with the knowledge and consent of an operator or senior 
operator licensed pursuant to part 55 of this chapter present at the 
controls.
    (k) An operator or senior operator licensed pursuant to part 55 of 
this chapter shall be present at the controls at all times during the 
operation of the facility.
    (l) The licensee shall designate individuals to be responsible for 
directing the licensed activities of licensed operators. These 
individuals shall be licensed as senior operators pursuant to part 55 of 
this chapter.
    (m)(1) A senior operator licensed pursuant to part 55 of this 
chapter shall be present at the facility or readily available on call at 
all times during its operation, and shall be present at the facility 
during initial start-up and approach to power, recovery from an 
unplanned or unscheduled shut-down or significant reduction in power, 
and refueling, or as otherwise prescribed in the facility license.
    (2) Notwithstanding any other provisions of this section, by January 
1, 1984, licensees of nuclear power units shall meet the following 
requirements:
    (i) Each licensee shall meet the minimum licensed operator staffing 
requirements in the following table:

Minimum Requirements \1\ Per Shift for On-Site Staffing of Nuclear Power Units by Operators and Senior Operators
                                          Licensed Under 10 CFR Part 55                                         
----------------------------------------------------------------------------------------------------------------
                                                                One unit       Two units          Three units   
                                                               -------------------------------------------------
    Number of nuclear power units              Position            One       One       Two       Two      Three 
            operating \2\                                        control   control   control   control   control
                                                                  room      room      rooms     rooms     rooms 
----------------------------------------------------------------------------------------------------------------
None.................................  Senior Operator........         1         1         1         1         1
                                       Operator...............         1         2         2         3         3
One..................................  Senior Operator........         2         2         2         2         2
                                       Operator...............         2         3         3         4         4
Two..................................  Senior Operator........  ........         2         3     \3\ 3         3
                                       Operator...............  ........         3         4     \3\ 5         5
Three................................  Senior Operator........  ........  ........  ........         3         4
                                       Operator...............  ........  ........  ........         5         6
----------------------------------------------------------------------------------------------------------------
\1\ Temporary deviations from the numbers required by this table shall be in accordance with criteria           
  established in the unit's technical specifications.                                                           
\2\ For the purpose of this table, a nuclear power unit is considered to be operating when it is in a mode other
  than cold shutdown or refueling as defined by the unit's technical specifications.                            
\3\ The number of required licensed personnel when the operating nuclear power units are controlled from a      
  common control room are two senior operators and four operators.                                        

    (ii) Each licensee shall have at its site a person holding a senior 
operator license for all fueled units at the site who is assigned 
responsibility for overall plant operation at all times there is fuel in 
any unit. If a single senior operator does not hold a senior operator 
license on all fueled units at the site, then the licensee must have at 
the site two or more senior operators, who in

[[Page 678]]

combination are licensed as senior operators on all fueled units.
    (iii) When a nuclear power unit is in an operational mode other than 
cold shutdown or refueling, as defined by the unit's technical 
specifications, each licensee shall have a person holding a senior 
operator license for the nuclear power unit in the control room at all 
times. In addition to this senior operator, for each fueled nuclear 
power unit, a licensed operator or senior operator shall be present at 
the controls at all times.
    (iv) Each licensee shall have present, during alteration of the core 
of a nuclear power unit (including fuel loading or transfer), a person 
holding a senior operator license or a senior operator license limited 
to fuel handling to directly supervise the activity and, during this 
time, the licensee shall not assign other duties to this person.
    (3) Licensees who cannot meet the January 1, 1984 deadline must 
submit by October 1, 1983 a request for an extension to the Director of 
the Office of Nuclear Regulation and demonstrate good cause for the 
request.
    (n) The licensee shall not, except as authorized pursuant to a 
construction permit, make any alteration in the facility constituting a 
change from the technical specifications previously incorporated in a 
license or construction permit pursuant to Sec. 50.36 of this part.
    (o) Primary reactor containments for water cooled power reactors, 
other than facilities for which the certifications required under 
Sec. 50.82(a)(1) have been submitted, shall be subject to the 
requirements set forth in appendix J to this part.
    (p)(1) The licensee shall prepare and maintain safeguards 
contingency plan procedures in accordance with appendix C of part 73 of 
this chapter for effecting the actions and decisions contained in the 
Responsibility Matrix of the safeguards contingency plan. The licensee 
may make no change which would decrease the effectiveness of a security 
plan, or guard training and qualification plan, prepared pursuant to 
Sec. 50.34(c) or part 73 of this chapter, or of the first four 
categories of information (Background, Generic Planning Base, Licensee 
Planning Base, Responsibility Matrix) contained in a licensee safeguards 
contingency plan prepared pursuant to Sec. 50.34(d) or part 73 of this 
chapter, as applicable, without prior approval of the Commission. A 
licensee desiring to make such a change shall submit an application for 
an amendment to the licensee's license pursuant to Sec. 50.90.
    (2) The licensee may make changes to the plans referenced in 
paragraph (p)(1) of this section, without prior Commission approval if 
the changes do not decrease the safeguards effectiveness of the plan. 
The licensee shall maintain records of changes to the plans made without 
prior Commission approval for a period of three years from the date of 
the change, and shall submit, as specified in Sec. 50.4, a report 
containing a description of each change within two months after the 
change is made. Prior to the safeguards contingency plan being put into 
effect, the licensee shall have:
    (i) All safeguards capabilities specified in the safeguards 
contingency plan available and functional,
    (ii) Detailed procedures developed according to appendix C to part 
73 available at the licensee's site, and
    (iii) All appropriate personnel trained to respond to safeguards 
incidents as outlined in the plan and specified in the detailed 
procedures.
    (3) The licensee shall provide for the development, revision, 
implementation, and maintanence of its safeguards contingency plan. To 
this end, the licensee shall provide for a review at least every 12 
months of the safeguards contingency plan by individuals independent of 
both security program management and personnel who have direct 
responsibility for implementation of the security program. The review 
must include a review and audit of safeguards contingency procedures and 
practices, an audit of the security system testing and maintenance 
program, and a test of the safeguards systems along with commitments 
established for response by local law enforcement authorities. The 
results of the review and audit, along with recommendations for 
improvements, must be documented, reported to the licensee's corporate 
and plant management, and kept available at the plant for inspection for 
a period of two years.

[[Page 679]]

    (q) A licensee authorized to possess and operate a nuclear power 
reactor shall follow and maintain in effect emergency plans which meet 
the standards in Sec. 50.47(b) and the requirements in appendix E of 
this part. A licensee authorized to possess and/or operate a research 
reactor or a fuel facility shall follow and maintain in effect emergency 
plans which meet the requirements in appendix E to this part. The 
licensee shall retain the emergency plan and each change that decreases 
the effectiveness of the plan as a record until the 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 the changes do not decrease the effectiveness of the 
plans and the plans, as changed, continue to meet the standards of 
Sec. 50.47(b) and the requirements of appendix E to this part. The 
research reactor and/or the fuel facility licensee may make changes to 
these plans without Commission approval only if these changes do not 
decrease the effectiveness of the plans and the plans, as changed, 
continue to meet the requirements of appendix E to this part. This 
nuclear power reactor, research reactor, or fuel facility licensee shall 
retain a record of each change to the emergency plan made without prior 
Commission approval for a period of three years from the date of the 
change. Proposed changes that decrease the effectiveness of the approved 
emergency plans may not be implemented without application to and 
approval by the Commission. The licensee shall submit, as specified in 
Sec. 50.4, a report of each proposed change for approval. If a change is 
made without approval, the licensee shall submit, as specified in 
Sec. 50.4, a report of each change within 30 days after the change is 
made.
    (r) Each licensee who is authorized to possess and/or operate a 
research or test reactor facility with an authorized power level greater 
than or equal to 2 MW thermal, under a licensee of the type specified in 
Sec. 50.21(c), shall submit emergency plans complying with 10 CFR part 
50, appendix E, to the Director of the Office of Nuclear Reactor 
Regulation for approval by September 7, 1982. Each licensee who is 
authorized to possess and/or operate a research or test reactor facility 
with an authorized power level less than 2 MW thermal, under a license 
of the type specified in Sec. 50.21(c), shall submit emergency plans 
complying with 10 CFR part 50, appendix E, to the Director of the Office 
of Nuclear Reactor Regulation for approval by November 3, 1982.
    (s)(1) Each licensee who is authorized to possess and/or operate a 
nuclear power reactor shall submit to NRC within 60 days of the 
effective date of this amendment the radiological emergency response 
plans of State and local governmental entities in the United States that 
are wholly or partially within a plume exposure pathway EPZ, as well as 
the plans of State governments wholly or partially within an ingestion 
pathway EPZ.\2\ Ten (10) copies of the above plans shall be forwarded to 
the Director of Nuclear Reactor Regulation with 3 copies to the 
Administrator of the appropriate NRC regional office. Generally, the 
plume exposure pathway EPZ for nuclear power reactors shall consist of 
an area about 10 miles (16 km) in radius and the ingestion pathway EPZ 
shall consist of an area about 50 miles (80 km) in radius. The exact 
size and configuration of the EPZs for a particular nuclear power 
reactor shall be determined in relation to local emergency response 
needs and capabilities as they are affected by such conditions as 
demography, topography, land characteristics, access routes, and 
jurisdictional boundaries. The size of the EPZs also may be determined 
on a case-by-case basis for gas-cooled nuclear reactors and for reactors 
with an authorized power level less than 250 MW thermal. The plans for 
the ingestion pathway EPZ shall focus on such

[[Page 680]]

actions as are appropriate to protect the food ingestion pathway.
---------------------------------------------------------------------------

    \2\ Emergency Planning Zones (EPZs) are discussed in NUREG-0396; EPA 
520/1-78-016, ``Planning Basis for the Development of State and Local 
Government Radiological Emergency Response Plans in Support of Light 
Water Nuclear Power Plants,'' December 1978.
    If the State and local emergency response plans have been previously 
provided to the NRC for inclusion in the facility docket, the applicant 
need only provide the appropriate reference to meet this requirement.
---------------------------------------------------------------------------

    (2)(i) For operating power reactors, the licensee, State, and local 
emergency response plans shall be implemented by April 1, 1981, except 
as provided in section IV.D.3 of appendix E to this part.
    (ii) If after April 1, 1981, the NRC finds that the state of 
emergency preparedness does not provide reasonable assurance that 
adequate protective measures can and will be taken in the event of a 
radiological emergency (including findings based on requirements of 
appendix E, section IV.D.3) and if the deficiencies (including 
deficiencies based on requirements of appendix E, section IV.D.3) are 
not corrected within four months of that finding, the Commission will 
determine whether the reactor shall be shut down until such deficiencies 
are remedied or whether other enforcement action is appropriate. In 
determining whether a shutdown or other enforcement action is 
appropriate, the Commission shall take into account, among other 
factors, whether the licensee can demonstrate to the Commission's 
satisfaction that the deficiencies in the plan are not significant for 
the plant in question, or that adequate interim compensating actions 
have been or will be taken promptly, or that that there are other 
compelling reasons for continued operation.
    (3) The NRC will base its finding on a review of the FEMA findings 
and determinations as to whether State and local emergency plans are 
adequate and capable of being implemented, and on the NRC assessment as 
to whether the licensee's emergency plans are adequate and capable of 
being implemented. Nothing in this paragraph shall be construed as 
limiting the authority of the Commission to take action under any other 
regulation or authority of the Commission or at any time other than that 
specified in this paragraph.
    (t) A nuclear power reactor licensee shall provide for the 
development, revision, implementation, and maintenance of its emergency 
preparedness program. To this end, the licensee shall provide for a 
review of its emergency preparedness program at least every 12 months by 
persons who have no direct responsibility for implementation of the 
emergency preparedness program. The review shall include an evaluation 
for adequacy of interfaces with State and local governments and of 
licensee drills, exercises, capabilities, and procedures. The results of 
the review, along with recommendations for improvements, shall be 
documented, reported to the licensee's corporate and plant management, 
and retained for a period of five years. The part of the review 
involving the evaluation for adequacy of interface with State and local 
governments shall be available to the appropriate State and local 
governments.
    (u) Within 60 days after the effective date of this amendment, each 
nuclear power reactor licensee shall submit to the NRC plans for coping 
with emergencies that meet standards in Sec. 50.47(b) and the 
requirements of appendix E to this part.
    (v) Each licensee subject to the requirements of part 73 of this 
chapter shall ensure that physical security, safeguards contingency and 
guard qualification and training plans and other related Safeguards 
Information are protected against unauthorized disclosure in accordance 
with the requirements of Sec. 73.21 of this chapter, as appropriate.
    (w) Each electric utility licensee under this part for a production 
or utilization facility of the type described in Sec. 50.21(b) or 
Sec. 50.22 shall take reasonable steps to obtain insurance available at 
reasonable costs and on reasonable terms from private sources or to 
demonstrate to the satisfaction of the Commission that it possesses an 
equivalent amount of protection covering the licensee's obligation, in 
the event of an accident at the licensee's reactor, to stabilize and 
decontaminate the reactor and the reactor station site at which the 
reactor experiencing the accident is located, provided that:
    (1) The insurance required by paragraph (w) of this section must 
have a minimum coverage limit for each reactor station site of either 
$1.06 billion or whatever amount of insurance is generally available 
from private sources, whichever is less. The required insurance must 
clearly state that, as and to the extent provided in paragraph (w)(4)

[[Page 681]]

of this section, any proceeds must be payable first for stabilization of 
the reactor and next for decontamination of the reactor and the reactor 
station site. If a licensee's coverage falls below the required minimum, 
the licensee shall within 60 days take all reasonable steps to restore 
its coverage to the required minimum. The required insurance may, at the 
option of the licensee, be included within policies that also provide 
coverage for other risks, including, but not limited to, the risk of 
direct physical damage.
    (2)(i) With respect to policies issued or annually renewed on or 
after April 2, 1991, the proceeds of such required insurance must be 
dedicated, as and to the extent provided in this paragraph, to 
reimbursement or payment on behalf of the insured of reasonable expenses 
incurred or estimated to be incurred by the licensee in taking action to 
fulfill the licensee's obligation, in the event of an accident at the 
licensee's reactor, to ensure that the reactor is in, or is returned to, 
and maintained in, a safe and stable condition and that radioactive 
contamination is removed or controlled such that personnel exposures are 
consistent with the occupational exposure limits in 10 CFR part 20. 
These actions must be consistent with any other obligation the licensee 
may have under this chapter and must be subject to paragraph (w)(4) of 
this section. As used in this section, an ``accident'' means an event 
that involves the release of radioactive material from its intended 
place of confinement within the reactor or on the reactor station site 
such that there is a present danger of release off site in amounts that 
would pose a threat to the public health and safety.
    (ii) The stabilization and decontamination requirements set forth in 
paragraph (w)(4) of this section must apply uniformly to all insurance 
policies required under paragraph (w) of this section.
    (3) The licensee shall report to the NRC on April 1 of each year the 
current levels of this insurance or financial security it maintains and 
the sources of this insurance or financial security.
    (4)(i) In the event of an accident at the licensee's reactor, 
whenever the estimated costs of stabilizing the licensed reactor and of 
decontaminating the reactor and the reactor station site exceed $100 
million, the proceeds of the insurance required by paragraph (w) of this 
section must be dedicated to and used, first, to ensure that the 
licensed reactor is in, or is returned to, and can be maintained in, a 
safe and stable condition so as to prevent any significant risk to the 
public health and safety and, second, to decontaminate the reactor and 
the reactor station site in accordance with the licensee's cleanup plan 
as approved by order of the Director of the Office of Nuclear Reactor 
Regulation. This priority on insurance proceeds must remain in effect 
for 60 days or, upon order of the Director, for such longer periods, in 
increments not to exceed 60 days except as provided for activities under 
the cleanup plan required in paragraphs (w)(4)(iii) and (w)(4)(iv) of 
this section, as the Director may find necessary to protect the public 
health and safety. Actions needed to bring the reactor to and maintain 
the reactor in a safe and stable condition may include one or more of 
the following, as appropriate: (A) Shutdown of the reactor; (B) 
Establishment and maintenance of long-term cooling with stable decay 
heat removal; (C) Maintenance of sub-criticality; (D) Control of 
radioactive releases; and (E) Securing of structures, systems, or 
components to minimize radiation exposure to onsite personnel or to the 
offsite public or to facilitate later decontamination or both.

    (ii) The licensee shall inform the Director of the Office of Nuclear 
Reactor Regulation in writing when the reactor is and can be maintained 
in a safe and stable condition so as to prevent any significant risk to 
the public health and safety. Within 30 days after the licensee informs 
the Director that the reactor is in this condition, or at such earlier 
time as the licensee may elect or the Director may for good cause 
direct, the licensee shall prepare and submit a cleanup plan for the 
Director's approval. The cleanup plan must identify and contain an 
estimate of the cost of each cleanup operation that will be required to 
decontaminate the reactor sufficiently to permit the licensee either to 
resume operation of

[[Page 682]]

the reactor or to apply to the Commission under Sec. 50.82 for authority 
to decommission the reactor and to surrender the license voluntarily. 
Cleanup operations may include one or more of the following, as 
appropriate: (A) Processing any contaminated water generated by the 
accident and by decontamination operations to remove radioactive 
materials; (B) Decontamination of surfaces inside the auxiliary and 
fuel-handling buildings and the reactor building to levels consistent 
with the Commission's occupational exposure limits in 10 CFR part 20, 
and decontamination or disposal of equipment; (C) Decontamination or 
removal and disposal of internal parts and damaged fuel from the reactor 
vessel; and (D) Cleanup of the reactor coolant system.

    (iii) Following review of the licensee's cleanup plan, the Director 
will order the licensee to complete all operations that the Director 
finds are necessary to decontaminate the reactor sufficiently to permit 
the licensee either to resume operation of the reactor or to apply to 
the Commission under Sec. 50.82 for authority to decommission the 
reactor and to surrender the license voluntarily. The Director shall 
approve or disapprove, in whole or in part for stated reasons, the 
licensee's estimate of cleanup costs for such operations. Such order may 
not be effective for more than 1 year, at which time it may be renewed. 
Each subsequent renewal order, if imposed, may be effective for not more 
than 6 months.
    (iv) Of the balance of the proceeds of the required insurance not 
already expended to place the reactor in a safe and stable condition 
pursuant to paragraph (w)(2)(i) of this section, an amount sufficient to 
cover the expenses of completion of those decontamination operations 
that are the subject of the Director's order shall be dedicated to such 
use, provided that, upon certification to the Director of the amounts 
expended previously and from time to time for stabilization and 
decontamination and upon further certification to the Director as to the 
sufficiency of the dedicated amount remaining, policies of insurance may 
provide for payment to the licensee or other loss payees of amounts not 
so dedicated, and the licensee may proceed to use in parallel (and not 
in preference thereto) any insurance proceeds not so dedicated for other 
purposes.
    (x) A licensee may take reasonable action that departs from a 
license condition or a technical specification (contained in a license 
issued under this part) in an emergency when this action is immediately 
needed to protect the public health and safety and no action consistent 
with license conditions and technical specifications that can provide 
adequate or equivalent protection is immediately apparent.
    (y) Licensee action permitted by paragraph (x) of this section shall 
be approved, as a minimum, by a licensed senior operator, or, at a 
nuclear power reactor facility for which the certifications required 
under Sec. 50.82(a)(1) have been submitted, by either a licensed senior 
operator or a certified fuel handler, prior to taking the action.
    (z) Each licensee with a utilization facility licensed pursuant to 
sections 103 or 104b. of the Act shall immediately notify the NRC 
Operations Center of the occurrence of any event specified in Sec. 50.72 
of this part.
    (aa) The license shall be subject to all conditions deemed imposed 
as a matter of law by sections 401(a)(2) and 401(d) of the Federal Water 
Pollution Control Act, as amended (33 U.S.C.A. 1341(a)(2) and (d).)
    (bb) For nuclear power reactors licensed by the NRC, the licensee 
shall, within 2 years following permanent cessation of operation of the 
reactor or 5 years before expiration of the reactor operating license, 
whichever occurs first, submit written notification to the Commission 
for its review and preliminary approval of the program by which the 
licensee intends to manage and provide funding for the management of all 
irradiated fuel at the reactor following permanent cessation of 
operation of the reactor until title to the irradiated fuel and 
possession of the fuel is transferred to the Secretary of Energy for its 
ultimate disposal in a repository. Licensees of nuclear power reactors 
that have permanently ceased operation by April 4, 1994 are required to 
submit such written notification by April 4, 1996. Final Commission 
review

[[Page 683]]

will be undertaken as part of any proceeding for continued licensing 
under part 50 or part 72 of this chapter. The licensee must demonstrate 
to NRC that the elected actions will be consistent with NRC requirements 
for licensed possession of irradiated nuclear fuel and that the actions 
will be implemented on a timely basis. Where implementation of such 
actions requires NRC authorizations, the licensee shall verify in the 
notification that submittals for such actions have been or will be made 
to NRC and shall identify them. A copy of the notification shall be 
retained by the licensee as a record until expiration of the reactor 
operating license. The licensee shall notify the NRC of any significant 
changes in the proposed waste management program as described in the 
initial notification.
    (cc)(1) Each licensee shall notify the appropriate NRC Regional 
Administrator, in writing, immediately following the filing of a 
voluntary or involuntary petition for bankruptcy under any chapter of 
title 11 (Bankruptcy) of the United States Code by or against:
    (i) The licensee;
    (ii) An entity (as that term is defined in 11 U.S.C. 101(14)) 
controlling the licensee or listing the license or licensee as property 
of the estate; or
    (iii) An affiliate (as that term is defined in 11 U.S.C. 101(2)) of 
the licensee.
    (2) This notification must indicate:
    (i) The bankruptcy court in which the petition for bankruptcy was 
filed; and
    (ii) The date of the filing of the petition.
    (dd) A licensee may take reasonable action that departs from a 
license condition or a technical specification (contained in a license 
issued under this part) in a national security emergency:
    (1) When this action is immediately needed to implement national 
security objectives as designated by the national command authority 
through the Commission, and
    (2) No action consistent with license conditions and technical 
specifications that can meet national security objectives is immediately 
apparent.

A national security emergency is established by a law enacted by the 
Congress or by an order or directive issued by the President pursuant to 
statutes or the Constitution of the United States. The authority under 
this paragraph must be exercised in accordance with law, including 
section 57e of the Act, and is in addition to the authority granted 
under paragraph (x) of this section, which remains in effect unless 
otherwise directed by the Commission during a national security 
emergency.
    (ee)(1) Each license issued under this part authorizing the 
possession of byproduct and special nuclear material produced in the 
operation of the licensed reactor includes, whether stated in the 
license or not, the authorization to receive back that same material, in 
the same or altered form or combined with byproduct or special nuclear 
material produced in the operation of another reactor of the same 
licensee located at that site, from a licensee of the Commission or an 
Agreement State, or from a non-licensed entity authorized to possess the 
material.
    (2) The authorizations in this subsection are subject to the same 
limitations and requirements applicable to the original possession of 
the material.
    (3) This paragraph does not authorize the receipt of any material 
recovered from the reprocessing of irradiated fuel.
    (ff) For licensees of nuclear power plants that have implemented the 
earthquake engineering criteria in Appendix S to this part, plant 
shutdown is required as provided in Paragraph IV(a)(3) of Appendix S to 
this part. Prior to resuming operations, the licensee shall demonstrate 
to the Commission that no functional damage has occurred to those 
features necessary for continued operation without undue risk to the 
health and safety of the public and the licensing basis is maintained.

[21 FR 355, Jan. 19, 1956]

    Editorial Note: For additional Federal Register citations affecting 
Sec. 50.54, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.

    Effective Date Note: At 61 FR 65173, Dec. 11, 1996, in Sec. 50.54, 
paragraph (ff) was added, effective Jan. 10, 1997.

[[Page 684]]



Sec. 50.55   Conditions of construction permits.

    Each construction permit shall be subject to the following terms and 
conditions:
    (a) The permit shall state the earliest and latest dates for 
completion of the construction or modification.
    (b) If the proposed construction or modification of the facility is 
not completed by the latest completion date, the permit shall expire and 
all rights thereunder shall be forfeited: Provided, however, That upon 
good cause shown the Commission will extend the completion date for a 
reasonable period of time. The Commission will recognize, among other 
things, developmental problems attributable to the experimental nature 
of the facility or fire, flood, explosion, strike, sabotage, domestic 
violence, enemy action, an act of the elements, and other acts beyond 
the control of the permit holder, as a basis for extending the 
completion date.
    (c) Except as modified by this section and Sec. 50.55a, the 
construction permit shall be subject to the same conditions to which a 
license is subject.
    (d) At or about the time of completion of the construction or 
modification of the facility, the applicant will file any additional 
information needed to bring the original application for license up to 
date, and will file an application for an operating license or an 
amendment to an application for a license to construct and operate the 
facility for the issuance of an operating license, as appropriate, as 
specified in Sec. 50.30(d) of this part.
    (e)(1) Each individual, corporation, partnership, or other entity 
holding a facility construction permit subject to this part must adopt 
appropriate procedures to--
    (i) Evaluate deviations and failures to comply to identify defects 
and failures to comply associated with substantial safety hazards as 
soon as practicable, and, except as provided in paragraph (e)(1)(ii) of 
this section, in all cases within 60 days of discovery, in order to 
identify a reportable defect or failure to comply that could create a 
substantial safety hazard, were it to remain uncorrected.
    (ii) Ensure that if an evaluation of an identified deviation or 
failure to comply potentially associated with a substantial safety 
hazard cannot be completed within 60 days from discovery of the 
deviation or failure to comply, an interim report is prepared and 
submitted to the Commission through a director or responsible officer or 
designated person as discussed in paragraph (e)(7) of this section. The 
interim report should describe the deviation or failure to comply that 
is being evaluated and should also state when the evaluation will be 
completed. This interim report must be submitted in writing within 60 
days of discovery of the deviation or failure to comply.
    (iii) Ensure that a director or responsible officer of the holder of 
a facility construction permit subject to this part is informed as soon 
as practicable, and, in all cases, within the 5 working days after 
completion of the evaluation described in paragraph (e)(1)(i) or 
(e)(1)(ii) of this section, if the construction of a facility or 
activity, or a basic component supplied for such facility or activity--
    (A) Fails to comply with the Atomic Energy Act of 1954, as amended, 
or any applicable rule, regulation, order, or license of the Commission 
relating to a substantial safety hazard,
    (B) Contains a defect, or
    (C) Undergoes any significant breakdown in any portion of the 
quality assurance program conducted pursuant to the requirements of 
appendix B to 10 CFR part 50 which could have produced a defect in a 
basic component. Such breakdowns in the quality assurance program are 
reportable whether or not the breakdown actually resulted in a defect in 
a design approved and released for construction or installation.
    (2) The holder of a facility construction permit subject to this 
part who obtains information reasonably indicating that the facility 
fails to comply with the Atomic Energy Act of 1954, as amended, or any 
applicable rule, regulation, order, or license of the Commission 
relating to a substantial safety hazard must notify the Commission of 
the failure to comply through a director or responsible officer or 
designated person as discussed in paragraph (e)(7) of this section.

[[Page 685]]

    (3) The holder of a facility construction permit subject to this 
part who obtains information reasonably indicating the existence of any 
defect found in construction or any defect found in the final design of 
a facility as approved and released for construction must notify the 
Commission of the defect through a director or responsible officer or 
designated person as discussed in paragraph (e)(7) of this section.
    (4) The holder of a facility construction permit subject to this 
part who obtains information reasonably indicating that the quality 
assurance program has undergone any significant breakdown discussed in 
paragraph (e)(1)(ii)(C) of this section must notify the Commission of 
the breakdown in the quality assurance program through a director or 
responsible officer or designated person as discussed in paragraph 
(e)(7) of this section.
    (5) The notification requirements of paragraphs (e)(2), (e)(3), and 
(e)(4) of this section apply to all defects and failures to comply 
associated with a substantial safety hazard regardless of whether 
extensive evaluation, redesign, or repair is required to conform to the 
criteria and bases stated in the safety analysis report or construction 
permit. Evaluation of potential defects and failures to comply and 
reporting of defects and failures to comply under this section satisfies 
the construction permit holder's evaluation and notification obligations 
under part 21 of this chapter and, satisfies the responsibility of 
individual directors or responsible officers of holders of construction 
permits issued under Sec. 50.23 of this chapter to report defects, and 
failures to comply associated with substantial safety hazards under 
section 206 of the Energy Reorganization Act of 1974.
    (6) The notification required by paragraphs (e)(2), (e)(3), and 
(e)(4) of this section must consist of--
    (i) Initial notification by facsimile, which is the preferred method 
of notification, to the NRC Operations Center at (301) 816-5151 or by 
telephone at (301) 816-5100 within two days following receipt of 
information by the director or responsible corporate officer under 
paragraph (e)(1)(iii) of this section, on the identification of a defect 
or a failure to comply. Verification that the facsimile has been 
received should be made by calling the NRC Operations Center. This 
paragraph does not apply to interim reports described in paragraph 
(e)(1)(ii).
    (ii) Written notification submitted to the Document Control Desk, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, with a copy to 
the appropriate Regional Administrator at the address specified in 
appendix D to part 20 of this chapter and a copy to the appropriate NRC 
resident inspector within 30 days following receipt of information by 
the director or responsible corporate officer under paragraph 
(e)(1)(iii) of this section, on the identification of a defect or 
failure to comply.
    (7) The director or responsible officer may authorize an individual 
to provide the notification required by this section, provided that this 
must not relieve the director or responsible officer of his or her 
responsibility under this section.
    (8) The written notification required by paragraph (e)(6)(ii) of 
this section must clearly indicate that the written notification is 
being submitted under Sec. 50.55(e) and include the following 
information, to the extent known--
    (i) Name and address of the individual or individuals informing the 
Commission.
    (ii) Identification of the facility, the activity, or the basic 
component supplied for the facility or the activity within the United 
States which contains a defect or fails to comply.
    (iii) Identification of the firm constructing the facility or 
supplying the basic component which fails to comply or contains a 
defect.
    (iv) Nature of the defect or failure to comply and the safety hazard 
which is created or could be created by such defect or failure to 
comply.
    (v) The date on which the information of such defect or failure to 
comply was obtained.
    (vi) In the case of a basic component which contains a defect or 
fails to comply, the number and location of all the components in use at 
the facility subject to the regulations in this part.
    (vii) The corrective action which has been, is being, or will be 
taken; the

[[Page 686]]

name of the individual or organization responsible for the action; and 
the length of time that has been or will be taken to complete the 
action.
    (viii) Any advice related to the defect or failure to comply about 
the facility, activity, or basic component that has been, is being, or 
will be given to other entities.
    (9) The holder of a construction permit must prepare and maintain 
records necessary to accomplish the purposes of this section, 
specifically --
    (i) Retain procurement documents, which define the requirements that 
facilities or basic components must meet in order to be considered 
acceptable, for the lifetime of the basic component.
    (ii) Retain evaluations of all deviations and failures to comply for 
a minimum of five years.
    (iii) Maintaining records in accordance with this section satisfies 
the construction permit holders recordkeeping obligations under part 21 
of this chapter. The recordkeeping obligations of responsible officers 
and directors under part 21 of this chapter are met by recordkeeping in 
accordance with this section.
    (10) The requirements of this Sec. 50.55(e) are satisfied when the 
defect or failure to comply associated with a substantial safety hazard 
has been previously reported under part 21 of this chapter or under 
Sec. 73.71 of this chapter under Sec. 50.55(e) or Sec. 50.73 of this 
part. For holders of construction permits issued prior to October 29, 
1991. Evaluation, reporting and recordkeeping requirements of 
Sec. 50.55(e) may be met by complying with the comparable requirements 
of part 21 of this chapter.
    (f)(1) Each nuclear power plant or fuel reprocessing plant 
construction permit holder subject to the quality assurance criteria in 
appendix B of this part shall implement, pursuant to Sec. 50.34(a)(7) of 
this part, the quality assurance program described or referenced in the 
Safety Analysis Report, including changes to that report.
    (2) Each construction permit holder described in paragraph (f)(1) of 
this section shall, by June 10, 1983, submit to the appropriate NRC 
Regional Office shown in appendix D of part 20 of this chapter the 
current description of the quality assurance program it is implementing 
for inclusion in the Safety Analysis Report, unless there are no changes 
to the description previously accepted by NRC. This submittal must 
identify changes made to the quality assurance program description since 
the description was submitted to NRC. (Should a permit holder need 
additional time beyond June 10, 1983 to submit its current quality 
assurance program description to NRC, it shall notify the appropriate 
NRC Regional Office in writing, explain why additional time is needed, 
and provide a schedule for NRC approval showing when its current quality 
assurance program description will be submitted.)
    (3) After March 11, 1983, each construction permit holder described 
in paragraph (f)(1) of this section may make a change to a previously 
accepted quality assurance program description included or referenced in 
the Safety Analysis Report, provided the change does not reduce the 
commitments in the program description previously accepted by the NRC. 
Changes to the quality assurance program description that do not reduce 
the commitments must be submitted to NRC within 90 days. Changes to the 
quality assurance program description that do reduce the commitments 
must be submitted to NRC and receive NRC approval before implementation, 
as follows:
    (i) Changes to the Safety Analysis Report must be submitted for 
review as specified in Sec. 50.4. Changes made to NRC-accepted quality 
assurance topical report descriptions must be submitted as specified in 
Sec. 50.4.
    (ii) The submittal of a change to the Safety Analysis Report quality 
assurance program description must include all pages affected by that 
change and must be accompanied by a forwarding letter identifying the 
change, the reason for the change, and the basis for concluding that the 
revised program incorporating the change continues to satisfy the 
criteria of appendix B of this part and the Safety Analysis Report 
quality assurance program description commitments previously accepted by 
the NRC (the letter need not

[[Page 687]]

provide the basis for changes that correct spelling, punctuation, or 
editorial items).
    (iii) A copy of the forwarding letter identifying the changes must 
be maintained as a facility record for three years.
    (iv) Changes to the quality assurance program description included 
or referenced in the Safety Analysis Report shall be regarded as 
accepted by the Commission upon receipt of a letter to this effect from 
the appropriate reviewing office of the Commission or 60 days after 
submittal to the Commission, whichever occurs first.

[21 FR 355, Jan. 19, 1956, as amended at 32 FR 4055, Mar. 15, 1967; 35 
FR 11461, July 17, 1970; 35 FR 19661, Dec. 29, 1970; 36 FR 11424, June 
12, 1971; 37 FR 6460, Mar. 30, 1972; 38 FR 1272, Jan. 11, 1973; 41 FR 
16446, Apr. 19, 1976; 42 FR 43385, Aug. 29, 1977; 48 FR 1029, Jan. 10, 
1983; 51 FR 40309, Nov. 6, 1986; 56 FR 36091, July 31, 1991; 59 FR 
14087, Mar. 25, 1994]



Sec. 50.55a  Codes and standards.

    Each operating license for a boiling or pressurized water-cooled 
nuclear power facility is subject to the conditions in paragraphs (f) 
and (g) of this section and each construction permit for a utilization 
facility is subject to the following conditions in addition to those 
specified in Sec. 50.55.
    (a)(1) Structures, systems, and components must be designed, 
fabricated, erected, constructed, tested, and inspected to quality 
standards commensurate with the importance of the safety function to be 
performed.
    (2) Systems and components of boiling and pressurized water-cooled 
nuclear power reactors must meet the requirements of the ASME Boiler and 
Pressure Vessel Code specified in paragraphs (b), (c), (d), (e), (f), 
and (g) of this section. Protection systems of nuclear power reactors of 
all types must meet the requirements specified in paragraph (h) of this 
section.
    (3) Proposed alternatives to the requirements of paragraphs (c), 
(d), (e), (f), (g), and (h) of this section or portions thereof may be 
used when authorized by the Director of the Office of Nuclear Reactor 
Regulation. The applicant shall demonstrate that:
    (i) The proposed alternatives would provide an acceptable level of 
quality and safety, or
    (ii) Compliance with the specified requirements of this section 
would result in hardship or unusual difficulty without a compensating 
increase in the level of quality and safety.
    (b) The ASME Boiler and Pressure Vessel Code, which is referenced in 
the following paragraphs, was approved for incorporation by reference by 
the Director of the Federal Register. A notice of any changes made to 
the material incorporated by reference will be published in the Federal 
Register. Copies of the ASME Boiler and Pressure Vessel Code may be 
purchased from the American Society of Mechanical Engineers, United 
Engineering Center, 345 East 47th St., New York, NY 10017. It is also 
available for inspection at the NRC Library, 11545 Rockville Pike, 
Rockville, Maryland 20852-2738.
    (1) As used in this section, references to section III of the ASME 
Boiler and Pressure Vessel Code refer to section III, Division 1, and 
include addenda through the 1988 Addenda and editions through the 1989 
Edition.
    (2) As used in this section, references to Section XI of the ASME 
Boiler and Pressure Vessel Code refer to Class 1, Class 2, and Class 3 
components of Section XI, Division 1, and include addenda through the 
1988 Addenda and editions through the 1989 Edition, and Class MC and 
Class CC components of Section XI, Division 1, 1992 Edition with the 
1992 Addenda, subject to the following limitations and modifications:
    (i) Limitations on specific editions and addenda. When applying the 
1974 Edition, only the addenda through the Summer 1975 Addenda may be 
used. When applying the 1977 Edition, all of the addenda through the 
Summer 1978 Addenda must also be used. Addenda and editions subsequent 
to the Summer 1978 Addenda, that are incorporated by reference in 
paragraph (b)(2) of this section are not affected by these limitations.
    (ii) Pressure-retaining welds in ASME Code Class 1 piping (applies 
to Table IWB-2500 and IWB-2500-1 and Category B-J). If the facility's 
application for a construction permit was docketed prior

[[Page 688]]

to July 1, 1978, the extent of examination for Code Class 1 pipe welds 
may be determined by the requirements of Table IWB-2500 and Table IWB-
2600 Category B-J of Section XI of the ASME Code in the 1974 Edition and 
addenda through the Summer 1975 Addenda or other requirements the 
Commission may adopt.
    (iii) Steam generator tubing (modifies Article IWB-2000). If the 
technical specifications of a nuclear power plant include surveillance 
requirements for steam generators different than those in Article IWB-
2000, the inservice inspection program for steam generator tubing is 
governed by the requirements in the technical specifications.
    (iv) Pressure-retaining welds in ASME Code Class 2 piping (applies 
to Tables IWC-2520 or IWC-2520-1, Category C-F). (A) Appropriate Code 
Class 2 pipe welds in Residual Heat Removal Systems, Emergency Core 
Cooling Systems, and Containment Heat Removal Systems, must be examined. 
When applying editions and addenda up to the 1983 Edition through the 
Summer 1983 Addenda of section XI of the ASME Code, the extent of 
examination for these systems must be determined by the requirements of 
paragraph IWC-1220, Table IWC-2520 Category C-F and C-G, and paragraph 
IWC-2411 in the 1974 Edition and Addenda through the Summer 1975 
Addenda.
    (B) For a nuclear power plant whose application for a construction 
permit was docketed prior to July 1, 1978, when applying editions and 
addenda up to the 1983 Edition through the Summer 1983 Addenda of 
section XI of the ASME Code, the extent of examination for Code Class 2 
pipe welds may be determined by the requirements of paragraph IWC-1220, 
Table IWC-2520 Category C-F and C-G and paragraph IWC-2411 in the 1974 
Edition and Addenda through the Summer 1975 Addenda of Section XI of the 
ASME Code or other requirements the Commission may adopt.
    (v) Evaluation procedures and acceptance criteria for austenitic 
piping (applies to IWB-3640). When applying the Winter 1983 Addenda and 
Winter 1984 Addenda, the rules of paragraph IWB-3640 may be used for all 
applications permitted in that paragraph, except those associated with 
submerged arc welds (SAW) or shielded metal arc welds (SMAW). For SAW or 
SMAW, use paragraph IWB-3640, as modified by the Winter 1985 Addenda.
    (vi) Effective edition and addenda of Subsection IWE and Subsection 
IWL, Section XI. The 1992 Edition with the 1992 Addenda of Subsection 
IWE and Subsection IWL shall be used by licensees when performing 
containment examinations as modified and supplemented by the 
requirements in Sec. 50.55a(b)(2)(ix) and Sec. 50.55a(b)(2)(x).
    (vii) Inservice testing of containment isolation valves. When using 
subsection IWV in the 1988 Addenda or the 1989 Edition of section XI, 
Division 1, of the ASME Boiler and Pressure Vessel Code, leakage rates 
for Category A containment isolation valves that do not provide a 
reactor coolant system pressure isolation function must be analyzed in 
accordance with paragraph 4.2.2.3(e) of part 10, and corrective actions 
for these valves must be made in accordance with paragraph 4.2.2.3(f) of 
part 10 of ASME/ANSI OMa-1988 Addenda to ASME/ANSI OM-1987.
    (viii) Section XI References to OM Part 4, OM Part 6 and OM Part 10 
(Table IWA-1600-1). When using Table IWA-1600-1, ``Referenced Standards 
and Specifications'' in the section XI, Division 1, 1987 Addenda, 1988 
Addenda, or 1989 Edition, the specified ``Revision Date or Indicator'' 
for ASME/ANSI OM Part 4, ASME/ANSI part 6, and ASME/ANSI part 10 shall 
be the OMa-1988 Addenda to the OM-1987 Edition.
    (ix) Examination of concrete containments. (A) Grease caps that are 
accessible must be visually examined to detect grease leakage or grease 
cap deformations. Grease caps must be removed for this examination when 
there is evidence of grease cap deformation that indicates deterioration 
of anchorage hardware.
    (B) When evaluation of consecutive surveillances of prestressing 
forces for the same tendon or tendons in a group indicates a trend of 
prestress loss such that the tendon force(s) would be less than the 
minimum design prestress requirements before the next inspection 
interval, an evaluation shall be performed and reported in the 
Engineering

[[Page 689]]

Evaluation Report as prescribed in IWL-3300.
    (C) When the elongation corresponding to a specific load (adjusted 
for effective wires or strands) during retensioning of tendons differs 
by more than 10 percent from that recorded during the last measurement, 
an evaluation must be performed to determine whether the difference is 
related to wire failures or slip of wires in anchorages. A difference of 
more than 10 percent must be identified in the ISI Summary Report 
required by IWA-6000.
    (D) The licensee shall report the following conditions, if they 
occur, in the ISI Summary Report required by IWA-6000:
    (1) The sampled sheathing filler grease contains chemically combined 
water exceeding 10 percent by weight or the presence of free water;
    (2) The absolute difference between the amount removed and the 
amount replaced exceeds 10 percent of the tendon net duct volume.
    (3) Grease leakage is detected during general visual examination of 
the containment surface.
    (E) For Class CC applications, the licensee shall evaluate the 
acceptability of inaccessible areas when conditions exist in accessible 
areas that could indicate the presence of or result in degradation to 
such inaccessible areas. For each inaccessible area identified, the 
licensee shall provide the following in the ISI Summary Report required 
by IWA-6000:
    (1) A description of the type and estimated extent of degradation, 
and the conditions that led to the degradation;
    (2) An evaluation of each area, and the result of the evaluation, 
and;
    (3) A description of necessary corrective actions.
    (x) Examination of metal containments and the liners of concrete 
containments. (A) For Class MC applications, the licensee shall evaluate 
the acceptability of inaccessible areas when conditions exist in 
accessible areas that could indicate the presence of or result in 
degradation to such inaccessible areas. For each inaccessible area 
identified, the licensee shall provide the following in the ISI Summary 
Report required by IWA-6000:
    (1) A description of the type and estimated extent of degradation, 
and the conditions that led to the degradation;
    (2) An evaluation of each area, and the result of the evaluation, 
and;
    (3) A description of necessary corrective actions.
    (B) When performing remotely the visual examinations required by 
Subsection IWE, the maximum direct examination distance specified in 
Table IWA-2210-1 may be extended and the minimum illumination 
requirements specified in Table IWA-2210-1 may be decreased provided 
that the conditions or indications for which the visual examination is 
performed can be detected at the chosen distance and illumination.
    (C) The examinations specified in Examination Category E-B, Pressure 
Retaining Welds, and Examination Category E-F, Pressure Retaining 
Dissimilar Metal Welds, are optional.
    (D) Section 50.55a(b)(2)(x)(D) may be used as an alternative to the 
requirements of IWE-2430.
    (1) If the examinations reveal flaws or areas of degradation 
exceeding the acceptance standards of Table IWE-3410-1, an evaluation 
shall be performed to determine whether additional component 
examinations are required. For each flaw or area of degradation 
identified which exceeds acceptance standards, the licensee shall 
provide the following in the ISI Summary Report required by IWA-6000:
    (i) A description of each flaw or area, including the extent of 
degradation, and the conditions that led to the degradation;
    (ii) The acceptability of each flaw or area, and the need for 
additional examinations to verify that similar degradation does not 
exist in similar components, and;
    (iii) A description of necessary corrective actions.
    (2) The number and type of additional examinations to ensure 
detection of similar degradation in similar components.
    (E) A general visual examination as required by Subsection IWE shall 
be performed once each period.
    (c) Reactor coolant pressure boundary. (1) Components which are part 
of the reactor coolant pressure boundary

[[Page 690]]

must meet the requirements for Class 1 components in Section III 4, 
5 of the ASME Boiler and Pressure Vessel Code, except as provided in 
paragraphs (c)(2), (c)(3), and (c)(4) of this section.
---------------------------------------------------------------------------

    See footnotes at end of section.
---------------------------------------------------------------------------

    (2) Components which are connected to the reactor coolant system and 
are part of the reactor coolant pressure boundary as defined in 
Sec. 50.2 need not meet the requirements of paragraph (c)(1) of this 
section, Provided:
    (i) In the event of postulated failure of the component during 
normal reactor operation, the reactor can be shut down and cooled down 
in an orderly manner, assuming makeup is provided by the reactor coolant 
makeup system; or
    (ii) The component is or can be isolated from the reactor coolant 
system by two valves in series (both closed, both open, or one closed 
and the other open). Each open valve must be capable of automatic 
actuation and, assuming the other valve is open, its closure time must 
be such that, in the event of postulated failure of the component during 
normal reactor operation, each valve remains operable and the reactor 
can be shut down and cooled down in an orderly manner, assuming makeup 
is provided by the reactor coolant makeup system only.
    (3) The Code Edition, Addenda, and optional Code Cases 6 to be 
applied to components of the reactor coolant pressure boundary must be 
determined by the provisions of paragraph NCA-1140, Subsection NCA of 
Section III of the ASME Boiler and Pressure Vessel Code, but (i) the 
edition and addenda applied to a component must be those which are 
incorporated by reference in paragraph (b)(1) of this section, (ii) the 
ASME Code provisions applied to the pressure vessel may be dated no 
earlier than the Summer 1972 Addenda of the 1971 edition, (iii) the ASME 
Code provisions applied to piping, pumps, and valves may be dated no 
earlier than the Winter 1972 Addenda of the 1971 edition, and (iv) ASME 
Code Cases 6 must have been determined suitable for use by the NRC.
    (4) For a nuclear power plant whose construction permit was issued 
prior to May 14, 1984 the applicable Code Edition and Addenda for a 
component of the reactor coolant pressure boundary continue to be that 
Code Edition and Addenda that were required by Commission regulations 
for such component at the time of issuance of the construction permit.
    (d) Quality Group B components. (1) For a nuclear power plant whose 
application for a construction permit is docketed after May 14, 1984 
components classified Quality Group B \9\ must meet the requirements for 
Class 2 Components in Section III of the ASME Boiler and Pressure Vessel 
Code.
    (2) The Code Edition, Addenda, and optional Code Cases 6 to be 
applied to the systems and components identified in paragraph (d)(1) of 
this section must be determined by the rules of paragraph NCA-1140, 
Subsection NCA of Section III of the ASME Boiler Vessel and Pressure 
Code, but (i) the edition and addenda must be those which are 
incorporated by reference in paragraph (b)(1) of this section, (ii) the 
ASME Code provisions applied to the systems and components may be dated 
no earlier than the 1980 Edition, and (iii) the ASME Code Cases 6 
must have been determined suitable for use by the NRC.
    (e) Quality Group C components. (1) For a nuclear power plant whose 
application for a construction permit is docketed after May 14, 1984 
components classified Quality Group C 9 must meet the requirements 
for Class 3 components in Section III of the ASME Boiler and Pressure 
Vessel Code.
    (2) The Code Edition, Addenda, and optional Code Cases 6 to be 
applied to the systems and components identified in paragraph (e)(1) of 
this section must be determined by the rules of paragraph NCA-1140, 
subsection NCA of Section III of the ASME Boiler and Pressure Vessel 
Code, but (i) the edition and addenda must be those which are 
incorporated by reference in paragraph (b)(1) of this section, (ii) the 
ASME Code provisions applied to the systems and components may be dated 
no earlier than the 1980 Edition, and (iii) the ASME Code Cases 6 
must have been determined suitable for use by the NRC.
    (f) Inservice testing requirements. (1) For a boiling or pressurized 
water-cooled nuclear power facility whose

[[Page 691]]

construction permit was issued prior to January 1, 1971, pumps and 
valves must meet the test requirement of paragraphs (f) (4) and (5) of 
this section to the extent practical. Pumps and valves which are part of 
the reactor coolant pressure boundary must meet the requirements 
applicable to components which are classified as ASME Code Class 1. 
Other safety-related pumps and valves must meet the requirements 
applicable to components which are classified as ASME Code Class 2 or 
Class 3.
    (2) For a boiling or pressurized water-cooled nuclear power facility 
whose construction permit was issued on or after January 1, 1971, but 
before July 1, 1974, pumps and valves which are classified as ASME Code 
Class 1 and Class 2 must be designed and be provided with access to 
enable the performance of inservice tests for operational readiness set 
forth in editions of Section XI of the ASME Boiler and Pressure Vessel 
Code and Addenda 6 in effect 6 months prior to the date of issuance 
of the construction permit. The pumps and valves may meet the inservice 
test requirements set forth in subsequent editions of this code and 
addenda which are incorporated by reference in paragraph (b) of this 
section, subject to the limitations and modifications listed therein.
    (3) For a boiling or pressurized water-cooled nuclear power facility 
whose construction permit was issued on or after July 1, 1974:
    (i)--(ii) [Reserved]
    (iii) Pumps and valves which are classified as ASME Code Class 1 
must be designed and be provided with access to enable the performance 
of inservice testing of the pumps and valves for assessing operational 
readiness set forth in section XI of editions of the ASME Boiler and 
Pressure Vessel Code and Addenda \6\ applied to the construction of the 
particular pump or valve or the Summer 1973 Addenda, whichever is later.
    (iv) Pumps and valves which are classified as ASME Code Class 2 and 
Class 3 must be designed and be provided with access to enable the 
performance of inservice testing of the pumps and valves for assessing 
operational readiness set forth in section XI of editions of the ASME 
Boiler and Pressure Vessel Code and Addenda \6\ applied to the 
construction of the particular pump or valve or the Summer 1973 Addenda, 
whichever is later.
    (v) All pumps and valves may meet the test requirements set forth in 
subsequent editions of codes and addenda or portions thereof which are 
incorporated by reference in paragraph (b) of this section, subject to 
the limitations and modifications listed in paragraph (b) of this 
section.
    (4) Throughout the service life of a boiling or pressurized water-
cooled nuclear power facility, components (including supports) which are 
classified as ASME Code Class 1, Class 2 and Class 3 must meet the 
requirements, except design and access provisions and preservice 
examination requirements, set forth in section XI of editions of the 
ASME Boiler and Pressure Vessel Code and Addenda that become effective 
subsequent to editions specified in paragraphs (g)(2) and (g)(3) of this 
section and that are incorporated by reference in paragraph (b) of this 
section, to the extent practical within the limitations of design, 
geometry and materials of construction of the components.
    (i) Inservice tests to verify operational readiness of pumps and 
valves, whose function is required for safety, conducted during the 
initial 120-month interval must comply with the requirements in the 
latest edition and addenda of the Code incorporated by reference in 
paragraph (b) of this section on the date 12 months prior to the date of 
issuance of the operating license, subject to the limitations and 
modifications listed in paragraph (b) of this section.
    (ii) Inservice tests to verify operational readiness of pumps and 
valves, whose function is required for safety, conducted during 
successive 120-month intervals must comply with the requirements of the 
latest edition and addenda of the Code incorporated by reference in 
paragraph (b) of this section 12 months prior to the start of the 120-
month interval, subject to the limitations and modifications listed in 
paragraph (b) of this section.
    (iii) [Reserved]
    (iv) Inservice tests of pumps and valves may meet the requirements 
set

[[Page 692]]

forth in subsequent editions and addenda that are incorporated by 
reference in paragraph (b) of this section, subject to the limitations 
and modifications listed in paragraph (b) of this section, and subject 
to Commission approval. Portions of editions or addenda may be used 
provided that all related requirements of the respective editions or 
addenda are met.
    (5)(i) The inservice test program for a boiling or pressurized 
water-cooled nuclear power facility must be revised by the licensee, as 
necessary, to meet the requirements of paragraph (f)(4) of this section.
    (ii) If a revised inservice test program for a facility conflicts 
with the technical specification for the facility, the licensee shall 
apply to the Commission for amendment of the technical specifications to 
conform the technical specification to the revised program. The licensee 
shall submit this application, as specified in Sec. 50.4, at least 6 
months before the start of the period during which the provisions become 
applicable, as determined by paragraph (f)(4) of this section.
    (iii) If the licensee has determined that conformance with certain 
code requirements is impractical for its facility, the licensee shall 
notify the Commission and submit, as specified in Sec. 50.4, information 
to support the determination.
    (iv) Where a pump or valve test requirement by the code or addenda 
is determined to be impractical by the licensee and is not included in 
the revised inservice test program as permitted by paragraph (f)(4) of 
this section, the basis for this determination must be demonstrated to 
the satisfaction of the Commission not later than 12 months after the 
expiration of the initial 120-month period of operation from start of 
facility commercial operation and each subsequent 120-month period of 
operation during which the test is determined to be impractical.
    (6)(i) The Commission will evaluate determinations under paragraph 
(f)(5) of this section that code requirements are impractical. The 
Commission may grant relief and may impose such alternative requirements 
as it determines is authorized by law and will not endanger life or 
property or the common defense and security and is otherwise in the 
public interest giving due consideration to the burden upon the licensee 
that could result if the requirements were imposed on the facility.
    (ii) The Commission may require the licensee to follow an augmented 
inservice test program for pumps and valves for which the Commission 
deems that added assurance of operational readiness is necessary.
    (g) Inservice inspection requirements. Requirements for inservice 
testing of Class 1, Class 2, and Class 3 pumps and valves are located in 
Sec. 50.55a(f).
    (1) For a boiling or pressurized water-cooled nuclear power facility 
whose construction permit was issued prior to January 1, 1971, 
components (including supports) must meet the requirements of paragraphs 
(g) (4) and (5) of this section to the extent practical. Components 
which are part of the reactor coolant pressure boundary and their 
supports must meet the requirements applicable to components which are 
classified as ASME Code Class 1. Other safety-related pressure vessels, 
piping, pumps and valves must meet the requirements applicable to 
components which are classified as ASME Code Class 2 or Class 3.
    (2) For a boiling or pressurized water-cooled nuclear power facility 
whose construction permit was issued on or after January 1, 1971, but 
before July 1, 1974, components (including supports) which are 
classified as ASME Code Class 1 and Class 2 must be designed and be 
provided with access to enable the performance of inservice examination 
of such components (including supports) and must meet the preservice 
examination requirements set forth in editions of section XI of the ASME 
Boiler and Pressure Vessel Code and Addenda \6\ in effect six months 
prior to the date of issuance of the construction permit. The components 
(including supports) may meet the requirements set forth in subsequent 
editions of this code and addenda which are incorporated by reference in 
paragraph (b) of this section, subject to the limitations and 
modifications listed in paragraph (b) of this section.
    (3) For a boiling or pressurized water-cooled nuclear power facility 
whose

[[Page 693]]

construction permit was issued on or after July 1, 1974:
    (i) Components which are classified as ASME Code Class 1 must be 
designed and be provided with access to enable the performance of 
inservice examination of such components and must meet the preservice 
examination requirements set forth in section XI of editions of the ASME 
Boiler and Pressure Vessel Code and Addenda \6\ applied to the 
construction of the particular component.
    (ii) Components which are classified as ASME Code Class 2 and Class 
3 and supports for components which are classified as ASME Code Class 1, 
Class 2, and Class 3 must be designed and be provided with access to 
enable the performance of inservice examination of such components and 
must meet the preservice examination requirements set forth in section 
XI of editions of the ASME Boiler and Pressure Vessel Code and Addenda 
\6\ applied to the construction of the particular component.
    (iii)--(iv) [Reserved]
    (v) All components (including supports) may meet the requirements 
set forth in subsequent editions of codes and addenda or portions 
thereof which are incorporated by reference in paragraph (b) of this 
section, subject to the limitations and modifications listed therein.
    (4) Throughout the service life of a boiling or pressurized water-
cooled nuclear power facility, components (including supports) which are 
classified as ASME Code Class 1, Class 2, and Class 3 must meet the 
requirements, except design and access provisions and preservice 
examination requirements, set forth in Section XI of editions of the 
ASME Boiler and Pressure Vessel Code and Addenda that become effective 
subsequent to editions specified in paragraphs (g)(2) and (g)(3) of this 
section and that are incorporated by reference in paragraph (b) of this 
section, to the extent practical within the limitations of design, 
geometry and materials of construction of the components. Components 
which are classified as Class MC pressure retaining components and their 
integral attachments, and components which are classified as Class CC 
pressure retaining components and their integral attachments must meet 
the requirements, except design and access provisions and preservice 
examination requirements, set forth in Section XI of the ASME Boiler and 
Pressure Vessel Code and Addenda that are incorporated by reference in 
paragraph (b) of this section, subject to the limitation listed in 
paragraph (b)(2)(vi) and the modifications listed in paragraphs 
(b)(2)(ix) and (b)(2)(x) of this section, to the extent practical within 
the limitations of design, geometry and materials of construction of the 
components.
    (i) Inservice examinations of components and system pressure tests 
conducted during the initial 120-month inspection interval must comply 
with the requirements in the latest edition and addenda of the Code 
incorporated by reference in paragraph (b) of this section on the date 
12 months prior to the date of issuance of the operating license, 
subject to the limitations and modifications listed in paragraph (b) of 
this section.
    (ii) Inservice examination of components and system pressure tests 
conducted during successive 120-month inspection intervals must comply 
with the requirements of the latest edition and addenda of the Code 
incorporated by reference in paragraph (b) of this section 12 months 
prior to the start of the 120-month inspection interval, subject to the 
limitations and modifications listed in paragraph (b) of this section.
    (iii) [Reserved]
    (iv) Inservice examination of components and system pressure tests 
may meet the requirements set forth in subsequent editions and addenda 
that are incorporated by reference in paragraph (b) of this section, 
subject to the limitations and modifications listed in paragraph (b) of 
this section, and subject to Commission approval. Portions of editions 
or addenda may be used provided that all related requirements of the 
respective editions or addenda are met.
    (v) For a boiling or pressurized water-cooled nuclear power facility 
whose construction permit was issued after January 1, 1956:
    (A) Metal containment pressure retaining components and their 
integral attachments must meet the inservice

[[Page 694]]

inspection, repair, and replacement requirements applicable to 
components which are classified as ASME Code Class MC;
    (B) Metallic shell and penetration liners which are pressure 
retaining components and their integral attachments in concrete 
containments must meet the inservice inspection, repair, and replacement 
requirements applicable to components which are classified as ASME Code 
Class MC; and
    (C) Concrete containment pressure retaining components and their 
integral attachments, and the post-tensioning systems of concrete 
containments must meet the inservice inspection and repair requirements 
applicable to components which are classified as ASME Code Class CC.
    (5)(i) The inservice inspection program for a boiling or pressurized 
water-cooled nuclear power facility must be revised by the licensee, as 
necessary, to meet the requirements of paragraph (g)(4) of this section.
---------------------------------------------------------------------------

    See footnotes at end of section.
---------------------------------------------------------------------------

    (ii) If a revised inservice inspection program for a facility 
conflicts with the technical specification for the facility, the 
licensee shall apply to the Commission for amendment of the technical 
specifications to conform the technical specification to the revised 
program. The licensee shall submit this application, as specified in 
Sec. 50.4, at least six months before the start of the period during 
which the provisions become applicable, as determined by paragraph 
(g)(4) of this section.
    (iii) If the licensee has determined that conformance with certain 
code requirements is impractical for its facility, the licensee shall 
notify the Commission and submit, as specified in Sec. 50.4, information 
to support the determinations.
    (iv) Where an examination requirement by the code or addenda is 
determined to be impractical by the licensee and is not included in the 
revised inservice inspection program as permitted by paragraph (g)(4) of 
this section, the basis for this determination must be demonstrated to 
the satisfaction of the Commission not later than 12 months after the 
expiration of the initial 120-month period of operation from start of 
facility commercial operation and each subsequent 120-month period of 
operation during which the examination is determined to be impractical.
    (6)(i) The Commission will evaluate determinations under paragraph 
(g)(5) of this section that code requirements are impractical. The 
Commission may grant such relief and may impose such alternative 
requirements as it determines is authorized by law and will not endanger 
life or property or the common defense and security and is otherwise in 
the public interest giving due consideration to the burden upon the 
licensee that could result if the requirements were imposed on the 
facility.
    (ii) The Commission may require the licensee to follow an augmented 
inservice inspection program for systems and components for which the 
Commission deems that added assurance of structural reliability is 
necessary.
    (A) Augmented examination of reactor vessel.
    (1) All previously granted reliefs under Sec. 50.55a to licensees 
for the extent of volumetric examination of reactor vessel shell welds 
specified in Item B1.10 of Examination Category B-A, ``Pressure 
Retaining Welds in Reactor Vessel,'' in Table IWB-2500-1 of subsection 
IWB in applicable edition and addenda of section XI, Division 1, of the 
ASME Boiler and Pressure Vessel Code, during the inservice inspection 
interval in effect on September 8, 1992 are hereby revoked, subject to 
the specific modification in Sec. 50.55a(g)(6)(ii)(A)(3)(iv) for 
licensees that defer the augmented examination in accordance with 
Sec. 50.55a(g)(6)(ii)(A)(3).
    (2) All licensees shall augment their reactor vessel examination by 
implementing once, as part of the inservice inspection interval in 
effect on September 8, 1992, the examination requirements for reactor 
vessel shell welds specified in Item B1.10 of Examination Category B-A, 
``Pressure Retaining Welds in Reactor Vessel,'' in Table IWB-2500-1 of 
subsection IWB of the 1989 Edition of section XI, Division 1, of the 
ASME Boiler and Pressure Vessel Code, subject to the conditions 
specified in Sec. 50.55a(g)(6)(ii)(A)(3) and

[[Page 695]]

(4). The augmented examination, when not deferred in accordance with the 
provisions of Sec. 50.55a(g)(6)(ii)A(3), shall be performed in 
accordance with the related procedures specified in the section XI 
edition and addenda applicable to the inservice inspection interval in 
effect on September 8, 1992, and may be used as a substitute for the 
reactor vessel shell weld examination scheduled for implementation 
during the inservice inspection interval in effect on September 8, 1992. 
For the purpose of this augmented examination, ``essentially 100% as 
used in Table IWB-2500-1 means more than 90 percent of the examination 
volume of each weld, where the reduction in coverage is due to 
interference by another component, or part geometry.
    (3) Licensees with fewer than 40 months remaining in the inservice 
inspection interval in effect on September 8, 1992 may defer the 
augmented reactor vessel examination specified in 
Sec. 50.55a(g)(6)(ii)(A)(2) to the first period of the next inspection 
interval under the following conditions:
    (i) The deferred augmented examination may not be used as a 
substitute for the reactor vessel shell weld examination scheduled for 
implementation during the inservice inspection interval in effect on 
September 8, 1992.
    (ii) The deferred augmented examination may be used as a substitute 
for the reactor vessel shell weld examination normally scheduled for the 
inspection interval in which the deferred examination is performed.
    (iii) If the deferred augmented examination is used as a substitute 
for the normally scheduled reactor vessel shell weld examination, 
subsequent reactor vessel shell weld examinations must be performed 
during the first period of successive inspection intervals.
    (iv) Licensees that defer the augmented examination, as permitted 
herein, may retain all previously granted reliefs that otherwise would 
be revoked by Sec. 50.55a(g)(6)(ii)(A)(1) for the inservice inspection 
interval in effect on September 8, 1992.
    (v) Licensees with fewer than 40 months remaining in the inservice 
inspection interval in effect on September 8, 1992 may extend that 
interval in accordance with the provisions of section XI (1989 Edition) 
IWA-2430(d) for the purpose of implementing the augmented examination 
during that interval.
    (vi) The deferred augmented examination shall be performed in 
accordance with the related procedures specified in the section XI 
edition and addenda applicable to the inspection interval in which the 
augmented examination is performed.
    (4) The requirement for augmented examination of the reactor vessel 
may be satisfied by an examination of essentially 100 percent of the 
reactor vessel shell welds specified in Sec. 50.55a(g)(6)(ii)(A)(2) that 
has been completed, or is scheduled for implementation with a written 
commitment, or is required by Sec. 50.55a(g)(4)(i), during the inservice 
inspection interval in effect on September 8, 1992.
    (5) Licensees that make a determination that they are unable to 
completely satisfy the requirements for the augmented reactor vessel 
shell weld examination specified in Sec. 50.55a(g)(6)(ii)(A) shall 
submit information to the Commission to support the determination and 
shall propose an alternative to the examination requirements that would 
provide an acceptable level of quality and safety. The licensee may use 
the proposed alternative when authorized by the Director of the Office 
of Nuclear Reactor Regulation.
    (B) Expedited examination of containment. (1) Licensees of all 
operating nuclear power plants shall implement the inservice 
examinations specified for the first period of the first inspection 
interval in Subsection IWE of the 1992 Edition with the 1992 Addenda in 
conjunction with the modifications specified in Sec. 50.55a (b)(2)(ix) 
by September 9, 2001. The examination performed during the first period 
of the first inspection interval shall serve the same purpose for 
operating plants as the preservice examination specified for plants not 
yet in operation.
    (2) Licensees of all operating nuclear power plants shall implement 
the inservice examinations which correspond to the number of years of 
operation which are specified in Subsection IWL

[[Page 696]]

of the 1992 Edition with the 1992 Addenda in conjunction with the 
modifications specified in Sec. 50.55a (b)(2)(ix) by September 9, 2001. 
The first examination performed shall serve the same purpose for 
operating plants as the preservice examination specified for plants not 
yet in operation.
    (3) The expedited examination for Class MC components may be used to 
satisfy the requirements of routinely scheduled examinations of 
Subsection IWE subject to IWA-2430(d) when the expedited examination 
occurs during the first containment inspection interval.
    (4) The requirement for the expedited examination of the containment 
post-tensioning system may be satisfied by the post-tensioning system 
examinations performed after September 9, 1996 as a result of licensee 
post-tensioning system programs accepted by the NRC prior to September 
9, 1996.
    (5) Licensees do not have to submit to the NRC staff for approval of 
their containment inservice inspection program which was developed to 
satisfy the requirements of Subsection IWE and Subsection IWL with 
specified modifications and a limitation. The program elements and the 
required documentation shall be maintained on site for audit.
    (h) Protection systems. For construction permits issued after 
January 1, 1971, protection systems must meet the requirements set forth 
in editions or revisions of the Institute of Electrical and Electronics 
Engineers Standard: ``Criteria for Protection Systems for Nuclear Power 
Generating Stations,'' (IEEE-279) in effect \7\ on the formal docket 
date \8\ of the application for a construction permit. Protection 
systems may meet the requirements set forth in subsequent editions or 
revisions of IEEE-279 which become effective.
    Footnotes to Sec. 50.55a:
    1--3 [Reserved]
    4 USAS and ASME Code addenda issued prior to the Winter 1977 
Addenda are considered to be ``in effect'' or ``effective'' 6 months 
after their date of issuance and after they are incorporated by 
reference in paragraph (b) of this section. Addenda to the ASME Code 
issued after the Summer 1977 Addenda are considered to be ``in effect'' 
or ``effective'' after the date of publication of the addenda and after 
they are incorporated by reference in paragraph (b) of this section.
    5 For ASME Code Editions and Addenda issued prior to the Winter 
1977 Addenda, the Code Edition and Addenda applicable to the component 
is governed by the order or contract date for the component, not the 
contract date for the nuclear energy system. For the Winter 1977 Addenda 
and subsequent editions and addenda the method for determining the 
applicable Code editions and addenda is contained in Paragraph NCA 1140 
of Section III of the ASME Code.
    6 ASME Code cases that have been determined suitable for use by 
the Commission staff are listed in NRC Regulatory Guide 1.84, ``Design 
and Code Case Acceptability--ASME Section III Division 1,'' NRC 
Regulatory Guide 1.85, ``Materials Code Case Acceptability--ASME Section 
III Division 1,'' and NRC Regulatory Guide 1.147, ``Inservice Inspection 
Code Case Acceptability--ASME Section XI Division 1.'' The use of other 
Code cases may be authorized by the Director of the Office of Nuclear 
Reactor Regulation upon request pursuant to Sec. 50.55a(a)(3).
    \7\ For purposes of this regulation the proposed IEEE 279 became 
``in effect'' on August 30, 1968, and the revised issue IEEE 279-1971 
became ``in effect'' on June 3, 1971. Copies may be obtained from the 
Institute of Electrical and Electronics Engineers, United Engineering 
Center, 345 East 47th St., New York, NY 10017. Copies are available for 
inspection at the Commission's Technical Library, 11545 Rockville Pike, 
Two White Flint North, Rockville, Maryland 20852-2738.
    8 Where an application for a construction permit is submitted 
in four parts pursuant to the provisions of Sec. 2.101(a-1) and subpart 
F of part 2 of this chapter, ``the formal docket date of the application 
for a construction permit'' for purposes of this section is the date of 
docketing of the information required by Sec. 2.101(a-1), (2), or (3), 
whichever is later.
    9 Guidance for quality group classifications of components 
which are to be included in the safety analysis reports pursuant to 
Sec. 50.34(a) and Sec. 50.34(b) may be found in Regulatory Guide 1.26, 
``Quality Group Classifications and Standards for Water-, Steam-, and 
Radiological-Waste-Containing Components of Nuclear Power Plants,'' and 
in Section 3.2.2 of NUREG-0800, ``Standard Review Plan for Review of 
Safety Analysis Reports for Nuclear Power Plants.''

[36 FR 11424, June 12, 1971]

    Editorial Note: For Federal Register citations affecting 
Sec. 50.55a, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.

[[Page 697]]



Sec. 50.56   Conversion of construction permit to license; or amendment of license.

    Upon completion of the construction or alteration of a facility, in 
compliance with the terms and conditions of the construction permit and 
subject to any necessary testing of the facility for health or safety 
purposes, the Commission will, in the absence of good cause shown to the 
contrary issue a license of the class for which the construction permit 
was issued or an appropriate amendment of the license, as the case may 
be.

[21 FR 355, Jan. 19, 1956, as amended at 35 FR 11461, July 17, 1970]



Sec. 50.57   Issuance of operating license.\1\

    (a) Pursuant to Sec. 50.56, an operating license may be issued by 
the Commission, up to the full term authorized by Sec. 50.51, upon 
finding that:
---------------------------------------------------------------------------

    1 The Commission may issue a provisional operating license pursuant 
to the regulations in this part in effect on March 30, 1970, for any 
facility for which a notice of hearing on an application for a 
provisional operating license or a notice of proposed issuance of a 
provisional operating license has been published on or before that date.
---------------------------------------------------------------------------

    (1) Construction of the facility has been substantially completed, 
in conformity with the construction permit and the application as 
amended, the provisions of the Act, and the rules and regulations of the 
Commission; and
    (2) The facility will operate in conformity with the application as 
amended, the provisions of the Act, and the rules and regulations of the 
Commission; and
    (3) There is reasonable assurance (i) that the activities authorized 
by the operating license can be conducted without endangering the health 
and safety of the public, and (ii) that such activities will be 
conducted in compliance with the regulations in this chapter; and
    (4) The applicant is technically and financially qualified to engage 
in the activities authorized by the operating license in accordance with 
the regulations in this chapter. However, no finding of financial 
qualification is necessary for an electric utility applicant for an 
operating license for a utilization facility of the type described in 
Sec. 50.21(b) or Sec. 50.22.
    (5) The applicable provisions of Part 140 of this chapter have been 
satisfied; and
    (6) The issuance of the license will not be inimical to the common 
defense and security or to the health and safety of the public.
    (b) Each operating license will include appropriate provisions with 
respect to any uncompleted items of construction and such limitations or 
conditions as are required to assure that operation during the period of 
the completion of such items will not endanger public health and safety.
    (c) An applicant may, in a case where a hearing is held in 
connection with a pending proceeding under this section make a motion in 
writing, pursuant to this paragraph (c), for an operating license 
authorizing low-power testing (operation at not more than 1 percent of 
full power for the purpose of testing the facility), and further 
operations short of full power operation. Action on such a motion by the 
presiding officer shall be taken with due regard to the rights of the 
parties to the proceeding, including the right of any party to be heard 
to the extent that his contentions are relevant to the activity to be 
authorized. Prior to taking any action on such a motion which any party 
opposes, the presiding officer shall make findings on the matters 
specified in paragraph (a) of this section as to which there is a 
controversy, in the form of an initial decision with respect to the 
contested activity sought to be authorized. The Director of Nuclear 
Reactor Regulation will make findings on all other matters specified in 
paragraph (a) of this section. If no party opposes the motion, the 
presiding officer will issue an order pursuant to Sec. 2.730(e) of this 
chapter, authorizing the Director of Nuclear Reactor Regulation to make 
appropriate findings on the matters specified in paragraph (a) of this 
section and to issue a license for the requested operation.

[35 FR 5318, Mar. 31, 1970, as amended at 35 FR 6644, Apr. 25, 1970; 37 
FR 11873, June 15, 1972; 37 FR 15142, July 28, 1972; 49 FR 35753, Sept. 
12, 1984; 51 FR 7765, Mar. 6, 1986]

[[Page 698]]



Sec. 50.58   Hearings and report of the Advisory Committee on Reactor Safeguards.

    (a) Each application for a construction permit or an operating 
license for a facility which is of a type described in Sec. 50.21(b) or 
Sec. 50.22, or for a testing facility, shall be referred to the Advisory 
Committee on Reactor Safeguards for a review and report. An application 
for an amendment to such a construction permit or operating license may 
be referred to the Advisory Committee on Reactor Safeguards for review 
and report. Any report shall be made part of the record of the 
application and available to the public, except to the extent that 
security classification prevents disclosure.
    (b)(1) The Commission will hold a hearing after at least 30-days' 
notice and publication once in the Federal Register on each application 
for a construction permit for a production or utilization facility which 
is of a type described in Sec. 50.21(b) or Sec. 50.22, or for a testing 
facility.
    (2) When a construction permit has been issued for such a facility 
following the holding of a public hearing, and an application is made 
for an operating license or for an amendment to a construction permit or 
operating license, the Commission may hold a hearing after at least 30-
days' notice and publication once in the Federal Register, or, in the 
absence of a request therefor by any person whose interest may be 
affected, may issue an operating license or an amendment to a 
construction permit or operating license without a hearing, upon 30-
days' notice and publication once in the Federal Register of its intent 
to do so.
    (3) If the Commission finds, in an emergency situation, as defined 
in Sec. 50.91, that no significant hazards consideration is presented by 
an application for an amendment to an operating license, it may dispense 
with public notice and comment and may issue the amendment. If the 
Commission finds that exigent circumstances exist, as described in 
Sec. 50.91, it may reduce the period provided for public notice and 
comment.
    (4) Both in an emergency situation and in the case of exigent 
circumstances, the Commission will provide 30 days notice of opportunity 
for a hearing, though this notice may be published after issuance of the 
amendment if the Commission determines that no significant hazards 
consideration is involved.
    (5) The Commission will use the standards in Sec. 50.92 to determine 
whether a significant hazards consideration is presented by an amendment 
to an operating license for a facility of the type described in 
Sec. 50.21(b) or Sec. 50.22, or which is a testing facility, and may 
make the amendment immediately effective, notwithstanding the pendency 
before it of a request for a hearing from any person, in advance of the 
holding and completion of any required hearing, where it has determined 
that no significant hazards consideration is involved.
    (6) No petition or other request for review of or hearing on the 
staff's significant hazards consideration determination will be 
entertained by the Commission. The staff's determination is final, 
subject only to the Commission's discretion, on its own initiative, to 
review the determination.

[27 FR 12186, Dec. 8, 1962, as amended at 35 FR 11461, July 17, 1970; 39 
FR 10555, Mar. 21, 1974; 51 FR 7765, Mar. 6, 1986]



Sec. 50.59   Changes, tests and experiments.

    (a)(1) The holder of a license authorizing operation of a production 
or utilization facility may (i) make changes in the facility as 
described in the safety analysis report, (ii) make changes in the 
procedures as described in the safety analysis report, and (iii) conduct 
tests or experiments not described in the safety analysis report, 
without prior Commission approval, unless the proposed change, test or 
experiment involves a change in the technical specifications 
incorporated in the license or an unreviewed safety question.
    (2) A proposed change, test, or experiment shall be deemed to 
involve an unreviewed safety question (i) if the probability of 
occurrence or the consequences of an accident or malfunction of 
equipment important to safety previously evaluated in the safety 
analysis report may be increased; or (ii) if a possibility for an 
accident or malfunction of a different type than

[[Page 699]]

any evaluated previously in the safety analysis report may be created; 
or (iii) if the margin of safety as defined in the basis for any 
technical specification is reduced.
    (b)(1) The licensee shall maintain records of changes in the 
facility and of changes in procedures made pursuant to this section, to 
the extent that these changes constitute changes in the facility as 
described in the safety analysis report or to the extent that they 
constitute changes in procedures as described in the safety analysis 
report. The licensee shall also maintain records of tests and 
experiments carried out pursuant to paragraph (a) of this section. These 
records must include a written safety evaluation which provides the 
bases for the determination that the change, test, or experiment does 
not involve an unreviewed safety question.
    (2) The licensee shall submit, as specified in Sec. 50.4, a report 
containing a brief description of any changes, tests, and experiments, 
including a summary of the safety evaluation of each. The report may be 
submitted annually or along with the FSAR updates as required by 
Sec. 50.71(e), or at such shorter intervals as may be specified in the 
license.
    (3) The records of changes in the facility shall be maintained until 
the date of termination of the license, and records of changes in 
procedures and records of tests and experiments shall be maintained for 
a period of five years.
    (c) The holder of a license authorizing operation of a production or 
utilization facility who desires (1) a change in technical 
specifications or (2) to make a change in the facility or the procedures 
described in the safety analysis report or to conduct tests or 
experiments not described in the safety analysis report, which involve 
an unreviewed safety question or a change in technical specifications, 
shall submit an application for amendment of his license pursuant to 
Sec. 50.90.
    (d) The provisions of this section apply to each nuclear power 
reactor licensee that has submitted the certification of permanent 
cessation of operations required under Sec. 50.82(a)(1)(i).
    (e) The provisions of paragraphs (a) through (c) of this section 
apply to each non-power reactor licensee whose license no longer 
authorizes operation of the reactor.

[39 FR 10555, Mar. 21, 1974, as amended at 41 FR 16446, Apr. 19, 1976; 
41 FR 18302, May 3, 1976; 42 FR 20139, Apr. 18, 1977; 51 FR 40309, Nov. 
6, 1986; 57 FR 39358, Aug. 31, 1992; 61 FR 39300, July 29, 1996]



Sec. 50.60  Acceptance criteria for fracture prevention measures for lightwater nuclear power reactors for normal operation.

    (a) Except as provided in paragraph (b) of this section, all light-
water nuclear power reactors, other than reactor facilities for which 
the certifications required under Sec. 50.82(a)(1) have been submitted, 
must meet the fracture toughness and material surveillance program 
requirements for the reactor coolant pressure boundary set forth in 
appendices G and H to this part.
    (b) Proposed alternatives to the described requirements in 
Appendices G and H of this part or portions thereof may be used when an 
exemption is granted by the Commission under Sec. 50.12.

[48 FR 24009, May 27, 1983, as amended at 50 FR 50777, Dec. 12, 1985; 61 
FR 39300, July 29, 1996]



Sec. 50.61  Fracture toughness requirements for protection against pressurized thermal shock events.

    (a) Definitions. For the purposes of this section:
    (1) ASME Code means the American Society of Mechanical Engineers 
Boiler and Pressure Vessel Code, Section III, Division I, ``Rules for 
the Construction of Nuclear Power Plant Components,'' edition and 
addenda and any limitations and modifications thereof as specified in 
Sec. 50.55a.
    (2) Pressurized Thermal Shock Event means an event or transient in 
pressurized water reactors (PWRs) causing severe overcooling (thermal 
shock) concurrent with or followed by significant pressure in the 
reactor vessel.
    (3) Reactor Vessel Beltline means the region of the reactor vessel 
(shell material including welds, heat affected

[[Page 700]]

zones and plates or forgings) that directly surrounds the effective 
height of the active core and adjacent regions of the reactor vessel 
that are predicted to experience sufficient neutron radiation damage to 
be considered in the selection of the most limiting material with regard 
to radiation damage.
    (4) RTNDT means the reference temperature for a reactor vessel 
material, under any conditions. For the reactor vessel beltline 
materials, RTNDT must account for the effects of neutron radiation.
    (5) RTNDT(U) means the reference temperature for a reactor 
vessel material in the pre-service or unirradiated condition, evaluated 
according to the procedures in the ASME Code, Paragraph NB-2331 or other 
methods approved by the Director, Office of Nuclear Reactor Regulation.
    (6) EOL Fluence means the best-estimate neutron fluence projected 
for a specific vessel beltline material at the clad-base-metal interface 
on the inside surface of the vessel at the location where the material 
receives the highest fluence on the expiration date of the operating 
license.
    (7) RTPTS means the reference temperature, RTNDT, 
evaluated for the EOL Fluence for each of the vessel beltline materials, 
using the procedures of paragraph (c) of this section.
    (8) PTS Screening Criterion means the value of RTPTS for the 
vessel beltline material above which the plant cannot continue to 
operate without justification.
    (b) Requirements. (1) For each pressurized water nuclear power 
reactor for which an operating license has been issued, other than a 
nuclear power reactor facility for which the certifications required 
under Sec. 50.82(a)(1) have been submitted, the licensee shall have 
projected values of RTPTS, accepted by the NRC, for each reactor 
vessel beltline material for the EOL fluence of the material. The 
assessment of RTPTS must use the calculation procedures given in 
paragraph (c)(1) of this section, except as provided in paragraphs 
(c)(2) and (c)(3) of this section. The assessment must specify the bases 
for the projected value of RTPTS for each vessel beltline material, 
including the assumptions regarding core loading patterns, and must 
specify the copper and nickel contents and the fluence value used in the 
calculation for each beltline material. This assessment must be updated 
whenever there is a significant 2 change in projected values of 
RTPTS, or upon request for a change in the expiration date for 
operation of the facility.
---------------------------------------------------------------------------

    \2\ Changes to RTPTS values are considered significant if 
either the previous value or the current value, or both values, exceed 
the screening criterion prior to the expiration of the operating 
license, including any renewed term, if applicable for the plant.
---------------------------------------------------------------------------

    (2) The pressurized thermal shock (PTS) screening criterion is 270 
deg.F for plates, forgings, and axial weld materials, and 300  deg.F for 
circumferential weld materials. For the purpose of comparison with this 
criterion, the value of RTPTS for the reactor vessel must be 
evaluated according to the procedures of paragraph (c) of this section, 
for each weld and plate, or forging, in the reactor vessel beltline. 
RTPTS must be determined for each vessel beltline material using 
the EOL fluence for that material.
    (3) For each pressurized water nuclear power reactor for which the 
value of RTPTS for any material in the beltline is projected to 
exceed the PTS screening criterion using the EOL fluence, the licensee 
shall implement those flux reduction programs that are reasonably 
practicable to avoid exceeding the PTS screening criterion set forth in 
paragraph (b)(2) of this section. The schedule for implementation of 
flux reduction measures may take into account the schedule for submittal 
and anticipated approval by the Director, Office of Nuclear Reactor 
Regulation, of detailed plant-specific analyses, submitted to 
demonstrate acceptable risk with RTPTS above the screening limit 
due to plant modifications, new information or new analysis techniques.
    (4) For each pressurized water nuclear power reactor for which the 
analysis required by paragraph (b)(3) of this section indicates that no 
reasonably practicable flux reduction program will prevent RTPTS 
from exceeding the PTS screening criterion using the EOL fluence, the 
licensee shall submit a safety analysis to determine what, if

[[Page 701]]

any, modifications to equipment, systems, and operation are necessary to 
prevent potential failure of the reactor vessel as a result of 
postulated PTS events if continued operation beyond the screening 
criterion is allowed. In the analysis, the licensee may determine the 
properties of the reactor vessel materials based on available 
information, research results, and plant surveillance data, and may use 
probabilistic fracture mechanics techniques. This analysis must be 
submitted at least three years before RTPTS is projected to exceed 
the PTS screening criterion.
    (5) After consideration of the licensee's analyses, including 
effects of proposed corrective actions, if any, submitted in accordance 
with paragraphs (b)(3) and (b)(4) of this section, the Director, Office 
of Nuclear Reactor Regulation, may, on a case-by-case basis, approve 
operation of the facility with RTPTS in excess of the PTS screening 
criterion. The Director, Office of Nuclear Reactor Regulation, will 
consider factors significantly affecting the potential for failure of 
the reactor vessel in reaching a decision.
    (6) If the Director, Office of Nuclear Reactor Regulation, 
concludes, pursuant to paragraph (b)(5) of this section, that operation 
of the facility with RTPTS in excess of the PTS screening criterion 
cannot be approved on the basis of the licensee's analyses submitted in 
accordance with paragraphs (b)(3) and (b)(4) of this section, the 
licensee shall request and receive approval by the Director, Office of 
Nuclear Reactor Regulation, prior to any operation beyond the criterion. 
The request must be based upon modifications to equipment, systems, and 
operation of the facility in addition to those previously proposed in 
the submitted analyses that would reduce the potential for failure of 
the reactor vessel due to PTS events, or upon further analyses based 
upon new information or improved methodology.
    (7) If the limiting RTPTS value of the plant is projected to 
exceed the screening criteria in paragraph (b)(2), or the criteria in 
paragraphs (b)(3) through (b)(6) of this section cannot be satisfied, 
the reactor vessel beltline may be given a thermal annealing treatment 
to recover the fracture toughness of the material, subject to the 
requirements of Sec. 50.66. The reactor vessel may continue to be 
operated only for that service period within which the predicted 
fracture toughness of the vessel beltline materials satisfy the 
requirements of paragraphs (b)(2) through (b)(6) of this section, with 
RTPTS accounting for the effects of annealing and subsequent 
irradiation.
    (c) Calculation of RTPTS. RTPTS must be calculated for 
each vessel beltline material using a fluence value, f, which is the EOL 
fluence for the material. RTPTS must be evaluated using the same 
procedures used to calculate RTNDT, as indicated in paragraph 
(c)(1) of this section, and as provided in paragraphs (c)(2) and (c)(3) 
of this section.
    (1) Equation 1 must be used to calculate values of RTNDT for 
each weld and plate, or forging, in the reactor vessel beltline.

Equation 1: RTNDT=RTNDT(U)+M+RTNDT

    (i) If a measured value of RTNDT(U) is not available, a generic 
mean value for the class 3 of material may be used if there are 
sufficient test results to establish a mean and a standard deviation for 
the class.
---------------------------------------------------------------------------

    \3\ The class of material for estimating RTNDT(U) is generally 
determined for welds by the type of welding flux (Linde 80, or other), 
and for base metal by the material specification.
---------------------------------------------------------------------------

    (ii) For generic values of weld metal, the following generic mean 
values must be used unless justification for different values is 
provided: 0 deg.F for welds made with Linde 80 flux, and -56 deg.F for 
welds made with Linde 0091, 1092 and 124 and ARCOS B-5 weld fluxes.
    (iii) M means the margin to be added to account for uncertainties in 
the values of RTNDT(U), copper and nickel contents, fluence and the 
calculational procedures. M is evaluated from Equation 2.
[GRAPHIC] [TIFF OMITTED] TR19DE95.003

    (A) In Equation 2, U is the standard deviation for 
RTNDT(U). If a measured value of RTNDT(U) is used, then 
U is determined from the precision of the test method. If 
a measured value of RTNDT(U) is not available and a generic mean

[[Page 702]]

value for that class of materials is used, then U is the 
standard deviation obtained from the set of data used to establish the 
mean. If a generic mean value given in paragraph (c)(1)(i)(B) of this 
section for welds is used, then U is 17 deg.F.
    (B) In Equation 2,  is the standard deviation for 
RTNDT. The value of  to be used is 
28 deg.F for welds and 17 deg.F for base metal; the value of 
 need not exceed one-half of RTNDT.
    (iv) RTNDT is the mean value of the transition 
temperature shift, or change in RTNDT, due to irradiation, and must 
be calculated using Equation 3.

Equation 3: RTNDT=(CF)f(0.28-0.10 log f)

    (A) CF ( deg.F) is the chemistry factor, which is a function of 
copper and nickel content. CF is given in Table 1 for welds and in Table 
2 for base metal (plates and forgings). Linear interpolation is 
permitted. In Tables 1 and 2, ``Wt-% copper'' and ``Wt-% nickel'' are 
the best-estimate values for the material, which will normally be the 
mean of the measured values for a plate or forging. For a weld, the best 
estimate values will normally be the mean of the measured values for a 
weld deposit made using the same weld wire heat number as the critical 
vessel weld. If these values are not available, the upper limiting 
values given in the material specifications to which the vessel material 
was fabricated may be used. If not available, conservative estimates 
(mean plus one standard deviation) based on generic data 4 may be 
used if justification is provided. If none of these alternatives are 
available, 0.35% copper and 1.0% nickel must be assumed.
---------------------------------------------------------------------------

    \4\ Data from reactor vessels fabricated to the same material 
specification in the same shop as the vessel in question and in the same 
time period is an example of ``generic data.''
---------------------------------------------------------------------------

    (B) f is the best estimate neutron fluence, in units of 1019 n/
cm2 (E greater than 1 MeV), at the clad-base-metal interface on the 
inside surface of the vessel at the location where the material in 
question receives the highest fluence for the period of service in 
question. As specified in this paragraph, the EOL fluence for the vessel 
beltline material is used in calculating KRTPTS.
    (v) Equation 4 must be used for determining RTPTS using 
equation 3 with EOL fluence values for determining RTPTS.

Equation 4: RTPTS=RTNDT(U)+M+RTPTS

    (2) To verify that RTNDT for each vessel beltline material is a 
bounding value for the specific reactor vessel, licensees shall consider 
plant-specific information that could affect the level of embrittlement. 
This information includes but is not limited to the reactor vessel 
operating temperature and any related surveillance program 5 
results.
---------------------------------------------------------------------------

    \5\ Surveillance program results means any data that demonstrates 
the embrittlement trends for the limiting beltline material, including 
but not limited to data from test reactors or from surveillance programs 
at other plants with or without surveillance program integrated per 10 
CFR Part 50, Appendix H.
---------------------------------------------------------------------------

    (i) Results from the plant-specific surveillance program must be 
integrated into the RTNDT estimate if the plant-specific 
surveillance data has been deemed credible as judged by the following 
criteria:
    (A) The materials in the surveillance capsules must be those which 
are the controlling materials with regard to radiation embrittlement.
    (B) Scatter in the plots of Charpy energy versus temperature for the 
irradiated and unirradiated conditions must be small enough to permit 
the determination of the 30-foot-pound temperature unambiguously.
    (C) Where there are two or more sets of surveillance data from one 
reactor, the scatter of RTNDT values must be less than 
28 deg.F for welds and 17 deg.F for base metal. Even if the range in the 
capsule fluences is large (two or more orders of magnitude), the scatter 
may not exceed twice those values.
    (D) The irradiation temperature of the Charpy specimens in the 
capsule must equal the vessel wall temperature at the cladding/base 
metal interface within 25 deg.F.
    (E) The surveillance data for the correlation monitor material in 
the capsule, if present, must fall within the scatter band of the data 
base for the material.

[[Page 703]]

    (ii)(A) Surveillance data deemed credible according to the criteria 
of paragraph (c)(2)(i) of this section must be used to determine a 
material-specific value of CF for use in Equation 3. A material-specific 
value of CF is determined from Equation 5.
[GRAPHIC] [TIFF OMITTED] TR19DE95.004

    (B) In Equation 5, ``n'' is the number of surveillance data points, 
``Ai'' is the measured value of RTNDT and ``fi'' 
is the fluence for each surveillance data point. If there is clear 
evidence that the copper and nickel content of the surveillance weld 
differs from the vessel weld, i.e. differs from the average for the weld 
wire heat number associated with the vessel weld and the surveillance 
weld, the measured values of RTNDT must be adjusted for 
differences in copper and nickel content by multiplying them by the 
ratio of the chemistry factor for the vessel material to that for the 
surveillance weld.
    (iii) For cases in which the results from a credible plant-specific 
surveillance program are used, the value of  to be 
used is 14 deg.F for welds and 8.5 deg.F for base metal; the value of 
 need not exceed one-half of DRTNDT.
    (iv) The use of results from the plant-specific surveillance program 
may result in an RTNDT that is higher or lower than those 
determined in paragraph (c)(1).
    (3) Any information that is believed to improve the accuracy of the 
RTPTS value significantly must be reported to the Director, Office 
of Nuclear Reactor Regulation. Any value of RTPTS that has been 
modified using the procedures of paragraph (c)(2) of this section is 
subject to the approval of the Director, Office of Nuclear Reactor 
Regulation, when used as provided in this section.

                               Table 1.--Chemistry Factor for Weld Metals,  deg.F                               
----------------------------------------------------------------------------------------------------------------
                                                                        Nickel, wt-%                            
               Copper, wt-%                ---------------------------------------------------------------------
                                                0       0.20      0.40      0.60      0.80      1.00      1.20  
----------------------------------------------------------------------------------------------------------------
0.........................................        20        20        20        20        20        20        20
0.01......................................        20        20        20        20        20        20        20
0.02......................................        21        26        27        27        27        27        27
0.03......................................        22        35        41        41        41        41        41
0.04......................................        24        43        54        54        54        54        54
0.05......................................        26        49        67        68        68        68        68
0.06......................................        29        52        77        82        82        82        82
0.07......................................        32        55        85        95        95        95        95
0.08......................................        36        58        90       106       108       108       108
0.09......................................        40        61        94       115       122       122       122
0.10......................................        44        65        97       122       133       135       135
0.11......................................        49        68       101       130       144       148       148
0.12......................................        52        72       103       135       153       161       161
0.13......................................        58        76       106       139       162       172       176
0.14......................................        61        79       109       142       168       182       188
0.15......................................        66        84       112       146       175       191       200
0.16......................................        70        88       115       149       178       199       211
0.17......................................        75        92       119       151       184       207       221
0.18......................................        79        95       122       154       187       214       230
0.19......................................        83       100       126       157       191       220       238
0.20......................................        88       104       129       160       194       223       245
0.21......................................        92       108       133       164       197       229       252
0.22......................................        97       112       137       167       200       232       257
0.23......................................       101       117       140       169       203       236       263
0.24......................................       105       121       144       173       206       239       268

[[Page 704]]

                                                                                                                
0.25......................................       110       126       148       176       209       243       272
0.26......................................       113       130       151       180       212       246       276
0.27......................................       119       134       155       184       216       249       280
0.28......................................       122       138       160       187       218       251       284
0.29......................................       128       142       164       191       222       254       287
0.30......................................       131       146       167       194       225       257       290
0.31......................................       136       151       172       198       228       260       293
0.32......................................       140       155       175       202       231       263       296
0.33......................................       144       160       180       205       234       266       299
0.34......................................       149       164       184       209       238       269       302
0.35......................................       153       168       187       212       241       272       305
0.36......................................       158       172       191       216       245       275       308
0.37......................................       162       177       196       220       248       278       311
0.38......................................       166       182       200       223       250       281       314
0.39......................................       171       185       203       227       254       285       317
0.40......................................       175       189       207       231       257       288       320
----------------------------------------------------------------------------------------------------------------


                               Table 2.--Chemistry Factor for Base Metals,  deg.F                               
----------------------------------------------------------------------------------------------------------------
                                                                        Nickel, wt-%                            
               Copper, wt-%                ---------------------------------------------------------------------
                                                0       0.20      0.40      0.60      0.80      1.00      1.20  
----------------------------------------------------------------------------------------------------------------
0.........................................        20        20        20        20        20        20        20
0.01......................................        20        20        20        20        20        20        20
0.02......................................        20        20        20        20        20        20        20
0.03......................................        20        20        20        20        20        20        20
0.04......................................        22        26        26        26        26        26        26
0.05......................................        25        31        31        31        31        31        31
0.06......................................        28        37        37        37        37        37        37
0.07......................................        31        43        44        44        44        44        44
0.08......................................        34        48        51        51        51        51        51
0.09......................................        37        53        58        58        58        58        58
0.10......................................        41        58        65        65        67        67        67
0.11......................................        45        62        72        74        77        77        77
0.12......................................        49        67        79        83        86        86        86
0.13......................................        53        71        85        91        96        96        96
0.14......................................        57        75        91       100       105       106       106
0.15......................................        61        80        99       110       115       117       117
0.16......................................        65        84       104       118       123       125       125
0.17......................................        69        88       110       127       132       135       135
0.18......................................        73        92       115       134       141       144       144
0.19......................................        78        97       120       142       150       154       154
0.20......................................        82       102       125       149       159       164       165
0.21......................................        86       107       129       155       167       172       174
0.22......................................        91       112       134       161       176       181       184
0.23......................................        95       117       138       167       184       190       194
0.24......................................       100       121       143       172       191       199       204
0.25......................................       104       126       148       176       199       208       214
0.26......................................       109       130       151       180       205       216       221
0.27......................................       114       134       155       184       211       225       230
0.28......................................       119       138       160       187       216       233       239
0.29......................................       124       142       164       191       221       241       248
0.30......................................       129       146       167       194       225       249       257
0.31......................................       134       151       172       198       228       255       266
0.32......................................       139       155       175       202       231       260       274
0.33......................................       144       160       180       205       234       264       282
0.34......................................       149       164       184       209       238       268       290
0.35......................................       153       168       187       212       241       272       298
0.36......................................       158       173       191       216       245       275       303
0.37......................................       162       177       196       220       248       278       308
0.38......................................       166       182       200       223       250       281       313
0.39......................................       171       185       203       227       254       285       317
0.40......................................       175       189       207       231       257       288       320
----------------------------------------------------------------------------------------------------------------

[60 FR 65468, Dec. 19, 1995, as amended at 61 FR 39300, July 29, 1996]

[[Page 705]]



Sec. 50.62  Requirements for reduction of risk from anticipated transients without scram (ATWS) events for light-water-cooled nuclear power plants.

     (a) Applicability. The requirements of this section apply to all 
commercial light-water-cooled nuclear power plants, other than nuclear 
power reactor facilities for which the certifications required under 
Sec. 50.82(a)(1) have been submitted.
    (b) Definition. For purposes of this section, Anticipated Transient 
Without Scram (ATWS) means an anticipated operational occurrence as 
defined in appendix A of this part followed by the failure of the 
reactor trip portion of the protection system specified in General 
Design Criterion 20 of appendix A of this part.
    (c) Requirements. (1) Each pressurized water reactor must have 
equipment from sensor output to final actuation device, that is diverse 
from the reactor trip system, to automatically initiate the auxiliary 
(or emergency) feedwater system and initiate a turbine trip under 
conditions indicative of an ATWS. This equipment must be designed to 
perform its function in a reliable manner and be independent (from 
sensor output to the final actuation device) from the existing reactor 
trip system.
    (2) Each pressurized water reactor manufactured by Combustion 
Engineering or by Babcock and Wilcox must have a diverse scram system 
from the sensor output to interruption of power to the control rods. 
This scram system must be designed to perform its function in a reliable 
manner and be independent from the existing reactor trip system (from 
sensor output to interruption of power to the control rods).
    (3) Each boiling water reactor must have an alternate rod injection 
(ARI) system that is diverse (from the reactor trip system) from sensor 
output to the final actuation device. The ARI system must have redundant 
scram air header exhaust valves. The ARI must be designed to perform its 
function in a reliable manner and be independent (from the existing 
reactor trip system) from sensor output to the final actuation device.
    (4) Each boiling water reactor must have a standby liquid control 
system (SLCS) with the capability of injecting into the reactor pressure 
vessel a borated water solution at such a flow rate, level of boron 
concentration and boron-10 isotope enrichment, and accounting for 
reactor pressure vessel volume, that the resulting reactivity control is 
at least equivalent to that resulting from injection of 86 gallons per 
minute of 13 weight percent sodium pentaborate decahydrate solution at 
the natural boron-10 isotope abundance into a 251-inch inside diameter 
reactor pressure vessel for a given core design. The SLCS and its 
injection location must be designed to perform its function in a 
reliable manner. The SLCS initiation must be automatic and must be 
designed to perform its function in a reliable manner for plants granted 
a construction permit after July 26, 1984, and for plants granted a 
construction permit prior to July 26, 1984, that have already been 
designed and built to include this feature.
    (5) Each boiling water reactor must have equipment to trip the 
reactor coolant recirculating pumps automatically under conditions 
indicative of an ATWS. This equipment must be designed to perform its 
function in a reliable manner.
    (6) Information sufficient to demonstrate to the Commission the 
adequacy of items in paragraphs (c)(1) through (c)(5) of this section 
shall be submitted to the Commission as specified in Sec. 50.4.
    (d) Implementation. By 180 days after the issuance of the QA 
guidance for non-safety related components, each licensee shall develop 
and submit to the Commission, as specified in Sec. 50.4, a proposed 
schedule for meeting the requirements of paragraphs (c)(1) through 
(c)(5) of this section. Each shall include an explanation of the 
schedule along with a justification if the schedule calls for final 
implementation later than the second refueling outage after July 26, 
1984, or the date of issuance of a license authorizing operation above 5 
percent of full power. A final schedule shall then be mutually

[[Page 706]]

agreed upon by the Commission and licensee.

[49 FR 26044, June 26, 1984; 49 FR 27736, July 6, 1984, as amended at 51 
FR 40310, Nov. 6, 1986; 54 FR 13362, Apr. 3, 1989; 61 FR 39301, July 29, 
1996]



Sec. 50.63  Loss of all alternating current power.

    (a) Requirements. (1) Each light-water-cooled nuclear power plant 
licensed to operate must be able to withstand for a specified duration 
and recover from a station blackout as defined in Sec. 50.2. The 
specified station blackout duration shall be based on the following 
factors:
    (i) The redundancy of the onsite emergency ac power sources;
    (ii) The reliability of the onsite emergency ac power sources;
    (iii) The expected frequency of loss of offsite power; and
    (iv) The probable time needed to restore offsite power.
    (2) The reactor core and associated coolant, control, and protection 
systems, including station batteries and any other necessary support 
systems, must provide sufficient capacity and capability to ensure that 
the core is cooled and appropriate containment integrity is maintained 
in the event of a station blackout for the specified duration. The 
capability for coping with a station blackout of specified duration 
shall be determined by an appropriate coping analysis. Utilities are 
expected to have the baseline assumptions, analyses, and related 
information used in their coping evaluations available for NRC review.
    (b) Limitation of scope. Paragraph (c) of this section does not 
apply to those plants licensed to operate prior to July 21, 1988, if the 
capability to withstand station blackout was specifically addressed in 
the operating license proceeding and was explicitly approved by the NRC.
    (c) Implementation--(1) Information Submittal. For each light-water-
cooled nuclear power plant licensed to operate on or before July 21, 
1988, the licensee shall submit the information defined below to the 
Director of the Office of Nuclear Reactor Regulation by April 17, 1989. 
For each light-water-cooled nuclear power plant licensed to operate 
after the effective date of this amendment, the licensee shall submit 
the information defined below to the Director by 270 days after the date 
of license issuance.
    (i) A proposed station blackout duration to be used in determining 
compliance with paragraph (a) of this section, including a justification 
for the selection based on the four factors identified in paragraph (a) 
of this section;
    (ii) A description of the procedures that will be implemented for 
station blackout events for the duration determined in paragraph 
(c)(1)(i) of this section and for recovery therefrom; and
    (iii) A list of modifications to equipment and associated 
procedures, if any, necessary to meet the requirements of paragraph (a) 
of this section, for the specified station blackout duration determined 
in paragraph (c)(1)(i) of this section, and a proposed schedule for 
implementing the stated modifications.
    (2) Alternate ac source: The alternate ac power source(s), as 
defined in Sec. 50.2, will constitute acceptable capability to withstand 
station blackout provided an analysis is performed which demonstrates 
that the plant has this capability from onset of the station blackout 
until the alternate ac source(s) and required shutdown equipment are 
started and lined up to operate. The time required for startup and 
alignment of the alternate ac power source(s) and this equipment shall 
be demonstrated by test. Alternate ac source(s) serving a multiple unit 
site where onsite emergency ac sources are not shared between units must 
have, as a minimum, the capacity and capability for coping with a 
station blackout in any of the units. At sites where onsite emergency ac 
sources are shared between units, the alternate ac source(s) must have 
the capacity and capability as required to ensure that all units can be 
brought to and maintained in safe shutdown (non-DBA) as defined in 
Sec. 50.2. If the alternate ac source(s) meets the above requirements 
and can be demonstrated by test to be available to power the shutdown 
buses within 10 minutes of the onset of station blackout, then no coping 
analysis is required.

[[Page 707]]

    (3) Regulatory Assessment: After consideration of the information 
submitted in accordance with paragraph (c)(1) of this section, the 
Director, Office of Nuclear Reactor Regulation, will notify the licensee 
of the Director's conclusions regarding the adequacy of the proposed 
specified station blackout duration, the proposed equipment 
modifications and procedures, and the proposed schedule for implementing 
the procedures and modifications for compliance with paragraph (a) this 
section.
    (4) Implementation Schedule: For each light-water-cooled nuclear 
power plant licensed to operate on or before June 21, 1988, the licensee 
shall, within 30 days of the notification provided in accordance with 
paragraph (c)(3) of this section, submit to the Director of the Office 
of Nuclear Reactor Regulation a schedule commitment for implementing any 
equipment and associated procedure modifications necessary to meet the 
requirements of paragraph (a) of this section. This submittal must 
include an explanation of the schedule and a justification if the 
schedule does not provide for completion of the modifications within two 
years of the notification provided in accordance with paragraph (c)(3) 
of this section. A final schedule for implementing modifications 
necessary to comply with the requirements of paragraph (a) of this 
section will be established by the NRC staff in consultation and 
coordination with the affected licensee.

[53 FR 23215, June 21, 1988]



Sec. 50.64  Limitations on the use of highly enriched uranium (HEU) in domestic non-power reactors.

    (a) Applicability. The requirements of this section apply to all 
non-power reactors.
    (b) Requirements. (1) The Commission will not issue a construction 
permit after March 27, 1986 for a non-power reactor where the applicant 
proposes to use highly enriched uranium (HEU) fuel, unless the applicant 
demonstrates that the proposed reactor will have a unique purpose as 
defined in Sec. 50.2.
    (2) Unless the Commission has determined, based on a request 
submitted in accordance with paragraph (c)(1) of this section, that the 
non-power reactor has a unique purpose, each licensee authorized to 
possess and use HEU fuel in connection with the reactor's operation 
shall:
    (i) Not initiate acquisition of additional HEU fuel, if low enriched 
uranium (LEU) fuel acceptable to the Commission for that reactor is 
available when it proposes that acquisition; and
    (ii) Replace all HEU fuel in its possession with available LEU fuel 
acceptable to the Commission for that reactor, in accordance with a 
schedule determined pursuant to paragraph (c)(2) of this section.
    (3) If not required by paragraphs (b) (1) and (2) of this section to 
use LEU fuel, the applicant or licensee must use HEU fuel of enrichment 
as close to 20% as is available and acceptable to the Commisson.
    (c) Implementation. (1) Any request by a licensee for a 
determination that a non-power reactor has a unique purpose as defined 
in Sec. 50.2 should be submitted with supporting documentation to the 
Director of the Office of Nuclear Reactor Regulation, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, by September 29, 1986.
    (2) (i) By March 27, 1987 and at 12-month intervals thereafter, each 
licensee of a non-power reactor authorized to possess and use HEU fuel 
shall develop and submit to the Director of the Office of Nuclear 
Reactor Regulation a written proposal for meeting the requirements of 
paragraph (b) (2) or (3) of this section. The licensee shall include in 
the proposal a certification that Federal Government funding for 
conversion is available through the Department of Energy (DOE) or other 
appropriate Federal Agency. The licensee shall also include in the 
proposal a schedule for conversion, based upon availability of 
replacement fuel acceptable to the Commisson for that reactor and upon 
consideration of other factors such as the availability of shipping 
casks, implementation of arrangements for the available financial 
support, and reactor usage.
    (ii) If Federal Government funding for conversion cannot be 
certified, the proposal's contents may be limited to a statement of this 
fact. If a statement

[[Page 708]]

of non-availability of Federal Government funding for conversion is 
submitted by a licensee, then it shall be required to resubmit a 
proposal for meeting the requirements of paragraph (b) (2) or (3) of 
this section at 12-month intervals.
    (iii) The proposal shall include, to the extent required to effect 
the conversion, all necessary changes in the license, facility, or 
procedures. Supporting safety analyses should be provided so as to meet 
the schedule established for conversion. As long as Federal Government 
funding for conversion is not available, the resubmittal may be a 
reiteration of the original proposal. The Director of the Office of 
Nuclear Reactor Regulation shall review the proposal and confirm the 
status of Federal Government funding for conversion and, if a schedule 
for conversion has been submitted by the licensee, will then determine a 
final schedule.
    (3) After review of the safety analysis required by paragraph 
(c)(2), the Director of the Office of Nuclear Reactor Regulation will 
issue an appropriate enforcement order directing both the conversion 
and, to the extent consistent with protection of the public health and 
safety, any necessary changes to the license, facility, or procedures.

[51 FR 6519, Feb. 25, 1986]



Sec. 50.65   Requirements for monitoring the effectiveness of maintenance at nuclear power plants.

    (a)(1) Each holder of a license to operate a nuclear power plant 
under Secs. 50.21(b) or 50.22 shall monitor the performance or condition 
of structures, systems, or components, against licensee-established 
goals, in a manner sufficient to provide reasonable assurance that such 
structures, systems, and components, as defined in paragraph (b), are 
capable of fulfilling their intended functions. Such goals shall be 
established commensurate with safety and, where practical, take into 
account industry-wide operating experience. When the performance or 
condition of a structure, system, or component does not meet established 
goals, appropriate corrective action shall be taken. For a nuclear power 
plant for which the licensee has submitted the certifications specified 
in Sec. 50.82(a)(1), this section only shall apply to the extent that 
the licensee shall monitor the performance or condition of all 
structures, systems, or components associated with the storage, control, 
and maintenance of spent fuel in a safe condition, in a manner 
sufficient to provide reasonable assurance that such structures, 
systems, and components are capable of fulfilling their intended 
functions.
    (2) Monitoring as specified in paragraph (a)(1) of this section is 
not required where it has been demonstrated that the performance or 
condition of a structure, system, or component is being effectively 
controlled through the performance of appropriate preventive 
maintenance, such that the structure, system, or component remains 
capable of performing its intended function.
    (3) Performance and condition monitoring activities and associated 
goals and preventive maintenance activities shall be evaluated at least 
every refueling cycle provided the interval between evaluations does not 
exceed 24 months. The evaluations shall be conducted taking into 
account, where practical, industry-wide operating experience. 
Adjustments shall be made where necessary to ensure that the objective 
of preventative failures of structures, systems, and components through 
maintenance is appropriately balanced against the objective of 
minimizing unavailability of structures, systems, and components due to 
monitoring or preventative maintenance. In performing monitoring and 
preventative maintenance activities, an assessment of the total plant 
equipment that is out of service should be taken into account to 
determine the overall effect on performance of safety functions.
    (b) The scope of the monitoring program specified in paragraph 
(a)(1) of this section shall include safety related and nonsafety 
related structures, systems, and components, as follows:
    (1) Safety related structures, systems, or components that are 
relied upon to remain functional during and following design basis 
events to ensure the integrity of the reactor coolant pressure boundary, 
the capability to shut down the reactor and maintain it in a safe 
shutdown condition, and the

[[Page 709]]

capability to prevent or mitigate the consequences of accidents that 
could result in potential offsite exposure comparable to the guidelines 
in Sec. 50.34(a)(1) or Sec. 100.11 of this chapter, as applicable.
    (2) Nonsafety related structures, systems, or components:
    (i) That are relied upon to mitigate accidents or transients or are 
used in plant emergency operating procedures (EOPs); or
    (ii) Whose failure could prevent safety-related structures, systems, 
and components from fulfilling their safety-related function; or
    (iii) Whose failure could cause a reactor scram or actuation of a 
safety-related system.
    (c) The requirements of this section shall be implemented by each 
licensee no later than July 10, 1996.

[56 FR 31324, July 10, 1991, as amended at 58 FR 33996, June 23, 1993; 
61 FR 39301, July 29, 1996; 61 FR 65173, Dec. 11, 1997]

    Effective Date Notes 1. At 56 FR 31324, July 10, 1991, Sec. 50.65 
was added, and at 58 FR 33996, June 23, 1993, paragraph (a)(3) was 
revised. Information collection and recordkeeping requirements will not 
become effective until approval has been given by the Office of 
Management and Budget. A notice will be published in the Federal 
Register once approval has been obtained.

    2. At 61 FR 65173, Dec. 11, 1996, in Sec. 50.65, paragraph (b)(1) 
was revised, effective Jan. 10, 1997. For the convenience of the user, 
the superseded text is set forth as follows:

                                * * * * *

    (b) * * *
    (1) Safety related structures, systems, or components that are 
relied upon to remain functional during and following design basis 
events to ensure the integrity of the reactor coolant pressure boundary, 
the capability to shut down the reactor and maintain it in a safe 
shutdown condition, and the capability to prevent or mitigate the 
consequences of accidents that could result in potential offsite 
exposure comparable to the 10 CFR part 100 guidelines.

                                * * * * *



Sec. 50.66  Requirements for thermal annealing of the reactor pressure vessel.

    (a) For those light water nuclear power reactors where neutron 
radiation has reduced the fracture toughness of the reactor vessel 
materials, a thermal annealing may be applied to the reactor vessel to 
recover the fracture toughness of the material. The use of a thermal 
annealing treatment is subject to the requirements in this section. A 
report describing the licensee's plan for conducting the thermal 
annealing must be submitted in accordance with Sec. 50.4 at least three 
years prior to the date at which the limiting fracture toughness 
criteria in Sec. 50.61 or appendix G to part 50 would be exceeded. 
Within three years of the submittal of the Thermal Annealing Report and 
at least thirty days prior to the start of the thermal annealing, the 
NRC will review the Thermal Annealing Report and place the results of 
its evaluation in its Public Document Room. The licensee may begin the 
thermal anneal after:
    (1) Submitting the Thermal Annealing Report required by paragraph 
(b) of this section;
    (2) The NRC places the results of its evaluation of the Thermal 
Annealing Report in the Public Document Room; and
    (3) The requirements of paragraph (f)(1) of this section have been 
satisfied.
    (b) Thermal Annealing Report. The Thermal Annealing Report must 
include: a Thermal Annealing Operating Plan; a Requalification 
Inspection and Test Program; a Fracture Toughness Recovery and 
Reembrittlement Trend Assurance Program; and Identification of 
Unreviewed Safety Questions and Technical Specification Changes.
    (1) Thermal Annealing Operating Plan.
    The thermal annealing operating plan must include:
    (i) A detailed description of the pressure vessel and all structures 
and components that are expected to experience significant thermal or 
stress effects during the thermal annealing operation;
    (ii) An evaluation of the effects of mechanical and thermal stresses 
and temperatures on the vessel, containment, biological shield, attached 
piping and appurtenances, and adjacent equipment and components to 
demonstrate that operability of the reactor

[[Page 710]]

will not be detrimentally affected. This evaluation must include:
    (A) Detailed thermal and structural analyses to establish the time 
and temperature profile of the annealing operation. These analyses must 
include heatup and cooldown rates, and must demonstrate that localized 
temperatures, thermal stress gradients, and subsequent residual stresses 
will not result in unacceptable dimensional changes or distortions in 
the vessel, attached piping and appurtenances, and that the thermal 
annealing cycle will not result in unacceptable degradation of the 
fatigue life of these components.
    (B) The effects of localized high temperatures on degradation of the 
concrete adjacent to the vessel and changes in thermal and mechanical 
properties, if any, of the reactor vessel insulation, and on detrimental 
effects, if any, on containment and the biological shield. If the design 
temperature limitations for the adjacent concrete structure are to be 
exceeded during the thermal annealing operation, an acceptable maximum 
temperature for the concrete must be established for the annealing 
operation using appropriate test data.
    (iii) The methods, including heat source, instrumentation and 
procedures proposed for performing the thermal annealing. This shall 
include any special precautions necessary to minimize occupational 
exposure, in accordance with the As Low As Reasonably Achievable (ALARA) 
principle and the provisions of Sec. 20.1206.
    (iv) The proposed thermal annealing operating parameters, including 
bounding conditions for temperatures and times, and heatup and cooldown 
schedules.
    (A) The thermal annealing time and temperature parameters selected 
must be based on projecting sufficient recovery of fracture toughness, 
using the procedures of paragraph (e) of this section, to satisfy the 
requirements of Sec. 50.60 and Sec. 50.61 for the proposed period of 
operation addressed in the application.
    (B) The time and temperature parameters evaluated as part of the 
thermal annealing operating plan, and supported by the evaluation 
results of paragraph (b)(1)(ii) of this section, represent the bounding 
times and temperatures for the thermal annealing operation. If these 
bounding conditions for times and temperatures are violated during the 
thermal annealing operation, then the annealing operation is considered 
not in accordance with the Thermal Annealing Operating Plan, as required 
by paragraph (c)(1) of this section, and the licensee must comply with 
paragraph (c)(2) of this section.
    (2) Requalification Inspection and Test Program. The inspection and 
test program to requalify the annealed reactor vessel must include the 
detailed monitoring, inspections, and tests proposed to demonstrate that 
the limitations on temperatures, times and temperature profiles, and 
stresses evaluated for the proposed thermal annealing conditions of 
paragraph (b)(1)(iv) of this section have not been exceeded, and to 
determine the thermal annealing time and temperature to be used in 
quantifying the fracture toughness recovery. The requalification 
inspection and test program must demonstrate that the thermal annealing 
operation has not degraded the reactor vessel, attached piping or 
appurtenances, or the adjacent concrete structures to a degree that 
could affect the safe operation of the reactor.
    (3) Fracture Toughness Recovery and Reembrittlement Trend Assurance 
Program. The percent recovery of RTNDT and Charpy upper-shelf 
energy due to the thermal annealing treatment must be determined based 
on the time and temperature of the actual vessel thermal anneal. The 
recovery of RTNDT and Charpy upper-shelf energy provide the basis 
for establishing the post-anneal RTNDT and Charpy upper-shelf 
energy for each vessel material. Changes in the RTNDT and Charpy 
upper-shelf energy with subsequent plant operation must be determined 
using the post-anneal values of these parameters in conjunction with the 
projected reembrittlement trend determined in accordance with paragraph 
(b)(3)(ii) of this section. Recovery and reembrittlement evaluations 
shall include:
    (i) Recovery Evaluations. (A) The percent recovery of both 
RTNDT and

[[Page 711]]

Charpy upper-shelf energy must be determined by one of the procedures 
described in paragraph (e) of this section, using the proposed lower 
bound thermal annealing time and temperature conditions described in the 
operating plan.
    (B) If the percent recovery is determined from testing surveillance 
specimens or from testing materials removed from the reactor vessel, 
then it shall be demonstrated that the proposed thermal annealing 
parameters used in the test program are equal to or bounded by those 
used in the vessel annealing operation.
    (C) If generic computational methods are used, appropriate 
justification must be submitted as a part of the application.
    (ii) Reembrittlement Evaluations. (A) The projected post-anneal 
reembrittlement of RTNDT must be calculated using the procedures in 
Sec. 50.61(c), or must be determined using the same basis as that used 
for the pre-anneal operating period. The projected change due to post-
anneal reembrittlement for Charpy upper-shelf energy must be determined 
using the same basis as that used for the pre-anneal operating period.
    (B) The post-anneal reembrittlement trend of both RTNDT and 
Charpy upper-shelf energy must be estimated, and must be monitored using 
a surveillance program defined in the Thermal Annealing Report and which 
conforms to the intent of Appendix H of this part, ``Reactor Vessel 
Material Surveillance Program Requirements.''
    (4) Identification of Unreviewed Safety Questions and Technical 
Specification Changes. Any changes to the facility as described in the 
updated final safety analysis report constituting unreviewed safety 
questions, and any changes to the technical specifications, which are 
necessary to either conduct the thermal annealing or operate the nuclear 
power reactor following the annealing, must be identified. The section 
shall demonstrate that the Commission's requirements continue to be 
complied with, and that there is reasonable assurance of adequate 
protection to the public health and safety following the changes.
    (c) Completion or Termination of Thermal Annealing. (1) If the 
thermal annealing was completed in accordance with the Thermal Annealing 
Operating Plan and the Requalification Inspection and Test Program, the 
licensee shall so confirm in writing to the Director, Office of Nuclear 
Reactor Regulation. The licensee may restart its reactor after the 
requirements of paragraph (f)(2) of this section have been met.
    (2) If the thermal annealing was completed but the annealing was not 
performed in accordance with the Thermal Annealing Operating Plan and 
the Requalification Inspection and Test Program, the licensee shall 
submit a summary of lack of compliance with the Thermal Annealing 
Operating Plan and the Requalification Inspection and Test Program and a 
justification for subsequent operation to the Director, Office of 
Nuclear Reactor Regulation. Any changes to the facility as described in 
the updated final safety analysis report which are attributable to the 
noncompliances and constitute unreviewed safety questions, and any 
changes to the technical specifications which are required as a result 
of the noncompliances, shall also be identified.
    (i) If no unreviewed safety questions or changes to technical 
specifications are identified, the licensee may restart its reactor 
after the requirements of paragraph (f)(2) of this section have been 
met.
    (ii) If any unreviewed safety questions or changes to technical 
specifications are identified, the licensee may not restart its reactor 
until approval is obtained from the Director, Office of Nuclear Reactor 
Regulation and the requirements of paragraph (f)(2) of this section have 
been met.
    (3) If the thermal annealing was terminated prior to completion, the 
licensee shall immediately notify the NRC of the premature termination 
of the thermal anneal.
    (i) If the partial annealing was otherwise performed in accordance 
with the Thermal Annealing Operating Plan and relevant portions of the 
Requalification Inspection and Test Program, and the licensee does not 
elect to take credit for any recovery, the licensee

[[Page 712]]

need not submit the Thermal Annealing Results Report required by 
paragraph (d) of this section but instead shall confirm in writing to 
the Director, Office of Nuclear Reactor Regulation that the partial 
annealing was otherwise performed in accordance with the Thermal 
Annealing Operating Plan and relevant portions of the Requalification 
Inspection and Test Program. The licensee may restart its reactor after 
the requirements of paragraph (f)(2) of this section have been met.
    (ii) If the partial annealing was otherwise performed in accordance 
with the Thermal Annealing Operating Plan and relevant portions of the 
Requalification Inspection and Test Program, and the licensee elects to 
take full or partial credit for the partial annealing, the licensee 
shall confirm in writing to the Director, Office of Nuclear Reactor 
Regulation that the partial annealing was otherwise performed in 
compliance with the Thermal Annealing Operating Plan and relevant 
portions of the Requalification Inspection and Test Program. The 
licensee may restart its reactor after the requirements of paragraph 
(f)(2) of this section have been met.
    (iii) If the partial annealing was not performed in accordance with 
the Thermal Annealing Operating Plan and relevant portions of the 
Requalification Inspection and Test Program, the licensee shall submit a 
summary of lack of compliance with the Thermal Annealing Operating Plan 
and the Requalification Inspection and Test Program and a justification 
for subsequent operation to the Director, Office of Nuclear Reactor 
Regulation. Any changes to the facility as described in the updated 
final safety analysis report which are attributable to the 
noncompliances and constitute unreviewed safety questions, and any 
changes to the technical specifications which are required as a result 
of the noncompliances, shall also be identified.
    (A) If no unreviewed safety questions or changes to technical 
specifications are identified, the licensee may restart its reactor 
after the requirements of paragraph (f)(2) of this section have been 
met.
    (B) If any unreviewed safety questions or changes to technical 
specifications are identified, the licensee may not restart its reactor 
until approval is obtained from the Director, Office of Nuclear Reactor 
Regulation and the requirements of paragraph (f)(2) of this section have 
been met.
    (d) Thermal Annealing Results Report. Every licensee that either 
completes a thermal annealing, or that terminates an annealing but 
elects to take full or partial credit for the annealing, shall provide 
the following information within three months of completing the thermal 
anneal, unless an extension is authorized by the Director, Office of 
Nuclear Reactor Regulation:
    (1) The time and temperature profiles of the actual thermal 
annealing;
    (2) The post-anneal RTNDT and Charpy upper-shelf energy values 
of the reactor vessel materials for use in subsequent reactor operation;
    (3) The projected post-anneal reembrittlement trends for both 
RTNDT and Charpy upper-shelf energy; and
    (4) The projected values of RTPTS and Charpy upper-shelf energy 
at the end of the proposed period of operation addressed in the Thermal 
Annealing Report.
    (e) Procedures for Determining the Recovery of Fracture Toughness. 
The procedures of this paragraph must be used to determine the percent 
recovery of RTNDT, Rt, and percent recovery of Charpy 
upper-shelf energy, Ru. In all cases, Rt and Ru may not 
exceed 100.
    (1) For those reactors with surveillance programs which have 
developed credible surveillance data as defined in Sec. 50.61, percent 
recovery due to thermal annealing (Rt and Ru) must be 
evaluated by testing surveillance specimens that have been withdrawn 
from the surveillance program and that have been annealed under the same 
time and temperature conditions as those given the beltline material.
    (2) Alternatively, the percent recovery due to thermal annealing 
(Rt and Ru) may be determined from the results

[[Page 713]]

of a verification test program employing materials removed from the 
beltline region of the reactor vessel 6 and that have been annealed 
under the same time and temperature conditions as those given the 
beltline material.
---------------------------------------------------------------------------

    \6\ For those cases where materials are removed from the beltline of 
the pressure vessel, the stress limits of the applicable portions of the 
ASME Code Section III must be satisfied, including consideration of 
fatigue and corrosion, regardless of the Code of record for the vessel 
design.
---------------------------------------------------------------------------

    (3) Generic computational methods may be used to determine recovery 
if adequate justification is provided.
    (f) Public information and participation. (1) Upon receipt of a 
Thermal Annealing Report, and a minimum of 30 days before the licensee 
starts thermal annealing, the Commission shall:
    (i) Notify and solicit comments from local and State governments in 
the vicinity of the site where the thermal annealing will take place and 
any Indian Nation or other indigenous people that have treaty or 
statutory rights that could be affected by the thermal annealing,
    (ii) Publish a notice of a public meeting in the Federal Register 
and in a forum, such as local newspapers, which is readily accessible to 
individuals in the vicinity of the site, to solicit comments from the 
public, and
    (iii) Hold a public meeting on the licensee's Thermal Annealing 
Report.
    (2) Within 15 days after the NRC's receipt of the licensee 
submissions required by paragraphs (c)(1), (c)(2) and (c)(3)(i)-(iii) of 
this section, the NRC staff shall place in the NRC Public Document Room 
a summary of its inspection of the licensee's thermal annealing, and the 
Commission shall hold a public meeting:
    (i) For the licensee to explain to NRC and the public the results of 
the reactor pressure vessel annealing,
    (ii) for the NRC to discuss its inspection of the reactor vessel 
annealing, and
    (iii) for the NRC to receive public comments on the annealing.
    (3) Within 45 days of NRC's receipt of the licensee submissions 
required by paragraphs (c)(1), (c)(2) and (c)(3)(i)-(iii) of this 
section, the NRC staff shall complete full documentation of its 
inspection of the licensee's annealing process and place this 
documentation in the NRC Public Document Room.

[60 FR 65472, Dec. 19, 1995]

              Inspections, Records, Reports, Notifications



Sec. 50.70   Inspections.

    (a) Each licensee and each holder of a construction permit shall 
permit inspection, by duly authorized representatives of the Commission, 
of his records, premises, activities, and of licensed materials in 
possession or use, related to the license or construction permit as may 
be necessary to effectuate the purposes of the Act, including section 
105 of the Act.
    (b)(1) Each licensee and each holder of a construction permit shall 
upon request by the Director, Office of Nuclear Reactor Regulation, 
provide rent-free office space for the exclusive use of the Commission 
inspection personnel. Heat, air conditioning, light, electrical outlets 
and janitorial services shall be furnished by each licensee and each 
holder of a construction permit. The office shall be convenient to and 
have full access to the facility and shall provide the inspector both 
visual and acoustic privacy.
    (2) For a site with a single power reactor or fuel facility licensed 
pursuant to part 50, the space provided shall be adequate to accommodate 
a full-time inspector, a part-time secretary and transient NRC personnel 
and will be generally commensurate with other office facilities at the 
site. A space of 250 square feet either within the site's office complex 
or in an office trailer or other on site space is suggested as a guide. 
For sites containing multiple power reactor units or fuel facilities, 
additional space may be requested to accommodate additional full-time 
inspector(s). The office space that is provided shall be subject to the 
approval of the Director, Office of Nuclear Reactor Regulation. All 
furniture, supplies and communication equipment will be furnished by the 
Commission.
    (3) The licensee or construction permit holder shall afford any NRC 
resident inspector assigned to that site, or other NRC inspectors 
identified by the

[[Page 714]]

Regional Administrator as likely to inspect the facility, immediate 
unfettered access, equivalent to access provided regular plant 
employees, following proper identification and compliance with 
applicable access control meaures for security, radiological protection 
and personal safety.
    (4) The licensee or construction permit holder (nuclear power 
reactor only) shall ensure that the arrival and presence of an NRC 
inspector, who has been properly authorized facility access as described 
in paragraph (b)(3) of this section, is not announced or otherwise 
communicated by its employees or contractors to other persons at the 
facility unless specifically requested by the NRC inspector.

[21 FR 355, Jan. 19, 1956; 44 FR 47919, Aug. 16, 1979, as amended at 52 
FR 31612, Aug. 21, 1987; 53 FR 42942, Oct. 25, 1988]



Sec. 50.71   Maintenance of records, making of reports.

    (a) Each licensee and each holder of a construction permit shall 
maintain all records and make all reports, in connection with the 
activity, as may be required by the conditions of the license or permit 
or by the rules, regulations, and orders of the Commission in 
effectuating the purposes of the Act, including section 105 of the Act. 
Reports must be submitted in accordance with Sec. 50.4.
    (b) With respect to any production or utilization facility of a type 
described in Sec. 50.21(b) or 50.22, or a testing facility, each 
licensee and each holder of a construction permit shall submit its 
annual financial report, including the certified financial statements, 
to the Commission, as specified in Sec. 50.4, upon issuance of the 
report.
    (c) Records that are required by the regulations in this part, by 
license condition, or by technical specifications, 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.
    (d)(1) Records which must be maintained pursuant to this part may be 
the original or a reproduced copy or microform if such reproduced copy 
or microform is duly authenticated by authorized personnel and the 
microform is capable of producing a clear and legible copy after storage 
for the period specified by Commission regulations. The record may also 
be stored in electronic media with the capability of producing legible, 
accurate, and complete records during the required retention period. 
Records such as letters, drawings, specifications, must include all 
pertinent information such as stamps, initials, and signatures. The 
licensee shall maintain adequate safeguards against tampering with and 
loss of records.
    (2) If there is a conflict between the Commission's regulations in 
this part, license condition, or technical specification, or other 
written Commission approval or authorization pertaining to the retention 
period for the same type of record, the retention period specified in 
the regulations in this part for such records shall apply unless the 
Commission, pursuant to Sec. 50.12 of this part, has granted a specific 
exemption from the record retention requirements specified in the 
regulations in this part.
    (e) Each person licensed to operate a nuclear power reactor pursuant 
to the provisions of Sec. 50.21 or Sec. 50.22 of this part shall update 
periodically, as provided in paragraphs (e)(3) and (4) of this section, 
the final safety analysis report (FSAR) originally submitted as part of 
the application for the operating license, to assure that the 
information included in the FSAR contains the latest material developed. 
This submittal shall contain all the changes necessary to reflect 
information and analyses submitted to the Commission by the licensee or 
prepared by the licensee pursuant to Commission requirement since the 
submission of the original FSAR or, as appropriate, the last updated 
FSAR. The updated FSAR shall be revised to include the effects of: all 
changes made in the facility or procedures as described in the FSAR; all 
safety evaluations performed by the licensee either in support of 
requested license amendments or in support of conclusions that changes 
did not involve an unreviewed safety question; and all analyses of new 
safety issues performed

[[Page 715]]

by or on behalf of the licensee at Commission request. The updated 
information shall be appropriately located within the FSAR.
    (1) The licensee shall submit revisions containing updated 
information to the Commission, as specified in Sec. 50.4, on a 
replacement-page basis that is accompanied by a list which identifies 
the current pages of the FSAR following page replacement.
    (2) The submittal shall include (i) a certification by a duly 
authorized officer of the licensee that either the information 
accurately presents changes made since the previous submittal, necessary 
to reflect information and analyses submitted to the Commission or 
prepared pursuant to Commission requirement, or that no such changes 
were made; and (ii) an identification of changes made under the 
provisions of Sec. 50.59 but not previously submitted to the Commission.
    (3)(i) A revision of the original FSAR containing those original 
pages that are still applicable plus new replacement pages shall be 
filed within 24 months of either July 22, 1980, or the date of issuance 
of the operating license, whichever is later, and shall bring the FSAR 
up to date as of a maximum of 6 months prior to the date of filing the 
revision.
    (ii) Not less than 15 days before Sec. 50.71(e) becomes effective, 
the Director of the Office of Nuclear Reactor Regulation shall notify by 
letter the licensees of those nuclear power plants initially subject to 
the NRC's systematic evaluation program that they need not comply with 
the provisions of this section while the program is being conducted at 
their plant. The Director of the Office of Nuclear Reactor Regulation 
will notify by letter the licensee of each nuclear power plant being 
evaluated when the systematic evaluation program has been completed. 
Within 24 months after receipt of this notification, the licensee shall 
file a complete FSAR which is up to date as of a maximum of 6 months 
prior to the date of filing the revision.
    (4) Subsequent revisions must be filed annually or 6 months after 
each refueling outage provided the interval between successive updates 
does not exceed 24 months. The revisions must reflect all changes up to 
a maximum of 6 months prior to the date of filling. For nuclear power 
reactor facilities that have submitted the certifications required by 
Sec. 50.82(a)(1), subsequent revisions must be filed every 24 months.
    (5) Each replacement page shall include both a change indicator for 
the area changed, e.g., a bold line vertically drawn in the margin 
adjacent to the portion actually changed, and a page change 
identification (date of change or change number or both).
    (6) The updated FSAR shall be retained by the licensee until the 
Commission terminates their license.
    (f) The provisions of this section apply to nuclear power reactor 
licensees that have submitted the certification of permanent cessation 
of operations required under Sec. 50.82(a)(1)(i). The provisions of 
paragraphs (a), (c), and (d) of this section also apply to non-power 
reactor licensees that are no longer authorized to operate.

[33 FR 9704, July 4, 1968, as amended at 41 FR 18303, May 3, 1976; 45 FR 
30615, May 9, 1980; 51 FR 40310, Nov. 6, 1986; 53 FR 19250, May 27, 
1988; 57 FR 39358, Aug. 31, 1992; 61 FR 39301, July 29, 1996]



Sec. 50.72  Immediate notification requirements for operating nuclear power reactors.

    (a) General requirements.\1\ (1) Each nuclear power reactor licensee 
licensed under Sec. 50.21(b) or Sec. 50.22 of this part shall notify the 
NRC Operations Center via the Emergency Notification System of:
---------------------------------------------------------------------------

    \1\ Other requirements for immediate notification of the NRC by 
licensed operating nuclear power reactors are contained elsewhere in 
this chapter, in particular, Secs. 20.1906, 20.2202, 50.36, and 73.71.
---------------------------------------------------------------------------

    (i) The declaration of any of the Emergency Classes specified in the 
licensee's approved Emergency Plan;\2\ or
---------------------------------------------------------------------------

    \2\ These Emergency Classes are addressed in Appendix E of this 
part.
---------------------------------------------------------------------------

    (ii) Of those non-Emergency events specified in paragraph (b) of 
this section.
    (2) If the Emergency Notification System is inoperative, the 
licensee shall make the required notifications via commercial telephone 
service, other dedicated telephone system, or any other method which 
will ensure

[[Page 716]]

that a report is made as soon as practical to the NRC Operations 
Center.\3\
---------------------------------------------------------------------------

    \3\ Commercial telephone number of the NRC Operations Center is 
(301) 816-5100.
    4 [Reserved]
---------------------------------------------------------------------------

    (3) The licensee shall notify the NRC immediately after notification 
of the appropriate State or local agencies and not later than one hour 
after the time the licensee declares one of the Emergency Classes.
    (4) The licensee shall activate the Emergency Response Data System 
(ERDS) \5\ as soon as possible but not later than one hour after 
declaring an emergency class of alert, site area emergency, or general 
emergency. The ERDS may also be activated by the licensee during 
emergency drills or exercises if the licensee's computer system has the 
capability to transmit the exercise data.
---------------------------------------------------------------------------

    \5\ Requirements for ERDS are addressed in Appendix E, Section VI.
---------------------------------------------------------------------------

    (5) When making a report under paragraph (a)(3) of this section, the 
licensee shall identify:
    (i) The Emergency Class declared; or
    (ii) Either paragraph (b)(1), ``One-Hour Report,'' or paragraph 
(b)(2), ``Four-Hour Report,'' as the paragraph of this section requiring 
notification of the Non-Emergency Event.
    (b) Non-emergency events--(1) One-hour reports. If not reported as a 
declaration of an Emergency Class under paragraph (a) of this section, 
the licensee shall notify the NRC as soon as practical and in all cases 
within one hour of the occurrence of any of the following:
    (i)(A) The initiation of any nuclear plant shutdown required by the 
plant's Technical Specifications.
    (B) Any deviation from the plant's Technical Specifications 
authorized pursuant to Sec. 50.54(x) of this part.
    (ii) Any event or condition during operation that results in the 
condition of the nuclear powerplant, including its principal safety 
barriers, being seriously degraded; or results in the nuclear power 
plant being:
    (A) In an unanalyzed condition that significantly compromises plant 
safety;
    (B) In a condition that is outside the design basis of the plant; or
    (C) In a condition not covered by the plant's operating and 
emergency procedures.
    (iii) Any natural phenomenon or other external condition that poses 
an actual threat to the safety of the nuclear power plant or 
significantly hampers site personnel in the performance of duties 
necessary for the safe operation of the plant.
    (iv) Any event that results or should have resulted in Emergency 
Core Cooling System (ECCS) discharge into the reactor coolant system as 
a result of a valid signal.
    (v) Any event that results in a major loss of emergency assessment 
capability, offsite response capability, or communications capability 
(e.g., significant portion of control room indication, Emergency 
Notification System, or offsite notification system).
    (vi) Any event that poses an actual threat to the safety of the 
nuclear power plant or significantly hampers site personnel in the 
performance of duties necessary for the safe operation of the nuclear 
power plant including fires, toxic gas releases, or radioactive 
releases.
    (2) Four-hour reports. If not reported under paragraphs (a) or 
(b)(1) of this section, the licensee shall notify the NRC as soon as 
practical and in all cases, within four hours of the occurrence of any 
of the following:
    (i) Any event, found while the reactor is shut down, that, had it 
been found while the reactor was in operation, would have resulted in 
the nuclear power plant, including its principal safety barriers, being 
seriously degraded or being in an unanalyzed condition that 
significantly compromises plant safety.
    (ii) Any event or condition that results in a manual or automatic 
actuation of any engineered safety feature (ESF), including the reactor 
protection system (RPS), except when:
    (A) The actuation results from and is part of a pre-planned sequence 
during testing or reactor operation;
    (B) The actuation is invalid and:
    (1) Occurs while the system is properly removed from service;
    (2) Occurs after the safety function has been already completed; or

[[Page 717]]

    (3) Involves only the following specific ESFs or their equivalent 
systems:
    (i) Reactor water clean-up system;
    (ii) Control room emergency ventilation system;
    (iii) Reactor building ventilation system;
    (iv) Fuel building ventilation system; or
    (v) Auxiliary building ventilation system.
    (iii) Any event or condition that alone could have prevented the 
fulfillment of the safety function of structures or systems that are 
needed to:
    (A) Shut down the reactor and maintain it in a safe shutdown 
condition,
    (B) Remove residual heat,
    (C) Control the release of radioactive material, or
    (D) Mitigate the consequences of an accident.
    (iv)(A) Any airborne radioactive release that, when averaged over a 
time period of 1 hour, results in concentrations in an unrestricted area 
that exceed 20 times the applicable concentration specified in appendix 
B to part 20, table 2, column 1.
    (B) Any liquid effluent release that, when averaged over a time of 1 
hour, exceeds 20 times the applicable concentration specified in 
appendix B to part 20, table 2, column 2, at the point of entry into the 
receiving waters (i.e., unrestricted area) for all radionuclides except 
tritium and dissolved noble gases. (Immediate notifications made under 
this paragraph also satisfy the requirements of Sec. 20.2202 of this 
chapter.)
    (v) Any event requiring the transport of a radioactively 
contaminated person to an offsite medical facility for treatment.
    (vi) Any event or situation, related to the health and safety of the 
public or onsite personnel, or protection of the environment, for which 
a news release is planned or notification to other government agencies 
has been or will be made. Such an event may include an onsite fatality 
or inadvertent release of radioactively contaminated materials.
    (vii) Any instance of:
    (A) A defect in any spent fuel storage cask structure, system, or 
component which is important to safety; or
    (B) A significant reduction in the effectiveness of any spent fuel 
storage cask confinement system during use of the storage cask under a 
general license issued under Sec. 72.210 of this chapter.

A followup written report is required by Sec. 72.216(b) of this chapter 
including a description of the means employed to repair any defects or 
damage and prevent recurrence, using instructions in Sec. 72.4, within 
30 days of the report submitted in paragraph (a). A copy of the written 
report must be sent to the administrator of the appropriate Nuclear 
Regulatory Commission regional office shown in appendix D to part 20 of 
this chapter.
    (c) Followup notification. With respect to the telephone 
notifications made under paragraphs (a) and (b) of this section, in 
addition to making the required initial notification, each licensee, 
shall during the course of the event:
    (1) Immediately report (i) any further degradation in the level of 
safety of the plant or other worsening plant conditions, including those 
that require the declaration of any of the Emergency Classes, if such a 
declaration has not been previously made, or (ii) any change from one 
Emergency Class to another, or (iii) a termination of the Emergency 
Class.
    (2) Immediately report (i) the results of ensuing evaluations or 
assessments of plant conditions, (ii) the effectiveness of response or 
protective measures taken, and (iii) information related to plant 
behavior that is not understood.
    (3) Maintain an open, continuous communication channel with the NRC 
Operations Center upon request by the NRC.

[48 FR 39046, Aug. 29, 1983; 48 FR 40882, Sept. 12, 1983; 55 FR 29194, 
July 18, 1990, as amended at 56 FR 944, Jan. 10, 1991; 56 FR 23473, May 
21, 1991; 56 FR 40184, Aug. 13, 1991; 57 FR 41381, Sept. 10, 1992; 58 FR 
67661, Dec. 22, 1993; 59 FR 14087, Mar. 25, 1994]



Sec. 50.73  Licensee event report system.

    (a) Reportable events. (1) The holder of an operating license for a 
nuclear power plant (licensee) shall submit a Licensee Event Report 
(LER) for any event of the type described in this

[[Page 718]]

paragraph within 30 days after the discovery of the event. Unless 
otherwise specified in this section, the licensee shall report an event 
regardless of the plant mode or power level, and regardless of the 
significance of the structure, system, or component that initiated the 
event.
    (2) The licensee shall report:
    (i)(A) The completion of any nuclear plant shutdown required by the 
plant's Technical Specifications; or
    (B) Any operation or condition prohibited by the plant's Technical 
Specifications; or
    (C) Any deviation from the plant's Technical Specifications 
authorized pursuant to Sec. 50.54(x) of this part.
    (ii) Any event or condition that resulted in the condition of the 
nuclear power plant, including its principal safety barriers, being 
seriously degraded, or that resulted in the nuclear power plant being:
    (A) In an unanalyzed condition that significantly compromised plant 
safety;
    (B) In a condition that was outside the design basis of the plant; 
or
    (C) In a condition not covered by the plant's operating and 
emergency procedures.
    (iii) Any natural phenomenon or other external condition that posed 
an actual threat to the safety of the nuclear power plant or 
significantly hampered site personnel in the performance of duties 
necessary for the safe operation of the nuclear power plant.
    (iv) Any event or condition that resulted in a manual or automatic 
actuation of any engineered safety feature (ESF), including the reactor 
protection system (RPS), except when:
    (A) The actuation resulted from and was part of a pre-planned 
sequence during testing or reactor operation;
    (B) The actuation was invalid and:
    (1) Occurred while the system was properly removed from service;
    (2) Occurred after the safety function had been already completed; 
or
    (3) Involved only the following specific ESFs or their equivalent 
systems:
    (i) Reactor water clean-up system;
    (ii) Control room emergency ventilation system;
    (iii) Reactor building ventilation system;
    (iv) Fuel building ventilation system; or
    (v) Auxiliary building ventilation system.
    (v) Any event or condition that alone could have prevented the 
fulfillment of the safety function of structures or systems that are 
needed to:
    (A) Shut down the reactor and maintain it in a safe shutdown 
condition;
    (B) Remove residual heat;
    (C) Control the release of radioactive material; or
    (D) Mitigate the consequences of an accident.
    (vi) Events covered in paragraph (a)(2)(v) of this section may 
include one or more procedural errors, equipment failures, and/or 
discovery of design, analysis, fabrication, construction, and/or 
procedural inadequacies. However, individual component failures need not 
be reported pursuant to this paragraph if redundant equipment in the 
same system was operable and available to perform the required safety 
function.
    (vii) Any event where a single cause or condition caused at least 
one independent train or channel to become inoperable in multiple 
systems or two independent trains or channels to become inoperable in a 
single system designed to:
    (A) Shut down the reactor and maintain it in a safe shutdown 
condition;
    (B) Remove residual heat;
    (C) Control the release of radioactive material; or
    (D) Mitigate the consequences of an accident.
    (viii)(A) Any airborne radioactive release that, when averaged over 
a time period of 1 hour, resulted in airborne radionuclide 
concentrations in an unrestricted area that exceeded 20 times the 
applicable concentration limits specified in appendix B to part 20, 
table 2, column 1.
    (B) Any liquid effluent release that, when averaged over a time 
period of 1 hour, exceeds 20 times the applicable concentrations 
specified in appendix B to part 20, table 2, column 2, at the point of 
entry into the receiving waters (i.e., unrestricted area) for all 
radionuclides except tritium and dissolved noble gases.

[[Page 719]]

    (ix) Reports submitted to the Commission in accordance with 
paragraph (a)(2)(viii) of this section also meet the effluent release 
reporting requirements of Sec. 20.2203(a)(3) of this chapter.
    (x) Any event that posed an actual threat to the safety of the 
nuclear power plant or significantly hampered site personnel in the 
performance of duties necessary for the safe operation of the nuclear 
power plant including fires, toxic gas releases, or radioactive 
releases.
    (b) Contents. The Licensee Event Report shall contain:
    (1) A brief abstract describing the major occurrences during the 
event, including all component or system failures that contributed to 
the event and significant corrective action taken or planned to prevent 
recurrence.
    (2)(i) A clear, specific, narrative description of what occurred so 
that knowledgeable readers conversant with the design of commercial 
nuclear power plants, but not familiar with the details of a particular 
plant, can understand the complete event.
    (ii) The narrative description must include the following specific 
information as appropriate for the particular event:
    (A) Plant operating conditions before the event.
    (B) Status of structures, components, or systems that were 
inoperable at the start of the event and that contributed to the event.
    (C) Dates and approximate times of occurrences.
    (D) The cause of each component or system failure or personnel 
error, if known.
    (E) The failure mode, mechanism, and effect of each failed 
component, if known.
    (F) The Energy Industry Identification System component function 
identifier and system name of each component or system referred to in 
the LER.
    (1) The Energy Industry Identification System is defined in: IEEE 
Std 803-1983 (May 16, 1983) Recommended Practices for Unique 
Identification Plants and Related Facilities--Principles and 
Definitions.
    (2) IEEE Std 803-1983 has been approved for incorporation by 
reference by the Director of the Federal Register.

A notice of any changes made to the material incorporated by reference 
will be published in the Federal Register. Copies may be obtained from 
the Institute of Electrical and Electronics Engineers, 345 East 47th 
Street, New York, NY 10017. IEEE Std 803-1983 is available for 
inspection at the NRC's Technical Library, which is located at 11545 
Rockville Pike, Rockville, Maryland 20852-2738; and at the Office of the 
Federal Register, 800 North Capitol Street, NW., suite 700, Washington, 
DC.
    (G) For failures of components with multiple functions, include a 
list of systems or secondary functions that were also affected.
    (H) For failure that rendered a train of a safety system inoperable, 
an estimate of the elapsed time from the discovery of the failure until 
the train was returned to service.
    (I) The method of discovery of each component or system failure or 
procedural error.
    (J)(1) Operator actions that affected the course of the event, 
including operator errors, procedural deficiencies, or both, that 
contributed to the event.
    (2) For each personnel error, the licensee shall discuss:
    (i) Whether the error was a cognitive error (e.g., failure to 
recognize the actual plant condition, failure to realize which systems 
should be functioning, failure to recognize the true nature of the 
event) or a procedural error;
    (ii) Whether the error was contrary to an approved procedure, was a 
direct result of an error in an approved procedure, or was associated 
with an activity or task that was not covered by an approved procedure;
    (iii) Any unusual characteristics of the work location (e.g., heat, 
noise) that directly contributed to the error; and
    (iv) The type of personnel involved (i.e., contractor personnel, 
utility-licensed operator, utility nonlicensed operator, other utility 
personnel).
    (K) Automatically and manually initiated safety system responses.
    (L) The manufacturer and model number (or other identification) of 
each component that failed during the event.

[[Page 720]]

    (3) An assessment of the safety consequences and implications of the 
event. This assessment must include the availability of other systems or 
components that could have performed the same function as the components 
and systems that failed during the event.
    (4) A description of any corrective actions planned as a result of 
the event, including those to reduce the probability of similar events 
occurring in the future.
    (5) Reference to any previous similar events at the same plant that 
are known to the licensee.
    (6) The name and telephone number of a person within the licensee's 
organization who is knowledgeable about the event and can provide 
additional information concerning the event and the plant's 
characteristics.
    (c) Supplemental information. The Commission may require the 
licensee to submit specific additional information beyond that required 
by paragraph (b) of this section if the Commission finds that 
supplemental material is necessary for complete understanding of an 
unusually complex or significant event. These requests for supplemental 
information will be made in writing and the licensee shall submit, as 
specified in Sec. 50.4, the requested information as a supplement to the 
initial LER.
    (d) Submission of reports. Licensee Event Reports must be prepared 
on Form NRC 366 and submitted within 30 days of discovery of a 
reportable event or situation to the U.S. Nuclear Regulatory Commission, 
as specified in Sec. 50.4.
    (e) Report legibility. The reports and copies that licensees are 
required to submit to the Commission under the provisions of this 
section must be of sufficient quality to permit legible reproduction and 
micrographic processing.
    (f) Exemptions. Upon written request from a licensee including 
adequate justification or at the initiation of the NRC staff, the NRC 
Executive Director for Operations may, by a letter to the licensee, 
grant exemptions to the reporting requirements under this section.
    (g) Reportable occurrences. The requirements contained in this 
section replace all existing requirements for licensees to report 
``Reportable Occurrences'' as defined in individual plant Technical 
Specifications.

[48 FR 33858, July 26, 1983, as amended at 49 FR 47824, Dec. 7, 1984; 51 
FR 40310, Nov. 6, 1986; 56 FR 23473, May 21, 1991; 56 FR 61352, Dec. 3, 
1991; 57 FR 41381, Sept. 10, 1992; 58 FR 67661, Dec. 22, 1993; 59 FR 
50689, Oct. 5, 1994]



Sec. 50.74  Notification of change in operator or senior operator status.

    Each licensee shall notify the Commission in accordance with 
Sec. 50.4 within 30 days of the following in regard to a licensed 
operator or senior operator:
    (a) Permanent reassignment from the position for which the licensee 
has certified the need for a licensed operator or senior operator under 
Sec. 55.31(a)(3) of this chapter;
    (b) Termination of any operator or senior operator;
    (c) Permanent disability or illness as described in Sec. 55.25 of 
this chapter.

[52 FR 9469, Mar. 25, 1987, as amended at 60 FR 13616, Mar. 14, 1995]



Sec. 50.75  Reporting and recordkeeping for decommissioning planning.

    (a) This section establishes requirements for indicating to NRC how 
reasonable assurance will be provided that funds will be available for 
decommissioning. For electric utilities it consists of a step-wise 
procedure as provided in paragraphs (b), (c), (e), and (f) of this 
section. Funding for decommissioning of electric utilities is also 
subject to the regulation of agencies (e.g., Federal Energy Regulatory 
Commission (FERC) and State Public Utility Commissions) having 
jurisdiction over rate regulation. The requirements of this section, in 
particular paragraph (c), are in addition to, and not substitution for, 
other requirements, and are not intended to be used, by themselves, by 
other agencies to establish rates.
    (b) Each electric utility applicant for or holder of an operating 
license for a production or utilization facility of the type and power 
level specified in paragraph (c) of this section shall submit a 
decommissioning report, as required by Sec. 50.33(k) of this part 
containing a certification that financial assurance for decommissioning 
will be provided in an amount which may be more but not

[[Page 721]]

less than the amount stated in the table in paragraph (c)(1) of this 
section, adjusted annually using a rate at least equal to that stated in 
paragraph (c)(2) of this section, by one or more of the methods 
described in paragraph (e) of this section as acceptable to the 
Commission. The amount stated in the applicant's or licensee's 
certification may be based on a cost estimate for decommissioning the 
facility. As part of the certification, a copy of the financial 
instrument obtained to satisfy the requirements of paragraph (e) of this 
section is to be submitted to NRC.
    (c) Table of minimum amounts (January 1986 dollars) required to 
demonstrate reasonable assurance of funds for decommissioning by reactor 
type and power level, P (in MWt); adjustment factor.\1\
---------------------------------------------------------------------------

    \1\ Amounts are based on activities related to the definition of 
``Decommission'' in Sec. 50.2 of this part and do not include the cost 
of removal and disposal of spent fuel or of nonradioactive structures 
and materials beyond that necessary to terminate the license.

                                                                        
                                                            Millions    
                                                                        
(1)(i) For a PWR:                                                       
  greater than or equal to 3400 MWt...................              $105
  between 1200 MWt and 3400 MWt (For a PWR of less                      
   than 1200 MWt, use P=1200 MWt).....................     $(75+0.0088P)
(ii) For a BWR:                                                         
  greater than or equal to 3400 MWt...................              $135
  between 1200 MWt and 3400 MWt (For a BWR of less                      
   than 1200 MWt, use P=1200 MWt).....................     $(104+0.009P)
                                                                        

    (2) An adjustment factor at least equal to 0.65 L + 0.13 E + 0.22 B 
is to be used where L and E are escalation factors for labor and energy, 
respectively, and are to be taken from regional data of U.S. Department 
of Labor Bureau of Labor Statistics and B is an escalation factor for 
waste burial and is to be taken from NRC report NUREG-1307, ``Report on 
Waste Burial Charges.''
    (d) Each non-electric utility applicant for or holder of an 
operating license for a production or utilization facility shall submit 
a decommissioning report as required by Sec. 50.33(k) of this part 
containing a cost estimate for decommissioning the facility, an 
indication of which method or methods described in paragraph (e) of this 
section as acceptable to the Commission will be used to provide funds 
for decommissioning, and a description of the means of adjusting the 
cost estimate and associated funding level periodically over the life of 
the facility.
    (e)(1) As provided in paragraphs (e) (2) and (3) of this section, 
financial assurance is to be provided by the following methods:
    (i) Prepayment. Prepayment is the deposit prior to the start of 
operation into an account segregated from licensee assets and outside 
the licensee's administrative control of cash or liquid assets such that 
the amount of funds would be sufficient to pay decommissioning costs. 
Prepayment may be in the form of a trust, escrow account, government 
fund, certificate of deposit, or deposit of government securities.
    (ii) External sinking fund. An external sinking fund is a fund 
established and maintained by setting funds aside periodically in an 
account segregated from licensee assets and outside the licensee's 
administrative control in which the total amount of funds would be 
sufficient to pay decommissioning costs at the time termination of 
operation is expected. An external sinking fund may be in the form of a 
trust, escrow account, government fund, certificate of deposit, or 
deposit of government securities.
    (iii) A surety method, insurance, or other guarantee method. These 
methods guarantee that decommissioning costs will be paid. A surety 
method may be in the form of a surety bond, letter of credit, or line of 
credit. Any surety method or insurance used to provide financial 
assurance for decommissioning must contain the following conditions:
    (A) The surety method or insurance must be open-ended or, if written 
for a specified term, such as five years, must be renewed automatically 
unless 90 days or more prior to the renewal date, the issuer notifies 
the Commission, the beneficiary, and the licensee of its intention not 
to renew. The surety or insurance must also provide that the full face 
amount be paid to the beneficiary

[[Page 722]]

automatically prior to the expiration without proof of forfeiture if the 
licensee fails to provide a replacement acceptable to the Commission 
within 30 days after receipt of notification of cancellation.
    (B) The surety or insurance must be payable to a trust established 
for decommissioning costs. The trustee and trust must be acceptable to 
the Commission. An acceptable trustee includes an appropriate State or 
Federal government agency or an entity which has the authority to act as 
a trustee and whose trust operations are regulated and examined by a 
Federal or State agency.
    (C) The surety method or insurance must remain in effect until the 
Commission has terminated the license.
    (2) For a licensee other than an electric utility, acceptable 
methods of providing financial assurance for decommissioning are--
    (i) Prepayment;
    (ii) An external sinking fund, in which deposits are made at least 
annually, coupled with a surety method or insurance, the value of which 
may decrease by the amount being accumulated in the sinking fund,
    (iii) A surety method, insurance, or other guarantee method. A 
parent company guarantee of funds for decommissioning costs based on a 
financial test may be used if the guarantee and test are as contained in 
appendix A of 10 CFR part 30. A parent company guarantee may not be used 
in combination with other financial methods to satisfy the requirements 
of this section. A guarantee of funds by the applicant or licensee for 
decommissioning costs based on a financial test may be used if the 
guarantee and test are as contained in appendix C of 10 CFR part 30. A 
guarantee by the applicant or the licensee may not be used in 
combination with any other financial methods to satisfy the requirements 
of this section or in any situation where the applicant or licensee has 
a parent company holding majority control of the voting stock of the 
company.
    (iv) In the case of Federal, State, or local government licensees, a 
statement of intent containing a cost estimate for decommissioning, and 
indicating that funds for decommissioning will be obtained when 
necessary.
    (3) For an electric utility, acceptable methods of providing 
financial assurance for decommissioning are--
    (i) Prepayment;
    (ii) An external sinking fund in which deposits are made at least 
annually:
    (iii) A surety method or insurance; and
    (iv) In the case of Federal government licensees, a statement of 
intent containing a cost estimate for decommissioning or an amount based 
on paragraph (c) of this section, and indicating that funds for 
decommissioning will be obtained when necessary.
    (f)(1) Each power reactor licensee shall at or about 5 years prior 
to the projected end of operations submit a preliminary decommissioning 
cost estimate which includes an up-to-date assessment of the major 
factors that could affect the cost to decommission.
    (2) Each non-power reactor licensee shall at or about 2 years prior 
to the projected end of operations submit a preliminary decommissioning 
plan containing a cost estimate for decommissioning and an up-to-date 
assessment of the major factors that could affect planning for 
decommissioning. Factors to be considered in submitting this preliminary 
plan information include--
    (i) The decommissioning alternative anticipated to be used. The 
requirements of Sec. 50.82(b)(4)(i) must be considered at this time;
    (ii) Major technical actions necessary to carry out decommissioning 
safely;
    (iii) The current situation with regard to disposal of high-level 
and low-level radioactive waste;
    (iv) Residual radioactivity criteria;
    (v) Other site specific factors which could affect decommissioning 
planning and cost.
    (3) If necessary, the cost estimate, for power and non-power 
reactors, shall also include plans for adjusting levels of funds assured 
for decommissioning to demonstrate that a reasonable level of assurance 
will be provided that funds will be available when needed to cover the 
cost of decommissioning.
    (g) Each licensee shall keep records of information important to the 
safe and effective decommissioning of the facility in an identified 
location until

[[Page 723]]

the license is terminated by the Commission. If records of relevant 
information are kept for other purposes, reference to these records and 
their locations may be used. Information the Commission considers 
important to decommissioning consists of--
    (1) Records of spills or other unusual occurrences involving the 
spread of contamination in and around the facility, equipment, or site. 
These records may be limited to instances when significant contamination 
remains after any cleanup procedures or when there is reasonable 
likelihood that contaminants may have spread to inaccessible areas as in 
the case of possible seepage into porous materials such as concrete. 
These records must include any known information on identification of 
involved nuclides, quantities, forms, and concentrations.
    (2) As-built drawings and modifications of structures and equipment 
in restricted areas where radioactive materials are used and/or stored 
and of locations of possible inaccessible contamination such as buried 
pipes which may be subject to contamination. If required drawings are 
referenced, each relevant document need not be indexed individually. If 
drawings are not available, the licensee shall substitute appropriate 
records of available information concerning these areas and locations.
    (3) Records of the cost estimate performed for the decommissioning 
funding plan or of the amount certified for decommissioning, and records 
of the funding method used for assuring funds if either a funding plan 
or certification is used.

[53 FR 24049, June 27, 1988, as amended at 58 FR 68731, Dec. 29, 1993; 
59 FR 1618, Jan. 12, 1994; 61 FR 39301, July 29, 1996]

                      US/IAEA Safeguards Agreement



Sec. 50.78  Installation information and verification.

    Each holder of a construction permit shall, if requested by the 
Commission, submit installation information on Form N-71, permit 
verification thereof by the International Atomic Energy Agency, and take 
such other action as may be necessary to implement the US/IAEA 
Safeguards Agreement, in the manner set forth in Secs. 75.6 and 75.11 
through 75.14 of this chapter.

[49 FR 19627, May 9, 1984]

     Transfers of Licenses--Creditors' Rights--Surrender of Licenses



Sec. 50.80   Transfer of licenses.

    (a) No license for a production or utilization facility, or any 
right thereunder, shall be transferred, assigned, or in any manner 
disposed of, either voluntarily or involuntarily, directly or 
indirectly, through transfer of control of the license to any person, 
unless the Commission shall give its consent in writing.
    (b) An application for transfer of a license shall include as much 
of the information described in Secs. 50.33 and 50.34 of this part with 
respect to the identity and technical and financial qualifications of 
the proposed transferee as would be required by those sections if the 
application were for an initial license, and, if the license to be 
issued is a class 103 license, the information required by Sec. 50.33a. 
The Commission may require additional information such as data 
respecting proposed safeguards against hazards from radioactive 
materials and the applicant's qualifications to protect against such 
hazards. The application shall include also a statement of the purposes 
for which the transfer of the license is requested, the nature of the 
transaction necessitating or making desirable the transfer of the 
license, and an agreement to limit access to Restricted Data pursuant to 
Sec. 50.37. The Commission may require any person who submits an 
application for license pursuant to the provisions of this section to 
file a written consent from the existing licensee or a certified copy of 
an order or judgment of a court of competent jurisdiction attesting to 
the person's right (subject to the licensing requirements of the Act and 
these regulations) to possession of the facility involved.
    (c) After appropriate notice to interested persons, including the 
existing licensee, and observance of such procedures as may be required 
by the Act or regulations or orders of the Commission, the Commission 
will approve an application for the transfer of a license, if the 
Commission determines:

[[Page 724]]

    (1) That the proposed transferee is qualified to be the holder of 
the license; and
    (2) That transfer of the license is otherwise consistent with 
applicable provisions of law, regulations, and orders issued by the 
Commission pursuant thereto.

[26 FR 9546, Oct. 10, 1961, as amended at 35 FR 19661, Dec. 29, 1970; 38 
FR 3956, Feb. 9, 1973]



Sec. 50.81   Creditor regulations.

    (a) Pursuant to section 184 of the Act, the Commission consents, 
without individual application, to the creation of any mortgage, pledge, 
or other lien upon any production or utilization facility not owned by 
the United States which is the subject of a license or upon any 
leasehold or other interest in such facility: Provided:
    (1) That the rights of any creditor so secured may be exercised only 
in compliance with and subject to the same requirements and restrictions 
as would apply to the licensee pursuant to the provisions of the 
license, the Atomic Energy Act of 1954, as amended, and regulations 
issued by the Commission pursuant to said Act; and
    (2) That no creditor so secured may take possession of the facility 
pursuant to the provisions of this section prior to either the issuance 
of a license from the Commission authorizing such possession or the 
transfer of the license.
    (b) Any creditor so secured may apply for transfer of the license 
covering such facility by filing an application for transfer of the 
license pursuant to Sec. 50.80(b). The Commission will act upon such 
application pursuant to Sec. 50.80 (c).
    (c) Nothing contained in this regulation shall be deemed to affect 
the means of acquiring, or the priority of, any tax lien or other lien 
provided by law.
    (d) As used in this section: (1) ``License'' includes any license or 
construction permit which may be issued by the Commission with regard to 
the facility;
    (2) ``Creditor'' includes, without implied limitation, the trustee 
under any mortgage, pledge or lien on a facility made to secure any 
creditor, any trustee or receiver of the facility appointed by a court 
of competent jurisdiction in any action brought for the benefit of any 
creditor secured by such mortgage, pledge or lien, any purchaser of such 
facility at the sale thereof upon foreclosure of such mortgage, pledge, 
or lien or upon exercise of any power of sale contained therein, or any 
assignee of any such purchaser.

[26 FR 9546, Oct. 10, 1961, as amended at 32 FR 2562, Feb. 7, 1967]



Sec. 50.82  Termination of license.

    For power reactor licensees who, before the effective date of this 
rule, either submitted a decommissioning plan for approval or possess an 
approved decommissioning plan, the plan is considered to be the PSDAR 
submittal required under paragraph (a)(4) of this section and the 
provisions of this section apply accordingly. For power reactor 
licensees whose decommissioning plan approval activities have been 
relegated to notice of opportunity for a hearing under subpart G of 10 
CFR part 2, the public meeting convened and 90-day delay of major 
decommissioning activities required in paragraphs (a)(4)(ii) and (a)(5) 
of this section shall not apply, and any orders arising from proceedings 
under subpart G of 10 CFR part 2 shall continue and remain in effect 
absent any orders from the Commission.
    (a) For power reactor licensees--
    (1) (i) When a licensee has determined to permanently cease 
operations the licensee shall, within 30 days, submit a written 
certification to the NRC, consistent with the requirements of 
Sec. 50.4(b)(8);
    (ii) Once fuel has been permanently removed from the reactor vessel, 
the licensee shall submit a written certification to the NRC that meets 
the requirements of Sec. 50.4(b)(9) and;
    (iii) For licensees whose licenses have been permanently modified to 
allow possession but not operation of the facility, before the effective 
date of this rule, the certifications required in paragraphs (a)(1) (i)-
(ii) of this section shall be deemed to have been submitted.
    (2) Upon docketing of the certifications for permanent cessation of 
operations and permanent removal of fuel from the reactor vessel, or 
when a final legally effective order to permanently

[[Page 725]]

cease operations has come into effect, the 10 CFR part 50 license no 
longer authorizes operation of the reactor or emplacement or retention 
of fuel into the reactor vessel.
    (3) Decommissioning will be completed within 60 years of permanent 
cessation of operations. Completion of decommissioning beyond 60 years 
will be approved by the Commission only when necessary to protect public 
health and safety. Factors that will be considered by the Commission in 
evaluating an alternative that provides for completion of 
decommissioning beyond 60 years of permanent cessation of operations 
include unavailability of waste disposal capacity and other site-
specific factors affecting the licensee's capability to carry out 
decommissioning, including presence of other nuclear facilities at the 
site.
    (4) (i) Prior to or within 2 years following permanent cessation of 
operations, the licensee shall submit a post-shutdown decommissioning 
activities report (PSDAR) to the NRC, and a copy to the affected 
State(s). The report must include a description of the planned 
decommissioning activities along with a schedule for their 
accomplishment, an estimate of expected costs, and a discussion that 
provides the reasons for concluding that the environmental impacts 
associated with site-specific decommissioning activities will be bounded 
by appropriate previously issued environmental impact statements.
    (ii) The NRC shall notice receipt of the PSDAR and make the PSDAR 
available for public comment. The NRC shall also schedule a public 
meeting in the vicinity of the licensee's facility upon receipt of the 
PSDAR. The NRC shall publish a notice in the Federal Register and in a 
forum, such as local newspapers, that is readily accessible to 
individuals in the vicinity of the site, announcing the date, time and 
location of the meeting, along with a brief description of the purpose 
of the meeting.
    (5) Licensees shall not perform any major decommissioning 
activities, as defined in Sec. 50.2, until 90 days after the NRC has 
received the licensee's PSDAR submittal and until certifications of 
permanent cessation of operations and permanent removal of fuel from the 
reactor vessel, as required under Sec. 50.82(a)(1), have been submitted.
    (6) Licensees shall not perform any decommissioning activities, as 
defined in Sec. 50.2, that--
    (i) Foreclose release of the site for possible unrestricted use;
    (ii) Result in significant environmental impacts not previously 
reviewed; or
    (iii) Result in there no longer being reasonable assurance that 
adequate funds will be available for decommissioning.
    (7) In taking actions permitted under Sec. 50.59 following submittal 
of the PSDAR, the licensee shall notify the NRC, in writing and send a 
copy to the affected State(s), before performing any decommissioning 
activity inconsistent with, or making any significant schedule change 
from, those actions and schedules described in the PSDAR, including 
changes that significantly increase the decommissioning cost.
    (8)(i) Decommissioning trust funds may be used by licensees if--
    (A) The withdrawals are for expenses for legitimate decommissioning 
activities consistent with the definition of decommissioning in 
Sec. 50.2;
    (B) The expenditure would not reduce the value of the 
decommissioning trust below an amount necessary to place and maintain 
the reactor in a safe storage condition if unforeseen conditions or 
expenses arise and;
    (C) The withdrawals would not inhibit the ability of the licensee to 
complete funding of any shortfalls in the decommissioning trust needed 
to ensure the availability of funds to ultimately release the site and 
terminate the license.
    (ii) Initially, 3 percent of the generic amount specified in 
Sec. 50.75 may be used for decommissioning planning. For licensees that 
have submitted the certifications required under Sec. 50.82(a)(1) and 
commencing 90 days after the NRC has received the PSDAR, an additional 
20 percent may be used. A site-specific decommissioning cost estimate 
must be submitted to the NRC prior to the licensee using any funding in 
excess of these amounts.

[[Page 726]]

    (iii) Within 2 years following permanent cessation of operations, if 
not already submitted, the licensee shall submit a site-specific 
decommissioning cost estimate.
    (iv) For decommissioning activities that delay completion of 
decommissioning by including a period of storage or surveillance, the 
licensee shall provide a means of adjusting cost estimates and 
associated funding levels over the storage or surveillance period.
    (9) All power reactor licensees must submit an application for 
termination of license. The application for termination of license must 
be accompanied or preceded by a license termination plan to be submitted 
for NRC approval.
    (i) The license termination plan must be a supplement to the FSAR or 
equivalent and must be submitted at least 2 years before termination of 
the license date.
    (ii) The license termination plan must include--
    (A) A site characterization;
    (B) Identification of remaining dismantlement activities;
    (C) Plans for site remediation;
    (D) Detailed plans for the final radiation survey;
    (E) A description of the end use of the site, if restricted;
    (F) An updated site-specific estimate of remaining decommissioning 
costs; and
    (G) A supplement to the environmental report, pursuant to 
Sec. 51.53, describing any new information or significant environmental 
change associated with the licensee's proposed termination activities.
    (iii) The NRC shall notice receipt of the license termination plan 
and make the license termination plan available for public comment. The 
NRC shall also schedule a public meeting in the vicinity of the 
licensee's facility upon receipt of the license termination plan. The 
NRC shall publish a notice in the Federal Register and in a forum, such 
as local newspapers, which is readily accessible to individuals in the 
vicinity of the site, announcing the date, time and location of the 
meeting, along with a brief description of the purpose of the meeting.
    (10) If the license termination plan demonstrates that the remainder 
of decommissioning activities will be performed in accordance with the 
regulations in this chapter, will not be inimical to the common defense 
and security or to the health and safety of the public, and will not 
have a significant effect on the quality of the environment and after 
notice to interested persons, the Commission shall approve the plan, by 
license amendment, subject to such conditions and limitations as it 
deems appropriate and necessary and authorize implementation of the 
license termination plan.
    (11) The Commission shall terminate the license if it determines 
that--
    (i) The remaining dismantlement has been performed in accordance 
with the approved license termination plan, and
    (ii) The terminal radiation survey and associated documentation 
demonstrates that the facility and site are suitable for release.
    (b) For non-power reactor licensees--
    (1) A licensee that permanently ceases operations must make 
application for license termination within 2 years following permanent 
cessation of operations, and in no case later than 1 year prior to 
expiration of the operating license. Each application for termination of 
a license must be accompanied or preceded by a proposed decommissioning 
plan. The contents of the decommissioning plan are specified in 
paragraph (b)(4) of this section.
    (2) For decommissioning plans in which the major dismantlement 
activities are delayed by first placing the facility in storage, 
planning for these delayed activities may be less detailed. Updated 
detailed plans must be submitted and approved prior to the start of 
these activities.
    (3) For decommissioning plans that delay completion of 
decommissioning by including a period of storage or surveillance, the 
licensee shall provide that--
    (i) Funds needed to complete decommissioning be placed into an 
account segregated from the licensee's assets and outside the licensee's 
administrative control during the storage or surveillance period, or a 
surety method or fund statement of intent be maintained in accordance 
with the criteria of Sec. 50.75(e); and

[[Page 727]]

    (ii) Means be included for adjusting cost estimates and associated 
funding levels over the storage or surveillance period.
    (4) The proposed decommissioning plan must include--
    (i) The choice of the alternative for decommissioning with a 
description of activities involved. An alternative is acceptable if it 
provides for completion of decommissioning without significant delay. 
Consideration will be given to an alternative which provides for delayed 
completion of decommissioning only when necessary to protect the public 
health and safety. Factors to be considered in evaluating an alternative 
which provides for delayed completion of decommissioning include 
unavailability of waste disposal capacity and other site-specific 
factors affecting the licensee's capability to carry out 
decommissioning, including the presence of other nuclear facilities at 
the site.
    (ii) A description of the controls and limits on procedures and 
equipment to protect occupational and public health and safety;
    (iii) A description of the planned final radiation survey;
    (iv) An updated cost estimate for the chosen alternative for 
decommissioning, comparison of that estimate with present funds set 
aside for decommissioning, and plan for assuring the availability of 
adequate funds for completion of decommissioning; and
    (v) A description of technical specifications, quality assurance 
provisions and physical security plan provisions in place during 
decommissioning.
    (5) If the decommissioning plan demonstrates that the 
decommissioning will be performed in accordance with the regulations in 
this chapter and will not be inimical to the common defense and security 
or to the health and safety of the public, and after notice to 
interested persons, the Commission will approve, by amendment, the plan 
subject to such conditions and limitations as it deems appropriate and 
necessary. The approved decommissioning plan will be a supplement to the 
Safety Analysis report or equivalent.
    (6) The Commission will terminate the license if it determines 
that--
    (i) The decommissioning has been performed in accordance with the 
approved decommissioning plan, and
    (ii) The terminal radiation survey and associated documentation 
demonstrates that the facility and site are suitable for release.
    (c) For a facility that has permanently ceased operation before the 
expiration of its license, the collection period for any shortfall of 
funds will be determined, upon application by the licensee, on a case-
by-case basis taking into account the specific financial situation of 
each licensee.

[61 FR 39301, July 29, 1996]

    Amendment of License or Construction Permit at Request of Holder



Sec. 50.90  Application for amendment of license or construction permit.

    Whenever a holder of a license or construction permit desires to 
amend the license or permit, application for an amendment must be filed 
with the Commission, as specified in Sec. 50.4, fully describing the 
changes desired, and following as far as applicable, the form prescribed 
for original applications.

[51 FR 40310, Nov. 6, 1986]



Sec. 50.91  Notice for public comment; State consultation.

    The Commission will use the following procedures for an application 
requesting an amendment to an operating license for a facility licensed 
under Sec. 50.21(b) or Sec. 50.22 or for a testing facility, except for 
amendments subject to hearings governed by Secs. 2.1201-2.1263 of this 
chapter. For amendments subject to Secs. 2.1201-2.1263 of this chapter, 
the following procedures will apply only to the extent specifically 
referenced in Sec. 2.1205 (c) and (d) of this chapter:
    (a) Notice for public comment. (1) At the time a licensee requests 
an amendment, it must provide to the Commission, in accordance with the 
distribution requirements specified in Sec. 50.4, its analysis about the 
issue of no significant hazards consideration using the standards in 
Sec. 50.92.
    (2)(i) The Commission may publish in the Federal Register under 
Sec. 2.105 an individual notice of proposed action for an amendment for 
which it makes a

[[Page 728]]

proposed determination that no significant hazards consideration is 
involved, or, at least once every 30 days, publish a periodic Federal 
Register notice of proposed actions which identifies each amendment 
issued and each amendment proposed to be issued since the last such 
periodic notice, or it may publish both such notices.
    (ii) For each amendment proposed to be issued, the notice will (A) 
contain the staff's proposed determination, under the standards in 
Sec. 50.92, (B) provide a brief description of the amendment and of the 
facility involved, (C) solicit public comments on the proposed 
determination, and (D) provide for a 30-day comment period.
    (iii) The comment period will begin on the day after the date of the 
publication of the first notice, and, normally, the amendment will not 
be granted until after this comment period expires.
    (3) The Commission may inform the public about the final disposition 
of an amendment request for which it has made a proposed determination 
of no significant hazards consideration either by issuing an individual 
notice of issuance under Sec. 2.106 of this chapter or by publishing 
such a notice in its periodic system of Federal Register notices. In 
either event, it will not make and will not publish a final 
determination on no significant hazards consideration, unless it 
receives a request for a hearing on that amendment request.
    (4) Where the Commission makes a final determination that no 
significant hazards consideration is involved and that the amendment 
should be issued, the amendment will be effective upon issuance, even if 
adverse public comments have been received and even if an interested 
person meeting the provisions for intervention called for in Sec. 2.714 
of this chapter has filed a request for a hearing. The Commission need 
hold any required hearing only after it issues an amendment, unless it 
determines that a significant hazards consideration is involved in which 
case the Commission will provide an opportunity for a prior hearing.
    (5) Where the Commission finds that an emergency situation exists, 
in that failure to act in a timely way would result in derating or 
shutdown of a nuclear power plant, or in prevention of either resumption 
of operation or of increase in power output up to the plant's licensed 
power level, it may issue a license amendment involving no significant 
hazards consideration without prior notice and opportunity for a hearing 
or for public comment. In such a situation, the Commission will not 
publish a notice of proposed determination on no significant hazards 
consideration, but will publish a notice of issuance under Sec. 2.106 of 
this chapter, providing for opportunity for a hearing and for public 
comment after issuance. The Commission expects its licensees to apply 
for license amendments in timely fashion. It will decline to dispense 
with notice and comment on the determination of no significant hazards 
consideration if it determines that the licensee has abused the 
emergency provision by failing to make timely application for the 
amendment and thus itself creating the emergency. Whenever an emergency 
situation exists, a licensee requesting an amendment must explain why 
this emergency situation occurred and why it could not avoid this 
situation, and the Commission will assess the licensee's reasons for 
failing to file an application sufficiently in advance of that event.
    (6) Where the Commission finds that exigent circumstances exist, in 
that a licensee and the Commission must act quickly and that time does 
not permit the Commission to publish a Federal Register notice allowing 
30 days for prior public comment, and it also determines that the 
amendment involves no significant hazards considerations, it:
    (i)(A) Will either issue a Federal Register notice providing notice 
of an opportunity for hearing and allowing at least two weeks from the 
date of the notice for prior public comment; or
    (B) Will use local media to provide reasonable notice to the public 
in the area surrounding a licensee's facility of the licensee's 
amendment and of its proposed determination as described in paragraph 
(a)(2) of this section, consulting with the licensee on the proposed 
media release and on the geographical area of its coverage;
    (ii) Will provide for a reasonable opportunity for the public to 
comment,

[[Page 729]]

using its best efforts to make available to the public whatever means of 
communication it can for the public to respond quickly, and, in the case 
of telephone comments, have these comments recorded or transcribed, as 
necessary and appropriate;
    (iii) When it has issued a local media release, may inform the 
licensee of the public's comments, as necessary and appropriate;
    (iv) Will publish a notice of issuance under Sec. 2.106;
    (v) Will provide a hearing after issuance, if one has been requested 
by a person who satisfies the provisions for intervention called for in 
Sec. 2.714 of this chapter;
    (vi) Will require the licensee to explain the exigency and why the 
licensee cannot avoid it, and use its normal public notice and comment 
procedures in paragraph (a)(2) of this section if it determines that the 
licensee has failed to use its best efforts to make a timely application 
for the amendment in order to create the exigency and to take advantage 
of this procedure.
    (7) Where the Commission finds that significant hazards 
considerations are involved, it will issue a Federal Register notice 
providing an opportunity for a prior hearing even in an emergency 
situation, unless it finds an imminent danger to the health or safety of 
the public, in which case it will issue an appropriate order or rule 
under 10 CFR part 2.
    (b) State consultation. (1) At the time a licensee requests an 
amendment, it must notify the State in which its facility is located of 
its request by providing that State with a copy of its application and 
its reasoned analysis about no significant hazards considerations and 
indicate on the application that it has done so. (The Commission will 
make available to the licensee the name of the appropriate State 
official designated to receive such amendments.)
    (2) The Commission will advise the State of its proposed 
determination about no significant hazards consideration normally by 
sending it a copy of the Federal Register notice.
    (3) The Commission will make available to the State official 
designated to consult with it about its proposed determination the names 
of the Project Manager or other NRC personnel it designated to consult 
with the State. The Commission will consider any comments of that State 
official. If it does not hear from the State in a timely manner, it will 
consider that the State has no interest in its determination; 
nonetheless, to ensure that the State is aware of the application, 
before it issues the amendment, it will make a good faith effort to 
telephone that official. (Inability to consult with a responsible State 
official following good faith attempts will not prevent the Commission 
from making effective a license amendment involving no significant 
hazards consideration.)
    (4) The Commission will make a good faith attempt to consult with 
the State before it issues a license amendment involving no significant 
hazards consideration. If, however, it does not have time to use its 
normal consultation procedures because of an emergency situation, it 
will attempt to telephone the appropriate State official. (Inability to 
consult with a responsible State official following good faith attempts 
will not prevent the Commission from making effective a license 
amendment involving no significant hazards consideration, if the 
Commission deems it necessary in an emergency situation.)
    (5) After the Commission issues the requested amendment, it will 
send a copy of its determination to the State.
    (c) Caveats about State consultation. (1) The State consultation 
procedures in paragraph (b) of this section do not give the State a 
right:
    (i) To veto the Commission's proposed or final determination;
    (ii) To a hearing on the determination before the amendment becomes 
effective; or
    (iii) To insist upon a postponement of the determination or upon 
issuance of the amendment.
    (2) These procedures do not alter present provisions of law that 
reserve to the Commission exclusive responsibility for setting and 
enforcing radiological health and safety requirements for nuclear power 
plants.

[51 FR 7765, Mar. 6, 1986, as amended at 51 FR 40310, Nov. 6, 1986; 61 
FR 39303, July 29, 1996]

[[Page 730]]



Sec. 50.92  Issuance of amendment.

    (a) In determining whether an amendment to a license or construction 
permit will be issued to the applicant, the Commission will be guided by 
the considerations which govern the issuance of initial licenses or 
construction permits to the extent applicable and appropriate. If the 
application involves the material alteration of a licensed facility, a 
construction permit will be issued before the issuance of the amendment 
to the license. If the amendment involves a significant hazards 
consideration, the Commission will give notice of its proposed action 
(1) pursuant to Sec. 2.105 of this chapter before acting thereon and (2) 
as soon as practicable after the application has been docketed.
    (b) The Commission will be particularly sensitive to a license 
amendment request that involves irreversible consequences (such as one 
that permits a significant increase in the amount of effluents or 
radiation emitted by a nuclear power plant).
    (c) The Commission may make a final determination, pursuant to the 
procedures in Sec. 50.91, that a proposed amendment to an operating 
license for a facility licensed under Sec. 50.21(b) or Sec. 50.22 or for 
a testing facility involves no significant hazards consideration, if 
operation of the facility in accordance with the proposed amendment 
would not:
    (1) Involve a significant increase in the probability or 
consequences of an accident previously evaluated; or
    (2) Create the possibility of a new or different kind of accident 
from any accident previously evaluated; or
    (3) Involve a significant reduction in a margin of safety.

[51 FR 7767, Mar. 6, 1986]

    Revocation, Suspension, Modification, Amendment of Licenses and 
      Construction Permits, Emergency Operations by the Commission



Sec. 50.100   Revocation, suspension, modification of licenses and construction permits for cause.

    A license or construction permit may be revoked, suspended, or 
modified, in whole or in part, for any material false statement in the 
application for license or in the supplemental or other statement of 
fact required of the applicant; or because of conditions revealed by the 
application for license or statement of fact or any report, record, 
inspection, or other means, which would warrant the Commission to refuse 
to grant a license on an original application (other than those relating 
to Secs. 50.51, 50.42(a), and 50.43(b) of this part); or for failure to 
construct or operate a facility in accordance with the terms of the 
construction permit or license, provided that failure to make timely 
completion of the proposed construction or alteration of a facility 
under a construction permit shall be governed by the provisions of 
Sec. 50.55(b); or for violation of, or failure to observe, any of the 
terms and provisions of the act, regulations, license, permit, or order 
of the Commission.



Sec. 50.101   Retaking possession of special nuclear material.

    Upon revocation of a license, the Commission may immediately cause 
the retaking of possession of all special nuclear material held by the 
licensee.

[21 FR 355, Jan. 19, 1956, as amended at 40 FR 8790, Mar. 3, 1975]



Sec. 50.102   Commission order for operation after revocation.

    Whenever the Commission finds that the public convenience and 
necessity, or the Department finds that the production program of the 
Department requires continued operation of a production or utilization 
facility, the license for which has been revoked, the Commission may, 
after consultation with the appropriate federal or state regulatory 
agency having jurisdiction, order that possession be taken of such 
facility and that it be operated for a period of time as, in the 
judgment of the Commission, the public convenience and necessity or the 
production program of the Department may require, or until a license for 
operation of the facility shall become effective. Just compensation 
shall be paid for the use of the facility.

[40 FR 8790, Mar. 3, 1975]

[[Page 731]]



Sec. 50.103   Suspension and operation in war or national emergency.

    (a) Whenever Congress declares that a state of war or national 
emergency exists, the Commission, if it finds it necessary to the common 
defense and security, may,
    (1) Suspend any license it has issued.
    (2) Cause the recapture of special nuclear material.
    (3) Order the operation of any licensed facility.
    (4) Order entry into any plant or facility in order to recapture 
special nuclear material or to operate the facility.
    (b) Just compensation shall be paid for any damages caused by 
recapture of special nuclear material or by operation of any facility, 
pursuant to this section.

[21 FR 355, Jan. 19, 1956, as amended at 35 FR 11416, July 17, 1970; 40 
FR 8790, Mar. 3, 1975]

                               Backfitting



Sec. 50.109  Backfitting.

    (a)(1) Backfitting is defined as the modification of or addition to 
systems, structures, components, or design of a facility; or the design 
approval or manufacturing license for a facility; or the procedures or 
organization required to design, construct or operate a facility; any of 
which may result from a new or amended provision in the Commission rules 
or the imposition of a regulatory staff position interpreting the 
Commission rules that is either new or different from a previously 
applicable staff position after:
    (i) The date of issuance of the construction permit for the facility 
for facilities having construction permits issued after October 21, 
1985; or
    (ii) Six months before the date of docketing of the operating 
license application for the facility for facilities having construction 
permits issued before October 21, 1985; or
    (iii) The date of issuance of the operating license for the facility 
for facilities having operating licenses; or
    (iv) The date of issuance of the design approval under appendix M, 
N, or O of part 52.
    (2) Except as provided in paragraph (a)(4) of this section, the 
Commission shall require a systematic and documented analysis pursuant 
to paragraph (c) of this section for backfits which it seeks to impose.
    (3) Except as provided in paragraph (a)(4) of this section, the 
Commission shall require the backfitting of a facility only when it 
determines, based on the analysis described in paragraph (c) of this 
section, that there is a substantial increase in the overall protection 
of the public health and safety or the common defense and security to be 
derived from the backfit and that the direct and indirect costs of 
implementation for that facility are justified in view of this increased 
protection.
    (4) The provisions of paragraphs (a)(2) and (a)(3) of this section 
are inapplicable and, therefore, backfit analysis is not required and 
the standards in paragraph (a)(3) of this section do not apply where the 
Commission or staff, as appropriate, finds and declares, with 
appropriated documented evaluation for its finding, either:
    (i) That a modification is necessary to bring a facility into 
compliance with a license or the rules or orders of the Commission, or 
into conformance with written commitments by the licensee; or
    (ii) That regulatory action is necessary to ensure that the facility 
provides adequate protection to the health and safety of the public and 
is in accord with the common defense and security; or
    (iii) That the regulatory action involves defining or redefining 
what level of protection to the public health and safety or common 
defense and security should be regarded as adequate.
    (5) The Commission shall always require the backfitting of a 
facility if it determines that such regulatory action is necessary to 
ensure that the facility provides adequate protection to the health and 
safety of the public and is in accord with the common defense and 
security.
    (6) The documented evaluation required by paragraph (a)(4) of this 
section shall include a statement of the objectives of and reasons for 
the modification and the basis for invoking the exception. If 
immediately effective regulatory action is required, then the documented 
evaluation may follow

[[Page 732]]

rather than precede the regulatory action.
    (7) If there are two or more ways to achieve compliance with a 
license or the rules or orders of the Commission, or with written 
licensee commitments, or there are two or more ways to reach a level of 
protection which is adequate, then ordinarily the applicant or licensee 
is free to choose the way which best suits its purposes. However, should 
it be necessary or appropriate for the Commission to prescribe a 
specific way to comply with its requirements or to achieve adequate 
protection, then cost may be a factor in selecting the way, provided 
that the objective of compliance or adequate protection is met.
    (b) Paragraph (a)(3) of this section shall not apply to backfits 
imposed prior to October 21, 1985.
    (c) In reaching the determination required by paragraph (a)(3) of 
this section, the Commission will consider how the backfit should be 
scheduled in light of other ongoing regulatory activities at the 
facility and, in addition, will consider information available 
concerning any of the following factors as may be appropriate and any 
other information relevant and material to the proposed backfit:
    (1) Statement of the specific objectives that the proposed backfit 
is designed to achieve;
    (2) General description of the activity that would be required by 
the licensee or applicant in order to complete the backfit;
    (3) Potential change in the risk to the public from the accidental 
off-site release of radioactive material;
    (4) Potential impact on radiological exposure of facility employees;
    (5) Installation and continuing costs associated with the backfit, 
including the cost of facility downtime or the cost of construction 
delay;
    (6) The potential safety impact of changes in plant or operational 
complexity, including the relationship to proposed and existing 
regulatory requirements;
    (7) The estimated resource burden on the NRC associated with the 
proposed backfit and the availability of such resources;
    (8) The potential impact of differences in facility type, design or 
age on the relevancy and practicality of the proposed backfit;
    (9) Whether the proposed backfit is interim or final and, if 
interim, the justification for imposing the proposed backfit on an 
interim basis.
    (d) No licensing action will be withheld during the pendency of 
backfit analyses required by the Commission's rules.
    (e) The Executive Director for Operations shall be responsible for 
implementation of this section, and all analyses required by this 
section shall be approved by the Executive Director for Operations or 
his designee.

[53 FR 20610, June 6, 1988, as amended at 54 FR 15398, Apr. 18, 1989]

                               Enforcement



Sec. 50.110  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under Section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55075, Nov. 24, 1992]



Sec. 50.111  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for

[[Page 733]]

criminal sanctions for willful violation of, attempted violation of, or 
conspiracy to violate, any regulation issued under sections 161b, 161i, 
or 161o of the Act. For purposes of section 223, all the regulations in 
part 50 are issued under one or more of sections 161b, 161i, or 161o, 
except for the sections listed in paragraph (b) of this section.
    (b) The regulations in 10 CFR Part 50 that are not issued under 
sections 161b, 161i, or 161o for the purposes of section 223 are as 
follows: Secs. 50.1, 50.2, 50.3, 50.4, 50.8, 50.11, 50.12, 50.13, 50.20, 
50.21, 50.22, 50.23, 50.30, 50.31, 50.32, 50.33, 50.34a, 50.35, 50.36b, 
50.37, 50.38, 50.39, 50.40, 50.41, 50.42, 50.43, 50.45, 50.50, 50.51, 
50.52, 50.53, 50.56, 50.57, 50.58, 50.81, 50.90, 50.91, 50.92, 50.100, 
50.101, 50.102, 50.103, 50.109, 50.110, 50.111.

[57 FR 55075, Nov. 24, 1992, as amended at 61 FR 39303, July 29, 1996]



Sec. 50.120  Training and qualification of nuclear power plant personnel.

    (a) Applicability. The requirements of this section apply to each 
applicant for (applicant) and each holder of an operating license 
(licensee) for a nuclear power plant of the type specified in 
Sec. 50.21(b) or Sec. 50.22.
    (b) Requirements. (1) Each nuclear power plant applicant, by 
November 22, 1993 or 18 months prior to fuel load, whichever is later, 
and each nuclear power plant licensee, by November 22, 1993 shall 
establish, implement, and maintain a training program derived from a 
systems approach to training as defined in 10 CFR 55.4. The training 
program must provide for the training and qualification of the following 
categories of nuclear power plant personnel:
    (i) Non-licensed operator.
    (ii) Shift supervisor.
    (iii) Shift technical advisor.
    (iv) Instrument and control technician.
    (v) Electrical maintenance personnel.
    (vi) Mechanical maintenance personnel.
    (vii) Radiological protection technician.
    (viii) Chemistry technician.
    (ix) Engineering support personnel.
    (2) The training program must incorporate the instructional 
requirements necessary to provide qualified personnel to operate and 
maintain the facility in a safe manner in all modes of operation. The 
training program must be developed so as to be in compliance with the 
facility license, including all technical specifications and applicable 
regulations. The training program must be periodically evaluated and 
revised as appropriate to reflect industry experience as well as changes 
to the facility, procedures, regulations, and quality assurance 
requirements. The training program must be periodically reviewed by 
licensee management for effectiveness. Sufficient records must be 
maintained by the licensee to maintain program integrity and kept 
available for NRC inspection to verify the adequacy of the program.

[58 FR 21912, Apr. 26, 1993; 58 FR 39092, July 21, 1993]

 Appendix A to Part 50--General Design Criteria for Nuclear Power Plants

                            Table of Contents

                              introduction

                               definitions

Nuclear Power Unit.
Loss of Coolant Accidents.
Single Failure.
Anticipated Operational Occurrences.

                                criteria                                
------------------------------------------------------------------------
                                                                 Number 
------------------------------------------------------------------------
I. Overall Requirements:                                                
  Quality Standards and Records..............................          1
  Design Bases for Protection Against Natural Phenomena......          2
  Fire Protection............................................          3
  Environmental and Dynamic Effects Design Bases.............          4
  Sharing of Structures, Systems, and Components.............          5
                                                                        
II. Protection by Multiple Fission Product Barriers:                    
  Reactor Design.............................................         10
  Reactor Inherent Protection................................         11
  Suppression of Reactor Power Oscillations..................         12
  Instrumentation and Control................................         13
  Reactor Coolant Pressure Boundary..........................         14
  Reactor Coolant System Design..............................         15
  Containment Design.........................................         16
  Electric Power Systems.....................................         17
  Inspection and Testing of Electric Power Systems...........         18
  Control Room...............................................         19
                                                                        
III. Protection and Reactivity Control Systems:                         
  Protection System Functions................................         20
  Protection System Reliability and Testability..............         21
  Protection System Independence.............................         22
  Protection System Failure Modes............................         23

[[Page 734]]

                                                                        
  Separation of Protection and Control Systems...............         24
  Protection System Requirements for Reactivity Control                 
   Malfunctions..............................................         25
  Reactivity Control System Redundancy and Capability........         26
  Combined Reactivity Control Systems Capability.............         27
  Reactivity Limits..........................................         28
  Protection Against Anticipated Operational Occurrences.....         29
                                                                        
IV. Fluid Systems:                                                      
  Quality of Reactor Coolant Pressure Boundary...............         30
  Fracture Prevention of Reactor Coolant Pressure Boundary...         31
  Inspection of Reactor Coolant Pressure Boundary............         32
  Reactor Coolant Makeup.....................................         33
  Residual Heat Removal......................................         34
  Emergency Core Cooling.....................................         35
  Inspection of Emergency Core Cooling System................         36
  Testing of Emergency Core Cooling System...................         37
  Containment Heat Removal...................................         38
  Inspection of Containment Heat Removal System..............         39
  Testing of Containment Heat Removal System.................         40
  Containment Atmosphere Cleanup.............................         41
  Inspection of Containment Atmosphere Cleanup Systems.......         42
  Testing of Containment Atmosphere Cleanup Systems..........         43
  Cooling Water..............................................         44
  Inspection of Cooling Water System.........................         45
  Testing of Cooling Water System............................         46
                                                                        
V. Reactor Containment:                                                 
  Containment Design Basis...................................         50
  Fracture Prevention of Containment Pressure Boundary.......         51
  Capability for Containment Leakage Rate Testing............         52
  Provisions for Containment Testing and Inspection..........         53
  Systems Penetrating Containment............................         54
  Reactor Coolant Pressure Boundary Penetrating Containment..         55
  Primary Containment Isolation..............................         56
  Closed Systems Isolation Valves............................         57
                                                                        
VI. Fuel and Radioactivity Control:                                     
  Control of Releases of Radioactive Materials to the                   
   Environment...............................................         60
  Fuel Storage and Handling and Radioactivity Control........         61
  Prevention of Criticality in Fuel Storage and Handling.....         62
  Monitoring Fuel and Waste Storage..........................         63
  Monitoring Radioactivity Releases..........................         64
------------------------------------------------------------------------

                              introduction

    Pursuant to the provisions of Sec. 50.34, an application for a 
construction permit must include the principal design criteria for a 
proposed facility. The principal design criteria establish the necessary 
design, fabrication, construction, testing, and performance requirements 
for structures, systems, and components important to safety; that is, 
structures, systems, and components that provide reasonable assurance 
that the facility can be operated without undue risk to the health and 
safety of the public.
    These General Design Criteria establish minimum requirements for the 
principal design criteria for water-cooled nuclear power plants similar 
in design and location to plants for which construction permits have 
been issued by the Commission. The General Design Criteria are also 
considered to be generally applicable to other types of nuclear power 
units and are intended to provide guidance in establishing the principal 
design criteria for such other units.
    The development of these General Design Criteria is not yet 
complete. For example, some of the definitions need further 
amplification. Also, some of the specific design requirements for 
structures, systems, and components important to safety have not as yet 
been suitably defined. Their omission does not relieve any applicant 
from considering these matters in the design of a specific facility and 
satisfying the necessary safety requirements. These matters include:
    (1) Consideration of the need to design against single failures of 
passive components in fluid systems important to safety. (See Definition 
of Single Failure.)
    (2) Consideration of redundancy and diversity requirements for fluid 
systems important to safety. A ``system'' could consist of a number of 
subsystems each of which is separately capable of performing the 
specified system safety function. The minimum acceptable redundancy and 
diversity of subsystems and components within a subsystem, and the 
required interconnection and independence of the subsystems have not yet 
been developed or defined. (See Criteria 34, 35, 38, 41, and 44.)
    (3) Consideration of the type, size, and orientation of possible 
breaks in components of the reactor coolant pressure boundary in 
determining design requirements to suitably protect against postulated 
loss-of-coolant accidents. (See Definition of Loss of Coolant 
Accidents.)
    (4) Consideration of the possibility of systematic, nonrandom, 
concurrent failures of redundant elements in the design of protection 
systems and reactivity control systems. (See Criteria 22, 24, 26, and 
29.)
    It is expected that the criteria will be augmented and changed from 
time to time as important new requirements for these and other features 
are developed.
    There will be some water-cooled nuclear power plants for which the 
General Design

[[Page 735]]

Criteria are not sufficient and for which additional criteria must be 
identified and satisfied in the interest of public safety. In 
particular, it is expected that additional or different criteria will be 
needed to take into account unusual sites and environmental conditions, 
and for water-cooled nuclear power units of advanced design. Also, there 
may be water-cooled nuclear power units for which fulfillment of some of 
the General Design Criteria may not be necessary or appropriate. For 
plants such as these, departures from the General Design Criteria must 
be identified and justified.

                      definitions and explanations

    Nuclear power unit. A nuclear power unit means a nuclear power 
reactor and associated equipment necessary for electric power generation 
and includes those structures, systems, and components required to 
provide reasonable assurance the facility can be operated without undue 
risk to the health and safety of the public.
    Loss of coolant accidents. Loss of coolant accidents mean those 
postulated accidents that result from the loss of reactor coolant at a 
rate in excess of the capability of the reactor coolant makeup system 
from breaks in the reactor coolant pressure boundary, up to and 
including a break equivalent in size to the double-ended rupture of the 
largest pipe of the reactor coolant system.\1\
---------------------------------------------------------------------------

    \1\ Further details relating to the type, size, and orientation of 
postulated breaks in specific components of the reactor coolant pressure 
boundary are under development.
---------------------------------------------------------------------------

    Single failure. A single failure means an occurrence which results 
in the loss of capability of a component to perform its intended safety 
functions. Multiple failures resulting from a single occurrence are 
considered to be a single failure. Fluid and electric systems are 
considered to be designed against an assumed single failure if neither 
(1) a single failure of any active component (assuming passive 
components function properly) nor (2) a single failure of a passive 
component (assuming active components function properly), results in a 
loss of the capability of the system to perform its safety functions.\2\
---------------------------------------------------------------------------

    \2\ Single failures of passive components in electric systems should 
be assumed in designing against a single failure. The conditions under 
which a single failure of a passive component in a fluid system should 
be considered in designing the system against a single failure are under 
development.
---------------------------------------------------------------------------

    Anticipated operational occurrences. Anticipated operational 
occurrences mean those conditions of normal operation which are expected 
to occur one or more times during the life of the nuclear power unit and 
include but are not limited to loss of power to all recirculation pumps, 
tripping of the turbine generator set, isolation of the main condenser, 
and loss of all offsite power.

                                criteria

                         I. Overall Requirements

    Criterion 1--Quality standards and records. Structures, systems, and 
components important to safety shall be designed, fabricated, erected, 
and tested to quality standards commensurate with the importance of the 
safety functions to be performed. Where generally recognized codes and 
standards are used, they shall be identified and evaluated to determine 
their applicability, adequacy, and sufficiency and shall be supplemented 
or modified as necessary to assure a quality product in keeping with the 
required safety function. A quality assurance program shall be 
established and implemented in order to provide adequate assurance that 
these structures, systems, and components will satisfactorily perform 
their safety functions. Appropriate records of the design, fabrication, 
erection, and testing of structures, systems, and components important 
to safety shall be maintained by or under the control of the nuclear 
power unit licensee throughout the life of the unit.
    Criterion 2--Design bases for protection against natural phenomena. 
Structures, systems, and components important to safety shall be 
designed to withstand the effects of natural phenomena such as 
earthquakes, tornadoes, hurricanes, floods, tsunami, and seiches without 
loss of capability to perform their safety functions. The design bases 
for these structures, systems, and components shall reflect: (1) 
Appropriate consideration of the most severe of the natural phenomena 
that have been historically reported for the site and surrounding area, 
with sufficient margin for the limited accuracy, quantity, and period of 
time in which the historical data have been accumulated, (2) appropriate 
combinations of the effects of normal and accident conditions with the 
effects of the natural phenomena and (3) the importance of the safety 
functions to be performed.
    Criterion 3--Fire protection. Structures, systems, and components 
important to safety shall be designed and located to minimize, 
consistent with other safety requirements, the probability and effect of 
fires and explosions. Noncombustible and heat resistant materials shall 
be used wherever practical throughout the unit, particularly in 
locations such as the containment and control room. Fire detection and 
fighting systems of appropriate capacity and capability shall be 
provided and designed to minimize the adverse effects of fires on 
structures, systems, and components important to safety. Firefighting 
systems shall be designed to assure that their rupture or inadvertent 
operation

[[Page 736]]

does not significantly impair the safety capability of these structures, 
systems, and components.
    Criterion 4--Environmental and dynamic effects design bases. 
Structures, systems, and components important to safety shall be 
designed to accommodate the effects of and to be compatible with the 
environmental conditions associated with normal operation, maintenance, 
testing, and postulated accidents, including loss-of-coolant accidents. 
These structures, systems, and components shall be appropriately 
protected against dynamic effects, including the effects of missiles, 
pipe whipping, and discharging fluids, that may result from equipment 
failures and from events and conditions outside the nuclear power unit. 
However, dynamic effects associated with postulated pipe ruptures in 
nuclear power units may be excluded from the design basis when analyses 
reviewed and approved by the Commission demonstrate that the probability 
of fluid system piping rupture is extremely low under conditions 
consistent with the design basis for the piping.
    Criterion 5--Sharing of structures, systems, and components. 
Structures, systems, and components important to safety shall not be 
shared among nuclear power units unless it can be shown that such 
sharing will not significantly impair their ability to perform their 
safety functions, including, in the event of an accident in one unit, an 
orderly shutdown and cooldown of the remaining units.

           II. Protection by Multiple Fission Product Barriers

    Criterion 10--Reactor design. The reactor core and associated 
coolant, control, and protection systems shall be designed with 
appropriate margin to assure that specified acceptable fuel design 
limits are not exceeded during any condition of normal operation, 
including the effects of anticipated operational occurrences.
    Criterion 11--Reactor inherent protection. The reactor core and 
associated coolant systems shall be designed so that in the power 
operating range the net effect of the prompt inherent nuclear feedback 
characteristics tends to compensate for a rapid increase in reactivity.
    Criterion 12--Suppression of reactor power oscillations. The reactor 
core and associated coolant, control, and protection systems shall be 
designed to assure that power oscillations which can result in 
conditions exceeding specified acceptable fuel design limits are not 
possible or can be reliably and readily detected and suppressed.
    Criterion 13--Instrumentation and control. Instrumentation shall be 
provided to monitor variables and systems over their anticipated ranges 
for normal operation, for anticipated operational occurrences, and for 
accident conditions as appropriate to assure adequate safety, including 
those variables and systems that can affect the fission process, the 
integrity of the reactor core, the reactor coolant pressure boundary, 
and the containment and its associated systems. Appropriate controls 
shall be provided to maintain these variables and systems within 
prescribed operating ranges.
    Criterion 14--Reactor coolant pressure boundary. The reactor coolant 
pressure boundary shall be designed, fabricated, erected, and tested so 
as to have an extremely low probability of abnormal leakage, of rapidly 
propagating failure, and of gross rupture.
    Criterion 15--Reactor coolant system design. The reactor coolant 
system and associated auxiliary, control, and protection systems shall 
be designed with sufficient margin to assure that the design conditions 
of the reactor coolant pressure boundary are not exceeded during any 
condition of normal operation, including anticipated operational 
occurrences.
    Criterion 16--Containment design. Reactor containment and associated 
systems shall be provided to establish an essentially leak-tight barrier 
against the uncontrolled release of radioactivity to the environment and 
to assure that the containment design conditions important to safety are 
not exceeded for as long as postulated accident conditions require.
    Criterion 17--Electric power systems. An onsite electric power 
system and an offsite electric power system shall be provided to permit 
functioning of structures, systems, and components important to safety. 
The safety function for each system (assuming the other system is not 
functioning) shall be to provide sufficient capacity and capability to 
assure that (1) specified acceptable fuel design limits and design 
conditions of the reactor coolant pressure boundary are not exceeded as 
a result of anticipated operational occurrences and (2) the core is 
cooled and containment integrity and other vital functions are 
maintained in the event of postulated accidents.
    The onsite electric power supplies, including the batteries, and the 
onsite electric distribution system, shall have sufficient independence, 
redundancy, and testability to perform their safety functions assuming a 
single failure.
    Electric power from the transmission network to the onsite electric 
distribution system shall be supplied by two physically independent 
circuits (not necessarily on separate rights of way) designed and 
located so as to minimize to the extent practical the likelihood of 
their simultaneous failure under operating and postulated accident and 
environmental conditions. A switchyard common to

[[Page 737]]

both circuits is acceptable. Each of these circuits shall be designed to 
be available in sufficient time following a loss of all onsite 
alternating current power supplies and the other offsite electric power 
circuit, to assure that specified acceptable fuel design limits and 
design conditions of the reactor coolant pressure boundary are not 
exceeded. One of these circuits shall be designed to be available within 
a few seconds following a loss-of-coolant accident to assure that core 
cooling, containment integrity, and other vital safety functions are 
maintained.
    Provisions shall be included to minimize the probability of losing 
electric power from any of the remaining supplies as a result of, or 
coincident with, the loss of power generated by the nuclear power unit, 
the loss of power from the transmission network, or the loss of power 
from the onsite electric power supplies.
    Criterion 18--Inspection and testing of electric power systems. 
Electric power systems important to safety shall be designed to permit 
appropriate periodic inspection and testing of important areas and 
features, such as wiring, insulation, connections, and switchboards, to 
assess the continuity of the systems and the condition of their 
components. The systems shall be designed with a capability to test 
periodically (1) the operability and functional performance of the 
components of the systems, such as onsite power sources, relays, 
switches, and buses, and (2) the operability of the systems as a whole 
and, under conditions as close to design as practical, the full 
operation sequence that brings the systems into operation, including 
operation of applicable portions of the protection system, and the 
transfer of power among the nuclear power unit, the offsite power 
system, and the onsite power system.
    Criterion 19--Control room. A control room shall be provided from 
which actions can be taken to operate the nuclear power unit safely 
under normal conditions and to maintain it in a safe condition under 
accident conditions, including loss-of-coolant accidents. Adequate 
radiation protection shall be provided to permit access and occupancy of 
the control room under accident conditions without personnel receiving 
radiation exposures in excess of 5 rem whole body, or its equivalent to 
any part of the body, for the duration of the accident.
    Equipment at appropriate locations outside the control room shall be 
provided (1) with a design capability for prompt hot shutdown of the 
reactor, including necessary instrumentation and controls to maintain 
the unit in a safe condition during hot shutdown, and (2) with a 
potential capability for subsequent cold shutdown of the reactor through 
the use of suitable procedures.

             III. Protection and Reactivity Control Systems

    Criterion 20--Protection system functions. The protection system 
shall be designed (1) to initiate automatically the operation of 
appropriate systems including the reactivity control systems, to assure 
that specified acceptable fuel design limits are not exceeded as a 
result of anticipated operational occurrences and (2) to sense accident 
conditions and to initiate the operation of systems and components 
important to safety.
    Criterion 21--Protection system reliability and testability. The 
protection system shall be designed for high functional reliability and 
inservice testability commensurate with the safety functions to be 
performed. Redundancy and independence designed into the protection 
system shall be sufficient to assure that (1) no single failure results 
in loss of the protection function and (2) removal from service of any 
component or channel does not result in loss of the required minimum 
redundancy unless the acceptable reliability of operation of the 
protection system can be otherwise demonstrated. The protection system 
shall be designed to permit periodic testing of its functioning when the 
reactor is in operation, including a capability to test channels 
independently to determine failures and losses of redundancy that may 
have occurred.
    Criterion 22--Protection system independence. The protection system 
shall be designed to assure that the effects of natural phenomena, and 
of normal operating, maintenance, testing, and postulated accident 
conditions on redundant channels do not result in loss of the protection 
function, or shall be demonstrated to be acceptable on some other 
defined basis. Design techniques, such as functional diversity or 
diversity in component design and principles of operation, shall be used 
to the extent practical to prevent loss of the protection function.
    Criterion 23--Protection system failure modes. The protection system 
shall be designed to fail into a safe state or into a state demonstrated 
to be acceptable on some other defined basis if conditions such as 
disconnection of the system, loss of energy (e.g., electric power, 
instrument air), or postulated adverse environments (e.g., extreme heat 
or cold, fire, pressure, steam, water, and radiation) are experienced.
    Criterion 24--Separation of protection and control systems. The 
protection system shall be separated from control systems to the extent 
that failure of any single control system component or channel, or 
failure or removal from service of any single protection system 
component or channel which is common to the control and protection 
systems leaves intact a system satisfying all reliability, redundancy, 
and independence requirements of the protection system. Interconnection 
of the protection and control systems

[[Page 738]]

shall be limited so as to assure that safety is not significantly 
impaired.
    Criterion 25--Protection system requirements for reactivity control 
malfunctions. The protection system shall be designed to assure that 
specified acceptable fuel design limits are not exceeded for any single 
malfunction of the reactivity control systems, such as accidental 
withdrawal (not ejection or dropout) of control rods.
    Criterion 26--Reactivity control system redundancy and capability. 
Two independent reactivity control systems of different design 
principles shall be provided. One of the systems shall use control rods, 
preferably including a positive means for inserting the rods, and shall 
be capable of reliably controlling reactivity changes to assure that 
under conditions of normal operation, including anticipated operational 
occurrences, and with appropriate margin for malfunctions such as stuck 
rods, specified acceptable fuel design limits are not exceeded. The 
second reactivity control system shall be capable of reliably 
controlling the rate of reactivity changes resulting from planned, 
normal power changes (including xenon burnout) to assure acceptable fuel 
design limits are not exceeded. One of the systems shall be capable of 
holding the reactor core subcritical under cold conditions.
    Criterion 27--Combined reactivity control systems capability. The 
reactivity control systems shall be designed to have a combined 
capability, in conjunction with poison addition by the emergency core 
cooling system, of reliably controlling reactivity changes to assure 
that under postulated accident conditions and with appropriate margin 
for stuck rods the capability to cool the core is maintained.
    Criterion 28--Reactivity limits. The reactivity control systems 
shall be designed with appropriate limits on the potential amount and 
rate of reactivity increase to assure that the effects of postulated 
reactivity accidents can neither (1) result in damage to the reactor 
coolant pressure boundary greater than limited local yielding nor (2) 
sufficiently disturb the core, its support structures or other reactor 
pressure vessel internals to impair significantly the capability to cool 
the core. These postulated reactivity accidents shall include 
consideration of rod ejection (unless prevented by positive means), rod 
dropout, steam line rupture, changes in reactor coolant temperature and 
pressure, and cold water addition.
    Criterion 29--Protection against anticipated operational 
occurrences. The protection and reactivity control systems shall be 
designed to assure an extremely high probability of accomplishing their 
safety functions in the event of anticipated operational occurrences.

                            IV. Fluid Systems

    Criterion 30--Quality of reactor coolant pressure boundary. 
Components which are part of the reactor coolant pressure boundary shall 
be designed, fabricated, erected, and tested to the highest quality 
standards practical. Means shall be provided for detecting and, to the 
extent practical, identifying the location of the source of reactor 
coolant leakage.
    Criterion 31--Fracture prevention of reactor coolant pressure 
boundary. The reactor coolant pressure boundary shall be designed with 
sufficient margin to assure that when stressed under operating, 
maintenance, testing, and postulated accident conditions (1) the 
boundary behaves in a nonbrittle manner and (2) the probability of 
rapidly propagating fracture is minimized. The design shall reflect 
consideration of service temperatures and other conditions of the 
boundary material under operating, maintenance, testing, and postulated 
accident conditions and the uncertainties in determining (1) material 
properties, (2) the effects of irradiation on material properties, (3) 
residual, steady state and transient stresses, and (4) size of flaws.
    Criterion 32--Inspection of reactor coolant pressure boundary. 
Components which are part of the reactor coolant pressure boundary shall 
be designed to permit (1) periodic inspection and testing of important 
areas and features to assess their structural and leaktight integrity, 
and (2) an appropriate material surveillance program for the reactor 
pressure vessel.
    Criterion 33--Reactor coolant makeup. A system to supply reactor 
coolant makeup for protection against small breaks in the reactor 
coolant pressure boundary shall be provided. The system safety function 
shall be to assure that specified acceptable fuel design limits are not 
exceeded as a result of reactor coolant loss due to leakage from the 
reactor coolant pressure boundary and rupture of small piping or other 
small components which are part of the boundary. The system shall be 
designed to assure that for onsite electric power system operation 
(assuming offsite power is not available) and for offsite electric power 
system operation (assuming onsite power is not available) the system 
safety function can be accomplished using the piping, pumps, and valves 
used to maintain coolant inventory during normal reactor operation.
    Criterion 34--Residual heat removal. A system to remove residual 
heat shall be provided. The system safety function shall be to transfer 
fission product decay heat and other residual heat from the reactor core 
at a rate such that specified acceptable fuel design limits and the 
design conditions of the reactor coolant pressure boundary are not 
exceeded.
    Suitable redundancy in components and features, and suitable 
interconnections, leak

[[Page 739]]

detection, and isolation capabilities shall be provided to assure that 
for onsite electric power system operation (assuming offsite power is 
not available) and for offsite electric power system operation (assuming 
onsite power is not available) the system safety function can be 
accomplished, assuming a single failure.
    Criterion 35--Emergency core cooling. A system to provide abundant 
emergency core cooling shall be provided. The system safety function 
shall be to transfer heat from the reactor core following any loss of 
reactor coolant at a rate such that (1) fuel and clad damage that could 
interfere with continued effective core cooling is prevented and (2) 
clad metal-water reaction is limited to negligible amounts.
    Suitable redundancy in components and features, and suitable 
interconnections, leak detection, isolation, and containment 
capabilities shall be provided to assure that for onsite electric power 
system operation (assuming offsite power is not available) and for 
offsite electric power system operation (assuming onsite power is not 
available) the system safety function can be accomplished, assuming a 
single failure.
    Criterion 36--Inspection of emergency core cooling system. The 
emergency core cooling system shall be designed to permit appropriate 
periodic inspection of important components, such as spray rings in the 
reactor pressure vessel, water injection nozzles, and piping, to assure 
the integrity and capability of the system.
    Criterion 37--Testing of emergency core cooling system. The 
emergency core cooling system shall be designed to permit appropriate 
periodic pressure and functional testing to assure (1) the structural 
and leaktight integrity of its components, (2) the operability and 
performance of the active components of the system, and (3) the 
operability of the system as a whole and, under conditions as close to 
design as practical, the performance of the full operational sequence 
that brings the system into operation, including operation of applicable 
portions of the protection system, the transfer between normal and 
emergency power sources, and the operation of the associated cooling 
water system.
    Criterion 38--Containment heat removal. A system to remove heat from 
the reactor containment shall be provided. The system safety function 
shall be to reduce rapidly, consistent with the functioning of other 
associated systems, the containment pressure and temperature following 
any loss-of-coolant accident and maintain them at acceptably low levels.
    Suitable redundancy in components and features, and suitable 
interconnections, leak detection, isolation, and containment 
capabilities shall be provided to assure that for onsite electric power 
system operation (assuming offsite power is not available) and for 
offsite electric power system operation (assuming onsite power is not 
available) the system safety function can be accomplished, assuming a 
single failure.
    Criterion 39--Inspection of containment heat removal system. The 
containment heat removal system shall be designed to permit appropriate 
periodic inspection of important components, such as the torus, sumps, 
spray nozzles, and piping to assure the integrity and capability of the 
system.
    Criterion 40--Testing of containment heat removal system. The 
containment heat removal system shall be designed to permit appropriate 
periodic pressure and functional testing to assure (1) the structural 
and leaktight integrity of its components, (2) the operability and 
performance of the active components of the system, and (3) the 
operability of the system as a whole, and under conditions as close to 
the design as practical the performance of the full operational sequence 
that brings the system into operation, including operation of applicable 
portions of the protection system, the transfer between normal and 
emergency power sources, and the operation of the associated cooling 
water system.
    Criterion 41--Containment atmosphere cleanup. Systems to control 
fission products, hydrogen, oxygen, and other substances which may be 
released into the reactor containment shall be provided as necessary to 
reduce, consistent with the functioning of other associated systems, the 
concentration and quality of fission products released to the 
environment following postulated accidents, and to control the 
concentration of hydrogen or oxygen and other substances in the 
containment atmosphere following postulated accidents to assure that 
containment integrity is maintained.
    Each system shall have suitable redundancy in components and 
features, and suitable interconnections, leak detection, isolation, and 
containment capabilities to assure that for onsite electric power system 
operation (assuming offsite power is not available) and for offsite 
electric power system operation (assuming onsite power is not available) 
its safety function can be accomplished, assuming a single failure.
    Criterion 42--Inspection of containment atmosphere cleanup systems. 
The containment atmosphere cleanup systems shall be designed to permit 
appropriate periodic inspection of important components, such as filter 
frames, ducts, and piping to assure the integrity and capability of the 
systems.
    Criterion 43--Testing of containment atmosphere cleanup systems. The 
containment atmosphere cleanup systems shall be designed to permit 
appropriate periodic pressure and functional testing to assure (1) the 
structural and leaktight integrity of its components, (2) the 
operability and performance of the active components of the systems such

[[Page 740]]

as fans, filters, dampers, pumps, and valves and (3) the operability of 
the systems as a whole and, under conditions as close to design as 
practical, the performance of the full operational sequence that brings 
the systems into operation, including operation of applicable portions 
of the protection system, the transfer between normal and emergency 
power sources, and the operation of associated systems.
    Criterion 44--Cooling water. A system to transfer heat from 
structures, systems, and components important to safety, to an ultimate 
heat sink shall be provided. The system safety function shall be to 
transfer the combined heat load of these structures, systems, and 
components under normal operating and accident conditions.
    Suitable redundancy in components and features, and suitable 
interconnections, leak detection, and isolation capabilities shall be 
provided to assure that for onsite electric power system operation 
(assuming offsite power is not available) and for offsite electric power 
system operation (assuming onsite power is not available) the system 
safety function can be accomplished, assuming a single failure.
    Criterion 45--Inspection of cooling water system. The cooling water 
system shall be designed to permit appropriate periodic inspection of 
important components, such as heat exchangers and piping, to assure the 
integrity and capability of the system.
    Criterion 46--Testing of cooling water system. The cooling water 
system shall be designed to permit appropriate periodic pressure and 
functional testing to assure (1) the structural and leaktight integrity 
of its components, (2) the operability and the performance of the active 
components of the system, and (3) the operability of the system as a 
whole and, under conditions as close to design as practical, the 
performance of the full operational sequence that brings the system into 
operation for reactor shutdown and for loss-of-coolant accidents, 
including operation of applicable portions of the protection system and 
the transfer between normal and emergency power sources.

                         V. Reactor Containment

    Criterion 50--Containment design basis. The reactor containment 
structure, including access openings, penetrations, and the containment 
heat removal system shall be designed so that the containment structure 
and its internal compartments can accommodate, without exceeding the 
design leakage rate and with sufficient margin, the calculated pressure 
and temperature conditions resulting from any loss-of-coolant accident. 
This margin shall reflect consideration of (1) the effects of potential 
energy sources which have not been included in the determination of the 
peak conditions, such as energy in steam generators and as required by 
Sec. 50.44 energy from metal-water and other chemical reactions that may 
result from degradation but not total failure of emergency core cooling 
functioning, (2) the limited experience and experimental data available 
for defining accident phenomena and containment responses, and (3) the 
conservatism of the calculational model and input parameters.
    Criterion 51--Fracture prevention of containment pressure boundary. 
The reactor containment boundary shall be designed with sufficient 
margin to assure that under operating, maintenance, testing, and 
postulated accident conditions (1) its ferritic materials behave in a 
nonbrittle manner and (2) the probability of rapidly propagating 
fracture is minimized. The design shall reflect consideration of service 
temperatures and other conditions of the containment boundary material 
during operation, maintenance, testing, and postulated accident 
conditions, and the uncertainties in determining (1) material 
properties, (2) residual, steady state, and transient stresses, and (3) 
size of flaws.
    Criterion 52--Capability for containment leakage rate testing. The 
reactor containment and other equipment which may be subjected to 
containment test conditions shall be designed so that periodic 
integrated leakage rate testing can be conducted at containment design 
pressure.
    Criterion 53--Provisions for containment testing and inspection. The 
reactor containment shall be designed to permit (1) appropriate periodic 
inspection of all important areas, such as penetrations, (2) an 
appropriate surveillance program, and (3) periodic testing at 
containment design pressure of the leaktightness of penetrations which 
have resilient seals and expansion bellows.
    Criterion 54--Piping systems penetrating containment. Piping systems 
penetrating primary reactor containment shall be provided with leak 
detection, isolation, and containment capabilities having redundancy, 
reliability, and performance capabilities which reflect the importance 
to safety of isolating these piping systems. Such piping systems shall 
be designed with a capability to test periodically the operability of 
the isolation valves and associated apparatus and to determine if valve 
leakage is within acceptable limits.
    Criterion 55--Reactor coolant pressure boundary penetrating 
containment. Each line that is part of the reactor coolant pressure 
boundary and that penetrates primary reactor containment shall be 
provided with containment isolation valves as follows, unless it can be 
demonstrated that the containment isolation provisions for a specific 
class of lines, such as instrument lines, are acceptable on some other 
defined basis:
    (1) One locked closed isolation valve inside and one locked closed 
isolation valve outside containment; or

[[Page 741]]

    (2) One automatic isolation valve inside and one locked closed 
isolation valve outside containment; or
    (3) One locked closed isolation valve inside and one automatic 
isolation valve outside containment. A simple check valve may not be 
used as the automatic isolation valve outside containment; or
    (4) One automatic isolation valve inside and one automatic isolation 
valve outside containment. A simple check valve may not be used as the 
automatic isolation valve outside containment.

Isolation valves outside containment shall be located as close to 
containment as practical and upon loss of actuating power, automatic 
isolation valves shall be designed to take the position that provides 
greater safety.
    Other appropriate requirements to minimize the probability or 
consequences of an accidental rupture of these lines or of lines 
connected to them shall be provided as necessary to assure adequate 
safety. Determination of the appropriateness of these requirements, such 
as higher quality in design, fabrication, and testing, additional 
provisions for inservice inspection, protection against more severe 
natural phenomena, and additional isolation valves and containment, 
shall include consideration of the population density, use 
characteristics, and physical characteristics of the site environs.
    Criterion 56--Primary containment isolation. Each line that connects 
directly to the containment atmosphere and penetrates primary reactor 
containment shall be provided with containment isolation valves as 
follows, unless it can be demonstrated that the containment isolation 
provisions for a specific class of lines, such as instrument lines, are 
acceptable on some other defined basis:
    (1) One locked closed isolation valve inside and one locked closed 
isolation valve outside containment; or
    (2) One automatic isolation valve inside and one locked closed 
isolation valve outside containment; or
    (3) One locked closed isolation valve inside and one automatic 
isolation valve outside containment. A simple check valve may not be 
used as the automatic isolation valve outside containment; or
    (4) One automatic isolation valve inside and one automatic isolation 
valve outside containment. A simple check valve may not be used as the 
automatic isolation valve outside containment.

Isolation valves outside containment shall be located as close to the 
containment as practical and upon loss of actuating power, automatic 
isolation valves shall be designed to take the position that provides 
greater safety.
    Criterion 57--Closed system isolation valves. Each line that 
penetrates primary reactor containment and is neither part of the 
reactor coolant pressure boundary nor connected directly to the 
containment atmosphere shall have at least one containment isolation 
valve which shall be either automatic, or locked closed, or capable of 
remote manual operation. This valve shall be outside containment and 
located as close to the containment as practical. A simple check valve 
may not be used as the automatic isolation valve.

                   VI. Fuel and Radioactivity Control

    Criterion 60--Control of releases of radioactive materials to the 
environment. The nuclear power unit design shall include means to 
control suitably the release of radioactive materials in gaseous and 
liquid effluents and to handle radioactive solid wastes produced during 
normal reactor operation, including anticipated operational occurrences. 
Sufficient holdup capacity shall be provided for retention of gaseous 
and liquid effluents containing radioactive materials, particularly 
where unfavorable site environmental conditions can be expected to 
impose unusual operational limitations upon the release of such 
effluents to the environment.
    Criterion 61--Fuel storage and handling and radioactivity control. 
The fuel storage and handling, radioactive waste, and other systems 
which may contain radioactivity shall be designed to assure adequate 
safety under normal and postulated accident conditions. These systems 
shall be designed (1) with a capability to permit appropriate periodic 
inspection and testing of components important to safety, (2) with 
suitable shielding for radiation protection, (3) with appropriate 
containment, confinement, and filtering systems, (4) with a residual 
heat removal capability having reliability and testability that reflects 
the importance to safety of decay heat and other residual heat removal, 
and (5) to prevent significant reduction in fuel storage coolant 
inventory under accident conditions.
    Criterion 62--Prevention of criticality in fuel storage and 
handling. Criticality in the fuel storage and handling system shall be 
prevented by physical systems or processes, preferably by use of 
geometrically safe configurations.
    Criterion 63--Monitoring fuel and waste storage. Appropriate systems 
shall be provided in fuel storage and radioactive waste systems and 
associated handling areas (1) to detect conditions that may result in 
loss of residual heat removal capability and excessive radiation levels 
and (2) to initiate appropriate safety actions.
    Criterion 64--Monitoring radioactivity releases. Means shall be 
provided for monitoring the reactor containment atmosphere, spaces 
containing components for recirculation of loss-of-coolant accident 
fluids, effluent discharge paths, and the plant environs for 
radioactivity that may be released from

[[Page 742]]

normal operations, including anticipated operational occurrences, and 
from postulated accidents.

[36 FR 3256, Feb. 20, 1971, as amended at 36 FR 12733, July 7, 1971; 41 
FR 6258, Feb. 12, 1976; 43 FR 50163, Oct. 27, 1978; 51 FR 12505, Apr. 
11, 1986; 52 FR 41294, Oct. 27, 1987]

  Appendix B to Part 50--Quality Assurance Criteria for Nuclear Power 
                   Plants and Fuel Reprocessing Plants

    Introduction. Every applicant for a construction permit is required 
by the provisions of Sec. 50.34 to include in its preliminary safety 
analysis report a description of the quality assurance program to be 
applied to the design, fabrication, construction, and testing of the 
structures, systems, and components of the facility. Every applicant for 
an operating license is required to include, in its final safety 
analysis report, information pertaining to the managerial and 
administrative controls to be used to assure safe operation. Nuclear 
power plants and fuel reprocessing plants include structures, systems, 
and components that prevent or mitigate the consequences of postulated 
accidents that could cause undue risk to the health and safety of the 
public. This appendix establishes quality assurance requirements for the 
design, construction, and operation of those structures, systems, and 
components. The pertinent requirements of this appendix apply to all 
activities affecting the safety-related functions of those structures, 
systems, and components; these activities include designing, purchasing, 
fabricating, handling, shipping, storing, cleaning, erecting, 
installing, inspecting, testing, operating, maintaining, repairing, 
refueling, and modifying.
    As used in this appendix, ``quality assurance'' comprises all those 
planned and systematic actions necessary to provide adequate confidence 
that a structure, system, or component will perform satisfactorily in 
service. Quality assurance includes quality control, which comprises 
those quality assurance actions related to the physical characteristics 
of a material, structure, component, or system which provide a means to 
control the quality of the material, structure, component, or system to 
predetermined requirements.

                             I. Organization

    The applicant\1\ shall be responsible for the establishment and 
execution of the quality assurance program. The applicant may delegate 
to others, such as contractors, agents, or consultants, the work of 
establishing and executing the quality assurance program, or any part 
thereof, but shall retain responsibility therefor. The authority and 
duties of persons and organizations performing activities affecting the 
safety-related functions of structures, systems, and components shall be 
clearly established and delineated in writing. These activities include 
both the performing functions of attaining quality objectives and the 
quality assurance functions. The quality assurance functions are those 
of (a) assuring that an appropriate quality assurance program is 
established and effectively executed and (b) verifying, such as by 
checking, auditing, and inspection, that activities affecting the 
safety-related functions have been correctly performed. The persons and 
organizations performing quality assurance functions shall have 
sufficient authority and organizational freedom to identify quality 
problems; to initiate, recommend, or provide solutions; and to verify 
implementation of solutions. Such persons and organizations performing 
quality assurance functions shall report to a management level such that 
this required authority and organizational freedom, including sufficient 
independence from cost and schedule when opposed to safety 
considerations, are provided. Because of the many variables involved, 
such as the number of personnel, the type of activity being performed, 
and the location or locations where activities are performed, the 
organizational structure for executing the quality assurance program may 
take various forms provided that the persons and organizations assigned 
the quality assurance functions have this required authority and 
organizational freedom. Irrespective of the organizational structure, 
the individual(s) assigned the responsibility for assuring effective 
execution of any portion of the quality assurance program at any 
location where activities subject to this appendix are being performed 
shall have direct access to such levels of management as may be 
necessary to perform this function.
---------------------------------------------------------------------------

    \1\ While the term ``applicant'' is used in these criteria, the 
requirements are, of course, applicable after such a person has received 
a license to construct and operate a nuclear powerplant or a fuel 
reprocessing plant. These criteria will also be used for guidance in 
evaluating the adequacy of quality assurance programs in use by holders 
of construction permits and operating licenses.
---------------------------------------------------------------------------

                      II. Quality Assurance Program

    The applicant shall establish at the earliest practicable time, 
consistent with the schedule for accomplishing the activities, a quality 
assurance program which complies with the requirements of this appendix. 
This program shall be documented by written policies, procedures, or 
instructions and shall be carried out throughout plant life in 
accordance with those policies, procedures,

[[Page 743]]

or instructions. The applicant shall identify the structures, systems, 
and components to be covered by the quality assurance program and the 
major organizations participating in the program, together with the 
designated functions of these organizations. The quality assurance 
program shall provide control over activities affecting the quality of 
the identified structures, systems, and components, to an extent 
consistent with their importance to safety. Activities affecting quality 
shall be accomplished under suitably controlled conditions. Controlled 
conditions include the use of appropriate equipment; suitable 
environmental conditions for accomplishing the activity, such as 
adequate cleanness; and assurance that all prerequisites for the given 
activity have been satisfied. The program shall take into account the 
need for special controls, processes, test equipment, tools, and skills 
to attain the required quality, and the need for verification of quality 
by inspection and test. The program shall provide for indoctrination and 
training of personnel performing activities affecting quality as 
necessary to assure that suitable proficiency is achieved and 
maintained. The applicant shall regularly review the status and adequacy 
of the quality assurance program. Management of other organizations 
participating in the quality assurance program shall regularly review 
the status and adequacy of that part of the quality assurance program 
which they are executing.

                           III. Design Control

    Measures shall be established to assure that applicable regulatory 
requirements and the design basis, as defined in Sec. 50.2 and as 
specified in the license application, for those structures, systems, and 
components to which this appendix applies are correctly translated into 
specifications, drawings, procedures, and instructions. These measures 
shall include provisions to assure that appropriate quality standards 
are specified and included in design documents and that deviations from 
such standards are controlled. Measures shall also be established for 
the selection and review for suitability of application of materials, 
parts, equipment, and processes that are essential to the safety-related 
functions of the structures, systems and components.
    Measures shall be established for the identification and control of 
design interfaces and for coordination among participating design 
organizations. These measures shall include the establishment of 
procedures among participating design organizations for the review, 
approval, release, distribution, and revision of documents involving 
design interfaces.
    The design control measures shall provide for verifying or checking 
the adequacy of design, such as by the performance of design reviews, by 
the use of alternate or simplified calculational methods, or by the 
performance of a suitable testing program. The verifying or checking 
process shall be performed by individuals or groups other than those who 
performed the original design, but who may be from the same 
organization. Where a test program is used to verify the adequacy of a 
specific design feature in lieu of other verifying or checking 
processes, it shall include suitable qualifications testing of a 
prototype unit under the most adverse design conditions. Design control 
measures shall be applied to items such as the following: reactor 
physics, stress, thermal, hydraulic, and accident analyses; 
compatibility of materials; accessibility for inservice inspection, 
maintenance, and repair; and delineation of acceptance criteria for 
inspections and tests.
    Design changes, including field changes, shall be subject to design 
control measures commensurate with those applied to the original design 
and be approved by the organization that performed the original design 
unless the applicant designates another responsible organization.

                    IV. Procurement Document Control

    Measures shall be established to assure that applicable regulatory 
requirements, design bases, and other requirements which are necessary 
to assure adequate quality are suitably included or referenced in the 
documents for procurement of material, equipment, and services, whether 
purchased by the applicant or by its contractors or subcontractors. To 
the extent necessary, procurement documents shall require contractors or 
subcontractors to provide a quality assurance program consistent with 
the pertinent provisions of this appendix.

                V. Instructions, Procedures, and Drawings

    Activities affecting quality shall be prescribed by documented 
instructions, procedures, or drawings, of a type appropriate to the 
circumstances and shall be accomplished in accordance with these 
instructions, procedures, or drawings. Instructions, procedures, or 
drawings shall include appropriate quantitative or qualitative 
acceptance criteria for determining that important activities have been 
satisfactorily accomplished.

                          VI. Document Control

    Measures shall be established to control the issuance of documents, 
such as instructions, procedures, and drawings, including changes 
thereto, which prescribe all activities affecting quality. These 
measures shall assure that documents, including changes, are reviewed 
for adequacy and approved for release by authorized personnel and are 
distributed to and used at the location where the prescribed activity is 
performed. Changes to documents shall be reviewed and

[[Page 744]]

approved by the same organizations that performed the original review 
and approval unless the applicant designates another responsible 
organization.

       VII. Control of Purchased Material, Equipment, and Services

    Measures shall be established to assure that purchased material, 
equipment, and services, whether purchased directly or through 
contractors and subcontractors, conform to the procurement documents. 
These measures shall include provisions, as appropriate, for source 
evaluation and selection, objective evidence of quality furnished by the 
contractor or subcontractor, inspection at the contractor or 
subcontractor source, and examination of products upon delivery. 
Documentary evidence that material and equipment conform to the 
procurement requirements shall be available at the nuclear powerplant or 
fuel reprocessing plant site prior to installation or use of such 
material and equipment. This documentary evidence shall be retained at 
the nuclear powerplant or fuel reprocessing plant site and shall be 
sufficient to identify the specific requirements, such as codes, 
standards, or specifications, met by the purchased material and 
equipment. The effectiveness of the control of quality by contractors 
and subcontractors shall be assessed by the applicant or designee at 
intervals consistent with the importance, complexity, and quantity of 
the product or services.

  VIII. Identification and Control of Materials, Parts, and Components

    Measures shall be established for the identification and control of 
materials, parts, and components, including partially fabricated 
assemblies. These measures shall assure that identification of the item 
is maintained by heat number, part number, serial number, or other 
appropriate means, either on the item or on records traceable to the 
item, as required throughout fabrication, erection, installation, and 
use of the item. These identification and control measures shall be 
designed to prevent the use of incorrect or defective material, parts, 
and components.

                    IX. Control of Special Processes

    Measures shall be established to assure that special processes, 
including welding, heat treating, and nondestructive testing, are 
controlled and accomplished by qualified personnel using qualified 
procedures in accordance with applicable codes, standards, 
specifications, criteria, and other special requirements.

                              X. Inspection

    A program for inspection of activities affecting quality shall be 
established and executed by or for the organization performing the 
activity to verify conformance with the documented instructions, 
procedures, and drawings for accomplishing the activity. Such inspection 
shall be performed by individuals other than those who performed the 
activity being inspected. Examinations, measurements, or tests of 
material or products processed shall be performed for each work 
operation where necessary to assure quality. If inspection of processed 
material or products is impossible or disadvantageous, indirect control 
by monitoring processing methods, equipment, and personnel shall be 
provided. Both inspection and process monitoring shall be provided when 
control is inadequate without both. If mandatory inspection hold points, 
which require witnessing or inspecting by the applicant's designated 
representative and beyond which work shall not proceed without the 
consent of its designated representative are required, the specific hold 
points shall be indicated in appropriate documents.

                            XI. Test Control

    A test program shall be established to assure that all testing 
required to demonstrate that structures, systems, and components will 
perform satisfactorily in service is identified and performed in 
accordance with written test procedures which incorporate the 
requirements and acceptance limits contained in applicable design 
documents. The test program shall include, as appropriate, proof tests 
prior to installation, preoperational tests, and operational tests 
during nuclear power plant or fuel reprocessing plant operation, of 
structures, systems, and components. Test procedures shall include 
provisions for assuring that all prerequisites for the given test have 
been met, that adequate test instrumentation is available and used, and 
that the test is performed under suitable environmental conditions. Test 
results shall be documented and evaluated to assure that test 
requirements have been satisfied.

              XII. Control of Measuring and Test Equipment

    Measures shall be established to assure that tools, gages, 
instruments, and other measuring and testing devices used in activities 
affecting quality are properly controlled, calibrated, and adjusted at 
specified periods to maintain accuracy within necessary limits.

                  XIII. Handling, Storage and Shipping

    Measures shall be established to control the handling, storage, 
shipping, cleaning and preservation of material and equipment in 
accordance with work and inspection instructions to prevent damage or 
deterioration. When necessary for particular products,

[[Page 745]]

special protective environments, such as inert gas atmosphere, specific 
moisture content levels, and temperature levels, shall be specified and 
provided.

               XIV. Inspection, Test, and Operating Status

    Measures shall be established to indicate, by the use of markings 
such as stamps, tags, labels, routing cards, or other suitable means, 
the status of inspections and tests performed upon individual items of 
the nuclear power plant or fuel reprocessing plant. These measures shall 
provide for the identification of items which have satisfactorily passed 
required inspections and tests, where necessary to preclude inadvertent 
bypassing of such inspections and tests. Measures shall also be 
established for indicating the operating status of structures, systems, 
and components of the nuclear power plant or fuel reprocessing plant, 
such as by tagging valves and switches, to prevent inadvertent 
operation.

            XV. Nonconforming Materials, Parts, or Components

    Measures shall be established to control materials, parts, or 
components which do not conform to requirements in order to prevent 
their inadvertent use or installation. These measures shall include, as 
appropriate, procedures for identification, documentation, segregation, 
disposition, and notification to affected organizations. Nonconforming 
items shall be reviewed and accepted, rejected, repaired or reworked in 
accordance with documented procedures.

                         XVI. Corrective Action

    Measures shall be established to assure that conditions adverse to 
quality, such as failures, malfunctions, deficiencies, deviations, 
defective material and equipment, and nonconformances are promptly 
identified and corrected. In the case of significant conditions adverse 
to quality, the measures shall assure that the cause of the condition is 
determined and corrective action taken to preclude repetition. The 
identification of the significant condition adverse to quality, the 
cause of the condition, and the corrective action taken shall be 
documented and reported to appropriate levels of management.

                     XVII. Quality Assurance Records

    Sufficient records shall be maintained to furnish evidence of 
activities affecting quality. The records shall include at least the 
following: Operating logs and the results of reviews, inspections, 
tests, audits, monitoring of work performance, and materials analyses. 
The records shall also include closely-related data such as 
qualifications of personnel, procedures, and equipment. Inspection and 
test records shall, as a minimum, identify the inspector or data 
recorder, the type of observation, the results, the acceptability, and 
the action taken in connection with any deficiencies noted. Records 
shall be identifiable and retrievable. Consistent with applicable 
regulatory requirements, the applicant shall establish requirements 
concerning record retention, such as duration, location, and assigned 
responsibility.

                              XVIII. Audits

    A comprehensive system of planned and periodic audits shall be 
carried out to verify compliance with all aspects of the quality 
assurance program and to determine the effectiveness of the program. The 
audits shall be performed in accordance with the written procedures or 
check lists by appropriately trained personnel not having direct 
responsibilities in the areas being audited. Audit results shall be 
documented and reviewed by management having responsibility in the area 
audited. Followup action, including reaudit of deficient areas, shall be 
taken where indicated.

[35 FR 10499, June 27, 1970, as amended at 36 FR 18301, Sept. 11, 1971; 
40 FR 3210D, Jan. 20, 1975]

   Appendix C to Part 50--A Guide for the Financial Data and Related 
Information Required To Establish Financial Qualifications for Facility 
                          Construction Permits

                           General Information

    This appendix is intended to apprise applicants for licenses to 
construct production or utilization facilities of the types described in 
Sec. 50.21(b) or Sec. 50.22, or testing facilities, of the general kinds 
of financial data and other related information that will demonstrate 
the financial qualification of the applicant to carry out the activities 
for which the permit is sought. The kind and depth of information 
described in this guide is not intended to be a rigid and absolute 
requirement. In some instances, additional pertinent material may be 
needed. In any case, the applicant should include information other than 
that specified, if such information is pertinent to establishing the 
applicant's financial ability to construct the proposed facility.
    It is important to observe also that both Sec. 50.33(f) and this 
appendix distinguish between applicants which are established 
organizations and those which are newly-formed entities organized 
primarily for the purpose of engaging in the activity for which the 
permit is sought. Those in the former category will normally have a 
history of operating experience and be able to submit financial 
statements reflecting the financial results of past operations. With 
respect, however, to

[[Page 746]]

the applicant which is a newly formed company established primarily for 
the purpose of carrying out the licensed activity, with little or no 
prior operating history, somewhat more detailed data and supporting 
documentation will generally be necessary. For this reason, the appendix 
describes separately the scope of information to be included in 
applications by each of these two classes of applicants.
    In determining an applicant's financial qualification, the 
Commission will require the minimum amount of information necessary for 
that purpose. No special forms are prescribed for submitting the 
information. In many cases, the financial information usually contained 
in current annual financial reports, including summary data of prior 
years, will be sufficient for the Commission's needs. The Commission 
reserves the right, however, to require additional financial information 
at the construction permit stage, particularly in cases in which the 
proposed power generating facility will be commonly owned by two or more 
existing companies or in which financing depends upon long-term 
arrangements for sharing of the power from the facility by two or more 
electrical generating companies.
    Applicants are encouraged to consult with the Commission with 
respect to any questions they may have relating to the requirements of 
the Commission's regulations or the information set forth in this 
appendix.

            I. Applicants Which Are Established Organizations

                A. Applications for construction permits

    1. Estimate of construction costs. For electric utilities, each 
applicant's estimate of the total cost of the proposed facility should 
be broken down as follows and be accompanied by a statement describing 
the bases from which the estimate is derived:

(a) Total nuclear production plant costs.....................  $........
                                                                      ..
(b) Transmission, distribution, and general plant costs......  $........
                                                                      ..
(c) Nuclear fuel inventory cost for first core \1\...........  $........
                                                                      ..
                                                              ----------
    Total estimated cost.....................................  $........
                                                                      ..
                                                                        
\1\ Section 2.790 of 10 CFR Part 2 and Sec.  9.5 of 10 CFR Part 9       
  indicate the circumstances under which information submitted by       
  applicants may be withheld from public disclosure.                    

If the fuel is to be acquired by lease or other arrangement than 
purchase, the application should so state. The items to be included in 
these categories should be the same as those defined in the applicable 
electric plant and nuclear fuel inventory accounts prescribed by the 
Federal Energy Regulatory Commission or an explanation given as to any 
departure therefrom.
    Since the composition of construction cost estimates for production 
and utilization facilities other than nuclear power reactors will vary 
according to the type of facility, no particular format is suggested for 
submitting such estimates. The estimate should, however, be itemized by 
categories of cost in sufficient detail to permit an evaluation of its 
reasonableness.
    2. Source of construction funds. The application should include a 
brief statement of the applicant's general financial plan for financing 
the cost of the facility, identifying the source or sources upon which 
the applicant relies for the necessary construction funds, e.g., 
internal sources such as undistributed earnings and depreciation 
accruals, or external sources such as borrowings.
    3. Applicant's financial statements. The application should also 
include the applicant's latest published annual financial report, 
together with any current interim financial statements that are 
pertinent. If an annual financial report is not published, the balance 
sheet and operating statement covering the latest complete accounting 
year together with all pertinent notes thereto and certification by a 
public accountant should be furnished.

             II. Applicants Which Are Newly Formed Entities

                A. Applications for construction permits

    1. Estimate of construction costs. The information that will 
normally be required of applicants which are newly formed entities will 
not differ in scope from that required of established organizations. 
Accordingly, applicants should submit estimates as described above for 
established organizations.
    2. Source of construction funds. The application should specifically 
identify the source or sources upon which the applicant relies for the 
funds necessary to pay the cost of constructing the facility, and the 
amount to be obtained from each. With respect to each source, the 
application should describe in detail the applicant's legal and 
financial relationships with its stockholders, corporate affiliates, or 
others (such as financial institutions) upon which the applicant is 
relying for financial assistance. If the sources of funds relied upon 
include parent companies or other corporate affiliates, information to 
support the financial capability of each such company or affiliate to 
meet its commitments to the applicant should be set forth in the 
application. This information should be of the same kind and scope as 
would be required if the parent companies or affiliates were in fact the 
applicant. Ordinarily, it will be necessary that copies of agreements or

[[Page 747]]

contracts among the companies be submitted.

As noted earlier in this appendix, an applicant which is a newly formed 
entity will normally not be in a position to submit the usual types of 
balance sheets and income statements reflecting the results of prior 
operations. The applicant should, however, include in its application a 
statement of its assets, liabilities, and capital structure as of the 
date of the application.

                     III. Annual Financial Statement

    Each holder of a construction permit for a production or utilization 
facility of a type described in Sec. 50.21(b) or Sec. 50.22, or a 
testing facility is required by Sec. 50.71(b) to file its annual 
financial report with the Commission at the time of issuance thereof. 
This requirement does not apply to licensees or holders of construction 
permits for medical and research reactors.

                       IV. Additional Information

    The Commission may, from time to time, request the applicant, 
whether an established organization or newly formed entity, to submit 
additional or more detailed information respecting its financial 
arrangements and status of funds if such information is deemed necessary 
to enable the Commiasion to determine an applicant's financial 
qualifications for the license.

[49 FR 35753, Sept. 12, 1984, as amended at 50 FR 18853, May 3, 1985]

                    Appendix D to Part 50--[Reserved]

     Appendix E to Part 50--Emergency Planning and Preparedness for 
                  Production and Utilization Facilities

                            Table of Contents

I. Introduction
II. The Preliminary Safety Analysis Report
III. The Final Safety Analysis Report
IV. Content of Emergency Plans
V. Implementing Procedures
VI. Emergency Response Data System

                             I. Introduction

    Each applicant for a construction permit is required by 
Sec. 50.34(a) to include in the preliminary safety analysis report a 
discussion of preliminary plans for coping with emergencies. Each 
applicant for an operating license is required by Sec. 50.34(b) to 
include in the final safety analysis report plans for coping with 
emergencies.
    This appendix establishes minimum requirements for emergency plans 
for use in attaining an acceptable state of emergency preparedness. 
These plans shall be described generally in the preliminary safety 
analysis report and submitted as part of the final safety analysis 
report.
    The potential radiological hazards to the public associated with the 
operation of research and test reactors and fuel facilities licensed 
under 10 CFR Parts 50 and 70 involve considerations different than those 
associated with nuclear power reactors. Consequently, the size of 
Emergency Planning Zones1 (EPZs) for facilities other than power 
reactors and the degree to which compliance with the requirements of 
this section and sections II, III, IV, and V as necessary will be 
determined on a case-by-case basis.2
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    1 EPZs for power reactors are discussed in NUREG-0396; EPA 520/1-78-
016, ``Planning Basis for the Development of State and Local Government 
Radiological Emergency Response Plans in Support of Light Water Nuclear 
Power Plants,'' December 1978. The size of the EPZs for a nuclear power 
plant shall be determined in relation to local emergency response needs 
and capabilities as they are affected by such conditions as demography, 
topography, land characteristics, access routes, and jurisdictional 
boundaries. The size of the EPZs also may be determined on a case-by-
case basis for gas-cooled nuclear reactors and for reactors with an 
authorized power level less than 250 MW thermal. Generally, the plume 
exposure pathway EPZ for nuclear power plants with an authorized power 
level greater than 250 MW thermal shall consist of an area about 10 
miles (16 km) in radius and the ingestion pathway EPZ shall consist of 
an area about 50 miles (80 km) in radius.
    2 Regulatory Guide 2.6 will be used as guidance for the 
acceptability of research and test reactor emergency response plans.
---------------------------------------------------------------------------

    Notwithstanding the above paragraphs, in the case of an operating 
license authorizing only fuel loading and/or low power operations up to 
5% of rated power, no NRC or FEMA review, findings, or determinations 
concerning the state of offsite emergency preparedness or the adequacy 
of and the capability to implement State and local offsite emergency 
plans, as defined in this Appendix, are required prior to the issuance 
of such a license.

               II. The Preliminary Safety Analysis Report

    The Preliminary Safety Analysis Report shall contain sufficient 
information to ensure the compatibility of proposed emergency plans for 
both onsite areas and the EPZs, with facility design features, site 
layout, and site location with respect to such considerations as access 
routes, surrounding population distributions, land use, and local 
jurisdictional boundaries for the EPZs in the case of nuclear power 
reactors as well as the

[[Page 748]]

means by which the standards of Sec. 50.47(b) will be met.
    As a minimum, the following items shall be described:
    A. Onsite and offsite organizations for coping with emergencies and 
the means for notification, in the event of an emergency, of persons 
assigned to the emergency organizations.
    B. Contacts and arrangements made and documented with local, State, 
and Federal governmental agencies with responsibility for coping with 
emergencies, including identification of the principal agencies.
    C. Protective measures to be taken within the site boundary and 
within each EPZ to protect health and safety in the event of an 
accident; procedures by which these measures are to be carried out 
(e.g., in the case of an evacuation, who authorizes the evacuation, how 
the public is to be notified and instructed, how the evacuation is to be 
carried out); and the expected response of offsite agencies in the event 
of an emergency.
    D. Features of the facility to be provided for onsite emergency 
first aid and decontamination and for emergency transportation of onsite 
individuals to offsite treatment facilities.
    E. Provisions to be made for emergency treatment at offsite 
facilities of individuals injured as a result of licensed activities.
    F. Provisions for a training program for employees of the licensee, 
including those who are assigned specific authority and responsibility 
in the event of an emergency, and for other persons who are not 
employees of the licensee but whose assistance may be needed in the 
event of a radiological emergency.
    G. A preliminary analysis that projects the time and means to be 
employed in the notification of State and local governments and the 
public in the event of an emergency. A nuclear power plant applicant 
shall perform a preliminary analysis of the time required to evacuate 
various sectors and distances within the plume exposure pathway EPZ for 
transient and permanent populations, noting major impediments to the 
evacuation or taking of protective actions.
    H. A preliminary analysis reflecting the need to include facilities, 
systems, and methods for identifying the degree of seriousness and 
potential scope of radiological consequences of emergency situations 
within and outside the site boundary, including capabilities for dose 
projection using real-time meteorological information and for dispatch 
of radiological monitoring teams within the EPZs; and a preliminary 
analysis reflecting the role of the onsite technical support center and 
of the near-site emergency operations facility in assessing information, 
recommending protective action, and disseminating information to the 
public.

                  III. The Final Safety Analysis Report

    The Final Safety Analysis Report shall contain the plans for coping 
with emergencies. The plans shall be an expression of the overall 
concept of operation; they shall describe the essential elements of 
advance planning that have been considered and the provisions that have 
been made to cope with emergency situations. The plans shall incorporate 
information about the emergency response roles of supporting 
organizations and offsite agencies. That information shall be sufficient 
to provide assurance of coordination among the supporting groups and 
with the licensee.
    The plans submitted must include a description of the elements set 
out in Section IV for the Emergency Planning Zones (EPZs) to an extent 
sufficient to demonstrate that the plans provide reasonable assurance 
that adequate protective measures can and will be taken in the event of 
an emergency.

                     IV. Content of Emergency Plans

    The applicant's emergency plans shall contain, but not necessarily 
be limited to, information needed to demonstrate compliance with the 
elements set forth below, i.e., organization for coping with radiation 
emergencies, assessment action, activation of emergency organization, 
notification procedures, emergency facilities and equipment, training, 
maintaining emergency preparedness, and recovery. In addition, the 
emergency response plans submitted by an applicant for a nuclear power 
reactor operating license shall contain information needed to 
demonstrate compliance with the standards described in Sec. 50.47(b), 
and they will be evaluated against those standards. The nuclear power 
reactor operating license applicant shall also provide an analysis of 
the time required to evacuate and for taking other protective actions 
for various sectors and distances within the plume exposure pathway EPZ 
for transient and permanent populations.

                             A. Organization

    The organization for coping with radiological emergencies shall be 
described, including definition of authorities, responsibilities, and 
duties of individuals assigned to the licensee's emergency organization 
and the means for notification of such individuals in the event of an 
emergency. Specifically, the following shall be included:
    1. A description of the normal plant operating organization.
    2. A description of the onsite emergency response organization with 
a detailed discussion of:
    a. Authorities, responsibilities, and duties of the individual(s) 
who will take charge during an emergency;
    b. Plant staff emergency assignments;

[[Page 749]]

    c. Authorities, responsibilities, and duties on an onsite emergency 
coordinator who shall be in charge of the exchange of information with 
offsite authorities responsible for coordinating and implementing 
offsite emergency measures.
    3. A description, by position and function to be performed, of the 
licensee's headquarters personnel who will be sent to the plant site to 
augment the onsite emergency organization.
    4. Identification, by position and function to be performed, of 
persons within the licensee organization who will be responsible for 
making offsite dose projections, and a description of how these 
projections will be made and the results transmitted to State and local 
authorities, NRC, and other appropriate governmental entities.
    5. Identification, by position and function to be performed, of 
other employees of the licensee with special qualifications for coping 
with emergency conditions that may arise. Other persons with special 
qualifications, such as consultants, who are not employees of the 
licensee and who may be called upon for assistance for emergencies shall 
also be identified. The special qualifications of these persons shall be 
described.
    6. A description of the local offsite services to be provided in 
support of the licensee's emergency organization.
    7. Identification of, and assistance expected from, appropriate 
State, local, and Federal agencies with responsibilities for coping with 
emergencies.
    8. Identification of the State and/or local officials responsible 
for planning for, ordering, and controlling appropriate protective 
actions, including evacuations when necessary.

                          B. Assessment Actions

    The means to be used for determining the magnitude of and for 
continually assessing the impact of the release of radioactive materials 
shall be described, including emergency action levels that are to be 
used as criteria for determining the need for notification and 
participation of local and State agencies, the Commission, and other 
Federal agencies, and the emergency action levels that are to be used 
for determining when and what type of protective measures should be 
considered within and outside the site boundary to protect health and 
safety. The emergency action levels shall be based on in-plant 
conditions and instrumentation in addition to onsite and offsite 
monitoring. These emergency action levels shall be discussed and agreed 
on by the applicant and State and local governmental authorities and 
approved by NRC. They shall also be reviewed with the State and local 
governmental authorities on an annual basis.

                 C. Activation of Emergency Organization

    The entire spectrum of emergency conditions that involve the 
alerting or activating of progressively larger segments of the total 
emergency organization shall be described. The communication steps to be 
taken to alert or activate emergency personnel under each class of 
emergency shall be described. Emergency action levels (based not only on 
onsite and offsite radiation monitoring information but also on readings 
from a number of sensors that indicate a potential emergency, such as 
the pressure in containment and the response of the Emergency Core 
Cooling System) for notification of offsite agencies shall be described. 
The existence, but not the details, of a message authentication scheme 
shall be noted for such agencies. The emergency classes defined shall 
include: (1) notification of unusual events, (2) alert, (3) site area 
emergency, and (4) general emergency. These classes are further 
discussed in NUREG-0654; FEMA-REP-1.

                       D. Notification Procedures

    1. Administrative and physical means for notifying local, State, and 
Federal officials and agencies and agreements reached with these 
officials and agencies for the prompt notification of the public and for 
public evacuation or other protective measures, should they become 
necessary, shall be described. This description shall include 
identification of the appropriate officials, by title and agency, of the 
State and local government agencies within the EPZs.1
---------------------------------------------------------------------------

    1 See footnote 1 to section I.
---------------------------------------------------------------------------

    2. Provisions shall be described for yearly dissemination to the 
public within the plume exposure pathway EPZ of basic emergency planning 
information, such as the methods and times required for public 
notification and the protective actions planned if an accident occurs, 
general information as to the nature and effects of radiation, and a 
listing of local broadcast stations that will be used for dissemination 
of information during an emergency. Signs or other measures shall also 
be used to disseminate to any transient population within the plume 
exposure pathway EPZ appropriate information that would be helpful if an 
accident occurs.
    3. A licensee shall have the capability to notify responsible State 
and local governmental agencies within 15 minutes after declaring an 
emergency. The licensee shall demonstrate that the State/local officials 
have the capability to make a public notification decision promptly on 
being informed by the licensee of an emergency condition.

[[Page 750]]

By February 1, 1982, each nuclear power reactor licensee shall 
demonstrate that administrative and physical means have been established 
for alerting and providing prompt instructions to the public within the 
plume exposure pathway EPZ. The four-month period in 10 CFR 50.54(s)(2) 
for the correction of emergency plan deficiencies shall not apply to the 
initial installation of this public notification system that is required 
by February 1, 1982. The four-month period will apply to correction of 
deficiencies identified during the initial installation and testing of 
the prompt public notification systems as well as those deficiencies 
discovered thereafter. The design objective of the prompt public 
notification system shall be to have the capability to essentially 
complete the initial notification of the public within the plume 
exposure pathway EPZ within about 15 minutes. The use of this 
notification capability will range from immediate notification of the 
public (within 15 minutes of the time that State and local officials are 
notified that a situation exists requiring urgent action) to the more 
likely events where there is substantial time available for the State 
and local governmental officials to make a judgment whether or not to 
activate the public notification system. Where there is a decision to 
activate the notification system, the State and local officials will 
determine whether to activate the entire notification system 
simultaneously or in a graduated or staged manner. The responsibility 
for activating such a public notification system shall remain with the 
appropriate governmental authorities.

                  E. Emergency Facilities and Equipment

    Adequate provisions shall be made and described for emergency 
facilities and equipment, including:
    1. Equipment at the site for personnel monitoring;
    2. Equipment for determining the magnitude of and for continuously 
assessing the impact of the release of radioactive materials to the 
environment;
    3. Facilities and supplies at the site for decontamination of onsite 
individuals;
    4. Facilities and medical supplies at the site for appropriate 
emergency first aid treatment;
    5. Arrangements for the services of physicians and other medical 
personnel qualified to handle radiation emergencies on-site;
    6. Arrangements for transportation of contaminated injured 
individuals from the site to specifically identified treatment 
facilities outside the site boundary;
    7. Arrangements for treatment of individuals injured in support of 
licensed activities on the site at treatment facilities outside the site 
boundary;
    8. A licensee onsite technical support center and a licensee near-
site emergency operations facility from which effective direction can be 
given and effective control can be exercised during an emergency;
    9. At least one onsite and one offsite communications system; each 
system shall have a backup power source.
    All communication plans shall have arrangements for emergencies, 
including titles and alternates for those in charge at both ends of the 
communication links and the primary and backup means of communication. 
Where consistent with the function of the governmental agency, these 
arrangements will include:
    a. Provision for communications with contiguous State/local 
governments within the plume exposure pathway EPZ. Such communications 
shall be tested monthly.
    b. Provision for communications with Federal emergency response 
organizations. Such communications systems shall be tested annually.
    c. Provision for communications among the nuclear power reactor 
control room, the onsite technical support center, and the near-site 
emergency operations facility; and among the nuclear facility, the 
principal State and local emergency operations centers, and the field 
assessment teams. Such communications systems shall be tested annually.
    d. Provisions for communications by the licensee with NRC 
Headquarters and the appropriate NRC Regional Office Operations Center 
from the nuclear power reactor control room, the onsite technical 
support center, and the near-site emergency operations facility. Such 
communications shall be tested monthly.

                              F. Training.

    1. The program to provide for: (a) The training of employees and 
exercising, by periodic drills, of radiation emergency plans to ensure 
that employees of the licensee are familiar with their specific 
emergency response duties, and (b) The participation in the training and 
drills by other persons whose assistance may be needed in the event of a 
radiation emergency shall be described. This shall include a description 
of specialized initial training and periodic retraining programs to be 
provided to each of the following categories of emergency personnel:
    i. Directors and/or coordinators of the plant emergency 
organization;
    ii. Personnel responsible for accident assessment, including control 
room shift personnel;
    iii Radiological monitoring teams;
    iv. Fire control teams (fire brigades);
    v. Repair and damage control teams;
    vi. First aid and rescue teams;
    vii. Medical support personnel;
    viii. Licensee's headquarters support personnel;
    ix. Security personnel.

[[Page 751]]

    In addition, a radiological orientation training program shall be 
made available to local services personnel; e.g., local emergency 
services/Civil Defense, local law enforcement personnel, local news 
media persons.
    2. The plan shall describe provisions for the conduct of emergency 
preparedness exercises as follows: Exercises shall test the adequacy of 
timing and content of implementing procedures and methods, test 
emergency equipment and communications networks, test the public 
notification system, and ensure that emergency organization personnel 
are familiar with their duties.3
---------------------------------------------------------------------------

    \3\ Use of site specific simulators or computers is acceptable for 
any exercise.
---------------------------------------------------------------------------

    a. A full participation 4 exercise which tests as much of the 
licensee, State and local emergency plans as is reasonably achievable 
without mandatory public participation shall be conducted for each site 
at which a power reactor is located. This exercise shall be conducted 
within two years before the issuance of the first operating license for 
full power (one authorizing operation above 5% of rated power) of the 
first reactor and shall include participation by each State and local 
government within the plume exposure pathway EPZ and each state within 
the ingestion exposure pathway EPZ. If the full participation exercise 
is conducted more than one year prior to issuance of an operating 
licensee for full power, an exercise which tests the licensee's onsite 
emergency plans shall be conducted within one year before issuance of an 
operating license for full power. This exercise need not have State or 
local government participation.
---------------------------------------------------------------------------

    \4\ ``Full participation'' when used in conjunction with emergency 
preparedness exercises for a particular site means appropriate offsite 
local and State authorities and licensee personnel physically and 
actively take part in testing their integrated capability to adequately 
assess and respond to an accident at a commercial nuclear power plant. 
``Full participation'' includes testing major observable portions of the 
onsite and offsite emergency plans and mobilization of state, local and 
licensee personnel and other resources in sufficient numbers to verify 
the capability to respond to the accident scenario.
---------------------------------------------------------------------------

    b. Each licensee at each site shall conduct an exercise of its 
onsite emergency plan every 2 years. The exercise may be included in the 
full participation biennial exercise required by paragraph 2.c. of this 
section. In addition, the licensee shall take actions necessary to 
ensure that adequate emergency response capabilities are maintained 
during the interval between biennial exercises by conducting drills, 
including at least one drill involving a combination of some of the 
principal functional areas of the licensee's onsite emergency response 
capabilities. The principal functional areas of emergency response 
include activities such as management and coordination of emergency 
response, accident assessment, protective action decisionmaking, and 
plant system repair and corrective actions. During these drills, 
activation of all of the licensee's emergency response facilities 
(Technical Support Center (TSC), Operations Support Center (OSC), and 
the Emergency Operations Facility (EOF)) would not be necessary, 
licensees would have the opportunity to consider accident management 
strategies, supervised instruction would be permitted, operating staff 
would have the opportunity to resolve problems (success paths) rather 
than have controllers intervene, and the drills could focus on onsite 
training objectives.
    c. Offsite plans for each site shall be exercised biennially with 
full participation by each offsite authority having a role under the 
plan. Where the offsite authority has a role under a radiological 
response plan for more than one site, it shall fully participate in one 
exercise every two years and shall, at least, partially participate 
5 in other offsite plan exercises in this period.
---------------------------------------------------------------------------

    \5\ ``Partial participation'' when used in conjunction with 
emergency preparedness exercises for a particular site means appropriate 
offsite authorities shall actively take part in the exercise sufficient 
to test direction and control functions; i.e., (a) protective action 
decision making related to emergency action levels, and (b) 
communication capabilities among affected State and local authorities 
and the licensee.
---------------------------------------------------------------------------

    d. A State should fully participate in the ingestion pathway portion 
of exercises at least once every six years. In States with more than one 
site, the State should rotate this participation from site to site.
    e. Licensees shall enable any State or local Government located 
within the plume exposure pathway EPZ to participate in the licensee's 
drills when requested by such State or local Government.
    f. Remedial exercises will be required if the emergency plan is not 
satisfactorily tested during the biennial exercise, such that NRC, in 
consultation with FEMA, cannot find reasonable assurance that adequate 
protective measures can be taken in the event of a radiological 
emergency. The extent of State and local participation in remedial 
exercises must be sufficient to show that appropriate corrective 
measures have been taken regarding the elements of the plan not properly 
tested in the previous exercises.

[[Page 752]]

    g. All training, including exercises, shall provide for formal 
critiques in order to identify weak or deficient areas that need 
correction. Any weaknesses or deficiencies that are identified shall be 
corrected.
    h. The participation of State and local governments in an emergency 
exercise is not required to the extent that the applicant has identified 
those governments as refusing to participate further in emergency 
planning activities, pursuant to 10 CFR 50.47(c)(1). In such cases, an 
exercise shall be held with the applicant or licensee and such 
governmental entities as elect to participate in the emergency planning 
process.

                  G. Maintaining Emergency Preparedness

    Provisions to be employed to ensure that the emergency plan, its 
implementing procedures, and emergency equipment and supplies are 
maintained up to date shall be described.

                               H. Recovery

    Criteria to be used to determine when, following an accident, 
reentry of the facility would be appropriate or when operation could be 
resumed shall be described.

                       V. Implementing Procedures

    No less than 180 days prior to the scheduled issuance of an 
operating license for a nuclear power reactor or a license to possess 
nuclear material the applicant's detailed implementing procedures for 
its emergency plan shall be submitted to the Commission as specified in 
Sec. 50.4. Licensees who are authorized to operate a nuclear power 
facility shall submit any changes to the emergency plan or procedures to 
the Commission, as specified in Sec. 50.4, within 30 days of such 
changes.

                   VI. Emergency Response Data System

    1. The Emergency Response Data System (ERDS) is a direct near real-
time electronic data link between the licensee's onsite computer system 
and the NRC Operations Center that provides for the automated 
transmission of a limited data set of selected parameters. The ERDS 
supplements the existing voice transmission over the Emergency 
Notification System (ENS) by providing the NRC Operations Center with 
timely and accurate updates of a limited set of parameters from the 
licensee's installed onsite computer system in the event of an 
emergency. When selected plant data are not available on the licensee's 
onsite computer system, retrofitting of data points is not required. The 
licensee shall test the ERDS periodically to verify system availability 
and operability. The frequency of ERDS testing will be quarterly unless 
otherwise set by NRC based on demonstrated system performance.
    2. Except for Big Rock Point and all nuclear power facilities that 
are shut down permanently or indefinitely, onsite hardware shall be 
provided at each unit by the licensee to interface with the NRC 
receiving system. Software, which will be made available by the NRC, 
will assemble the data to be transmitted and transmit data from each 
unit via an output port on the appropriate data system. The hardware and 
software must have the following characteristics:
    a. Data points, if resident in the in-plant computer systems, must 
be transmitted for four selected types of plant conditions: Reactor core 
and coolant system conditions; reactor containment conditions; 
radioactivity release rates; and plant meteorological tower data. A 
separate data feed is required for each reactor unit. While it is 
recognized that ERDS is not a safety system, it is conceivable that a 
licensee's ERDS interface could communicate with a safety system. In 
this case, appropriate isolation devices would be required at these 
interfaces.\6\ The data points, identified in the following parameters 
will be transmitted:
---------------------------------------------------------------------------

    \6\ See 10 CFR 50.55a(h) Protection Systems.
---------------------------------------------------------------------------

    (i) For pressurized water reactors (PWRs), the selected plant 
parameters are: (1) Primary coolant system: pressure, temperatures (hot 
leg, cold leg, and core exit thermocouples), subcooling margin, 
pressurizer level, reactor coolant charging/makeup flow, reactor vessel 
level, reactor coolant flow, and reactor power; (2) Secondary coolant 
system: Steam generator levels and pressures, main feedwater flows, and 
auxiliary and emergency feedwater flows; (3) Safety injection: High- and 
low-pressure safety injection flows, safety injection flows 
(Westinghouse), and borated water storage tank level; (4) Containment: 
pressure, temperatures, hydrogen concentration, and sump levels; (5) 
Radiation monitoring system: Reactor coolant radioactivity, containment 
radiation level, condenser air removal radiation level, effluent 
radiation monitors, and process radiation monitor levels; and (6) 
Meteorological data: wind speed, wind direction, and atmospheric 
stability.
    (ii) For boiling water reactors (BWRs), the selected parameters are: 
(1) Reactor coolant system: Reactor pressure, reactor vessel level, 
feedwater flow, and reactor power; (2) Safety injection: Reactor core 
isolation cooling flow, high-pressure coolant injection/high-pressure 
core spray flow, core spray flow, low-pressure coolant injection flow, 
and condensate storage tank level; (3) Containment: drywell pressure, 
drywell temperatures, drywell sump levels, hydrogen and oxygen 
concentrations, suppression pool temperature, and suppression pool 
level; (4) Radiation monitoring system: Reactor coolant radioactivity 
level, primary containment radiation level, condenser off-gas radiation 
level, effluent radiation monitor, and

[[Page 753]]

process radiation levels; and (5) Meteorological data: Wind speed, wind 
direction, and atmospheric stability.
    b. The system must be capable of transmitting all available ERDS 
parameters at time intervals of not less than 15 seconds or more than 60 
seconds. Exceptions to this requirement will be considered on a case by 
case basis.
    c. All link control and data transmission must be established in a 
format compatible with the NRC receiving system \7\ as configured at the 
time of licensee implementation.
---------------------------------------------------------------------------

    \7\ Guidance is provided in NUREG-1394, Revision 1.
---------------------------------------------------------------------------

    3. Maintaining Emergency Response Data System:
    a. Any hardware and software changes that affect the transmitted 
data points identified in the ERDS Data Point Library \8\ (site specific 
data base residing on the ERDS computer) must be submitted to the NRC 
within 30 days after the changes are completed.
---------------------------------------------------------------------------

    \8\ See NUREG-1394, Revision 1, appendix C, Data Point Library.
---------------------------------------------------------------------------

    b. Hardware and software changes, with the exception of data point 
modifications, that could affect the transmission format and computer 
communication protocol to the ERDS must be provided to the NRC as soon 
as practicable and at least 30 days prior to the modification.
    c. In the event of a failure of the NRC supplied onsite modem, a 
replacement unit will be furnished by the NRC for licensee installation.
    4. Implementing the Emergency Response Data System Program:
    a. Each licensee shall develop and submit an ERDS implementation 
program plan to the NRC by October 28, 1991. To ensure compatibility 
with the guidance provided for the ERDS, the ERDS implementation program 
plan,\9\ must include, but not be limited to, information on the 
licensee's computer system configuration (i.e., hardware and software), 
interface, and procedures.
---------------------------------------------------------------------------

    \9\ See NUREG-1394, Revision 1, section 3.
---------------------------------------------------------------------------

    b. Licensees must comply with appendix E to part 50, section V.
    c. Licensees that have submitted the required information under the 
voluntary ERDS implementation program will not be required to resubmit 
this information. The licensee shall meet the implementation schedule of 
appendix E to Part 50, Section VI.4d.
    d. Each licensee shall complete implementation of the ERDS by 
February 13, 1993, or before initial escalation to full power, whichever 
comes later. Licensees with currently operational ERDS interfaces 
approved under the voluntary ERDS implementation program \10\ will not 
be required to submit another implementation plan and will be considered 
to have met the requirements for ERDS under appendix E to part 50, 
section VI.1 and 2 of this part.
---------------------------------------------------------------------------

    \10\ See NUREG-1394, Revision 1.

[45 FR 55410, Aug. 19, 1980; 46 FR 28839, May 29, 1981, as amended at 46 
FR 63032, Dec. 30, 1981; 47 FR 30236, July 13, 1982; 47 FR 57671, Dec. 
28, 1982; 49 FR 27736, July 6, 1984; 51 FR 40310, Nov. 6, 1986; 52 FR 
16829, May 6, 1987; 52 FR 42086, Nov. 3, 1987; 56 FR 40185, Aug. 13, 
1991; 59 FR 14090, Mar. 25, 1994; 61 FR 30132, June 14, 1996]

      Appendix F to Part 50--Policy Relating to the Siting of Fuel 
       Reprocessing Plants and Related Waste Management Facilities

    1. Public health and safety considerations relating to licensed fuel 
reprocessing plants do not require that such facilities be located on 
land owned and controlled by the Federal Government. Such plants, 
including the facilities for the temporary storage of highlevel 
radioactive wastes, may be located on privately owned property.
    2. A fuel reprocessing plant's inventory of high-level liquid 
radioactive wastes will be limited to that produced in the prior 5 
years. (For the purpose of this statement of policy, ``high-level liquid 
radioactive wastes'' means those aqueous wastes resulting from the 
operation of the first cycle solvent extraction system, or equivalent, 
and the concentrated wastes from subsequent extraction cycles, or 
equivalent, in a facility for reprocessing irradiated reactor fuels.) 
High-level liquid radioactive wastes shall be converted to a dry solid 
as required to comply with this inventory limitation, and placed in a 
sealed container prior to transfer to a Federal repository in a shipping 
cask meeting the requirements of 10 CFR Part 71. The dry solid shall be 
chemically, thermally, and radiolytically stable to the extent that the 
equilibrium pressure in the sealed container will not exceed the safe 
operating pressure for that container during the period from canning 
through a minimum of 90 days after receipt (transfer of physical 
custody) at the Federal repository. All of these high-level radioactive 
wastes shall be transferred to a Federal repository no later than 10 
years following separation of fission products from the irradiated fuel. 
Upon receipt, the Federal repository will assume permanent custody of 
these radioactive waste materials although industry will pay the Federal 
Government a charge which together with interest on unexpended balances 
will be designed to defray all costs of disposal and perpetual 
surveillance. The Department of Energy will take title to the 
radioactive waste material upon transfer to a Federal repository. Before 
retirement of the reprocessing plant from operational status and before 
termination of licensing pursuant to Sec. 50.82, transfer of all

[[Page 754]]

such wastes to a Federal repository shall be completed. Federal 
repositories, which will be limited in number, will be designated later 
by the Commission.
    3. Disposal of high-level radioactive fission product waste material 
will not be permitted on any land other than that owned and controlled 
by the Federal Government.
    4. A design objective for fuel reprocessing plants shall be to 
facilitate decontamination and removal of all significant radioactive 
wastes at the time the facility is permanently decommissioned. Criteria 
for the extent of decontamination to be required upon decommissioning 
and license termination will be developed in consultation with competent 
groups. Opportunity will be afforded for public comment before such 
criteria are made effective.
    5. Applicants proposing to operate fuel reprocessing plants, in 
submitting information concerning financial qualifications as required 
by Sec. 50.33(f), shall include information enabling the Commission to 
determine whether the applicant is financially qualified, among other 
things, to provide for the removal and disposal of radioactive wastes, 
during operation and upon decommissioning of the facility, in accordance 
with the Commission's regulations, including the requirements set out in 
this appendix.
    6. With respect to fuel reprocessing plants already licensed, the 
licenses will be appropriately conditioned to carry out the purposes of 
the policy stated above with respect to high-level radioactive fission 
product wastes generated after installation of new equipment for interim 
storage of liquid wastes, or after installation of equipment required 
for solidification without interim liquid storage. In either case, such 
equipment shall be installed at the earliest practicable date, taking 
into account the time required for design, procurement and installation 
thereof. With respect to such plants, the application of the policy 
stated in this appendix to existing wastes and to wastes generated prior 
to the installation of such equipment, will be the subject of a further 
rulemaking proceeding.

[35 FR 17533, Nov. 14, 1970, as amended at 36 FR 5411, Mar. 23, 1971; 42 
FR 20139, Apr. 18, 1977; 45 FR 14201, Mar. 5, 1980]

         Appendix G to Part 50--Fracture Toughness Requirements

I. Introduction and scope.
II. Definitions.
III. Fracture toughness tests.
IV. Fracture toughness requirements.

                        I. Introduction and Scope

    This appendix specifies fracture toughness requirements for ferritic 
materials of pressure-retaining components of the reactor coolant 
pressure boundary of light water nuclear power reactors to provide 
adequate margins of safety during any condition of normal operation, 
including anticipated operational occurrences and system hydrostatic 
tests, to which the pressure boundary may be subjected over its service 
lifetime.
    The ASME Code forms the basis for the requirements of this appendix. 
``ASME Code'' means the American Society of Mechanical Engineers Boiler 
and Pressure Vessel Code. If no section is specified, the reference is 
to Section III, Division 1, ``Rules for Construction of Nuclear Power 
Plant Components.'' ``Section XI'' means Section XI, Division 1, ``Rules 
for Inservice Inspection of Nuclear Power Plant Components.'' If no 
edition or addenda are specified, the ASME Code edition and addenda and 
any limitations and modifications thereof, which are specified in 
Sec. 50.55a, are applicable.
    The sections, editions and addenda of the ASME Boiler and Pressure 
Vessel Code specified in Sec. 50.55a have been approved for 
incorporation by reference by the Director of the Federal Register. A 
notice of any changes made to the material incorporated by reference 
will be published in the Federal Register. Copies of the ASME Boiler and 
Pressure Vessel Code may be purchased from the American Society of 
Mechanical Engineers, United Engineering Center, 345 East 47th Street, 
New York, NY 10017, and are available for inspection at the NRC Library, 
11545 Rockville Pike, Two White Flint North, Rockville, MD 20852-2738.
    The requirements of this appendix apply to the following materials:
    A. Carbon and low-alloy ferritic steel plate, forgings, castings, 
and pipe with specified minimum yield strengths not over 50,000 psi (345 
MPa), and to those with specified minimum yield strengths greater than 
50,000 psi (345 MPa) but not over 90,000 psi (621 MPa) if qualified by 
using methods equivalent to those described in paragraph G-2110 of 
Appendix G of Section XI of the latest edition and addenda of the ASME 
Code incorporated by reference into Sec. 50.55a(b)(2).
    B. Welds and weld heat-affected zones in the materials specified in 
paragraph I.A. of this appendix.
    C. Materials for bolting and other types of fasteners with specified 
minimum yield strengths not over 130,000 psi (896 MPa).

    Note: The adequacy of the fracture toughness of other ferritic 
materials not covered in this section must be demonstrated to the 
Director, Office of Nuclear Reactor Regulation, on an individual case 
basis.

                             II. Definitions

    A. Ferritic material means carbon and low-alloy steels, higher alloy 
steels including all stainless alloys of the 4xx series, and maraging 
and precipitation hardening steels

[[Page 755]]

with a predominantly body-centered cubic crystal structure.
    B. System hydrostatic tests means all preoperational system leakage 
and hydrostatic pressure tests and all system leakage and hydrostatic 
pressure tests performed during the service life of the pressure 
boundary in compliance with the ASME Code, Section XI.
    C. Specified minimum yield strength means the minimum yield strength 
(in the unirradiated condition) of a material specified in the 
construction code under which the component is built under Sec. 50.55a.
    D. RTNDT means the reference temperature of the material, for 
all conditions.
    (i) For the pre-service or unirradiated condition, RTNDT is 
evaluated according to the procedures in the ASME Code, Paragraph NB-
2331.
    (ii) For the reactor vessel beltline materials, RTNDT must 
account for the effects of neutron radiation.
    E. RTNDT means the transition temperature shift, or change in 
RTNDT, due to neutron radiation effects, which is evaluated as the 
difference in the 30 ft-lb (41 J) index temperatures from the average 
Charpy curves measured before and after irradiation.
    F. Beltline or Beltline region of reactor vessel means the region of 
the reactor vessel (shell material including welds, heat affected zones, 
and plates or forgings) that directly surrounds the effective height of 
the active core and adjacent regions of the reactor vessel that are 
predicted to experience sufficient neutron radiation damage to be 
considered in the selection of the most limiting material with regard to 
radiation damage.

                      III. Fracture Toughness Tests

    A. To demonstrate compliance with the fracture toughness 
requirements of Section IV of this appendix, ferritic materials must be 
tested in accordance with the ASME Code and, for the beltline materials, 
the test requirements of Appendix H of this part. For a reactor vessel 
that was constructed to an ASME Code earlier than the Summer 1972 
Addenda of the 1971 Edition (under Sec. 50.55a), the fracture toughness 
data and data analyses must be supplemented in a manner approved by the 
Director, Office of Nuclear Reactor Regulation, to demonstrate 
equivalence with the fracture toughness requirements of this appendix.
    B. Test methods for supplemental fracture toughness tests described 
in paragraph IV.A.1.b of this appendix must be submitted to and approved 
by the Director, Office of Nuclear Reactor Regulation, prior to testing.
    C. All fracture toughness test programs conducted in accordance with 
paragraphs III.A and III.B must comply with ASME Code requirements for 
calibration of test equipment, qualification of test personnel, and 
retention of records of these functions and of the test data.

                   IV. Fracture Toughness Requirements

    A. The pressure-retaining components of the reactor coolant pressure 
boundary that are made of ferritic materials must meet the requirements 
of the ASME Code, supplemented by the additional requirements set forth 
below, for fracture toughness during system hydrostatic tests and any 
condition of normal operation, including anticipated operational 
occurrences. Reactor vessels may continue to be operated only for that 
service period within which the requirements of this section are 
satisfied. For the reactor vessel beltline materials, including welds, 
plates and forgings, the values of RTNDT and Charpy upper-shelf 
energy must account for the effects of neutron radiation, including the 
results of the surveillance program of Appendix H of this part. The 
effects of neutron radiation must consider the radiation conditions 
(i.e., the fluence) at the deepest point on the crack front of the flaw 
assumed in the analysis.

        1. Reactor Vessel Charpy Upper-Shelf Energy Requirements

    a. Reactor vessel beltline materials must have Charpy upper-shelf 
energy,1 in the transverse direction for base material and along 
the weld for weld material according to the ASME Code, of no less than 
75 ft-lb (102 J) initially and must maintain Charpy upper-shelf energy 
throughout the life of the vessel of no less than 50 ft-lb (68 J), 
unless it is demonstrated in a manner approved by the Director, Office 
of Nuclear Reactor Regulation, that lower values of Charpy upper-shelf 
energy will provide margins of safety against fracture equivalent to 
those required by Appendix G of Section XI of the ASME Code. This 
analysis must use the latest edition and addenda of the ASME Code 
incorporated by reference into Sec. 50.55a(b)(2) at the time the 
analysis is submitted.
---------------------------------------------------------------------------

    \1\ Defined in ASTM E 185-79 and -82 which are incorporated by 
reference in Appendix H to Part 50.
---------------------------------------------------------------------------

    b. Additional evidence of the fracture toughness of the beltline 
materials after exposure to neutron irradiation may be obtained from 
results of supplemental fracture toughness tests for use in the analysis 
specified in section IV.A.1.a.
    c. The analysis for satisfying the requirements of section IV.A.1 of 
this appendix must be submitted, as specified in Sec. 50.4, for review 
and approval on an individual case basis at least three years prior to 
the date when the predicted Charpy upper-shelf energy will no longer 
satisfy the requirements of section IV.A.1 of this appendix, or on a

[[Page 756]]

schedule approved by the Director, Office of Nuclear Reactor Regulation.

   2. Pressure-Temperature Limits and Minimum Temperature Requirements

    a. Pressure-temperature limits and minimum temperature requirements 
for the reactor vessel are given in Table 3, and are defined by the 
operating condition (i.e., hydrostatic pressure and leak tests, or 
normal operation including anticipated operational occurrences), the 
vessel pressure, whether or not fuel is in the vessel, and whether the 
core is critical. In Table 3, the vessel pressure is defined as a 
percentage of the preservice system hydrostatic test pressure. The 
appropriate requirements on both the pressure-temperature limits and the 
minimum permissible temperature must be met for all conditions.
    b. The pressure-temperature limits identified as ``ASME Appendix G 
limits'' in Table 3 require that the limits must be at least as 
conservative as limits obtained by following the methods of analysis and 
the margins of safety of Appendix G of Section XI of the ASME Code.
    c. The minimum temperature requirements given in Table 3 pertain to 
the controlling material, which is either the material in the closure 
flange or the material in the beltline region with the highest reference 
temperature. As specified in Table 3, the minimum temperature 
requirements and the controlling material depend on the operating 
condition (i.e., hydrostatic pressure and leak tests, or normal 
operation including anticipated operational occurrences), the vessel 
pressure, whether fuel is in the vessel, and whether the core is 
critical. The metal temperature of the controlling material, in the 
region of the controlling material which has the least favorable 
combination of stress and temperature, must exceed the appropriate 
minimum temperature requirement for the condition and pressure of the 
vessel specified in Table 1.
    d. Pressure tests and leak tests of the reactor vessel that are 
required by Section XI of the ASME Code must be completed before the 
core is critical.
    B. If the procedures of Section IV.A. of this appendix do not 
indicate the existence of an equivalent safety margin, the reactor 
vessel beltline may be given a thermal annealing treatment to recover 
the fracture toughness of the material, subject to the requirements of 
Sec. 50.66. The reactor vessel may continue to be operated only for that 
service period within which the predicted fracture toughness of the 
beltline region materials satisfies the requirements of Section IV.A. of 
this appendix using the values of RTNDT and Charpy upper-shelf 
energy that include the effects of annealing and subsequent irradiation.

[[Page 757]]



                 Table 1.--Pressure and Temperature Requirements for the Reactor Pressure Vessel                
----------------------------------------------------------------------------------------------------------------
                                         Vessel     Requirements for pressure-                                  
         Operating condition          pressure \1\      temperature limits      Minimum temperature requirements
----------------------------------------------------------------------------------------------------------------
1. Hydrostatic pressure and leak                                                                                
 tests (core is not critical):                                                                                  
    1.a  Fuel in the vessel.........  2  ASME Appendix G Limits....  (\2\)                           
                                                0%                                                              
    1.b  Fuel in the vessel.........          >20%  ASME Appendix G Limits....  (\2\) +90 deg.F (\6\)           
    1.c  No fuel in the vessel                 ALL  (Not Applicable)..........  (\3\) +60 deg.F                 
     (Preservice Hydrotest Only).                                                                               
2. Normal operation (incl. heat-up                                                                              
 and cool-down), including                                                                                      
 anticipated operational                                                                                        
 occurrences:                                                                                                   
    2.a  Core not critical..........  2  ASME Appendix G Limits....  (\2\)                           
                                                0%                                                              
    2.b  Core not critical..........          >20%  ASME Appendix G Limits....  (\2\) +120 deg.F (\6\)          
    2.c  Core critical..............  2  ASME Appendix G Limits +    Larger of [(\4\)] or [(\2\) + 40
                                                0%   40 deg.F.                   deg.F]                         
    2.d  Core critical..............          >20%  ASME Appendix G Limits +    Larger of [(\4\)] or [(\2\) +   
                                                     40 deg.F.                   160 deg.F]                     
    2.e  Core critical for BWR (\5\)  2  ASME Appendix G Limits +    (\2\) + 60 deg.F                
                                                0%   40 deg.F.                                                  
----------------------------------------------------------------------------------------------------------------
\1\ Percent of the preservice system hydrostatic test pressure.                                                 
\2\ The highest reference temperature of the material in the closure flange region that is highly stressed by   
  the bolt preload.                                                                                             
\3\ The highest reference temperature of the vessel.                                                            
\4\ The minimum permissible temperature for the inservice system hydrostatic pressure test.                     
\5\ For boiling water reactors (BWR) with water level within the normal range for power operation.              
\6\ Lower temperatures are permissible if they can be justified by showing that the margins of safety of the    
  controlling region are equivalent to those required for the beltline when it is controlling.                  


[60 FR 65474, Dec. 19, 1995]

[[Page 758]]



  Appendix H to Part 50--Reactor Vessel Material Surveillance Program 
                              Requirements

I. Introduction
II. Definitions
III. Surveillance Program Criteria
IV. Report of Test Results

                             I. Introduction

    The purpose of the material surveillance program required by this 
appendix is to monitor changes in the fracture toughness properties of 
ferritic materials in the reactor vessel beltline region of light water 
nuclear power reactors which result from exposure of these materials to 
neutron irradiation and the thermal environment. Under the program, 
fracture toughness test data are obtained from material specimens 
exposed in surveillance capsules, which are withdrawn periodically from 
the reactor vessel. These data will be used as described in Section IV 
of Appendix G to Part 50.
    ASTM E 185-73, -79, and -82, ``Standard Practice for Conducting 
Surveillance Tests for Light-Water Cooled Nuclear Power Reactor 
Vessels,'' which are referenced in the following paragraphs, have been 
approved for incorporation by reference by the Director of the Federal 
Register. Copies of ASTM E 185-73, -79, and -82, may be purchased from 
the American Society for Testing and Materials, 1916 Race Street, 
Philadelphia, PA 19103 and are available for inspection at the NRC 
Library, 11545 Rockville Pike, Two White Flint North, Rockville, MD 
20852-2738.

                             II. Definitions

    All terms used in this Appendix have the same meaning as in Appendix 
G.

                   III. Surveillance Program Criteria

    A. No material surveillance program is required for reactor vessels 
for which it can be conservatively demonstrated by analytical methods 
applied to experimental data and tests performed on comparable vessels, 
making appropriate allowances for all uncertainties in the measurements, 
that the peak neutron fluence at the end of the design life of the 
vessel will not exceed 1017 n/cm2 (E > 1 MeV).
    B. Reactor vessels that do not meet the conditions of paragraph 
III.A of this appendix must have their beltline materials monitored by a 
surveillance program complying with ASTM E 185, as modified by this 
appendix.
    1. The design of the surveillance program and the withdrawal 
schedule must meet the requirements of the edition of ASTM E 185 that is 
current on the issue date of the ASME Code to which the reactor vessel 
was purchased. Later editions of ASTM E 185 may be used, but including 
only those editions through 1982. For each capsule withdrawal, the test 
procedures and reporting requirements must meet the requirements of ASTM 
E 185-82 to the extent practicable for the configuration of the 
specimens in the capsule.
    2. Surveillance specimen capsules must be located near the inside 
vessel wall in the beltline region so that the specimen irradiation 
history duplicates, to the extent practicable within the physical 
constraints of the system, the neutron spectrum, temperature history, 
and maximum neutron fluence experienced by the reactor vessel inner 
surface. If the capsule holders are attached to the vessel wall or to 
the vessel cladding, construction and inservice inspection of the 
attachments and attachment welds must be done according to the 
requirements for permanent structural attachments to reactor vessels 
given in Sections III and XI of the American Society of Mechanical 
Engineers Boiler and Pressure Vessel Code (ASME Code). The design and 
location of the capsule holders must permit insertion of replacement 
capsules. Accelerated irradiation capsules may be used in addition to 
the required number of surveillance capsules.
    3. A proposed withdrawal schedule must be submitted with a technical 
justification as specified in Sec. 50.4. The proposed schedule must be 
approved prior to implementation.
    C. Requirements for an Integrated Surveillance Program.
    1. In an integrated surveillance program, the representative 
materials chosen for surveillance for a reactor are irradiated in one or 
more other reactors that have similar design and operating features. 
Integrated surveillance programs must be approved by the Director, 
Office of Nuclear Reactor Regulation, on a case-by-case basis. Criteria 
for approval include the following:
    a. The reactor in which the materials will be irradiated and the 
reactor for which the materials are being irradiated must have 
sufficiently similar design and operating features to permit accurate 
comparisons of the predicted amount of radiation damage.
    b. Each reactor must have an adequate dosimetry program.
    c. There must be adequate arrangement for data sharing between 
plants.
    d. There must be a contingency plan to assure that the surveillance 
program for each reactor will not be jeopardized by operation at reduced 
power level or by an extended outage of another reactor from which data 
are expected.
    e. There must be substantial advantages to be gained, such as 
reduced power outages or reduced personnel exposure to radiation, as a 
direct result of not requiring surveillance capsules in all reactors in 
the set.

[[Page 759]]

    2. No reduction in the requirements for number of materials to be 
irradiated, specimen types, or number of specimens per reactor is 
permitted.
    3. After (the effective date of this section), no reduction in the 
amount of testing is permitted unless previously authorized by the 
Director, Office of Nuclear Reactor Regulation.

                       IV. Report of Test Results

    A. Each capsule withdrawal and the test results must be the subject 
of a summary technical report to be submitted, as specified in 
Sec. 50.4, within one year of the date of capsule withdrawal, unless an 
extension is granted by the Director, Office of Nuclear Reactor 
Regulation.
    B. The report must include the data required by ASTM E 185, as 
specified in paragraph III.B.1 of this appendix, and the results of all 
fracture toughness tests conducted on the beltline materials in the 
irradiated and unirradiated conditions.
    C. If a change in the Technical Specifications is required, either 
in the pressure-temperature limits or in the operating procedures 
required to meet the limits, the expected date for submittal of the 
revised Technical Specifications must be provided with the report.

[60 FR 65476, Dec. 19, 1995]

   Appendix I to Part 50--Numerical Guides for Design Objectives and 
 Limiting Conditions for Operation to Meet the Criterion ``As Low as is 
 Reasonably Achievable'' for Radioactive Material in Light-Water-Cooled 
                     Nuclear Power Reactor Effluents

    SECTION I. Introduction. Section 50.34a provides that an application 
for a permit to construct a nuclear power reactor shall include a 
description of the preliminary design of equipment to be installed to 
maintain control over radioactive materials in gaseous and liquid 
effluents produced during normal conditions, including expected 
occurrences. In the case of an application filed on or after January 2, 
1971, the application must also identify the design objectives, and the 
means to be employed, for keeping levels of radioactive material in 
effluents to unrestricted areas as low as practicable.
    Section 50.36a contains provisions designed to assure that releases 
of radioactive material from nuclear power reactors to unrestricted 
areas during normal conditions, including expected occurrences, are kept 
as low as practicable.
    Sec. II. Guides on design objectives for light-water-cooled nuclear 
power reactors licensed under 10 CFR Part 50. The guides on design 
objectives set forth in this section may be used by an applicant for a 
permit to construct a light-water-cooled nuclear power reactor as 
guidance in meeting the requirements of Sec. 50.34a(a). The applicant 
shall provide reasonable assurance that the following design objectives 
will be met.
    A. The calculated annual total quantity of all radioactive material 
above background 1 to be released from each light-water-cooled 
nuclear power reactor to unrestricted areas will not result in an 
estimated annual dose or dose commitment from liquid effluents for any 
individual in an unrestricted area from all pathways of exposure in 
excess of 3 millirems to the total body or 10 millirems to any organ.

    1 Here and elsewhere in this appendix background means 
radioactive materials in the environment and in the effluents from 
light-water-cooled power reactors not generated in, or attributable to, 
the reactors of which specific account is required in determining design 
objectives.
---------------------------------------------------------------------------

    B.1. The calculated annual total quantity of all radioactive 
material above background to be released from each light-water-cooled 
nuclear power reactor to the atmosphere will not result in an estimated 
annual air dose from gaseous effluents at any location near ground level 
which could be occupied by individuals in unrestricted areas in excess 
of 10 millirads for gamma radiation or 20 millirads for beta radiation.
    2. Notwithstanding the guidance of paragraph B.1:
    (a) The Commission may specify, as guidance on design objectives, a 
lower quantity of radioactive material above background to be released 
to the atmosphere if it appears that the use of the design objectives in 
paragraph B.1 is likely to result in an estimated annual external dose 
from gaseous effluents to any individual in an unrestricted area in 
excess of 5 millirems to the total body; and
    (b) Design objectives based upon a higher quantity of radioactive 
material above background to be released to the atmosphere than the 
quantity specified in paragraph B.1 will be deemed to meet the 
requirements for keeping levels of radioactive material in gaseous 
effluents as low as is reasonably achievable if the applicant provides 
reasonable assurance that the proposed higher quantity will not result 
in an estimated annual external dose from gaseous effluents to any 
individual in unrestricted areas in excess of 5 millirems to the total 
body or 15 millirems to the skin.
    C. The calculated annual total quantity of all radioactive iodine 
and radioactive material in particulate form above background to

[[Page 760]]

be released from each light-water-cooled nuclear power reactor in 
effluents to the atmosphere will not result in an estimated annual dose 
or dose commitment from such radioactive iodine and radioactive material 
in particulate form for any individual in an unrestricted area from all 
pathways of exposure in excess of 15 millirems to any organ.
    D. In addition to the provisions of paragraphs A, B, and C above, 
the applicant shall include in the radwaste system all items of 
reasonably demonstrated technology that, when added to the system 
sequentially and in order of diminishing cost-benefit return, can for a 
favorable cost-benefit ratio effect reductions in dose to the population 
reasonably expected to be within 50 miles of the reactor. As an interim 
measure and until establishment and adoption of better values (or other 
appropriate criteria), the values $1000 per total body man-rem and $1000 
per man-thyroid-rem (or such lesser values as may be demonstrated to be 
suitable in a particular case) shall be used in this cost-benefit 
analysis. The requirements of this paragraph D need not be complied with 
by persons who have filed applications for construction permits which 
were docketed on or after January 2, 1971, and prior to June 4, 1976, if 
the radwaste systems and equipment described in the preliminary or final 
safety analysis report and amendments thereto satisfy the Guides on 
Design Objectives for Light-Water-Cooled Nuclear Power Reactors proposed 
in the Concluding Statement of Position of the Regulatory Staff in 
Docket-RM-50-2 dated February 20, 1974, pp. 25-30, reproduced in the 
Annex to this Appendix I.
    Sec. III. Implementation. A.1. Conformity with the guides on design 
objectives of Section II shall be demonstrated by calculational 
procedures based upon models and data such that the actual exposure of 
an individual through appropriate pathways is unlikely to be 
substantially underestimated, all uncertainties being considered 
together. Account shall be taken of the cumulative effect of all sources 
and pathways within the plant contributing to the particular type of 
effluent being considered. For determination of design objectives in 
accordance with the guides of Section II, the estimations of exposure 
shall be made with respect to such potential land and water usage and 
food pathways as could actually exist during the term of plant 
operation: Provided, That, if the requirements of paragraph B of Section 
III are fulfilled, the applicant shall be deemed to have complied with 
the requirements of paragraph C of Section II with respect to 
radioactive iodine if estimations of exposure are made on the basis of 
such food pathways and individual receptors as actually exist at the 
time the plant is licensed.
    2. The characteristics attributed to a hypothetical receptor for the 
purpose of estimating internal dose commitment shall take into account 
reasonable deviations of individual habits from the average. The 
applicant may take account of any real phenomenon or factors actually 
affecting the estimate of radiation exposure, including the 
characteristics of the plant, modes of discharge of radioactive 
materials, physical processes tending to attenuate the quantity of 
radioactive material to which an individual would be exposed, and the 
effects of averaging exposures over times during which determining 
factors may fluctuate.
    B. If the applicant determines design objectives with respect to 
radioactive iodine on the basis of existing conditions and if potential 
changes in land and water usage and food pathways could result in 
exposures in excess of the guideline values of paragraph C of Section 
II, the applicant shall provide reasonable assurance that a monitoring 
and surveillance program will be performed to determine:
    1. The quantities of radioactive iodine actually released to the 
atmosphere and deposited relative to those estimated in the 
determination of design objectives;
    2. Whether changes in land and water usage and food pathways which 
would result in individual exposures greater than originally estimated 
have occurred; and
    3. The content of radioactive iodine and foods involved in the 
changes, if and when they occur.
    SEC. IV. Guides on technical specifications for limiting conditions 
for operation for light-water-cooled nuclear power reactors licensed 
under 10 CFR part 50. The guides on limiting conditions for operation 
for light-water-cooled nuclear power reactors set forth below may be 
used by an applicant for a license to operate a light-water-cooled 
nuclear power reactor or a licensee who has submitted a certification of 
permanent cessation of operations under Sec. 50.82(a)(1) as guidance in 
developing technical specifications under Sec. 50.36a(a) to keep levels 
of radioactive materials in effluents to unrestricted areas as low as is 
reasonably achievable.
    Section 50.36a(b) provides that licensees shall be guided by certain 
considerations in establishing and implementing operating procedures 
specified in technical specifications that take into account the need 
for operating flexibility and at the same time assure that the licensee 
will exert his best effort to keep levels of radioactive material in 
effluents as low as is reasonably achievable. The guidance set forth 
below provides additional and more specific guidance to licensees in 
this respect.
    Through the use of the guides set forth in this section it is 
expected that the annual release of radioactive material in effluents 
from light-water-cooled nuclear power reactors can generally be 
maintained within the levels set forth as numerical guides for design 
objectives in Section II.

[[Page 761]]

    At the same time, the licensee is permitted the flexibility of 
operations, compatible with considerations of health and safety, to 
assure that the public is provided a dependable source of power even 
under unusual conditions which may temporarily result in releases higher 
than numerical guides for design objectives but still within levels that 
assure that the average population exposure is equivalent to small 
fractions of doses from natural background radiation. It is expected 
that in using this operational flexibility under unusual conditions, the 
licensee will exert his best efforts to keep levels of radioactive 
material in effluents within the numerical guides for design objectives.
    A. If the quantity of radioactive material actually released in 
effluents to unrestricted areas from a light-water-cooled nuclear power 
reactor during any calendar quarter is such that the resulting radiation 
exposure, calculated on the same basis as the respective design 
objective exposure, would exceed one-half the design objective annual 
exposure derived pursuant to Sections II and III, the licensee shall: 
2
---------------------------------------------------------------------------

    2 Section 50.36a(a)(2) requires the licensee to submit certain 
reports to the Commission with regard to the quantities of the principal 
radionuclides released to unrestricted areas. It also provides that, on 
the basis of such reports and any additional information the Commission 
may obtain from the licensee and others, the Commission may from time to 
time require the license to take such action as the Commission deems 
appropriate.
---------------------------------------------------------------------------

    1. Make an investigation to identify the causes for such release 
rates;
    2. Define and initiate a program of corrective action; and
    3. Report these actions as specified in Sec. 50.4, within 30 days 
from the end of the quarter during which the release occurred.
    B. The licensee shall establish an appropriate surveillance and 
monitoring program to:
    1. Provide data on quantities of radioactive material released in 
liquid and gaseous effluents to assure that the provisions of paragraph 
A of this section are met;
    2. Provide data on measurable levels of radiation and radioactive 
materials in the environment to evaluate the relationship between 
quantities of radioactive material released in effluents and resultant 
radiation doses to individuals from principal pathways of exposure; and
    3. Identify changes in the use of unrestricted areas (e.g., for 
agricultural purposes) to permit modifications in monitoring programs 
for evaluating doses to individuals from principal pathways of exposure.
    C. If the data developed in the surveillance and monitoring program 
described in paragraph B of Section III or from other monitoring 
programs show that the relationship between the quantities of 
radioactive material released in liquid and gaseous effluents and the 
dose to individuals in unrestricted areas is significantly different 
from that assumed in the calculations used to determine design 
objectives pursuant to Sections II and III, the Commission may modify 
the quantities in the technical specifications defining the limiting 
conditions in a license to operate a light-water-cooled nuclear power 
reactor or a license whose holder has submitted a certification of 
permanent cessation of operations under Sec. 50.82(a)(1).
    Sec. V. Effective dates. A. The guides for limiting conditions for 
operation set forth in this appendix shall be applicable in any case in 
which an application was filed on or after January 2, 1971, for a permit 
to construct a light-water-cooled nuclear power reactor.
    B. For each light-water-cooled nuclear power reactor constructed 
pursuant to a permit for which application was filed prior to January 2, 
1971, the holder of the permit or a license, authorizing operation of 
the reactor shall, within a period of twelve months from June 4, 1975, 
file with the Commission:
    1. Such information as is necessary to evaluate the means employed 
for keeping levels of radioactivity in effluents to unrestricted areas 
as low as is reasonably achievable, including all such information as is 
required by Sec. 50.34a (b) and (c) not already contained in his 
application; and
    2. Plans and proposed technical specifications developed for the 
purpose of keeping releases of radioactive materials to unrestricted 
areas during normal reactor operations, including expected operational 
occurrences, as low as is reasonably achievable.

 Concluding Statement of Position of the Regulatory Staff (Docket-RM-50-
                                   2)

    guides on design objectives for light-water-cooled nuclear power 
                                reactors

    A. For radioactive material above background 1 in liquid 
effluents to be released to unrestricted areas:
---------------------------------------------------------------------------

    1 ``Background,'' means the quantity of radioactive material in 
the effluent from light-water-cooled nuclear power reactors at a site 
that did not originate in the reactors.
---------------------------------------------------------------------------

    1. The calculated annual total quantity of all radioactive material 
from all light-water-cooled nuclear power reactors at a site should not 
result in an annual dose or dose commitment to the total body or to any 
organ of an individual in an unrestricted area from all pathways of 
exposure in excess of 5 millirems; and
    2. The calculated annual total quantity of radioactive material, 
except tritium and dissolved gases, should not exceed 5 curies for each 
light-water-cooled reactor at a site.

[[Page 762]]

    3. Notwithstanding the guidance in paragraph A.2, for a particular 
site, if an applicant for a permit to construct a light-water-cooled 
nuclear power reactor has proposed baseline in-plant control measures 
2 to reduce the possible sources of radioactive material in liquid 
effluent releases and the calculated quantity exceeds the quantity set 
forth in paragraph A.2, the requirements for design objectives for 
radioactive material in liquid effluents may be deemed to have been met 
provided:
---------------------------------------------------------------------------

    2 Such measures may include treatment of clear liquid waste 
streams (normally tritiated, nonaerated, low conductivity equipment 
drains and pump seal leakoff), dirty liquid waste streams (normally 
nontritiated, aerated, high conductivity building sumps, floor and 
sample station drains), steam generator blowdown streams, chemical waste 
streams, low purity and high purity liquid streams (resin regenerate and 
laboratory wastes), as appropriate for the type of reactor.
---------------------------------------------------------------------------

    a. The applicant submits, as specified in Sec. 50.4, an evaluation 
of the potential for effects from long-term buildup on the environment 
in the vicinity of the site of radioactive material, with a radioactive 
half-life greater than one year, to be released; and
    b. The provisions of paragraph A.1 are met.
    B. For radioactive material above background in gaseous effluents 
the annual total quantity of radioactive material to be released to the 
atmosphere by all light-water-cooled nuclear power reactors at a site:
    1. The calculated annual air dose due to gamma radiation at any 
location near ground level which could be occupied by individuals at or 
beyond the boundary of the site should not exceed 10 millirads; and
    2. The calculated annual air dose due to beta radiation at any 
location near ground level which could be occupied by individuals at or 
beyond the boundary of the site should not exceed 20 millirads.
    3. Notwithstanding the guidance in paragraphs B.1 and B.2, for a 
particular site:
    a. The Commission may specify, as guidance on design objectives, a 
lower quantity of radioactive material above background in gaseous 
effluents to be released to the atmosphere if it appears that the use of 
the design objectives described in paragraphs B.1 and B.2 is likely to 
result in an annual dose to an individual in an unrestricted area in 
excess of 5 millirems to the total body or 15 millirems to the skin; or
    b. Design objectives based on a higher quantity of radioactive 
material above background in gaseous effluents to be released to the 
atmosphere than the quantity specified in paragraphs B.1 and B.2 may be 
deemed to meet the requirements for keeping levels of radioactive 
material in gaseous effluents as low as practicable if the applicant 
provides reasonable assurance that the proposed higher quantity will not 
result in annual doses to an individual in an unrestricted area in 
excess of 5 millirems to the total body or 15 millirems to the skin.
    C. For radioactive iodine and radioactive material in particulate 
form above background released to the atmosphere:
    1. The calculated annual total quantity of all radioactive iodine 
and radioactive material in particulate form from all light-water-cooled 
nuclear power reactors at a site should not result in an annual dose or 
dose commitment to any organ of an individual in an unrestricted area 
from all pathways of exposure in excess of 15 millirems. In determining 
the dose or dose commitment the portion thereof due to intake of 
radioactive material via the food pathways may be evaluated at the 
locations where the food pathways actually exist; and
    2. The calculated annual total quantity of iodine-131 in gaseous 
effluents should not exceed 1 curie for each light-water-cooled nuclear 
power reactor at a site.
    3. Notwithstanding the guidance in paragraphs C.1 and C.2 for a 
particular site, if an applicant for a permit to construct a light-
water-cooled nuclear power reactor has proposed baseline in-plant 
control measures 3 to reduce the possible sources of radioactive 
iodine releases, and the calculated annual quantities taking into 
account such control measures exceed the design objective quantities set 
forth in paragraphs C.1 and C.2, the requirements for design objectives 
for radioactive iodine and radioactive material in particulate form in 
gaseous effluents may be deemed to have been met provided the calculated 
annual total quantity of all radioactive iodine and radioactive material 
in particulate form that may be released in gaseous effluents does not 
exceed four times the quantity calculated pursuant to paragraph C.1.

    3 Such in-plant control measures may include treatment of steam 
generator blowdown tank exhaust, clean steam supplies for turbine gland 
seals, condenser vacuum systems, containment purging exhaust and 
ventilation exhaust systems and special design features to reduce 
contaminated steam and liquid leakage from valves and other sources such 
as sumps and tanks, as appropriate for the type of reactor.

[40 FR 19442, May 5, 1975, as amended at 40 FR 40818, Sept. 4, 1975; 40 
FR 58847, Dec. 19, 1975; 41 FR 16447, Apr. 19, 1976; 42 FR 20139, Apr. 
18, 1977; 51 FR 40311, Nov. 6, 1986; 61 FR 39303, July 29, 1996]

[[Page 763]]



 Appendix J to Part 50--Primary Reactor Containment Leakage Testing for 
                       Water-Cooled Power Reactors

    This appendix includes two options, A and B, either of which can be 
chosen for meeting the requirements of this appendix.

                   Option A--Prescriptive Requirements

                            Table of Contents

    I. Introduction.
    II. Explanation of terms.
    III. Leakage test requirements.
    A. Type A test.
    B. Type B test.
    C. Type C test.
    D. Periodic retest schedule.
    IV. Special test requirements.
    A. Containment modifications.
    B. Multiple leakage-barrier containments.
    V. Inspection and reporting of tests.
    A. Containment inspection.
    B. Report of test results.

                             I. Introduction

    One of the conditions of all operating licenses for water-cooled 
power reactors as specified in Sec. 50.54(o) is that primary reactor 
containments shall meet the containment leakage test requirements set 
forth in this appendix. These test requirements provide for 
preoperational and periodic verification by tests of the leak-tight 
integrity of the primary reactor containment, and systems and components 
which penetrate containment of water-cooled power reactors, and 
establish the acceptance criteria for such tests. The purposes of the 
tests are to assure that (a) leakage through the primary reactor 
containment and systems and components penetrating primary containment 
shall not exceed allowable leakage rate values as specified in the 
technical specifications or associated bases and (b) periodic 
surveillance of reactor containment penetrations and isolation valves is 
performed so that proper maintenance and repairs are made during the 
service life of the containment, and systems and components penetrating 
primary containment. These test requirements may also be used for 
guidance in establishing appropriate containment leakage test 
requirements in technical specifications or associated bases for other 
types of nuclear power reactors.

                        II. Explanation of Terms

    A. ``Primary reactor containment'' means the structure or vessel 
that encloses the components of the reactor coolant pressure boundary, 
as defined in Sec. 50.2(v), and serves as an essentially leak-tight 
barrier against the uncontrolled release of radioactivity to the 
environment.
    B. ``Containment isolation valve'' means any valve which is relied 
upon to perform a containment isolation function.
    C. ``Reactor containment leakage test program'' includes the 
performance of Type A, Type B, and Type C tests, described in II.F, 
II.G, and II.H, respectively.
    D. ``Leakage rate'' for test purposes is that leakage which occurs 
in a unit of time, stated as a percentage of weight of the original 
content of containment air at the leakage rate test pressure that 
escapes to the outside atmosphere during a 24-hour test period.
    E. ``Overall integrated leakage rate'' means that leakage rate which 
obtains from a summation of leakage through all potential leakage paths 
including containment welds, valves, fittings, and components which 
penetrate containment.
    F. ``Type A Tests'' means tests intended to measure the primary 
reactor containment overall integrated leakage rate (1) after the 
containment has been completed and is ready for operation, and (2) at 
periodic intervals thereafter.
    G. ``Type B Tests'' means tests intended to detect local leaks and 
to measure leakage across each pressure-containing or leakage-limiting 
boundary for the following primary reactor containment penetrations:
    1. Containment penetrations whose design incorporates resilient 
seals, gaskets, or sealant componds, piping penetrations fitted with 
expansion bellows, and electrical penetrations fitted with flexible 
metal seal assemblies.
    2. Air lock door seals, including door operating mechanism 
penetrations which are part of the containment pressure boundary.
    3. Doors with resilient seals or gaskets except for seal-welded 
doors.
    4. Components other than those listed in II.G.1, II.G.2, or II.G.3 
which must meet the acceptance criteria in III.B.3.
    H. ``Type C Tests'' means tests intended to measure containment 
isolation valve leakage rates. The containment isolation valves included 
are those that:
    1. Provide a direct connection between the inside and outside 
atmospheres of the primary reactor containment under normal operation, 
such as purge and ventilation, vacuum relief, and instrument valves;
    2. Are required to close automatically upon receipt of a containment 
isolation signal in response to controls intended to effect containment 
isolation;
    3. Are required to operate intermittently under postaccident 
conditions; and
    4. Are in main steam and feedwater piping and other systems which 
penetrate containment of direct-cycle boiling water power reactors.
    I. Pa (p.s.i.g.) means the calculated peak containment internal 
pressure related to the design basis accident and specified either in

[[Page 764]]

the technical specification or associated bases.
    J. Pt (p.s.i.g.) means the containment vessel reduced test pressure 
selected to measure the integrated leakage rate during periodic Type A 
tests.
    K. La (percent/24 hours) means the maximum allowable leakage rate at 
pressure Pa as specified for preoperational tests in the technical 
specifications or associated bases, and as specified for periodic tests 
in the operating license.
    L. Ld (percent/24 hours) means the design leakage rate at pressure, 
Pa, as specified in the technical specifications or associated bases.
    M. Lt (percent/24 hours) means the maximum allowable leakage rate at 
pressure Pt derived from the preoperational test data as specified in 
III.A.4.(a)(iii).
    N. Lam, Ltm (percent/24 hours) means the total measured containment 
leakage rates at pressure Pa and Pt, respectively, obtained from testing 
the containment with components and systems in the state as close as 
practical to that which would exist under design basis accident 
conditions (e.g., vented, drained, flooded or pressurized).
    O. ``Acceptance criteria'' means the standard against which test 
results are to be compared for establishing the functional acceptability 
of the containment as a leakage limiting boundary.

                    III. Leakage Testing Requirements

    A program consisting of a schedule for conducting Type A, B, and C 
tests shall be developed for leak testing the primary reactor 
containment and related systems and components penetrating primary 
containment pressure boundary.
    Upon completion of construction of the primary reactor containment, 
including installation of all portions of mechanical, fluid, electrical, 
and instrumentation systems penetrating the primary reactor containment 
pressure boundary, and prior to any reactor operating period, 
preoperational and periodic leakage rate tests, as applicable, shall be 
conducted in accordance with the following:
    A. Type A test--1. Pretest requirements. (a) Containment inspection 
in accordance with V. A. shall be performed as a prerequisite to the 
performance of Type A tests. During the period between the initiation of 
the containment inspection and the performance of the Type A test, no 
repairs or adjustments shall be made so that the containment can be 
tested in as close to the ``as is'' condition as practical. During the 
period between the completion of one Type A test and the initiation of 
the containment inspection for the subsequent Type A test, repairs or 
adjustments shall be made to components whose leakage exceeds that 
specified in the technical specification as soon as practical after 
identification. If during a Type A test, including the supplemental test 
specified in III.A.3.(b), potentially excessive leakage paths are 
identified which will interfere with satisfactory completion of the 
test, or which result in the Type A test not meeting the acceptance 
criteria III.A.4.(b) or III.A.5.(b), the Type A test shall be terminated 
and the leakage through such paths shall be measured using local leakage 
testing methods. Repairs and/or adjustments to equipment shall be made 
and Type A test performed. The corrective action taken and the change in 
leakage rate determined from the tests and overall integrated leakage 
determined from local leak and Type A tests shall be included in the 
summary report required by V.B.
    (b) Closure of containment isolation valves for the Type A test 
shall be accomplished by normal operation and without any preliminary 
exercising or adjustments (e.g., no tightening of valve after closure by 
valve motor). Repairs of maloperating or leaking valves shall be made as 
necessary. Information on any valve closure malfunction or valve leakage 
that require corrective action before the test, shall be included in the 
summary report required by V.B.
    (c) The containment test conditions shall stabilize for a period of 
about 4 hours prior to the start of a leakage rate test.
    (d) Those portions of the fluid systems that are part of the reactor 
coolant pressure boundary and are open directly to the containment 
atmosphere under post-accident conditions and become an extension of the 
boundary of the containment shall be opened or vented to the containment 
atmosphere prior to and during the test. Portions of closed systems 
inside containment that penetrate containment and rupture as a result of 
a loss of coolant accident shall be vented to the containment 
atmosphere. All vented systems shall be drained of water or other fluids 
to the extent necessary to assure exposure of the system containment 
isolation valves to containment air test pressure and to assure they 
will be subjected to the post accident differential pressure. Systems 
that are required to maintain the plant in a safe condition during the 
test shall be operable in their normal mode, and need not be vented. 
Systems that are normally filled with water and operating under post-
accident conditions, such as the containment heat removal system, need 
not be vented. However, the containment isolation valves in the systems 
defined in III.A.1.(d) shall be tested in accordance with III.C. The 
measured leakage rate from these tests shall be included in the summary 
report required by V.B.
    2. Conduct of tests. Preoperational leakage rate tests at either 
reduced or at peak pressure, shall be conducted at the intervals 
specified in III.D.

[[Page 765]]

    3. Test Methods. (a) All Type A tests shall be conducted in 
accordance with the provisions of the American National Standards N45.4-
1972, ``Leakage Rate Testing of Containment Structures for Nuclear 
Reactors,'' March 16, 1972. In addition to the Total time and Point-to-
Point methods described in that standard, the Mass Point Method, when 
used with a test duration of at least 24 hours, is an acceptable method 
to use to calculate leakage rates. A typical description of the Mass 
Point method can be found in the American National Standard ANSI/ANS 
56.8-1987, ``Containment System Leakage Testing Requirements,'' January 
20, 1987. Incorporation of ANSI N45.4-1972 by reference was approved by 
the Director of the Federal Register. Copies of this standard, as well 
as ANSI/ANS-56.8-1987, ``Containment System Leakage Testing 
Requirements'' (dated January 20, 1987) may be obtained from the 
American Nuclear Society, 555 North Kensington Avenue, La Grange Park, 
IL 60525. A copy of each of these standards is available for inspection 
at the NRC Library, 11545 Rockville Pike, Rockville, Maryland 20852-
2738.
    (b) The accuracy of any Type A test shall be verified by a 
supplemental test. An acceptable method is described in Appendix C of 
ANSI N45.4-1972. The supplemental test method selected shall be 
conducted for sufficient duration to establish accurately the change in 
leakage rate between the Type A and supplemental test. Results from this 
supplemental test are acceptable provided the difference between the 
supplemental test data and the Type A test data is within 0.25 La (or 
0.25 Lt). If results are not within 0.25 La (or 0.25 Lt), the reason 
shall be determined, corrective action taken, and a successful 
supplemental test performed.
    (c) Test leakage rates shall be calculated using absolute values 
corrected for instrument error.
    4. Preoperational leakage rate tests. (a) Test pressure--(1) Reduced 
pressure tests. (i) An initial test shall be performed at a pressure Pt, 
not less than 0.50 Pa to measure a leakage rate Ltm.
    (ii) A second test shall be performed at pressure Pa to measure a 
leakage rate Lam.
    (iii) The leakage characteristics yielded by measurements Ltm and 
Lam shall establish the maximum allowable test leakage rate Lt of not 
more than La (Ltm/Lam). In the event Ltm/Lam is greater than 0.7, Lt 
shall be specified as equal to La (Pt/Pa). 1
---------------------------------------------------------------------------

    \1\ Such inservice inspections are required by Sec. 50.55a.
---------------------------------------------------------------------------

    (2) Peak pressure tests. A test shall be performed at pressure Pa to 
measure the leakage rate Lam.
    (b) Acceptance criteria--(1) Reduced pressure tests. The leakage 
rate Ltm shall be less than 0.75 Lt.
    (2) Peak pressure tests. The leakage rate Lam shall be less than 
0.75 La and not greater than Ld.
    5. Periodic leakage rate tests--(a) Test pressure. (1) Reduced 
pressure tests shall be conducted at Pt;
    (2) Peak pressure tests shall be conducted at Pa.
    (b) Acceptance criteria--(1) Reduced pressure tests. The leakage 
rate Ltm shall be less than 0.75 Lt. If local leakage measurements are 
taken to effect repairs in order to meet the acceptance criteria, these 
measurements shall be taken at a test pressure Pt.
    (2) Peak pressure tests. The leakage rate Lam shall be less than 
0.75 La. If local leakage measurements are taken to effect repairs in 
order to meet the acceptance criteria, these measurements shall be taken 
at a test pressure Pa.
    6. Additional requirements. (a) If any periodic Type A test fails to 
meet the applicable acceptance criteria in III.A.5.(b), the test 
schedule applicable to subsequent Type A tests will be reviewed and 
approved by the Commission.
    (b) If two consecutive periodic Type A tests fail to meet the 
applicable acceptance criteria in III.A.5(b), notwithstanding the 
periodic retest schedule of III.D., a Type A test shall be performed at 
each plant shutdown for refueling or approximately every 18 months, 
whichever occurs first, until two consecutive Type A tests meet the 
acceptance criteria in III.A.5(b), after which time the retest schedule 
specified in III.D. may be resumed.
    B. Type B tests--1. Test methods. Acceptable means of performing 
preoperation and periodic Type B tests include:
    (a) Examination by halide leak-detection method (or by other 
equivalent test methods such as mass spectrometer) of a test chamber, 
pressurized with air, nitrogen, or pneumatic fluid specified in the 
technical specifications or associated bases and constructed as part of 
individual containment penetrations.
    (b) Measurement of the rate of pressure loss of the test chamber of 
the containment penetration pressurized with air, nitrogen, or pneumatic 
fluid specified in the technical specifications or associated bases.
    (c) Leakage surveillance by means of a permanently installed system 
with provisions for continuous or intermittent pressurization of 
individual or groups of containment penetrations and measurement of rate 
of pressure loss of air, nitrogen, or pneumatic fluid specified in the 
technical specification or associated bases through the leak paths.
    2. Test pressure. All preoperational and periodic Type B tests shall 
be performed by

[[Page 766]]

local pneumatic pressurization of the containment penetrations, either 
individually or in groups, at a pressure not less than Pa.
    3. Acceptance criteria. (See also Type C tests.) (a) The combined 
leakage rate of all penetrations and valves subject to Type B and C 
tests shall be less than 0.60 La, with the exception of the valves 
specified in III.C.3.
    (b) Leakage measurements obtained through component leakage 
surveillance systems (e.g., continuous pressurization of individual 
containment components) that maintains a pressure not less than Pa at 
individual test chambers of containment penetrations during normal 
reactor operation, are acceptable in lieu of Type B tests.
    C. Type C tests--1. Test method. Type C tests shall be performed by 
local pressurization. The pressure shall be applied in the same 
direction as that when the value would be required to perform its safety 
function, unless it can be determined that the results from the tests 
for a pressure applied in a different direction will provide equivalent 
or more conservative results. The test methods in III.B.1 may be 
substituted where appropriate. Each valve to be tested shall be closed 
by normal operation and without any preliminary exercising or 
adjustments (e.g., no tightening of valve after closure by valve motor).
    2. Test pressure. (a) Valves, unless pressurized with fluid (e.g., 
water, nitrogen) from a seal system, shall be pressurized with air or 
nitrogen at a pressure of Pa.
    (b) Valves, which are sealed with fluid from a seal system shall be 
pressurized with that fluid to a pressure not less than 1.10 Pa.
    3. Acceptance criterion. The combined leakage rate for all 
penetrations and valves subject to Type B and C tests shall be less than 
0.60 La. Leakage from containment isolation valves that are sealed with 
fluid from a seal system may be excluded when determining the combined 
leakage rate: Provided, That;
    (a) Such valves have been demonstrated to have fluid leakage rates 
that do not exceed those specified in the technical specifications or 
associated bases, and
    (b) The installed isolation valve seal-water system fluid inventory 
is sufficient to assure the sealing function for at least 30 days at a 
pressure of 1.10 Pa.
    D. Periodic retest schedule--1. Type A test. (a) After the 
preoperational leakage rate tests, a set of three Type A tests shall be 
performed, at approximately equal intervals during each 10-year service 
period. The third test of each set shall be conducted when the plant is 
shutdown for the 10-year plant inservice inspections. 2
---------------------------------------------------------------------------

    2 Such inservice inspections are required by Sec. 50.55a.
---------------------------------------------------------------------------

    (b) Permissible periods for testing. The performance of Type A tests 
shall be limited to periods when the plant facility is non-operational 
and secured in the shutdown condition under the administrative control 
and in accordance with the safety procedures defined in the license.
    2. Type B tests. (a) Type B tests, except tests for air locks, shall 
be performed during reactor shutdown for refueling, or other convenient 
intervals, but in no case at intervals greater than 2 years. If opened 
following a Type A or B test, containment penetrations subject to Type B 
testing shall be Type B tested prior to returning the reactor to an 
operating mode requiring containment integrity. For primary reactor 
containment penetrations employing a continuous leakage monitoring 
system, Type B tests, except for tests of air locks, may, 
notwithstanding the test schedule specified under III.D.1., be performed 
every other reactor shutdown for refueling but in no case at intervals 
greater than 3 years.
    (b)(i) Air locks shall be tested prior to initial fuel loading and 
at 6-month intervals thereafter at an internal pressure not less than 
Pa.
    (ii) Air locks opened during periods when containment integrity is 
not required by the plant's Technical Specifications shall be tested at 
the end of such periods at not less than Pa.
    (iii) Air locks opened during periods when containment integrity is 
required by the plant's Technical Specifications shall be tested within 
3 days after being opened. For air lock doors opened more frequently 
than once every 3 days, the air lock shall be tested at least once every 
3 days during the period of frequent openings. For air lock doors having 
testable seals, testing the seals fulfills the 3-day test requirements. 
In the event that the testing for this 3-day interval cannot be at 
Pa, the test pressure shall be as stated in the Technical 
Specifications. Air lock door seal testing shall not be substituted for 
the 6-month test of the entire air lock at not less than Pa.
    (iv) The acceptance criteria for air lock testing shall be stated in 
the Technical Specifications.
    3. Type C tests. Type C tests shall be performed during each reactor 
shutdown for refueling but in no case at intervals greater than 2 years.

                    IV. Special Testing Requirements

    A. Containment modification. Any major modification, replacement of 
a component which is part of the primary reactor containment boundary, 
or resealing a seal-welded door, performed after the preoperational 
leakage rate test shall be followed by either a Type A, Type B, or Type 
C test, as applicable for the area affected by the modification. The 
measured leakage from this test shall be

[[Page 767]]

included in the summary report required by V.B. The acceptance criteria 
of III.A.5.(b), III.B.3., or III.C.3., as appropriate, shall be met. 
Minor modifications, replacements, or resealing of seal-welded doors, 
performed directly prior to the conduct of a scheduled Type A test do 
not require a separate test.
    B. Multiple leakage barrier or subatmospheric containments. The 
primary reactor containment barrier of a multiple barrier or 
subatmospheric containment shall be subjected to Type A tests to verify 
that its leakage rate meets the requirements of this appendix. Other 
structures of multiple barrier or subatmospheric containments (e.g., 
secondary containments for boiling water reactors and shield buildings 
for pressurized water reactors that enclose the entire primary reactor 
containment or portions thereof) shall be subject to individual tests in 
accordance with the procedures specified in the technical 
specifications, or associated bases.

                  V. Inspection and Reporting of Tests

    A. Containment inspection. A general inspection of the accessible 
interior and exterior surfaces of the containment structures and 
components shall be performed prior to any Type A test to uncover any 
evidence of structural deterioration which may affect either the 
containment structural integrity or leak-tightness. If there is evidence 
of structural deterioration, Type A tests shall not be performed until 
corrective action is taken in accordance with repair procedures, non 
destructive examinations, and tests as specified in the applicable code 
specified in Sec. 50.55a at the commencement of repair work. Such 
structural deterioration and corrective actions taken shall be included 
in the summary report required by V.B.
    B. Recordkeeping of test results. 1. The preoperational and periodic 
tests must be documented in a readily available summary report that will 
be made available for inspection, upon request, at the nuclear power 
plant. The summary report shall include a schematic arrangement of the 
leakage rate measurement system, the instrumentation used, the 
supplemental test method, and the test program selected as applicable to 
the preoperational test, and all the subsequent periodic tests. The 
report shall contain an analysis and interpretation of the leakage rate 
test data for the Type A test results to the extent necessary to 
demonstrate the acceptability of the containment's leakage rate in 
meeting acceptance criteria.
    2. For each periodic test, leakage test results from Type A, B, and 
C tests shall be included in the summary report. The summary report 
shall contain an analysis and interpretation of the Type A test results 
and a summary analysis of periodic Type B and Type C tests that were 
performed since the last type A test. Leakage test results from type A, 
B, and C tests that failed to meet the acceptance criteria of 
III.A.5(b), III.B.3, and III.C.3, respectively, shall be included in a 
separate accompanying summary report that includes an analysis and 
interpretation of the test data, the least squares fit analysis of the 
test data, the instrumentation error analysis, and the structural 
conditions of the containment or components, if any, which contributed 
to the failure in meeting the acceptance criteria. Results and analyses 
of the supplemental verification test employed to demonstrate the 
validity of the leakage rate test measurements shall also be included.

                Option B--Performance-Based Requirements

                            Table of Contents

I. Introduction.
II. Definitions.
III. Performance-based leakage-test requirements.
    A. Type A test.
    B. Type B and C tests.
IV. Recordkeeping.
V. Application.

                             I. Introduction

    One of the conditions required of all operating licenses for light-
water-cooled power reactors as specified in Sec. 50.54(o) is that 
primary reactor containments meet the leakage-rate test requirements in 
either Option A or B of this appendix. These test requirements ensure 
that (a) leakage through these containments or systems and components 
penetrating these containments does not exceed allowable leakage rates 
specified in the Technical Specifications and (b) integrity of the 
containment structure is maintained during its service life. Option B of 
this appendix identifies the performance-based requirements and criteria 
for preoperational and subsequent periodic leakage-rate testing.3
---------------------------------------------------------------------------

    \3\ Specific guidance concerning a performance-based leakage-test 
program, acceptable leakage-rate test methods, procedures, and analyses 
that may be used to implement these requirements and criteria are 
provided in Regulatory Guide 1.163, ``Performance-Based Containment 
Leak-Test Program.''
---------------------------------------------------------------------------

                             II. Definitions

    Performance criteria means the performance standards against which 
test results are to be compared for establishing the acceptability of 
the containment system as a leakage-limiting boundary.
    Containment system means the principal barrier, after the reactor 
coolant pressure boundary, to prevent the release of quantities of 
radioactive material that would have a significant radiological effect 
on the health of the public.

[[Page 768]]

    Overall integrated leakage rate means the total leakage rate through 
all tested leakage paths, including containment welds, valves, fittings, 
and components that penetrate the containment system.
    La (percent/24 hours) means the maximum allowable leakage rate at 
pressure Pa as specified in the Technical Specifications.
    Pa (p.s.i.g) means the calculated peak containment internal pressure 
related to the design basis loss-of-coolant accident as specified in the 
Technical Specifications.

            III. Performance-Based Leakage-Test Requirements

                             A. Type A Test

    Type A tests to measure the containment system overall integrated 
leakage rate must be conducted under conditions representing design 
basis loss-of-coolant accident containment peak pressure. A Type A test 
must be conducted (1) after the containment system has been completed 
and is ready for operation and (2) at a periodic interval based on the 
historical performance of the overall containment system as a barrier to 
fission product releases to reduce the risk from reactor accidents. A 
general visual inspection of the accessible interior and exterior 
surfaces of the containment system for structural deterioration which 
may affect the containment leak-tight integrity must be conducted prior 
to each test, and at a periodic interval between tests based on the 
performance of the containment system. The leakage rate must not exceed 
the allowable leakage rate (La) with margin, as specified in the 
Technical Specifications. The test results must be compared with 
previous results to examine the performance history of the overall 
containment system to limit leakage.

                          B. Type B and C Tests

    Type B pneumatic tests to detect and measure local leakage rates 
across pressure retaining, leakage-limiting boundaries, and Type C 
pneumatic tests to measure containment isolation valve leakage rates, 
must be conducted (1) prior to initial criticality, and (2) periodically 
thereafter at intervals based on the safety significance and historical 
performance of each boundary and isolation valve to ensure the integrity 
of the overall containment system as a barrier to fission product 
release to reduce the risk from reactor accidents. The performance-based 
testing program must contain a performance criterion for Type B and C 
tests, consideration of leakage-rate limits and factors that are 
indicative of or affect performance, when establishing test intervals, 
evaluations of performance of containment system components, and 
comparison to previous test results to examine the performance history 
of the overall containment system to limit leakage. The tests must 
demonstrate that the sum of the leakage rates at accident pressure of 
Type B tests, and pathway leakage rates from Type C tests, is less than 
the performance criterion (La) with margin, as specified in the 
Technical Specification.

                            IV. Recordkeeping

    The results of the preoperational and periodic Type A, B, and C 
tests must be documented to show that performance criteria for leakage 
have been met. The comparison to previous results of the performance of 
the overall containment system and of individual components within it 
must be documented to show that the test intervals established for the 
containment system and components within it are adequate. These records 
must be available for inspection at plant sites.
    If the test results exceed the performance criteria (La) as defined 
in the plant Technical Specifications, those exceedances must be 
assessed for Emergency Notification System reporting under Secs. 50.72 
(b)(1)(ii) and Sec. 50.72 (b)(2)(i), and for a Licensee Event Report 
under Sec. 50.73 (a)(2)(ii).

                             V. Application

                            A. Applicability

    The requirements in either or both Option B, III.A for Type A tests, 
and Option B, III.B for Type B and C tests, may be adopted on a 
voluntary basis by an operating nuclear power reactor licensee as 
specified in Sec. 50.54 in substitution of the requirements for those 
tests contained in Option A of this appendix. If the requirements for 
tests in Option B, III.A or Option B, III.B are implemented, the 
recordkeeping requirements in Option B, IV for these tests must be 
substituted for the reporting requirements of these tests contained in 
Option A of this appendix.

                            B. Implementation

    1. Specific exemptions to Option A of this appendix that have been 
formally approved by the AEC or NRC, according to 10 CFR 50.12, are 
still applicable to Option B of this appendix if necessary, unless 
specifically revoked by the NRC.
    2. A licensee or applicant for an operating license may adopt Option 
B, or parts thereof, as specified in Section V.A of this Appendix, by 
submitting its implementation plan and request for revision to technical 
specifications (see paragraph B.3 below) to the Director of the Office 
of Nuclear Reactor Regulation.
    3. The regulatory guide or other implementation document used by a 
licensee, or applicant for an operating license, to develop a 
performance-based leakage-testing program must be included, by general 
reference, in

[[Page 769]]

the plant technical specifications. The submittal for technical 
specification revisions must contain justification, including supporting 
analyses, if the licensee chooses to deviate from methods approved by 
the Commission and endorsed in a regulatory guide.
    4. The detailed licensee programs for conducting testing under 
Option B must be available at the plant site for NRC inspection.

[38 FR 4386, Feb. 14, 1973; 38 FR 5997, Mar. 6, 1973, as amended at 41 
FR 16447, Apr. 19, 1976; 45 FR 62789, Sept. 22, 1980; 51 FR 40311, Nov. 
6, 1986; 53 FR 45891, Nov. 15, 1988; 57 FR 61786, Dec. 29, 1992; 59 FR 
50689, Oct. 5, 1994; 60 FR 13616, Mar. 14, 1995; 60 FR 49504, Sept. 26, 
1995]

              Appendix K to Part 50--ECCS Evaluation Models

    I. Required and Acceptable Features of Evaluation Models.
    II. Required Documentation.

      I. Required and Acceptable Features of the Evaluation Models

                   A. Sources of heat during the LOCA.

    For the heat sources listed in paragraphs 1 to 4 below it shall be 
assumed that the reactor has been operating continuously at a power 
level at least 1.02 times the licensed power level (to allow for such 
uncertainties as instrumentation error), with the maximum peaking factor 
allowed by the technical specifications. A range of power distribution 
shapes and peaking factors representing power distributions that may 
occur over the core lifetime shall be studied and the one selected 
should be that which results in the most severe calculated consequences, 
for the spectrum of postulated breaks and single failures analyzed.
    1. The Initial Stored Energy in the Fuel. The steady-state 
temperature distribution and stored energy in the fuel before the 
hypothetical accident shall be calculated for the burn-up that yields 
the highest calculated cladding temperature (or, optionally, the highest 
calculated stored energy.) To accomplish this, the thermal conductivity 
of the UO2 shall be evaluated as a function of burn-up and 
temperature, taking into consideration differences in initial density, 
and the thermal conductance of the gap between the UO2 and the 
cladding shall be evaluated as a function of the burn-up, taking into 
consideration fuel densification and expansion, the composition and 
pressure of the gases within the fuel rod, the initial cold gap 
dimension with its tolerances, and cladding creep.
    2. Fission Heat. Fission heat shall be calculated using reactivity 
and reactor kinetics. Shutdown reactivities resulting from temperatures 
and voids shall be given their minimum plausible values, including 
allowance for uncertainties, for the range of power distribution shapes 
and peaking factors indicated to be studied above. Rod trip and 
insertion may be assumed if they are calculated to occur.
    3. Decay of Actinides. The heat from the radioactive decay of 
actinides, including neptunium and plutonium generated during operation, 
as well as isotopes of uranium, shall be calculated in accordance with 
fuel cycle calculations and known radioactive properties. The actinide 
decay heat chosen shall be that appropriate for the time in the fuel 
cycle that yields the highest calculated fuel temperature during the 
LOCA.
    4. Fission Product Decay. The heat generation rates from radioactive 
decay of fission products shall be assumed to be equal to 1.2 times the 
values for infinite operating time in the ANS Standard (Proposed 
American Nuclear Society Standards-- ``Decay Energy Release Rates 
Following Shutdown of Uranium-Fueled Thermal Reactors.'' Approved by 
Subcommittee ANS-5, ANS Standards Committee, October 1971). This 
standard has been approved for incorporation by reference by the 
Director of the Federal Register. A copy of the standard is available 
for inspection at the NRC Library, 11545 Rockville Pike, Rockville, 
Maryland 20852-2738. The fraction of the locally generated gamma energy 
that is deposited in the fuel (including the cladding) may be different 
from 1.0; the value used shall be justified by a suitable calculation.
    5. Metal--Water Reaction Rate. The rate of energy release, hydrogen 
generation, and cladding oxidation from the metal/water reaction shall 
be calculated using the Baker-Just equation (Baker, L., Just, L.C., 
``Studies of Metal Water Reactions at High Temperatures, III. 
Experimental and Theoretical Studies of the Zirconium-Water Reaction,'' 
ANL-6548, page 7, May 1962). This publication has been approved for 
incorporation by reference by the Director of the Federal Register. A 
copy of the publication is available for inspection at the NRC Library, 
11545 Rockville Pike, Two White Flint North, Rockville, Maryland 20852-
2738. The reaction shall be assumed not to be steam limited. For rods 
whose cladding is calculated to rupture during the LOCA, the inside of 
the cladding shall be assumed to react after the rupture. The 
calculation of the reaction rate on the inside of the cladding shall 
also follow the Baker-Just equation, starting at the time when the 
cladding is calculated to rupture, and extending around the cladding 
inner circumference and axially no less that 1.5 inches each way from 
the location of the rupture, with the reaction assumed not to be steam 
limited.
    6. Reactor Internals Heat Transfer. Heat transfer from piping, 
vessel walls, and non-fuel internal hardware shall be taken into 
account.

[[Page 770]]

    7. Pressurized Water Reactor Primary-to-Secondary Heat Transfer. 
Heat transferred between primary and secondary systems through heat 
exchangers (steam generators) shall be taken into account. (Not 
applicable to Boiling Water Reactors.)

 B. Swelling and Rupture of the Cladding and Fuel Rod Thermal Parameters

    Each evaluation model shall include a provision for predicting 
cladding swelling and rupture from consideration of the axial 
temperature distribution of the cladding and from the difference in 
pressure between the inside and outside of the cladding, both as 
functions of time. To be acceptable the swelling and rupture 
calculations shall be based on applicable data in such a way that the 
degree of swelling and incidence of rupture are not underestimated. The 
degree of swelling and rupture shall be taken into account in 
calculations of gap conductance, cladding oxidation and embrittlement, 
and hydrogen generation.
    The calculations of fuel and cladding temperatures as a function of 
time shall use values for gap conductance and other thermal parameters 
as functions of temperature and other applicable time-dependent 
variables. The gap conductance shall be varied in accordance with 
changes in gap dimensions and any other applicable variables.

                          C. Blowdown Phenomena

    1. Break Characteristics and Flow. a. In analyses of hypothetical 
loss-of-coolant accidents, a spectrum of possible pipe breaks shall be 
considered. This spectrum shall include instantaneous double-ended 
breaks ranging in cross-sectional area up to and including that of the 
largest pipe in the primary coolant system. The analysis shall also 
include the effects of longitudinal splits in the largest pipes, with 
the split area equal to the cross-sectional area of the pipe.
    b. Discharge Model. For all times after the discharging fluid has 
been calculated to be two-phase in composition, the discharge rate shall 
be calculated by use of the Moody model (F.J. Moody, ``Maximum Flow Rate 
of a Single Component, Two-Phase Mixture,'' Journal of Heat Transfer, 
Trans American Society of Mechanical Engineers, 87, No. 1, February, 
1965). This publication has been approved for incorporation by reference 
by the Director of the Federal Register. A copy of this publication is 
available for inspection at the NRC Library, 11545 Rockville Pike, 
Rockville, Maryland 20852-2738. The calculation shall be conducted with 
at least three values of a discharge coefficient applied to the 
postulated break area, these values spanning the range from 0.6 to 1.0. 
If the results indicate that the maximum clad temperature for the 
hypothetical accident is to be found at an even lower value of the 
discharge coefficient, the range of discharge coefficients shall be 
extended until the maximum clad temperatures calculated by this 
variation has been achieved.
    c. End of Blowdown. (Applies Only to Pressurized Water Reactors.) 
For postulated cold leg breaks, all emergency cooling water injected 
into the inlet lines or the reactor vessel during the bypass period 
shall in the calculations be subtracted from the reactor vessel 
calculated inventory. This may be executed in the calculation during the 
bypass period, or as an alternative the amount of emergency core cooling 
water calculated to be injected during the bypass period may be 
subtracted later in the calculation from the water remaining in the 
inlet lines, downcomer, and reactor vessel lower plenum after the bypass 
period. This bypassing shall end in the calculation at a time designated 
as the ``end of bypass,'' after which the expulsion or entrainment 
mechanisms responsible for the bypassing are calculated not to be 
effective. The end-of-bypass definition used in the calculation shall be 
justified by a suitable combination of analysis and experimental data. 
Acceptable methods for defining ``end of bypass'' include, but are not 
limited to, the following: (1) Prediction of the blowdown calculation of 
downward flow in the downcomer for the remainder of the blowdown period; 
(2) Prediction of a threshold for droplet entrainment in the upward 
velocity, using local fluid conditions and a conservative critical Weber 
number.
    d. Noding Near the Break and the ECCS Injection Points. The noding 
in the vicinity of and including the broken or split sections of pipe 
and the points of ECCS injection shall be chosen to permit a reliable 
analysis of the thermodynamic history in these regions during blowdown.
    2. Frictional Pressure Drops. The frictional losses in pipes and 
other components including the reactor core shall be calculated using 
models that include realistic variation of friction factor with Reynolds 
number, and realistic two-phase friction multipliers that have been 
adequately verified by comparison with experimental data, or models that 
prove at least equally conservative with respect to maximum clad 
temperature calculated during the hypothetical accident. The modified 
Baroczy correlation (Baroczy, C. J., ``A Systematic Correlation for Two-
Phase Pressure Drop,'' Chem. Enging. Prog. Symp. Series, No. 64, Vol. 
62, 1965) or a combination of the Thom correlation (Thom, J.R.S., 
``Prediction of Pressure Drop During Forced Circulation Boiling of 
Water,'' Int. J. of Heat & Mass Transfer, 7, 709-724, 1964) for 
pressures equal to or greater than 250 psia and the Martinelli-Nelson 
correlation (Martinelli, R. C. Nelson, D.B., ``Prediction of Pressure 
Drop During Forced Circulation Boiling of Water,'' Transactions of ASME, 
695-702, 1948) for pressures lower than 250 psia is

[[Page 771]]

acceptable as a basis for calculating realistic two-phase friction 
multipliers.
    3. Momentum Equation. The following effects shall be taken into 
account in the conservation of momentum equation: (1) temporal change of 
momentum, (2) momentum convection, (3) area change momentum flux, (4) 
momentum change due to compressibility, (5) pressure loss resulting from 
wall friction, (6) pressure loss resulting from area change, and (7) 
gravitational acceleration. Any omission of one or more of these terms 
under stated circumstances shall be justified by comparative analyses or 
by experimental data.
    4. Critical Heat Flux. a. Correlations developed from appropriate 
steady-state and transient-state experimental data are acceptable for 
use in predicting the critical heat flux (CHF) during LOCA transients. 
The computer programs in which these correlations are used shall contain 
suitable checks to assure that the physical parameters are within the 
range of parameters specified for use of the correlations by their 
respective authors.
    b. Steady-state CHF correlations acceptable for use in LOCA 
transients include, but are not limited to, the following:
    (1) W 3. L. S. Tong, ``Prediction of Departure from Nucleate Boiling 
for an Axially Non-uniform Heat Flux Distribution,'' Journal of Nuclear 
Energy, Vol. 21, 241-248, 1967.
    (2) B&W-2. J. S. Gellerstedt, R. A. Lee, W. J. Oberjohn, R. H. 
Wilson, L. J. Stanek, ``Correlation of Critical Heat Flux in a Bundle 
Cooled by Pressurized Water,'' Two-Phase Flow and Heat Transfer in Rod 
Bundles, ASME, New York, 1969.
    (3) Hench-Levy. J. M. Healzer, J. E. Hench, E. Janssen, S. Levy, 
``Design Basis for Critical Heat Flux Condition in Boiling Water 
Reactors,'' APED-5186, GE Company Private report, July 1966.
    (4) Macbeth. R. V. Macbeth, ``An Appraisal of Forced Convection 
Burnout Data,'' Proceedings of the Institute of Mechanical Engineers, 
1965-1966.
    (5) Barnett. P. G. Barnett, ``A Correlation of Burnout Data for 
Uniformly Heated Annuli and Its Uses for Predicting Burnout in Uniformly 
Heated Rod Bundles,'' AEEW-R 463, 1966.
    (6) Hughes. E. D. Hughes, ``A Correlation of Rod Bundle Critical 
Heat Flux for Water in the Pressure Range 150 to 725 psia,'' IN-1412, 
Idaho Nuclear Corporation, July 1970.
    c. Correlations of appropriate transient CHF data may be accepted 
for use in LOCA transient analyses if comparisons between the data and 
the correlations are provided to demonstrate that the correlations 
predict values of CHF which allow for uncertainty in the experimental 
data throughout the range of parameters for which the correlations are 
to be used. Where appropriate, the comparisons shall use statistical 
uncertainty analysis of the data to demonstrate the conservatism of the 
transient correlation.
    d. Transient CHF correlations acceptable for use in LOCA transients 
include, but are not limited to, the following:
    (1) GE transient CHF. B. C. Slifer, J. E. Hench, ``Loss-of-Coolant 
Accident and Emergency Core Cooling Models for General Electric Boiling 
Water Reactors,'' NEDO-10329, General Electric Company, Equation C-32, 
April 1971.
    e. After CHF is first predicted at an axial fuel rod location during 
blowdown, the calculation shall not use nucleate boiling heat transfer 
correlations at that location subsequently during the blowdown even if 
the calculated local fluid and surface conditions would apparently 
justify the reestablishment of nucleate boiling. Heat transfer 
assumptions characteristic of return to nucleate boiling (rewetting) 
shall be permitted when justified by the calculated local fluid and 
surface conditions during the reflood portion of a LOCA.
    5. Post-CHF Heat Transfer Correlations. a. Correlations of heat 
transfer from the fuel cladding to the surrounding fluid in the post-CHF 
regimes of transition and film boiling shall be compared to applicable 
steady-state and transient-state data using statistical correlation and 
uncertainty analyses. Such comparison shall demonstrate that the 
correlations predict values of heat transfer co-efficient equal to or 
less than the mean value of the applicable experimental heat transfer 
data throughout the range of parameters for which the correlations are 
to be used. The comparisons shall quantify the relation of the 
correlations to the statistical uncertainty of the applicable data.
    b. The Groeneveld flow film boiling correlation (equation 5.7 of 
D.C. Groeneveld, ``An Investigation of Heat Transfer in the Liquid 
Deficient Regime,'' AECL-3281, revised December 1969) and the 
Westinghouse correlation of steady-state transition boiling 
(``Proprietary Redirect/Rebuttal Testimony of Westinghouse Electric 
Corporation,'' USNRC Docket RM-50-1, page 25-1, October 26, 1972) are 
acceptable for use in the post-CHF boiling regimes. In addition, the 
transition boiling correlation of McDonough, Milich, and King (J.B. 
McDonough, W. Milich, E.C. King, ``An Experimental Study of Partial Film 
Boiling Region with Water at Elevated Pressures in a Round Vertical 
Tube,'' Chemical Engineering Progress Symposium Series, Vol. 57, No. 32, 
pages 197-208, (1961) is suitable for use between nucleate and film 
boiling. Use of all these correlations is restricted as follows:
    (1) The Groeneveld correlation shall not be used in the region near 
its low-pressure singularity,
    (2) The first term (nucleate) of the Westinghouse correlation and 
the entire McDonough, Milich, and King correlation

[[Page 772]]

shall not be used during the blowdown after the temperature difference 
between the clad and the saturated fluid first exceeds 300 deg. F,
    (3) Transition boiling heat transfer shall not be reapplied for the 
remainder of the LOCA blowdown, even if the clad superheat returns below 
300 deg. F, except for the reflood portion of the LOCA when justified by 
the calculated local fluid and surface conditions.
    c. Evaluation models approved after October 17, 1988, which make use 
of the Dougall-Rohsenow flow film boiling correlation (R.S. Dougall and 
W.M. Rohsenow, ``Film Boiling on the Inside of Vertical Tubes with 
Upward Flow of Fluid at Low Qualities,'' MIT Report Number 9079 26, 
Cambridge, Massachusetts, September 1963) may not use this correlation 
under conditions where nonconservative predictions of heat transfer 
result. Evaluation models that make use of the Dougall-Rohsenow 
correlation and were approved prior to October 17, 1988, continue to be 
acceptable until a change is made to, or an error is corrected in, the 
evaluation model that results in a significant reduction in the overall 
conservatism in the evaluation model. At that time continued use of the 
Dougall-Rohsenow correlation under conditions where nonconservative 
predictions of heat transfer result will no longer be acceptable. For 
this purpose, a significant reduction in the overall conservatism in the 
evaluation model would be a reduction in the calculated peak fuel 
cladding temperature of at least 50  deg.F from that which would have 
been calculated on October 17, 1988, due either to individual changes or 
error corrections or the net effect of an accumulation of changes or 
error corrections.
    6. Pump Modeling. The characteristics of rotating primary system 
pumps (axial flow, turbine, or centrifugal) shall be derived from a 
dynamic model that includes momentum transfer between the fluid and the 
rotating member, with variable pump speed as a function of time. The 
pump model resistance used for analysis should be justified. The pump 
model for the two-phase region shall be verified by applicable two-phase 
pump performance data. For BWR's after saturation is calculated at the 
pump suction, the pump head may be assumed to vary linearly with 
quality, going to zero for one percent quality at the pump suction, so 
long as the analysis shows that core flow stops before the quality at 
pump suction reaches one percent.
    7. Core Flow Distribution During Blowdown. (Applies only to 
pressurized water reactors.)
    a. The flow rate through the hot region of the core during blowdown 
shall be calculated as a function of time. For the purpose of these 
calculations the hot region chosen shall not be greater than the size of 
one fuel assembly. Calculations of average flow and flow in the hot 
region shall take into account cross flow between regions and any flow 
blockage calculated to occur during blowdown as a result of cladding 
swelling or rupture. The calculated flow shall be smoothed to eliminate 
any calculated rapid oscillations (period less than 0.1 seconds).
    b. A method shall be specified for determining the enthalpy to be 
used as input data to the hot channel heatup analysis from quantities 
calculated in the blowdown analysis, consistent with the flow 
distribution calculations.

          D. Post-Blowdown Phenomena; Heat Removal by the ECCS

    1. Single Failure Criterion. An analysis of possible failure modes 
of ECCS equipment and of their effects on ECCS performance must be made. 
In carrying out the accident evaluation the combination of ECCS 
subsystems assumed to be operative shall be those available after the 
most damaging single failure of ECCS equipment has taken place.
    2. Containment Pressure. The containment pressure used for 
evaluating cooling effectiveness during reflood and spray cooling shall 
not exceed a pressure calculated conservatively for this purpose. The 
calculation shall include the effects of operation of all installed 
pressure-reducing systems and processes.
    3. Calculation of Reflood Rate for Pressurized Water Reactors. The 
refilling of the reactor vessel and the time and rate of reflooding of 
the core shall be calculated by an acceptable model that takes into 
consideration the thermal and hydraulic characteristics of the core and 
of the reactor system. The primary system coolant pumps shall be assumed 
to have locked impellers if this assumption leads to the maximum 
calculated cladding temperature; otherwise the pump rotor shall be 
assumed to be running free. The ratio of the total fluid flow at the 
core exit plane to the total liquid flow at the core inlet plane 
(carryover fraction) shall be used to determine the core exit flow and 
shall be determined in accordance with applicable experimental data (for 
example, ``PWR FLECHT (Full Length Emergency Cooling Heat Transfer) 
Final Report,'' Westinghouse Report WCAP-7665, April 1971; ``PWR Full 
Length Emergency Cooling Heat Transfer (FLECHT) Group I Test Report,'' 
Westinghouse Report WCAP-7435, January 1970; ``PWR FLECHT (Full Length 
Emergency Cooling Heat Transfer) Group II Test Report,'' Westinghouse 
Report WCAP-7544, September 1970; ``PWR FLECHT Final Report 
Supplement,'' Westinghouse Report WCAP-7931, October 1972).
    The effects on reflooding rate of the compressed gas in the 
accumulator which is discharged following accumulator water discharge 
shall also be taken into account.
    4. Steam Interaction with Emergency Core Cooling Water in 
Pressurized Water Reactors. The thermal-hydraulic interaction between

[[Page 773]]

steam and all emergency core cooling water shall be taken into account 
in calculating the core reflooding rate. During refill and reflood, the 
calculated steam flow in unbroken reactor coolant pipes shall be taken 
to be zero during the time that accumulators are discharging water into 
those pipes unless experimental evidence is available regarding the 
realistic thermal-hydraulic interaction between the steam and the 
liquid. In this case, the experimental data may be used to support an 
alternate assumption.
    5. Refill and Reflood Heat Transfer for Pressurized Water Reactors. 
a. For reflood rates of one inch per second or higher, reflood heat 
transfer coefficients shall be based on applicable experimental data for 
unblocked cores including FLECHT results (``PWR FLECHT (Full Length 
Emergency Cooling Heat Transfer) Final Report,'' Westinghouse Report 
WCAP-7665, April 1971). The use of a correlation derived from FLECHT 
data shall be demonstrated to be conservative for the transient to which 
it is applied; presently available FLECHT heat transfer correlations 
(``PWR Full Length Emergency Cooling Heat Transfer (FLECHT) Group I Test 
Report,'' Westinghouse Report WCAP-7544, September 1970; ``PWR FLECHT 
Final Report Supplement,'' Westinghouse Report WCAP-7931, October 1972) 
are not acceptable. Westinghouse Report WCAP-7665 has been approved for 
incorporation by reference by the Director of the Federal Register. A 
copy of this report is available for inspection at the NRC Library, 
11545 Rockville Pike, Rockville, Maryland 20852-2738. New correlations 
or modifications to the FLECHT heat transfer correlations are acceptable 
only after they are demonstrated to be conservative, by comparison with 
FLECHT data, for a range of parameters consistent with the transient to 
which they are applied.
    b. During refill and during reflood when reflood rates are less than 
one inch per second, heat transfer calculations shall be based on the 
assumption that cooling is only by steam, and shall take into account 
any flow blockage calculated to occur as a result of cladding swelling 
or rupture as such blockage might affect both local steam flow and heat 
transfer.
    6. Convective Heat Transfer Coefficients for Boiling Water Reactor 
Fuel Rods Under Spray Cooling. Following the blowdown period, convective 
heat transfer shall be calculated using coefficients based on 
appropriate experimental data. For reactors with jet pumps and having 
fuel rods in a 7 x 7 fuel assembly array, the following convective 
coefficients are acceptable:
    a. During the period following lower plenum flashing but prior to 
the core spray reaching rated flow, a convective heat transfer 
coefficient of zero shall be applied to all fuel rods.
    b. During the period after core spray reaches rated flow but prior 
to reflooding, convective heat transfer coefficients of 3.0, 3.5, 1.5, 
and 1.5 Btu-hr-1-ft-2 deg.F-1 shall be applied to the 
fuel rods in the outer corners, outer row, next to outer row, and to 
those remaining in the interior, respectively, of the assembly.
    c. After the two-phase reflooding fluid reaches the level under 
consideration, a convective heat transfer coefficient of 25 Btu-
hr-1-ft-2 deg.F-1 shall be applied to all fuel rods.
    7. The Boiling Water Reactor Channel Box Under Spray Cooling. 
Following the blowdown period, heat transfer from, and wetting of, the 
channel box shall be based on appropriate experimental data. For 
reactors with jet pumps and fuel rods in a 7 x 7 fuel assembly array, 
the following heat transfer coefficients and wetting time correlation 
are acceptable.
    a. During the period after lower plenum flashing, but prior to core 
spray reaching rated flow, a convective coefficient of zero shall be 
applied to the fuel assembly channel box.
    b. During the period after core spray reaches rated flow, but prior 
to wetting of the channel, a convective heat transfer coefficient of 5 
Btu-hr-1-ft-2- deg.F-1 shall be applied to both sides of 
the channel box.
    c. Wetting of the channel box shall be assumed to occur 60 seconds 
after the time determined using the correlation based on the Yamanouchi 
analysis (``Loss-of-Coolant Accident and Emergency Core Cooling Models 
for General Electric Boiling Water Reactors,'' General Electric Company 
Report NEDO-10329, April 1971). This report was approved for 
incorporation by reference by the Director of the Federal Register. A 
copy of the report is available for inspection at the NRC Library, 11545 
Rockville Pike, Rockville, Maryland 20852-2738.

                       II. Required Documentation

    1. a. A description of each evaluation model shall be furnished. The 
description shall be sufficiently complete to permit technical review of 
the analytical approach including the equations used, their 
approximations in difference form, the assumptions made, and the values 
of all parameters or the procedure for their selection, as for example, 
in accordance with a specified physical law or empirical correlation.
    b. A complete listing of each computer program, in the same form as 
used in the evaluation model, must be furnished to the Nuclear 
Regulatory Commission upon request.
    2. For each computer program, solution convergence shall be 
demonstrated by studies of system modeling or noding and calculational 
time steps.
    3. Appropriate sensitivity studies shall be performed for each 
evaluation model, to

[[Page 774]]

evaluate the effect on the calculated results of variations in noding, 
phenomena assumed in the calculation to predominate, including pump 
operation or locking, and values of parameters over their applicable 
ranges. For items to which results are shown to be sensitive, the 
choices made shall be justified.
    4. To the extent practicable, predictions of the evaluation model, 
or portions thereof, shall be compared with applicable experimental 
information.
    5. General Standards for Acceptability--Elements of evaluation 
models reviewed will include technical adequacy of the calculational 
methods, including: For models covered by Sec. 50.46(a)(1)(ii), 
compliance with required features of section I of this Appendix K; and, 
for models covered by Sec. 50.46(a)(1)(i), assurance of a high level of 
probability that the performance criteria of Sec. 50.46(b) would not be 
exceeded.

[39 FR 1003, Jan. 4, 1974, as amended at 51 FR 40311, Nov. 6, 1986; 53 
FR 36005, Sept. 16, 1988; 57 FR 61786, Dec. 29, 1992; 59 FR 50689, Oct. 
5, 1994; 60 FR 24552, May 9, 1995]

Appendix L to Part 50--Information Requested by the Attorney General for 
             Antitrust Review Facility License Applications

    Introduction. The information in this appendix is that requested by 
the Attorney General in connection with his review, pursuant to section 
105c of the Atomic Energy Act of 1954, as amended, of certain license 
applications for nuclear power plants. The applicant shall submit the 
information as a separate document titled, ``Information Requested by 
the Attorney General for Antitrust Review.'' Twenty (20) copies shall be 
submitted prior to any other part of the facility license application as 
provided in Sec. 50.33a and in accordance with Sec. 2.101 of this 
chapter.

                             I. Definitions

    1. ``Applicant'' means the entity applying for authority to 
construct or operate subject unit and each corporate parent, subsidiary 
and affiliate. Where application is made by two or more electric 
utilities not under common ownership or control, each utility, subject 
to the applicable exclusions contained in Sec. 50.33a, should set forth 
separate responses to each item herein.
    2. ``Subject unit'' means the nuclear generating unit or units for 
which application for construction or operation is being made.
    3. ``Electric utility'' or ``system'' means any entity owning, 
controlling or operating facilities for the generation or transmission 
or distribution of electric power.
    4. ``Coordination'' means any arrangement between two or more 
systems for generation and transmission planning, or operation of two or 
more interconnected electric utilities not under common ownership or 
control, including but not limited to arrangements for sharing operating 
and installed reserves, arrangements for joint or staggered construction 
of generating facilities, economy energy transactions, capacity 
transactions based on load diversities, thermalhydro generation pooling, 
common maintenance arrangements, and joint use of transmission 
facilities or wheeling.
    5. ``Coordinating power and energy'' means energy transmitted in 
accordance with an arrangement for coordination including but not 
limited to emergency power, economy energy, deficiency power and 
associated energy, and maintenance power and energy.
    6. Except where specifically mentioned otherwise, the term ``reserve 
generating capacity'' or ``reserves'' shall refer to installed reserves 
in contrast to spinning or operating reserves.

                        II. Required Information

    1. State separately for hydroelectric and thermal generating 
resources applicant's most recent peak load and dependable capacity for 
the same time period. State applicant's dependable capacity at time of 
system peak for each of the next 10 years for which information is 
available. Identify each new unit or resource. For hydroelectric 
generating capacity, indicate the number of kilowatt hours of use 
associated with each kilowatt of capacity during the ``adverse water 
year'' upon which dependable capacity is based. Indicate average annual 
kilowatt hour loads per kilowatt, associated with each system peak shown 
(exclusive of interchange arrangements).
    2. State applicant's estimated annual load growth for each of the 
next 20 years or for the period applicant utilizes in system planning. 
Indicate growth both in kilowatt requirements and kilowatt hour 
requirements.
    3. State estimated annual load growth in kilowatts and kilowatt 
hours of companies or pools upon which the economic justification of the 
subject unit is based for each of the next 20 years or for the period 
applicant utilized in system planning. Identify each company or pool 
member.
    4. For the year the subject unit would first come on line, state 
estimated annual load growth in kilowatts and kilowatt hours of any 
coordinating group or pool of which the applicant is a member (other 
than the coordinating group or pool referred to in the applicant's 
response to item 3) which has generating and/or transmission planning 
functions. Identify each company or pool member whose loads are 
indicated in the response thereto.

[[Page 775]]

    5. State applicant's minimum installed reserve criterion (as a 
percentage of load) 1 for the period when the subject unit will 
first come on line. If the applicant shares reserves with other systems, 
identify the other systems and provide minimum installed reserve 
criterion (as a percentage of loan) 1 by contracting parties or 
pool for the period when the proposed unit will first come on line.
---------------------------------------------------------------------------

    1 Indicate whether loads other than peak loads are considered.
---------------------------------------------------------------------------

    6. Describe methods used as a basis to establish, or as a guide in 
establishing the criteria for applicant's and/or applicant's pool's 
minimum amount of installed reserves (e.g., (a) single largest unit 
down, (b) probability methods such as loss of load one day in 20 years, 
loss of capacity once in 5 years, (c) other methods and/or (d) judgment. 
List contingencies other than risk of forced outage that enter into the 
determination).
    7. Indicate whether applicant's system interconnections are credited 
explicitly or implicitly in establishing applicant's installed reserves.
    8. List rights to receive emergency power and obligations to deliver 
emergency power, rights or obligations to receive or deliver deficiency 
power or unit power, or other coordinating arrangements, by reference to 
applicant's Federal Power Commission (FPC) rate schedules (i.e., ABC 
Power & Light Co., FPC Rate Schedule No. 15 including supplements 1-5), 
2 and also by reference to applicant's state commission filings. 
Where documents are not on file with the FPC, supply copies, or where 
not reduced to writing, describe arrangements. Identify for each such 
arrangement the participating parties other than applicant. Provide one 
line electrical and geographic diagrams of coordinating groups or power 
pools (with generation or transmission planning functions) of which 
applicant's generation and transmission facilities constitute a part.
---------------------------------------------------------------------------

    2 List separately and identify certificates of concurrence.
---------------------------------------------------------------------------

    9. List, and provide the mailing address for non-affiliated electric 
utility systems with peak loads smaller than applicant's which serve 
either at wholesale or at retail adjacent to areas served by the 
applicant.

Provide a geographic one-line diagram of applicant's generating and 
transmission facilities (including subtransmission) indicating the 
location of adjacent systems and as to such systems indicate (if 
available) their load, their annual load growth, their generating 
capacity, their largest thermal generating unit size, and their minimum 
reserve criteria.
    10. List separately those systems in Item 9 which purchase from 
applicant (a) all bulk power supply and (b) systems which purchase 
partial bulk power supply requirements. Where information is available 
to applicant, identify those Item 9 systems purchasing part or all of 
their bulk power supply requirements from suppliers other than 
applicant.
    11. State as to all power generated and sold by applicant the most 
recent average cost of bulk power supply experienced by applicant (a) at 
site of generating facilities, (b) at the delivery points from the 
primary transmission (backbone) system, (c) at delivery points from the 
secondary transmission system, and (d) at delivery points from the 
distribution system, in terms of dollars per kilowatt per year, in mills 
per kilowatt hour, and in both the kilowatt costs and kilowatt hour 
costs divided by the kilowatt hours. If wholesale sales are made at 
varying voltages, indicate average costs at each voltage.
    12. State (a) for generating facilities and (b) for transmission 
subdivided by voltage classes, the most recent estimated cost of 
applicant's bulk power supply expansion program of which the subject 
unit is a part, in terms of dollars per kilowatt per year, in mills per 
kilowatt hour and in both the kilowatt costs and kilowatt hour costs 
divided by the kilowatt hours. Also state separately the most recently 
estimated cost of the subject unit(s).
    13. List and describe all requests for, or indications of interest 
in, interconnection and/or coordination and purchases or sales of 
coordinating power and energy from adjacent utilities listed in item 9 
since 1960 and state applicant's response thereto. List and describe all 
requests for, or indications of interest in, supply of full or partial 
requirements of bulk power for the same period and state applicant's 
response thereto.
    14. List (a) agreements to which applicant is a party (reproducing 
relevant paragraphs) and (b) State laws (supply citations only) which 
restrict or preclude coordination by, with, between, or among any 
electric utilities or systems identified in applicant's response to 
items 8 and 9. List (a) agreements to which the applicant is a party 
(reproducing relevant paragraphs) and (b) State laws (supply citations 
only) which restrict or preclude substitution of service or 
establishment of service of full or partial bulk power supply 
requirements by an electric utility other than applicant to systems 
identified in items 8 and 9. Where the contract provision appears in 
contracts or rate schedules on file with a Federal agency, identify each 
in the same form as in previous responses. Where the contract has not 
been filed with a Federal agency, a copy should be supplied unless it 
has been supplied pursuant to another item hereto. Where it is not in 
writing, it should be described.
    15. State, at point of delivery, average future costs of power 
purchased from applicant to adjacent systems identified in applicant's

[[Page 776]]

response to item 9 in terms of dollars/month/kw for capacity, mills/kw 
for energy and mills/kwh for both power and energy at purchaser's 
present load factor (a) at present load, (b) at 50 percent increase over 
present load, (c) at 100 percent increase over present load, and (d) at 
200 percent increase over present load. (All costs should be determined 
under present rate schedules.) Where sales are made under contracts or 
rate schedules on file with a Federal agency and not included in the 
response to item 9, identify each in the same form as in previous 
responses. Where the contract has not been filed with a Federal agency, 
a copy should be supplied.
    16. State whether applicant has prepared, caused to be prepared, or 
received engineering studies for generation and transmission expansion 
programs which include loads of each system in item 9.
    17. List adjacent systems to which applicant has offered to sponsor 
or to conduct system surveys in contemplation of an offer by applicant 
to purchase, merge or consolidate with said adjacent system, subsequent 
to January 1, 1960.
    18. List applicant's offers or proposals to purchase, merge or 
consolidate with electric utilities, subsequent to January 1, 1960.
    19. List all acquisitions of or mergers or consolidations with 
electric utilities by applicant, subsequent to January 1, 1960, 
including:
    (a) The name and principal place of business of the system prior to 
the acquisition, merger or consolidation;
    (b) The date the acquisition, merger or consolidation was 
consummated;
    (c) Gross annual revenue and most recent peak load, dependable 
capacity and the largest thermal generating unit of the system, prior to 
the dates of consummation.
    20. State applicant's six (or fewer if there are not six) lowest 
industrial or large commercial rates for firm electric power supply in 
terms of cost for power and energy in mills per kilowatt hour (and 
separately, the demand and energy components) and indicate the portion 
of the charge attributed to bulk power supply. State the rates or rate 
blocks applicant utilizes for its six (or fewer if there are not six) 
promotional services such as electric space heating, electric hot water 
heating, and the like, in terms of mills per kilowatt hour for power and 
energy and indicate the portion of the rate or rate blocks attributed to 
bulk power supply.

[38 FR 3956, Feb. 9, 1973, as amended at 39 FR 34395, Sept. 25, 1974; 43 
FR 49775, Oct. 25, 1978; 44 FR 60716, Oct. 22, 1979]

Appendix M to Part 50--Standardization of Design; Manufacture of Nuclear 
  Power Reactors; Construction and Operation of Nuclear Power Reactors 
               Manufactured Pursuant to Commission License

    Section 101 of the Atomic Energy Act of 1954, as amended, and 
Sec. 50.10 require a Commission license to transfer or receive in 
interstate commerce, manufacture, produce, transfer, acquire, possess, 
use, import, or export any production or utilization facility. The 
regulations in the part require the issuance of a construction permit by 
the Commission before commencement of construction of a production or 
utilization facility, and the issuance of an operating license before 
operation of the facility. The provisions of this part relating to the 
facility licensing process are, in general, predicated on the assumption 
that the facility will be assembled and constructed on the site at which 
it is to be operated. In those circumstances, both facility design and 
site-related issues can be considered in the initial, construction 
permit stage of the licensing process.
    However, under the Atomic Energy Act, a license may be sought and 
issued authorizing the manufacture of facilities but not their 
construction and installation at the sites on which the facilities are 
to be operated. Prior to the ``commencement of construction'', as 
defined in Sec. 50.10(c), of a facility (manufactured pursuant to such a 
Commission license) on the site at which it is to operate--that is 
preparation of the site and installation of the facility--a construction 
permit that, among other things, reflects approval of the site on which 
the facility is to be operated, must be issued by the Commission. This 
appendix sets out the particular requirements and provisions applicable 
to such situations where nuclear power reactors to be manufactured 
pursuant to a Commission license and subsequently installed at the site 
pursuant to a Commission construction permit, are of the type described 
in Sec. 50.22. It thus codifies one approach to the standardization of 
nuclear power reactors.
    1. Except as otherwise specified in this appendix or as the context 
otherwise indicates, the provisions in this part applicable to 
construction permits, including the requirement in Sec. 50.58 for review 
of the application by the Advisory Committee on Reactor Safeguards and 
the holding of a public hearing, apply in context, with respect to 
matters of radiological health and safety, environmental protection, and 
the common defense and security, to licenses pursuant to this Appendix M 
to manufacture nuclear power reactors (manufacturing licenses) to be 
operated at sites not identified in the license application.

[[Page 777]]

    2. An application for a manufacturing license pursuant to this 
Appendix M must be submitted, as specified in Sec. 50.4, and meet all 
the requirements of Secs. 50.34(a) (1)-(9) and 50.34a (a) and (b), 
except that the preliminary safety analysis report shall be designated 
as a ``design report'' and any required information or analyses relating 
to site matters shall be predicated on postulated site parameters which 
must be specified in the application. The application must also include 
information pertaining to design features of the proposed reactor(s) 
that affect plans for coping with emergencies in the operation of the 
reactor(s).
    3. An applicant for a manufacturing license pursuant to this 
Appendix M shall submit with his application an environmental report as 
required of applicants for construction permits in accordance with 
Subpart A of Part 51 of this chapter, provided, however, that such 
report shall be directed at the manufacture of the reactor(s) at the 
manufacturing site; and, in general terms, at the construction and 
operation of the reactor(s) at an hypothetical site or sites having 
characteristics that fall within the postulated site parameters. The 
related draft and final environmental impact statement prepared by the 
Commission's regulatory staff will be similarly directed.
    4. (a) Sections 50.10 (b) and (c), 50.12(b), 50.23, 50.30(d), 
50.34(a)(10), 50.34a(c), 50.35 (a) and (c), 50.40(a), 50.45, 50.55(d), 
50.56, and Appendix J do not apply to manufacturing licenses. Appendices 
E and H apply to manufacturing licenses only to the extent that the 
requirements of these appendixes involve facility design features.
    (b) The financial information submitted pursuant to Sec. 50.33(f) 
and Appendix C shall be directed at a demonstration of the financial 
qualifications of the applicant for the manufacturing license to carry 
out the manufacturing activity for which the license is sought.
    5. The Commission may issue a license to manufacture one or more 
nuclear power reactors to be operated at sites not identified in the 
license application if the Commission finds that:
    (a) The applicant has described the proposed design of and the site 
parameters postulated for the reactor(s), including, but not limited to, 
the principal architectural and engineering criteria for the design, and 
has identified the major features or components incorporated therein for 
the protection of the health and safety of the public.
    (b) Such further technical or design information as may be required 
to complete the design report and which can reasonably be left for later 
consideration, will be supplied in a supplement to the design report.
    (c) Safety features or components, if any, which require research 
and development have been described by the applicant and the applicant 
has identified, and there will be conducted a research and development 
program reasonably designed to resolve any safety questions associated 
with such features or components; and
    (d) On the basis of the foregoing, there is reasonable assurance 
that (i) such safety questions will be satisfactorily resolved before 
any of the proposed nuclear power reactor(s) are removed from the 
manufacturing site and (ii) taking into consideration the site criteria 
contained in Part 100 of this chapter, the proposed reactor(s) can be 
constructed and operated at sites having characteristics that fall 
within the site parameters postulated for the design of the reactor(s) 
without undue risk to the health and safety of the public.
    (e) The applicant is technically and financially qualified to design 
and manufacture the proposed nuclear power reactor(s).
    (f) The issuance of a license to the applicant will not be inimical 
to the common defense and security or to the health and safety of the 
public.
    (g) On the basis of the evaluations and analyses of the 
environmental effects of the proposed action required by Subpart A of 
Part 51 of this chapter and paragraph 3 of this Appendix, the action 
called for is the issuance of the license.

     Note: When an applicant has supplied initially all of the technical 
information required to complete the application, including the final 
design of the reactor(s), the findings required for the issuance of the 
license will be appropriately modified to reflect that fact.

    6. Each manufacturing license issued pursuant to this appendix will 
specify the number of nuclear power reactors authorized to be 
manufactured and the latest date for the completion of the manufacture 
of all such reactors. Upon good cause shown, the Commission will extend 
such completion date for a reasonable period of time.
    7. The holder of a manufacturing license issued pursuant to this 
Appendix M shall submit to the Commission the final design of the 
nuclear power reactor(s) covered by the license as soon as such design 
has been completed. Such submittal shall be in the form of an 
application for amendment of the manufacturing license.
    8. The prohibition in Sec. 50.10(c) against commencement of 
construction of a production or utilization facility prior to issuance 
of a construction permit applies to the transport of a nuclear power 
reactor(s) manufactured pursuant to a license issued pursuant to this 
appendix from the manufacturing facility to the site at which the 
reactor(s) will be installed and operated. In addition, such nuclear 
power reactor(s) shall not be removed from the manufacturing site until 
the final design of the reactor(s) has been approved by

[[Page 778]]

the Commission in accordance with paragraph 7.
    9. An application for a permit to construct a nuclear power 
reactor(s) which is the subject of an application for a manufacturing 
license pursuant to this Appendix M need not contain such information or 
analyses as have previously been submitted to the Commission in 
connection with the application for a manufacturing license, but shall 
contain, in addition to the information and analyses otherwise required 
by Secs. 50.34(a) and 50.34a, sufficient information to demonstrate that 
the site on which the reactor(s) is to be operated falls within the 
postulated site parameters specified in the relevant manufacturing 
license application.
    10. The Commission may issue a permit to construct a nuclear power 
reactor(s) which is the subject of an application for a manufacturing 
license pursuant to this Appendix M if the Commission (a) finds that the 
site on which the reactor is to be operated falls within the postulated 
site parameters specified in the relevant application for a 
manufacturing license and (b) makes the findings otherwise required by 
this part. In no event will a construction permit be issued until the 
relevant manufacturing license has been issued.
    11. An operating license for a nuclear power reactor(s) that has 
been manufactured under a Commission license issued pursuant to this 
Appendix M may be issued by the Commission pursuant to Sec. 50.57 and 
Subpart A of Part 51 of this chapter except that the Commission shall 
find, pursuant to Sec. 50.57(a)(1), that construction of the reactor(s) 
has been substantially completed in conformity with both the 
manufacturing license and the construction permit and the applications 
therefor, as amended, and the provisions of the Act, and the rules and 
regulations of the Commission. Notwithstanding the other provisions of 
this paragraph, no application for an operating license for a nuclear 
power reactor(s) that has been manufactured under a Commission license 
issued pursuant to this Appendix M will be docketed until the 
application for an amendment to the relevant manufacturing license 
required by paragraph 7 has been docketed.
    12. In making the findings required by this part for the issuance of 
a construction permit or an operating license for a nuclear power 
reactor(s) that has been manufactured under a Commission license issued 
pursuant to this appendix, or an amendment to such a manufacturing 
license, construction permit, or operating license, the Commission will 
treat as resolved those matters which have been resolved at an earlier 
stage of the licensing process, unless there exists significant new 
information that substantially affects the conclusion(s) reached at the 
earlier stage or other good cause.

[38 FR 30253, Nov. 2, 1973, as amended at 49 FR 9404, Mar. 12, 1984; 49 
FR 35754, Sept. 12, 1984; 50 FR 18853, May 3, 1985; 51 FR 40311, Nov. 6, 
1986]

 Appendix N to Part 50--Standardization of Nuclear Power Plant Designs: 
 Licenses to Construct and Operate Nuclear Power Reactors of Duplicate 
                        Design at Multiple Sites

    Section 101 of the Atomic Energy Act of 1954, as amended, and 
Sec. 50.10 of this part require a Commission license to transfer or 
receive in interstate commerce, manufacture, produce, transfer, acquire, 
possess, use, import or export any production or utilization facility. 
The regulations in this part require the issuance of a construction 
permit by the Commission before commencement of construction of a 
production or utilization facility, except as provided in Sec. 50.10(e), 
and the issuance of an operating license before operation of the 
facility.
    The Commission's regulations in Part 2 of this chapter specifically 
provide for the holding of hearings on particular issues separately from 
other issues involved in hearings in licensing proceedings (Sec. 2.761a, 
Appendix A, section I(c)), and for the consolidation of adjudicatory 
proceedings and of the presentations of parties in adjudicatory 
proceedings such as licensing proceedings (Secs. 2.715a, 2.716).
    This appendix sets out the particular requirements and provisions 
applicable to situations in which applications are filed by one or more 
applicants for licenses to construct and operate nuclear power reactors 
of essentially the same design to be located at different sites.1
---------------------------------------------------------------------------

    1 If the design for the power reactor(s) proposed in a particular 
application is not identical to the others, that application may not be 
processed under this appendix and Subpart D of Part 2 of this chapter.
---------------------------------------------------------------------------

    1. Except as otherwise specified in this appendix or as the context 
otherwise indicates, the provisions of this part applicable to 
construction permits and operating licenses, including the requirement 
in Sec. 50.58 for review of the application by the Advisory Committee on 
Reactor Safeguards and the holding of public hearings, apply to 
construction permits and operating licenses subject to this Appendix N.
    2. Applications for construction permits submitted pursuant to this 
Appendix must include the information required by Secs. 50.33, 50.33a, 
50.34(a) and 50.34a (a) and (b) and be submitted as specified in 
Sec. 50.4. The applicant

[[Page 779]]

shall also submit the information required by Sec. 51.50 of this 
chapter.
    For the technical information required by Secs. 50.34(a) (1) through 
(5) and (8) and 50.34a (a) and (b), reference may be made to a single 
preliminary safety analysis of the design2 which, for the purposes 
of Sec. 50.34(a)(1) includes one set of site parameters postulated for 
the design of the reactors, and an analysis and evaluation of the 
reactors in terms of such postulated site parameters. Such single 
preliminary safety analysis shall also include information pertaining to 
design features of the proposed reactors that affect plans for coping 
with emergencies in the operation of the reactors, and shall describe 
the quality assurance program with respect to aspects of design, 
fabrication, procurement and construction that are common to all of the 
reactors.
---------------------------------------------------------------------------

    2 As used in this appendix, the design of a nuclear power reactor 
included in a single referenced safety analysis report means the design 
of those structures, systems and components important to radiological 
health and safety and the common defense and security.
---------------------------------------------------------------------------

    3. Applications for operating licenses submitted pursuant to this 
Appendix N shall include the information required by Secs. 50.33, 
50.34(b) and (c), and 50.34a(c). The applicant shall also submit the 
information required by Sec. 51.53 of this chapter. For the technical 
information required by Secs. 50.34(b)(2) through (5) and 50.34a(c), 
reference may be made to a single final safety analysis of the design.

[40 FR 2977, Jan. 17, 1975, as amended at 49 FR 9405, Mar. 12, 1984; 51 
FR 40311, Nov. 6, 1986]

   Appendix O to Part 50--Standardization of Design: Staff Review of 
                            Standard Designs

    This appendix sets out procedures for the filing, staff review and 
referral to the Advisory Committee on Reactor Safeguards of standard 
designs for a nuclear power reactor of the type described in Sec. 50.22 
or major portions thereof.
    1. Any person may submit a proposed preliminary or final standard 
design for a nuclear power reactor of the type described in Sec. 50.22 
to the regulatory staff for its review. Such a submittal may consist of 
either the preliminary or final design for the entire reactor facility 
or the preliminary or final design of major portions thereof.
    2. The submittal for review of the standard design must be made in 
the same manner and in the same number of copies as provided in 
Secs. 50.4 and 50.30 for license applications.
    3. The submittal for review of the standard design shall include the 
information described in Sec. 50.33(a) through (d) and the applicable 
technical information required by Secs. 50.34(a) and (b), as 
appropriate, and 50.34a (other than that required by Secs. 50.34(a) (6) 
and (10), 50.34(b)(1), (6)(i), (ii), (iv), and (v) and 50.34(b) (7) and 
(8)). The submittal shall also include a description, analysis and 
evaluation of the interfaces between the submitted design and the 
balance of the nuclear power plant. With respect to the requirements of 
Secs. 50.34(a)(1), the submittal for review of a standard design shall 
include the site parameters postulated for the design, and an analysis 
and evaluation of the design in terms of such postulated site 
parameters. The information submitted pursuant to Sec. 50.34(a)(7) shall 
be limited to the quality assurance program to be applied to the design, 
procurement and fabrication of the structures, systems, and components 
for which design review has been requested and the information submitted 
pursuant to Sec. 50.34(a)(9) shall be limited to the qualifications of 
the person submitting the standard design to design the reactor or major 
portion thereof. The submittal shall also include information pertaining 
to design features that affect plans for coping with emergencies in the 
operation of the reactor or major portion thereof.
    4. Once the regulatory staff has initiated a technical review of a 
submittal under this appendix, the submittal will be referred to the 
Advisory Committee on Reactor Safeguards (ACRS) for a review and report.
    5. Upon completion of their review of a submittal under this 
appendix, the regulatory staff shall publish in the Federal Register a 
determination as to whether or not the preliminary or final design is 
acceptable, subject to such conditions as may be appropriate, and make 
available in the Public Document Room an analysis of the design in the 
form of a report. An approved design shall be utilized by and relied 
upon by the regulatory staff and the ACRS in their review of any 
individual facility license application which incorporates by reference 
a design approved in accordance with this paragraph unless there exists 
significant new information which substantially affects the earlier 
determination or other good cause.
    6. The determination and report by the regulatory staff shall not 
constitute a commitment to issue a permit or license, or in any way 
affect the authority of the Commission, Atomic Safety and Licensing 
Appeal Panel, Atomic Safety and Licensing Panel, and other presiding 
officers in any proceeding under Subpart G of Part 2 of this chapter.
    7. The Commission may, on its own initiative or in response to a 
petition for rule making, approve the design in a rulemaking proceeding 
and in that event, the approved design will be subject to challenge only 
as provided in Sec. 2.758 of this chapter. An environmental impact 
statement may be prepared for such a rule making action in accordance 
with Secs. 51.20(b)(13) and 51.85 of this

[[Page 780]]

chapter. If an environmental impact statement is prepared, the 
Commission may require the petitioner for rulemaking to submit 
information to the Commission to aid the Commission in the preparation 
of the environmental impact statement.
    8. Information requests to the approval holder regarding an approved 
design shall be evaluated prior to issuance to ensure that the burden to 
be imposed on respondents is justified in view of the potential safety 
significance of the issue to be addressed in the requested information. 
Each such evaluation performed by the NRC staff shall be in accordance 
with 10 CFR 50.54(f) and shall be approved by the Executive Director for 
Operations or his or her designee prior to issuance of the request.

[40 FR 2977, Jan. 17, 1975, as amended at 49 FR 9405, Mar. 12, 1984; 50 
FR 38112, Sept. 20, 1985; 51 FR 40311, Nov. 6, 1986]

                         Appendix P--[Reserved]

Appendix Q to Part 50--Pre-Application Early Review of Site Suitability 
                                 Issues

    This appendix sets out procedures for the filing, Staff review, and 
referral to the Advisory Committee on Reactor Safeguards of requests for 
early review of one or more site suitability issues relating to the 
construction and operation of certain utilization facilities separately 
from and prior to the submittal of applications for construction permits 
for the facilities. The appendix also sets out procedures for the 
preparation and issuance of Staff Site Reports and for their 
incorporation by reference in applications for the construction and 
operation of certain utilization facilities. The utilization facilities 
are those which are subject to Sec. 51.20(b) of this chapter and are of 
the type specified in Sec. 50.21(b) (2) or (3) or Sec. 50.22 or are 
testing facilities. This appendix does not apply to proceedings 
conducted pursuant to Subpart F of Part 2 of this chapter.
    1. Any person may submit information regarding one or more site 
suitability issues to the Commission's Staff for its review separately 
from and prior to an application for a construction permit for a 
facility. Such a submittal shall be accompanied by any fee required by 
Part 170 of this chapter and shall consist of the portion of the 
information required of applicants for construction permits by 
Secs. 50.33(a)-(c) and (e), and, insofar as it relates to the issue(s) 
of site suitability for which early review is sought, by 
Secs. 50.34(a)(1) and 50.30(f), except that information with respect to 
operation of the facility at the projected initial power level need not 
be supplied.
    2. The submittal for early review of site suitability issue(s) must 
be made in the same manner and in the same number of copies as provided 
in Secs. 50.4 and 50.30 for license applications. The submittal must 
include sufficient information concerning a range of postulated facility 
design and operation parameters to enable the Staff to perform the 
requested review of site suitability issues. The submittal must contain 
suggested conclusions on the issues of site suitability submitted for 
review and must be accompanied by a statement of the bases or the 
reasons for those conclusions. The submittal must also list, to the 
extent possible, any long-range objectives for ultimate development of 
the site, state whether any site selection process was used in preparing 
the submittal, describe any site selection process used, and explain 
what consideration, if any, was given to alternative sites.
    3. The Staff shall publish a notice of docketing of the submittal in 
the Federal Register, and shall send a copy of the notice of docketing 
to the Governor or other appropriate official of the State in which the 
site is located. This notice shall identify the location of the site, 
briefly describe the site suitability issue(s) under review, and invite 
comments from Federal, State, and local agencies and interested persons 
within 120 days of publication or such other time as may be specified, 
for consideration by the staff in connection with the initiation or 
outcome of the review and, if appropriate by the ACRS, in connection 
with the outcome of their review. The person requesting review shall 
serve a copy of the submittal on the Governor or other appropriate 
official of the State in which the site is located, and on the chief 
executive of the municipality in which the site is located or, if the 
site is not located in a municipality, on the chief executive of the 
county. The portion of the submittal containing information required of 
applicants for construction permits by Secs. 50.33(a)-(c) and (e) and 
50.34(a)(1) will be referred to the Advisory Committee on Reactor 
Safeguards (ACRS) for a review and report. There will be no referral to 
the ACRS unless early review of the site safety issues under 
Sec. 50.34(a)(1) is requested.
    4. Upon completion of review by the staff and, if appropriate by the 
ACRS, of a submittal under this appendix, the staff shall prepare a 
Staff Site Report which shall identify the location of the site, state 
the site suitability issues reviewed, explain the nature and scope of 
the review, state the conclusions of the staff regarding the issues 
reviewed and state the reasons for those conclusions. Upon issuance of a 
Staff Site Report, the Staff shall publish a notice of the availability 
of the report in the Federal Register and shall place copies of the 
report in the Commission's Public Document Room at 2120 L Street, NW., 
Washington, DC 20555, and in a Local Public Document Room(s) located 
near the site identified in the Staff

[[Page 781]]

Site Report. The Staff shall also send a copy of the report to the 
Governor or other appropriate official of the State in which the site is 
located, and to the chief executive of the municipality in which the 
site is located or, if the site is not located in a municipality, to the 
chief executive of the county.
    5. Any Staff Site Report prepared and issued in accordance with this 
appendix may be incorporated by reference, as appropriate, in an 
application for a construction permit for a utilization facility which 
is subject to Sec. 51.20(b) of this chapter and is of the type specified 
in Sec. 50.21(b) (2) or (3) or Sec. 50.22 of this chapter or is a 
testing facility. The conclusions of the Staff Site Report will be 
reexamined by the staff where five years or more have elapsed between 
the issuance of the Staff Site Report and its incorporation by reference 
in a construction permit application.
    6. Issuance of a Staff Site Report shall not constitute a commitment 
to issue a permit or license, to permit on-site work under 
Sec. 50.10(e), or in any way affect the authority of the Commission, 
Atomic Safety and Licensing Appeal Panel, Atomic Safety and Licensing 
Board, and other presiding officers in any proceeding under Subpart F 
and/or G of Part 2 of this chapter.
    7. The staff will not conduct more than one review of site 
suitability issues with regard to a particular site prior to the full 
construction permit review required by Subpart A of Part 51 of this 
chapter. The staff may decline to prepare and issue a Staff Site Report 
in response to a submittal under this appendix where it appears that, 
(a) in cases where no review of the relative merits of the submitted 
site and alternative sites under Subpart A of Part 51 of this chapter is 
requested, there is a reasonable likelihood that further Staff review 
would identify one or more preferable alternative sites and the Staff 
review of one or more site suitability issues would lead to an 
irreversible and irretrievable commitment of resources prior to the 
submittal of the analysis of alternative sites in the Environmental 
Report that would prejudice the later review and decision on alternative 
sites under Subpart F and/or G of Part 2 and Subpart A of Part 51 of 
this chapter; or (b) in cases where, in the judgment of the Staff, early 
review of any site suitability issue or issues would not be in the 
public interest, considering (1) the degree of likelihood that any early 
findings on those issues would retain their validity in later reviews, 
(2) the objections, if any, of cognizant state or local government 
agencies to the conduct of an early review on those issues, and (3) the 
possible effect on the public interest of having an early, if not 
necessarily conclusive, resolution of those issues.

[42 FR 22887, May 5, 1977, as amended at 49 FR 9405, Mar. 12, 1984; 51 
FR 40311, Nov. 6, 1986; 53 FR 43420, Oct. 27, 1988]

    Appendix R to Part 50--Fire Protection Program for Nuclear Power 
              Facilities Operating Prior to January 1, 1979

                        I. Introduction and Scope

    This appendix applies to licensed nuclear power electric generating 
stations that were operating prior to January 1, 1979, except to the 
extent set forth in Sec. 50.48(b) of this part. With respect to certain 
generic issues for such facilities it sets forth fire protection 
features required to satisfy Criterion 3 of Appendix A to this part.\1\
---------------------------------------------------------------------------

    \1\ Clarification and guidance with respect to permissible 
alternatives to satisfy Appendix A to BTP APCSB 9.5-1 has been provided 
in four other NRC documents:
    ``Supplementary Guidance on Information Needed for Fire Protection 
Evaluation,'' dated October 21, 1976;
    ``Sample Technical Specification,'' dated May 12, 1977;
    ``Nuclear Plant Fire Protection Functional Responsibilities, 
Administrative Control and Quality Assurance,'' dated June 14, 1977;
    ``Manpower Requirements for Operating Reactors,'' dated May 11, 
1978.

    A Fire Protection Safety Evaluation Report that has been issued for 
each operating plant states how these guidelines were applied to each 
facility and identifies open fire protection issues that will be 
resolved when the facility satisfies the appropriate requirements of 
Appendix R to Part 50.
---------------------------------------------------------------------------

    Criterion 3 of Appendix A to this part specifies that ``Structures, 
systems, and components important to safety shall be designed and 
located to minimize, consistent with other safety requirements, the 
probability and effect of fires and explosions.''
    When considering the effects of fire, those systems associated with 
achieving and maintaining safe shutdown conditions assume major 
importance to safety because damage to them can lead to core damage 
resulting from loss of coolant through boiloff.
    The phrases ``important to safety,'' or ``safety-related,'' will be 
used throughout this Appendix R as applying to all safety functions. The 
phrase ``safe shutdown'' will be used throughout this appendix as 
applying to both hot and cold shutdown functions.
    Because fire may affect safe shutdown systems and because the loss 
of function of systems used to mitigate the consequences of design basis 
accidents under postfire conditions does not per se impact public 
safety,

[[Page 782]]

the need to limit fire damage to systems required to achieve and 
maintain safe shutdown conditions is greater than the need to limit fire 
damage to those systems required to mitigate the consequences of design 
basis accidents. Three levels of fire damage limits are established 
according to the safety functions of the structure, system, or 
component:

------------------------------------------------------------------------
            Safety function                     Fire damage limits      
------------------------------------------------------------------------
Hot Shutdown...........................  One train of equipment         
                                          necessary to achieve hot      
                                          shutdown from either the      
                                          control room or emergency     
                                          control station(s) must be    
                                          maintained free of fire damage
                                          by a single fire, including an
                                          exposure fire.1               
Cold Shutdown..........................  Both trains of equipment       
                                          necessary to achieve cold     
                                          shutdown may be damaged by a  
                                          single fire, including an     
                                          exposure fire, but damage must
                                          be limited so that at least   
                                          one train can be repaired or  
                                          made operable within 72 hours 
                                          using onsite capability.      
Design Basis Accidents.................  Both trains of equipment       
                                          necessary for mitigation of   
                                          consequences following design 
                                          basis accidents may be damaged
                                          by a single exposure fire.    
------------------------------------------------------------------------
\1\ Exposure Fire. An exposure fire is a fire in a given area that      
  involves either in situ or transient combustibles and is external to  
  any structures, systems, or components located in or adjacent to that 
  same area. The effects of such fire (e.g., smoke, heat, or ignition)  
  can adversely affect those structures, systems, or components         
  important to safety. Thus, a fire involving one train of safe shutdown
  equipment may constitute an exposure fire for the redundant train     
  located in the same area, and a fire involving combustibles other than
  either redundant train may constitute an exposure fire to both        
  redundant trains located in the same area.                            

    The most stringent fire damage limit shall apply for those systems 
that fall into more than one category. Redundant systems used to 
mitigate the consequences of other design basis accidents but not 
necessary for safe shutdown may be lost to a single exposure fire. 
However, protection shall be provided so that a fire within only one 
such system will not damage the redundant system.

                        II. General Requirements

    A. Fire protection program. A fire protection program shall be 
established at each nuclear power plant. The program shall establish the 
fire protection policy for the protection of structures, systems, and 
components important to safety at each plant and the procedures, 
equipment, and personnel required to implement the program at the plant 
site.
    The fire protection program shall be under the direction of an 
individual who has been delegated authority commensurate with the 
responsibilities of the position and who has available staff personnel 
knowledgeable in both fire protection and nuclear safety.
    The fire protection program shall extend the concept of defense-in-
depth to fire protection in fire areas important to safety, with the 
following objectives:
     To prevent fires from starting;
     To detect rapidly, control, and extinguish promptly those 
fires that do occur;
     To provide protection for structures, systems, and 
components important to safety so that a fire that is not promptly 
extinguished by the fire suppression activities will not prevent the 
safe shutdown of the plant.
    B. Fire hazards analysis. A fire hazards analysis shall be performed 
by qualified fire protection and reactor systems engineers to (1) 
consider potential in situ and transient fire hazards; (2) determine the 
consequences of fire in any location in the plant on the ability to 
safely shut down the reactor or on the ability to minimize and control 
the release of radioactivity to the environment; and (3) specify 
measures for fire prevention, fire detection, fire suppression, and fire 
containment and alternative shutdown capability as required for each 
fire area containing structures, systems, and components important to 
safety in accordance with NRC guidelines and regulations.
    C. Fire prevention features. Fire protection features shall meet the 
following general requirements for all fire areas that contain or 
present a fire hazard to structures, systems, or components important to 
safety.
    1. In situ fire hazards shall be identified and suitable protection 
provided.
    2. Transient fire hazards associated with normal operation, 
maintenance, repair, or modification activities shall be identified and 
eliminated where possible. Those transient fire hazards that can not be 
eliminated shall be controlled and suitable protection provided.
    3. Fire detection systems, portable extinguishers, and standpipe and 
hose stations shall be installed.
    4. Fire barriers or automatic suppression systems or both shall be 
installed as necessary to protect redundant systems or components 
necessary for safe shutdown.
    5. A site fire brigade shall be established, trained, and equipped 
and shall be on site at all times.
    6. Fire detection and suppression systems shall be designed, 
installed, maintained, and tested by personnel properly qualified by 
experience and training in fire protection systems.
    7. Surveillance procedures shall be established to ensure that fire 
barriers are in place and that fire suppression systems and components 
are operable.
    D. Alternative or dedicated shutdown capability. In areas where the 
fire protection features cannot ensure safe shutdown capability in the 
event of a fire in that area, alternative or dedicated safe shutdown 
capability shall be provided.

[[Page 783]]

                       III. Specific Requirements

    A. Water supplies for fire suppression systems. Two separate water 
supplies shall be provided to furnish necessary water volume and 
pressure to the fire main loop.
    Each supply shall consist of a storage tank, pump, piping, and 
appropriate isolation and control valves. Two separate redundant 
suctions in one or more intake structures from a large body of water 
(river, lake, etc.) will satisfy the requirement for two separated water 
storage tanks. These supplies shall be separated so that a failure of 
one supply will not result in a failure of the other supply.
    Each supply of the fire water distribution system shall be capable 
of providing for a period of 2 hours the maximum expected water demands 
as determined by the fire hazards analysis for safety-related areas or 
other areas that present a fire exposure hazard to safety-related areas.
    When storage tanks are used for combined service-water/fire-water 
uses the minimum volume for fire uses shall be ensured by means of 
dedicated tanks or by some physical means such as a vertical standpipe 
for other water service. Administrative controls, including locks for 
tank outlet valves, are unacceptable as the only means to ensure minimum 
water volume.
    Other water systems used as one of the two fire water supplies shall 
be permanently connected to the fire main system and shall be capable of 
automatic alignment to the fire main system. Pumps, controls, and power 
supplies in these systems shall satisfy the requirements for the main 
fire pumps. The use of other water systems for fire protection shall not 
be incompatible with their functions required for safe plant shutdown. 
Failure of the other system shall not degrade the fire main system.
    B. Sectional isolation valves. Sectional isolation valves such as 
post indicator valves or key operated valves shall be installed in the 
fire main loop to permit isolation of portions of the fire main loop for 
maintenance or repair without interrupting the entire water supply.
    C. Hydrant isolation valves. Valves shall be installed to permit 
isolation of outside hydrants from the fire main for maintenance or 
repair without interrupting the water supply to automatic or manual fire 
suppression systems in any area containing or presenting a fire hazard 
to safety-related or safe shutdown equipment.
    D. Manual fire suppression. Standpipe and hose systems shall be 
installed so that at least one effective hose stream will be able to 
reach any location that contains or presents an exposure fire hazard to 
structures, systems, or components important to safety.
    Access to permit effective functioning of the fire brigade shall be 
provided to all areas that contain or present an exposure fire hazard to 
structures, systems, or components important to safety.
    Standpipe and hose stations shall be inside PWR containments and BWR 
containments that are not inerted. Standpipe and hose stations inside 
containment may be connected to a high quality water supply of 
sufficient quantity and pressure other than the fire main loop if plant-
specific features prevent extending the fire main supply inside 
containment. For BWR drywells, standpipe and hose stations shall be 
placed outside the dry well with adequate lengths of hose to reach any 
location inside the dry well with an effective hose stream.
    E. Hydrostatic hose tests. Fire hose shall be hydrostatically tested 
at a pressure of 150 psi or 50 psi above maximum fire main operating 
pressure, whichever is greater. Hose stored in outside hose houses shall 
be tested annually. Interior standpipe hose shall be tested every three 
years.
    F. Automatic fire detection. Automatic fire detection systems shall 
be installed in all areas of the plant that contain or present an 
exposure fire hazard to safe shutdown or safety-related systems or 
components. These fire detection systems shall be capable of operating 
with or without offsite power.
    G. Fire protection of safe shutdown capability. 1. Fire protection 
features shall be provided for structures, systems, and components 
important to safe shutdown. These features shall be capable of limiting 
fire damage so that:
    a. One train of systems necessary to achieve and maintain hot 
shutdown conditions from either the control room or emergency control 
station(s) is free of fire damage; and
    b. Systems necessary to achieve and maintain cold shutdown from 
either the control room or emergency control station(s) can be repaired 
within 72 hours.
    2. Except as provided for in paragraph G.3 of this section, where 
cables or equipment, including associated non-safety circuits that could 
prevent operation or cause maloperation due to hot shorts, open 
circuits, or shorts to ground, of redundant trains of systems necessary 
to achieve and maintain hot shutdown conditions are located within the 
same fire area outside of primary containment, one of the following 
means of ensuring that one of the redundant trains is free of fire 
damage shall be provided:
    a. Separation of cables and equipment and associated non-safety 
circuits of redundant trains by a fire barrier having a 3-hour rating. 
Structural steel forming a part of or supporting such fire barriers 
shall be protected to provide fire resistance equivalent to that 
required of the barrier;
    b. Separation of cables and equipment and associated non-safety 
circuits of redundant

[[Page 784]]

trains by a horizontal distance of more than 20 feet with no intervening 
combustible or fire hazards. In addition, fire detectors and an 
automatic fire suppression system shall be installed in the fire area; 
or
    c. Enclosure of cable and equipment and associated non-safety 
circuits of one redundant train in a fire barrier having a 1-hour 
rating, In addition, fire detectors and an automatic fire suppression 
system shall be installed in the fire area;
    Inside noninerted containments one of the fire protection means 
specified above or one of the following fire protection means shall be 
provided:
    d. Separation of cables and equipment and associated non-safety 
circuits of redundant trains by a horizontal distance of more than 20 
feet with no intervening combustibles or fire hazards;
    e. Installation of fire detectors and an automatic fire suppression 
system in the fire area; or
    f. Separation of cables and equipment and associated non-safety 
circuits of redundant trains by a noncombustible radiant energy shield.
    3. Alternative or dedicated shutdown capability and its associated 
circuits, \2\ independent of cables, systems or components in the area, 
room or zone under consideration, shall be provided:
---------------------------------------------------------------------------

    \2\ Alternative shutdown capability is provided by rerouting, 
relocating or modificating of existing systems; dedicated shutdown 
capability is provided by installing new structures and systems for the 
function of post-fire shutdown.
---------------------------------------------------------------------------

    a. Where the protection of systems whose function is required for 
hot shutdown does not satisfy the requirement of paragraph G.2 of this 
section; or
    b. Where redundant trains of systems required for hot shutdown 
located in the same fire area may be subject to damage from fire 
suppression activities or from the rupture or inadvertent operation of 
fire suppression systems.
    In addition, fire detection and a fixed fire suppression system 
shall be installed in the area, room, or zone under consideration.
    H. Fire brigade. A site fire brigade trained and equipped for fire 
fighting shall be established to ensure adequate manual fire fighting 
capability for all areas of the plant containing structures, systems, or 
components important to safety. The fire brigade shall be at least five 
members on each shift. The brigade leader and at least two brigade 
members shall have sufficient training in or knowledge of plant safety-
related systems to understand the effects of fire and fire suppressants 
on safe shutdown capability. The qualification of fire brigade members 
shall include an annual physical examination to determine their ability 
to perform strenuous fire fighting activities. The shift supervisor 
shall not be a member of the fire brigade. The brigade leader shall be 
competent to assess the potential safety consequences of a fire and 
advise control room personnel. Such competence by the brigade leader may 
be evidenced by possession of an operator's license or equivalent 
knowledge of plant safety-related systems.
    The minimum equipment provided for the brigade shall consist of 
personal protective equipment such as turnout coats, boots, gloves, hard 
hats, emergency communications equipment, portable lights, portable 
ventilation equipment, and portable extinguishers. Self-contained 
breathing apparatus using full-face positive-pressure masks approved by 
NIOSH (National Institute for Occupational Safety and Health--approval 
formerly given by the U.S. Bureau of Mines) shall be provided for fire 
brigade, damage control, and control room personnel. At least 10 masks 
shall be available for fire brigade personnel. Control room personnel 
may be furnished breathing air by a manifold system piped from a storage 
reservoir if practical. Service or rated operating life shall be a 
minimum of one-half hour for the self-contained units.
    At least a 1-hour supply of breathing air in extra bottles shall be 
located on the plant site for each unit of self-contained breathing 
appratus. In addition, an onsite 6-hour supply of reserve air shall be 
provided and arranged to permit quick and complete replenishment of 
exhausted air supply bottles as they are returned. If compressors are 
used as a source of breathing air, only units approved for breathing air 
shall be used and the compressors shall be operable assuming a loss of 
offsite power. Special care must be taken to locate the compressor in 
areas free of dust and contaminants.
    I. Fire brigade training. The fire brigade training program shall 
ensure that the capability to fight potential fires is established and 
maintained. The program shall consist of an initial classroom 
instruction program followed by periodic classroom instruction, fire 
fighting practice, and fire drills:
    1. Instruction
    a. The initial classroom instruction shall include:
    (1) Indoctrination of the plant fire fighting plan with specific 
identification of each individual's responsibilities.
    (2) Identification of the type and location of fire hazards and 
associated types of fires that could occur in the plant.
    (3) The toxic and corrosive characteristics of expected products of 
combustion.
    (4) Identification of the location of fire fighting equipment for 
each fire area and familiarization with the layout of the plant, 
including access and egress routes to each area.

[[Page 785]]

    (5) The proper use of available fire fighting equipment and the 
correct method of fighting each type of fire. The types of fires covered 
should include fires in energized electrical equipment, fires in cables 
and cable trays, hydrogen fires, fires involving flammable and 
combustible liquids or hazardous process chemicals, fires resulting from 
construction or modifications (welding), and record file fires.
    (6) The proper use of communication, lighting, ventilation, and 
emergency breathing equipment.
    (7) The proper method for fighting fires inside buildings and 
confined spaces.
    (8) The direction and coordination of the fire fighting activities 
(fire brigade leaders only).
    (9) Detailed review of fire fighting strategies and procedures.
    (10) Review of the latest plant modifications and corresponding 
changes in fire fighting plans.

    Note: Items (9) and (10) may be deleted from the training of no more 
than two of the non-operations personnel who may be assigned to the fire 
brigade.

    b. The instruction shall be provided by qualified individuals who 
are knowledgeable, experienced, and suitably trained in fighting the 
types of fires that could occur in the plant and in using the types of 
equipment available in the nuclear power plant.
    c. Instruction shall be provided to all fire brigade members and 
fire brigade leaders.
    d. Regular planned meetings shall be held at least every 3 months 
for all brigade members to review changes in the fire protection program 
and other subjects as necessary.
    e. Periodic refresher training sessions shall be held to repeat the 
classroom instruction program for all brigade members over a two-year 
period. These sessions may be concurrent with the regular planned 
meetings.
    2. Practice
    Practice sessions shall be held for each shift fire brigade on the 
proper method of fighting the various types of fires that could occur in 
a nuclear power plant. These sessions shall provide brigade members with 
experience in actual fire extinguishment and the use of emergency 
breathing apparatus under strenuous conditions encountered in fire 
fighting. These practice sessions shall be provided at least once per 
year for each fire brigade member.
    3. Drills
    a. Fire brigade drills shall be performed in the plant so that the 
fire brigade can practice as a team.
    b. Drills shall be performed at regular intervals not to exceed 3 
months for each shift fire brigade. Each fire brigade member should 
participate in each drill, but must participate in at least two drills 
per year.
    A sufficient number of these drills, but not less than one for each 
shift fire brigade per year, shall be unannounced to determine the fire 
fighting readiness of the plant fire brigade, brigade leader, and fire 
protection systems and equipment. Persons planning and authorizing an 
unannounced drill shall ensure that the responding shift fire brigade 
members are not aware that a drill is being planned until it is begun. 
Unannounced drills shall not be scheduled closer than four weeks.
    At least one drill per year shall be performed on a ``back shift'' 
for each shift fire brigade.
    c. The drills shall be preplanned to establish the training 
objectives of the drill and shall be critiqued to determine how well the 
training objectives have been met. Unannounced drills shall be planned 
and critiqued by members of the management staff responsible for plant 
safety and fire protection. Performance deficiencies of a fire brigade 
or of individual fire brigade members shall be remedied by scheduling 
additional training for the brigade or members. Unsatisfactory drill 
performance shall be followed by a repeat drill within 30 days.
    d. At 3-year intervals, a randomly selected unannounced drill must 
be critiqued by qualified individuals independent of the licensee's 
staff. A copy of the written report from these individuals must be 
available for NRC review and shall be retained as a record as specified 
in section III.I.4 of this appendix.
    e. Drills shall as a minimum include the following:
    (1) Assessment of fire alarm effectiveness, time required to notify 
and assemble fire brigade, and selection, placement and use of 
equipment, and fire fighting strategies.
    (2) Assessment of each brigade member's knowledge of his or her role 
in the fire fighting strategy for the area assumed to contain the fire. 
Assessment of the brigade member's conformance with established plant 
fire fighting procedures and use of fire fighting equipment, including 
self-contained emergency breathing apparatus, communication equipment, 
and ventilation equipment, to the extent practicable.
    (3) The simulated use of fire fighting equipment required to cope 
with the situation and type of fire selected for the drill. The area and 
type of fire chosen for the drill should differ from those used in the 
previous drill so that brigade members are trained in fighting fires in 
various plant areas. The situation selected should simulate the size and 
arrangement of a fire that could reasonably occur in the area selected, 
allowing for fire development due to the time required to respond, to 
obtain equipment, and organize for the fire, assuming loss of automatic 
suppression capability.

[[Page 786]]

    (4) Assessment of brigade leader's direction of the fire fighting 
effort as to thoroughness, accuracy, and effectiveness.
    4. Records
    Individual records of training provided to each fire brigade member, 
including drill critiques, shall be maintained for at least 3 years to 
ensure that each member receives training in all parts of the training 
program. These records of training shall be available for NRC review. 
Retraining or broadened training for fire fighting within buildings 
shall be scheduled for all those brigade members whose performance 
records show deficiencies.
    J. Emergency lighting. Emergency lighting units with at least an 8-
hour battery power supply shall be provided in all areas needed for 
operation of safe shutdown equipment and in access and egress routes 
thereto.
    K. Administrative controls. Administrative controls shall be 
established to minimize fire hazards in areas containing structures, 
systems, and components important to safety. These controls shall 
establish procedures to:
    1. Govern the handling and limitation of the use of ordinary 
combustible materials, combustible and flammable gases and liquids, high 
efficiency particulate air and charcoal filters, dry ion exchange 
resins, or other combustible supplies in safety-related areas.
    2. Prohibit the storage of combustibles in safety-related areas or 
establish designated storage areas with appropriate fire protection.
    3. Govern the handling of and limit transient fire loads such as 
combustible and flammable liquids, wood and plastic products, or other 
combustible materials in buildings containing safety-related systems or 
equipment during all phases of operating, and especially during 
maintenance, modification, or refueling operations.
    4. Designate the onsite staff member responsible for the inplant 
fire protection review of proposed work activities to identify potential 
transient fire hazards and specify required additional fire protection 
in the work activity procedure.
    5. Govern the use of ignition sources by use of a flame permit 
system to control welding, flame cutting, brazing, or soldering 
operations. A separate permit shall be issued for each area where work 
is to be done. If work continues over more than one shift, the permit 
shall be valid for not more than 24 hours when the plant is operating or 
for the duration of a particular job during plant shutdown.
    6. Control the removal from the area of all waste, debris, scrap, 
oil spills, or other combustibles resulting from the work activity 
immediately following completion of the activity, or at the end of each 
work shift, whichever comes first.
    7. Maintain the periodic housekeeping inspections to ensure 
continued compliance with these administrative controls.
    8. Control the use of specific combustibles in safety-related areas. 
All wood used in safety-related areas during maintenance, modification, 
or refueling operations (such as lay-down blocks or scaffolding) shall 
be treated with a flame retardant. Equipment or supplies (such as new 
fuel) shipped in untreated combustible packing containers may be 
unpacked in safety-related areas if required for valid operating 
reasons. However, all combustible materials shall be removed from the 
area immediately following the unpacking. Such transient combustible 
material, unless stored in approved containers, shall not be left 
unattended during lunch breaks, shift changes, or other similar periods. 
Loose combustible packing material such as wood or paper excelsior, or 
polyethylene sheeting shall be placed in metal containers with tight-
fitting self-closing metal covers.
    9. Control actions to be taken by an individual discovering a fire, 
for example, notification of control room, attempt to extinguish fire, 
and actuation of local fire suppression systems.
    10. Control actions to be taken by the control room operator to 
determine the need for brigade assistance upon report of a fire or 
receipt of alarm on control room annunciator panel, for example, 
announcing location of fire over PA system, sounding fire alarms, and 
notifying the shift supervisor and the fire brigade leader of the type, 
size, and location of the fire.
    11. Control actions to be taken by the fire brigade after 
notification by the control room operator of a fire, for example, 
assembling in a designated location, receiving directions from the fire 
brigade leader, and discharging specific fire fighting responsibilities 
including selection and transportation of fire fighting equipment to 
fire location, selection of protective equipment, operating instructions 
for use of fire suppression systems, and use of preplanned strategies 
for fighting fires in specific areas.
    12. Define the strategies for fighting fires in all safety-related 
areas and areas presenting a hazard to safety-related equipment. These 
strategies shall designate:
    a. Fire hazards in each area covered by the specific prefire plans.
    b. Fire extinguishants best suited for controlling the fires 
associated with the fire hazards in that area and the nearest location 
of these extinguishants.
    c. Most favorable direction from which to attack a fire in each area 
in view of the ventilation direction, access hallways, stairs, and doors 
that are most likely to be free of fire, and the best station or 
elevation for fighting the fire. All access and egress routes

[[Page 787]]

that involve locked doors should be specifically identified in the 
procedure with the appropriate precautions and methods for access 
specified.
    d. Plant systems that should be managed to reduce the damage 
potential during a local fire and the location of local and remote 
controls for such management (e.g., any hydraulic or electrical systems 
in the zone covered by the specific fire fighting procedure that could 
increase the hazards in the area because of overpressurization or 
electrical hazards).
    e. Vital heat-sensitive system components that need to be kept cool 
while fighting a local fire. Particularly hazardous combustibles that 
need cooling should be designated.
    f. Organization of fire fighting brigades and the assignment of 
special duties according to job title so that all fire fighting 
functions are covered by any complete shift personnel complement. These 
duties include command control of the brigade, transporting fire 
suppression and support equipment to the fire scenes, applying the 
extinguishant to the fire, communication with the control room, and 
coordination with outside fire departments.
    g. Potential radiological and toxic hazards in fire zones.
    h. Ventilation system operation that ensures desired plant air 
distribution when the ventilation flow is modified for fire containment 
or smoke clearing operations.
    i. Operations requiring control room and shift engineer coordination 
or authorization.
    j. Instructions for plant operators and general plant personnel 
during fire.
    L. Alternative and dedicated shutdown capability. 1. Alternative or 
dedicated shutdown capability provided for a specific fire area shall be 
able to (a) achieve and maintain subcritical reactivity conditions in 
the reactor; (b) maintain reactor coolant inventory; (c) achieve and 
maintain hot standby \3\ conditions for a PWR (hot shutdown \3\ for a 
BWR); (d) achieve cold shutdown conditions within 72 hours; and (e) 
maintain cold shutdown conditions thereafter. During the postfire 
shutdown, the reactor coolant system process variables shall be 
maintained within those predicted for a loss of normal a.c. power, and 
the fission product boundary integrity shall not be affected; i.e., 
there shall be no fuel clad damage, rupture of any primary coolant 
boundary, of rupture of the containment boundary.
---------------------------------------------------------------------------

    \3\ As defined in the Standard Technical Specifications.
---------------------------------------------------------------------------

    2. The performance goals for the shutdown functions shall be:
    a. The reactivity control function shall be capable of achieving and 
maintaining cold shutdown reactivity conditions.
    b. The reactor coolant makeup function shall be capable of 
maintaining the reactor coolant level above the top of the core for BWRs 
and be within the level indication in the pressurizer for PWRs.
    c. The reactor heat removal function shall be capable of achieving 
and maintaining decay heat removal.
    d. The process monitoring function shall be capable of providing 
direct readings of the process variables necessary to perform and 
control the above functions.
    e. The supporting functions shall be capable of providing the 
process cooling, lubrication, etc., necessary to permit the operation of 
the equipment used for safe shutdown functions.
    3. The shutdown capability for specific fire areas may be unique for 
each such area, or it may be one unique combination of systems for all 
such areas. In either case, the alternative shutdown capability shall be 
independent of the specific fire area(s) and shall accommodate postfire 
conditions where offsite power is available and where offsite power is 
not available for 72 hours. Procedures shall be in effect to implement 
this capability.
    4. If the capability to achieve and maintain cold shutdown will not 
be available because of fire damage, the equipment and systems 
comprising the means to achieve and maintain the hot standby or hot 
shutdown condition shall be capable of maintaining such conditions until 
cold shutdown can be achieved. If such equipment and systems will not be 
capable of being powered by both onsite and offsite electric power 
systems because of fire damage, an independent onsite power system shall 
be provided. The number of operating shift personnel, exclusive of fire 
brigade members, required to operate such equipment and systems shall be 
on site at all times.
    5. Equipment and systems comprising the means to achieve and 
maintain cold shutdown conditions shall not be damaged by fire; or the 
fire damage to such equipment and systems shall be limited so that the 
systems can be made operable and cold shutdown can be achieved within 72 
hours. Materials for such repairs shall be readily available on site and 
procedures shall be in effect to implement such repairs. If such 
equipment and systems used prior to 72 hours after the fire will not be 
capable of being powered by both onsite and offsite electric power 
systems because of fire damage, an independent onsite power system shall 
be provided. Equipment and systems used after 72 hours may be powered by 
offsite power only.
    6. Shutdown systems installed to ensure postfire shutdown capability 
need not be designed to meet seismic Category I criteria, single failure 
criteria, or other design basis accident criteria, except where required 
for

[[Page 788]]

other reasons, e.g., because of interface with or impact on existing 
safety systems, or because of adverse valve actions due to fire damage.
    7. The safe shutdown equipment and systems for each fire area shall 
be known to be isolated from associated non-safety circuits in the fire 
area so that hot shorts, open circuits, or shorts to ground in the 
associated circuits will not prevent operation of the safe shutdown 
equipment. The separation and barriers between trays and conduits 
containing associated circuits of one safe shutdown division and trays 
and conduits containing associated circuits or safe shutdown cables from 
the redundant division, or the isolation of these associated circuits 
from the safe shutdown equipment, shall be such that a postulated fire 
involving associated circuits will not prevent safe shutdown. \4\
---------------------------------------------------------------------------

    \4\ An acceptable method of complying with this alternative would be 
to meet Regulatory Guide 1.75 position 4 related to associated circuits 
and IEEE Std 384-1974 (Section 4.5) where trays from redundant safety 
divisions are so protected that postulated fires affect trays from only 
one safety division.
---------------------------------------------------------------------------

    M. Fire barrier cable penetration seal qualification. Penetration 
seal designs shall utilize only noncombustible materials and shall be 
qualified by tests that are comparable to tests used to rate fire 
barriers. The acceptance criteria for the test shall include:
    1. The cable fire barrier penetration seal has withstood the fire 
endurance test without passage of flame or ignition of cables on the 
unexposed side for a period of time equivalent to the fire resistance 
rating required of the barrier;
    2. The temperature levels recorded for the unexposed side are 
analyzed and demonstrate that the maximum temperature is sufficiently 
below the cable insulation ignition temperature; and
    3. The fire barrier penetration seal remains intact and does not 
allow projection of water beyond the unexposed surface during the hose 
stream test.
    N. Fire doors. Fire doors shall be self-closing or provided with 
closing mechanisms and shall be inspected semiannually to verify that 
automatic hold-open, release, and closing mechanisms and latches are 
operable.
    One of the following measures shall be provided to ensure they will 
protect the opening as required in case of fire:
    1. Fire doors shall be kept closed and electrically supervised at a 
continuously manned location;
    2. Fire doors shall be locked closed and inspected weekly to verify 
that the doors are in the closed position;
    3. Fire doors shall be provided with automatic hold-open and release 
mechanisms and inspected daily to verify that doorways are free of 
obstructions; or
    4. Fire doors shall be kept closed and inspected daily to verify 
that they are in the closed position.
    The fire brigade leader shall have ready access to keys for any 
locked fire doors.
    Areas protected by automatic total flooding gas suppression systems 
shall have electrically supervised self-closing fire doors or shall 
satisfy option 1 above.
    O. Oil collection system for reactor coolant pump. The reactor 
coolant pump shall be equipped with an oil collection system if the 
containment is not inerted during normal operation. The oil collection 
system shall be so designed, engineered, and installed that failure will 
not lead to fire during normal or design basis accident conditions and 
that there is reasonable assurance that the system will withstand the 
Safe Shutdown Earthquake. \5\
---------------------------------------------------------------------------

    \5\ See Regulatory Guide 1.29--``Seismic Design Classification'' 
paragraph C.2.
---------------------------------------------------------------------------

    Such collection systems shall be capable of collecting lube oil from 
all potential pressurized and unpressurized leakage sites in the reactor 
coolant pump lube oil systems. Leakage shall be collected and drained to 
a vented closed container that can hold the entire lube oil system 
inventory. A flame arrester is required in the vent if the flash point 
characteristics of the oil present the hazard of fire flashback. Leakage 
points to be protected shall include lift pump and piping, overflow 
lines, lube oil cooler, oil fill and drain lines and plugs, flanged 
connections on oil lines, and lube oil reservoirs where such features 
exist on the reactor coolant pumps. The drain line shall be large enough 
to accommodate the largest potential oil leak.

[45 FR 76611, Nov. 19, 1980; 46 FR 44735, Sept. 8, 1981, as amended at 
53 FR 19251, May 27, 1988]

Appendix S to Part 50--Earthquake Engineering Criteria for Nuclear Power 
                                 Plants

                           General Information

    This appendix applies to applicants for a design certification or 
combined license pursuant to part 52 of this chapter or a construction 
permit or operating license pursuant to part 50 of this chapter on or 
after January 10, 1997. However, for either an operating license 
applicant or holder whose construction permit was issued prior to 
January 10, 1997, the earthquake engineering criteria in Section VI of 
Appendix A to 10 CFR part 100 continues to apply.

[[Page 789]]

                             I. Introduction

    (a) Each applicant for a construction permit, operating license, 
design certification, or combined license is required by Sec. 50.34 
(a)(12), (b)(10), and General Design Criterion 2 of Appendix A to this 
part to design nuclear power plant structures, systems, and components 
important to safety to withstand the effects of natural phenomena, such 
as earthquakes, without loss of capability to perform their safety 
functions. Also, as specified in Sec. 50.54(ff), nuclear power plants 
that have implemented the earthquake engineering criteria described 
herein must shut down if the criteria in Paragraph IV(a)(3) of this 
appendix are exceeded.
    (b) These criteria implement General Design Criterion 2 insofar as 
it requires structures, systems, and components important to safety to 
withstand the effects of earthquakes.

                                II. Scope

    The evaluations described in this appendix are within the scope of 
investigations permitted by Sec. 50.10(c)(1).

                            III. Definitions

    As used in these criteria:
    Combined license means a combined construction permit and operating 
license with conditions for a nuclear power facility issued pursuant to 
Subpart C of Part 52 of this chapter.
    Design Certification means a Commission approval, issued pursuant to 
Subpart B of Part 52 of this chapter, of a standard design for a nuclear 
power facility. A design so approved may be referred to as a ``certified 
standard design.''
    The Operating Basis Earthquake Ground Motion (OBE) is the vibratory 
ground motion for which those features of the nuclear power plant 
necessary for continued operation without undue risk to the health and 
safety of the public will remain functional. The Operating Basis 
Earthquake Ground Motion is only associated with plant shutdown and 
inspection unless specifically selected by the applicant as a design 
input.
    A response spectrum is a plot of the maximum responses 
(acceleration, velocity, or displacement) of idealized single-degree-of-
freedom oscillators as a function of the natural frequencies of the 
oscillators for a given damping value. The response spectrum is 
calculated for a specified vibratory motion input at the oscillators' 
supports.
    The Safe Shutdown Earthquake Ground Motion (SSE) is the vibratory 
ground motion for which certain structures, systems, and components must 
be designed to remain functional.
    The structures, systems, and components required to withstand the 
effects of the Safe Shutdown Earthquake Ground Motion or surface 
deformation are those necessary to assure:
    (1) The integrity of the reactor coolant pressure boundary;
    (2) The capability to shut down the reactor and maintain it in a 
safe shutdown condition; or
    (3) The capability to prevent or mitigate the consequences of 
accidents that could result in potential offsite exposures comparable to 
the guideline exposures of Sec. 50.34(a)(1).
    Surface deformation is distortion of geologic strata at or near the 
ground surface by the processes of folding or faulting as a result of 
various earth forces. Tectonic surface deformation is associated with 
earthquake processes.

                  IV. Application To Engineering Design

    The following are pursuant to the seismic and geologic design basis 
requirements of Sec. 100.23 of this chapter:
    (a) Vibratory Ground Motion.
    (1) Safe Shutdown Earthquake Ground Motion.
    (i) The Safe Shutdown Earthquake Ground Motion must be characterized 
by free-field ground motion response spectra at the free ground surface. 
In view of the limited data available on vibratory ground motions of 
strong earthquakes, it usually will be appropriate that the design 
response spectra be smoothed spectra. The horizontal component of the 
Safe Shutdown Earthquake Ground Motion in the free-field at the 
foundation level of the structures must be an appropriate response 
spectrum with a peak ground acceleration of at least 0.1g.
    (ii) The nuclear power plant must be designed so that, if the Safe 
Shutdown Earthquake Ground Motion occurs, certain structures, systems, 
and components will remain functional and within applicable stress, 
strain, and deformation limits. In addition to seismic loads, applicable 
concurrent normal operating, functional, and accident-induced loads must 
be taken into account in the design of these safety-related structures, 
systems, and components. The design of the nuclear power plant must also 
take into account the possible effects of the Safe Shutdown Earthquake 
Ground Motion on the facility foundations by ground disruption, such as 
fissuring, lateral spreads, differential settlement, liquefaction, and 
landsliding, as required in Sec. 100.23 of this chapter.
    (iii) The required safety functions of structures, systems, and 
components must be assured during and after the vibratory ground motion 
associated with the Safe Shutdown Earthquake Ground Motion through 
design, testing, or qualification methods.
    (iv) The evaluation must take into account soil-structure 
interaction effects and the expected duration of vibratory motion. It is

[[Page 790]]

permissible to design for strain limits in excess of yield strain in 
some of these safety-related structures, systems, and components during 
the Safe Shutdown Earthquake Ground Motion and under the postulated 
concurrent loads, provided the necessary safety functions are 
maintained.
    (2) Operating Basis Earthquake Ground Motion.
    (i) The Operating Basis Earthquake Ground Motion must be 
characterized by response spectra. The value of the Operating Basis 
Earthquake Ground Motion must be set to one of the following choices:
    (A) One-third or less of the Safe Shutdown Earthquake Ground Motion 
design response spectra. The requirements associated with this Operating 
Basis Earthquake Ground Motion in Paragraph (a)(2)(i)(B)(I ) can be 
satisfied without the applicant performing explicit response or design 
analyses, or
    (B) A value greater than one-third of the Safe Shutdown Earthquake 
Ground Motion design response spectra. Analysis and design must be 
performed to demonstrate that the requirements associated with this 
Operating Basis Earthquake Ground Motion in Paragraph (a)(2)(i)(B)(I) 
are satisfied. The design must take into account soil-structure 
interaction effects and the duration of vibratory ground motion.
    (I) When subjected to the effects of the Operating Basis Earthquake 
Ground Motion in combination with normal operating loads, all 
structures, systems, and components of the nuclear power plant necessary 
for continued operation without undue risk to the health and safety of 
the public must remain functional and within applicable stress, strain, 
and deformation limits.
    (3) Required Plant Shutdown. If vibratory ground motion exceeding 
that of the Operating Basis Earthquake Ground Motion or if significant 
plant damage occurs, the licensee must shut down the nuclear power 
plant. If systems, structures, or components necessary for the safe 
shutdown of the nuclear power plant are not available after the 
occurrence of the Operating Basis Earthquake Ground Motion, the licensee 
must consult with the Commission and must propose a plan for the timely, 
safe shutdown of the nuclear power plant. Prior to resuming operations, 
the licensee must demonstrate to the Commission that no functional 
damage has occurred to those features necessary for continued operation 
without undue risk to the health and safety of the public and the 
licensing basis is maintained.
    (4) Required Seismic Instrumentation. Suitable instrumentation must 
be provided so that the seismic response of nuclear power plant features 
important to safety can be evaluated promptly after an earthquake.
    (b) Surface Deformation. The potential for surface deformation must 
be taken into account in the design of the nuclear power plant by 
providing reasonable assurance that in the event of deformation, certain 
structures, systems, and components will remain functional. In addition 
to surface deformation induced loads, the design of safety features must 
take into account seismic loads and applicable concurrent functional and 
accident-induced loads. The design provisions for surface deformation 
must be based on its postulated occurrence in any direction and azimuth 
and under any part of the nuclear power plant, unless evidence indicates 
this assumption is not appropriate, and must take into account the 
estimated rate at which the surface deformation may occur.
    (c) Seismically Induced Floods and Water Waves and Other Design 
Conditions. Seismically induced floods and water waves from either 
locally or distantly generated seismic activity and other design 
conditions determined pursuant to Sec. 100.23 of this chapter must be 
taken into account in the design of the nuclear power plant so as to 
prevent undue risk to the health and safety of the public.

[61 FR 65173, Dec. 11, 1996]

    Effective Date Note: At 61 FR 65173, Dec. 11, 1996, Appendix S was 
added to Part 50, effective Jan. 10, 1997.
[[Page 791]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 793]]

            Material Approved for Incorporation by Reference

                     (Revised as of January 1, 1997)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


10 CFR CHAPTER I (PARTS 0-50)

NUCLEAR REGULATORY COMMISSION
  Each of the following documents is available for                10 CFR
  inspection at the Nuclear Regulatory 
  Commission's Library, 11545 Rockville Pike, 
  Rockville, MD 20852-2738. The individual 
  documents are available through the sources 
  listed below.


American Association of Physicists in Medicine

  335 E. 45th St., New York, NY 10017
Scientific Committee on Radiation Dosimetry of the             35.632(d)
  American Association of Physicists in Medicine, 
  Physics in Medicine and Biology, Volume 16, No. 
  3, 1971, 379-396.
Task Group 21 of the Radiation Therapy Committee,              35.632(d)
  Medical Physics, Vol. 10, No. 6, 1983, pp. 741-
  771; and Volume 11, No. 2, 1984, p. 213.


American National Standards Institute

  1430 Broadway, New York, NY 10018
ASA B31.1 1955 Ed., American Standard Code for                    50.55a
  Pressure Piping.
USAS B31.1.0 1967 Ed., Addenda A, B & C, U.S.A.                   50.55a
  Standard Code for Pressure Piping.
USAS B31.7 1969 Ed., Addenda A, B & C, U.S.A.                     50.55a
  Standard Code for Pressure Piping.
ANSI N432-1980 Radiological Safety for the Design                  34.20
  and Construction of Apparatus for Gamma 
  Radiography (published as NBS Handbook 136, 
  issued January 1981).
ANSI N45.4-1972 Leakage Rate Testing of                Part 50, App. J, 
  Containment Structures for Nuclear Reactors,                 III.A.3.a
  March 16, 1972.


American Nuclear Society

  555 North Kensington Ave., La Grange Park, IL 
  60525
Proposed American Nuclear Society Standard--Decay      Part 50, App. K, 
  Energy Release Rates Following Shutdown of                       I.A.4
  Uranium Fueled Thermal Reactors, Approved by 
  Subcommittee ANS-5, ANS Standards Committee, 
  Oct. 1971.


American Society of Mechanical Engineers

  United Engineering Center, 345 E. 47th St., New 
  York, NY 10017
ASME Boiler and Pressure Vessel Code Section III
  1963 Edition: Addenda Summer 64; Winter 64                      50.55a
  1965 Edition: Addenda Summer 65; Winter 65;                     50.55a
Summer 66; Winter 66; Summer 67; Winter 67
[[Page 794]]

  1968 Edition: Addenda Summer 68; Winter 68;                     50.55a
  Summer 69; Winter 69; Summer 70; Winter 70
  1971 Edition: Addenda Summer 71; Winter 71;                     50.55a
  Summer 72; Winter 72; Summer 73; Winter 73
ASME Boiler and Pressure Vessel Code Section III, Division 1
  1974 Edition: Addenda Summer 74; Winter 74;                     50.55a
  Summer 75; Winter 75; Summer 76; Winter 76
  1977 Edition: Addenda Summer 77; Winter 77;                     50.55a
  Summer 78; Winter 78; Summer 79; Winter 79
  1980 Edition: Addenda Summer 80; Winter 80                      50.55a
    Subarticle NE-3220                                             50.34
  1981 Edition: Addenda Winter 1981                               50.55a
  1983 Edition: Addenda Summer 83; Winter 83;                     50.55a
  Summer 84; Winter 84; Summer 85; Winter 85
  1986 Edition: 1986, 1987 and 1988 Addenda                       50.55a
  1989 Edition                                                    50.55a
ASME Boiler and Pressure Vessel Code Section III, Division 2
  1980 Edition: Subarticle CC-3720                                 50.34
ASME Boiler and Pressure Vessel Code Section XI, Division 1
  1970 Edition: Addenda Winter 70                                 50.55a
  1971 Edition: Addenda Summer 71; Winter 71;                     50.55a
  Summer 72; Winter 72; Summer 73; Winter 73
  1974 Edition: Addenda Summer 74; Winter 74;                     50.55a
  Summer 75; Winter 75; Summer 76; Winter 76
  1977 Edition: Addenda Summer 77; Winter 77;                     50.55a
  Summer 78; Winter 78; Summer 79; Winter 79
  1980 Edition: Addenda Winter 80                                 50.55a
  1981 Edition: Addenda Winter 81; Winter 82                      50.55a
  1983 Edition: Addenda Summer 83; Winter 83;                     50.55a
  Summer 84; Winter 84; Summer 85; Winter 85
  1986 Edition: 1986, 1987 and 1988 Addenda                       50.55a
  1989 Edition                                                    50.55a
Draft ASME Code for Pumps and Valves for Nuclear                  50.55a
  Power, dated Nov. 1968 and 1 addenda dated Mar. 
  1970.
F. J. Moody, Maximum Flow Rate of a Single             Part 50, App. K, 
  Component, Two-Phase Mixture, Journal of Heat                 I.C.1.b.
  Transfer, Trans American Society of Mechanical 
  Engineers, 87, No. 1, Feb. 1965.


American Society for Testing Materials

  1916 Race St., Philadelphia, PA 19103
ASTM E 185-73, E 185-79 and E 185-82 Standard         Part 50, App. H, I
  Recommended Practice for Surveillance Tests for 
  Nuclear Reactor Vessels.


Commerce Department, National Technical Information Service

  5285 Port Royal Rd., Springfield, VA 22161
Baker-Just, Studies of Metal Water Reactions at        Part 50, App. K, 
  High Temperatures, III. Experimental and                         I.A.5
  Theoretical Studies of the Zirconium-Water 
  Reaction, ANL-6548, page 7, May 1962.
PWR FLECHT (Full Length Emergency Cooling Heat         Part 50, App. K, 
  Transfer) Final Report, Westinghouse Report                      I.D.5
  WCAP-7665, Apr. 1971.


General Electric Co.

  Nuclear Energy Business Group, Technical Support 
  Services, MC-211, 175 Curtner Ave., San Jose, CA 
  95125

[[Page 795]]

Loss-of-Coolant Accident and Emergency Core            Part 50, App. K, 
  Cooling Models for General Electric Boiling                    I.D.7.c
  Water Reactors, General Electric Company Report 
  NEDO-10329, Apr. 1971.
General Electric Company (GE) CF6-80C2 Service                     39.13
  Bulletin (SB) No. 72-835, Revision 1, dated May 
  2, 1996..


Institute of Electrical and Electronic Engineers

  United Engineering Center, 345 E. 47th St., New 
  York, NY 10017
IEEE-279 Criteria for Protection Systems for                   50.55a(h)
  Nuclear Generating Stations, dated Aug. 30, 1968 
  and June 3, 1971.
IEEE 803-1983 Recommended Practices for Unique                     50.73
  Identification in Power Plants and Related 
  Facilities--Principles and Definitions.



[[Page 797]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 1997)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)
        II  Federal Claims Collection Standards (General 
                Accounting Office--Department of Justice) (Parts 
                100--299)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Advisory Committee on Federal Pay (Parts 1400--1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3202)
     XXIII  Department of Energy (Part 3301)

[[Page 798]]

      XXIV  Federal Energy Regulatory Commission (Part 3401)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Consumer Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)

[[Page 799]]

        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of Finance and Management, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  [Reserved]
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)

[[Page 800]]

    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--499)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Meat and Poultry 
                Inspection, Department of Agriculture (Parts 300--
                599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
        XI  United States Enrichment Corporation (Parts 1100--
                1199)
        XV  Office of the Federal Inspector for the Alaska Natural 
                Gas Transportation System (Parts 1500--1599)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)

[[Page 801]]

        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Thrift Depositor Protection Oversight Board (Parts 
                1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700-1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Export Administration, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements

[[Page 802]]

        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)

[[Page 803]]

        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development, International 
                Development Cooperation Agency (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Information Agency (Parts 500--599)
        VI  United States Arms Control and Disarmament Agency 
                (Parts 600--699)
       VII  Overseas Private Investment Corporation, International 
                Development Cooperation Agency (Parts 700--799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Board for International Broadcasting (Parts 1300--
                1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

[[Page 804]]

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs and Section 202 Direct Loan Program) 
                (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Part 1001)

[[Page 805]]

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--799)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Programs, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)

[[Page 806]]

       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)
      XXIX  Presidential Commission on the Assignment of Women in 
                the Armed Forces (Part 2900)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)

[[Page 807]]

        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100-1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
       XIV  Assassination Records Review Board (Parts 1400-1499)

             Title 37--Patents, Trademarks, and Copyrights

         I  Patent and Trademark Office, Department of Commerce 
                (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)

[[Page 808]]

        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
         V  Council on Environmental Quality (Parts 1500--1599)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans 
                Employment and Training, Department of Labor 
                (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       301  Travel Allowances (Parts 301-1--301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Parts 303-1--303-2)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

[[Page 809]]

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Health Care Financing Administration, Department of 
                Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services, 
                General Administration (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  ACTION (Parts 1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)

[[Page 810]]

       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
      XXII  Christopher Columbus Quincentenary Jubilee Commission 
                (Parts 2200--2299)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)

[[Page 811]]

        19  United States Information Agency (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Highway Administration, Department of 
                Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)

[[Page 812]]

         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            Acts Requiring Publication in the Federal Register
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 813]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 1997)

                                                  CFR Title, Subtitle or
                     Agency                               Chapter

ACTION                                            45, XII
Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Committee on Federal Pay                 5, IV
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Finance and Management, Office of               7, XXX
  Food and Consumer Service                       7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alaska Natural Gas Transportation System, Office  10, XV
     of the Federal Inspector
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
Animal and Plant Health Inspection Service        7, III; 9, I

[[Page 814]]

Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Arms Control and Disarmament Agency, United       22, VI
     States
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Assassination Records Review Board                36, XIV
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Board for International Broadcasting              22, XIII
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee        45, XXII
     Commission
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Commerce Department                               44, IV
  Census Bureau                                   15, I`
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office                     37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I

[[Page 815]]

  Defense Logistics Agency                        32, I, XII; 48, 54
  Defense Mapping Agency                          32, I
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Mapping Agency                            32, I
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Enrichment Corporation, United States             10, XI
Environmental Protection Agency                   5, LIV; 40, I
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                25, III, LXXVII; 48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I

[[Page 816]]

  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               4, II
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II; 49, III
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Inspector for the Alaska Natural Gas      10, XV
     Transportation System, Office of
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Pay, Advisory Committee on                5, IV
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Property Management Regulations System    41, Subtitle C
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Finance and Management, Office of                 7, XXX
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Consumer Service                         7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I, II
General Services Administration                   5, LVII
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Property Management Regulations System  41, 101, 105
  Federal Travel Regulation System                41, Subtitle F
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
     of Certain Employees
[[Page 817]]

  Relocation Allowances                           41, 302
  Travel Allowances                               41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes Pilotage                              46, III
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Health Care Financing Administration            42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Health Care Financing Administration              42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Agency, United States                 22, V
  Federal Acquisition Regulation                  48, 19
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI

[[Page 818]]

  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, Agency for             22, II
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
  International Development, Agency for           22, II; 48, 7
  Overseas Private Investment Corporation         5, XXXIII; 22, VII
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             4, II
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Relations and Cooperative      29, II
       Programs, Bureau of
  Labor-Management Programs, Office of            29, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training, Office of    41, 61; 20, IX
       the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Relations and Cooperative        29, II
     Programs, Bureau of
Labor-Management Programs, Office of              29, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II

[[Page 819]]

Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National and Community Service, Corporation for   45, XXV
National Council on Disability                    34, XII
National Credit Union Administration              12, VII
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office                       37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
     Acquisition Regulation
[[Page 820]]

  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Commission on the Assignment of      32, XXIX
     Women in the Armed Forces
Presidential Documents                            3
Prisons, Bureau of                                28, V
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Depositor Protection Oversight Board       12, XV
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II; 49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X

[[Page 821]]

Transportation, Office of                         7, XXXIII
Travel Allowances                                 41, 301
Treasury Department                               5, XXI; 17, IV
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
United States Enrichment Corporation              10, XI
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training, Office of the  41, 61; 20, IX
     Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 823]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, and 1973-1985,'' published in seven 
separate volumes.

                                  1986

10 CFR
                                                                   51 FR
                                                                    Page
Chapter I
Chapter I  Policy statements revocation corrected..................29211
0.735-28  (a)(2) revised...........................................35997
1.32  Revised......................................................35597
1.40  (b) amended; (n) revised.....................................35998
1.42  Removed......................................................35998
1.60  (a) corrected..................................................731
1.61  (e) amended..................................................35998
2  Authority citation revised................................7764, 30839
2.105  (a)(4) and (6) and (d)(2) revised............................7765
2.300--2.309 (Subpart C)  Removed...................................7765
2.714  (d) revised.................................................27162
2.734  Added.......................................................19539
    (b) corrected..................................................23523
2  Appendix B added................................................30839
4  Authority citation revised......................................22888
4.501--4.570 (Subpart E)  Added.............................22888, 22896
4.570  (c) revised.................................................22888
9.3a  (a) revised..................................................35998
9.8  (e) amended...................................................35999
9.9  (a) and (b) amended...........................................35999
9.15  (a) amended..................................................35999
10  Authority citation revised.....................................35999
10.5  (c) amended..................................................35999
10.22  Introductory text amended...................................35999
10.24  (a) amended.................................................35999
11  Authority citation revised.....................................35207
11.15  (e) revised.................................................35207
14.15  Amended.....................................................35999
14.33  Revised.....................................................35999
14.35  (b) introductory text amended...............................35999
14.51  (a) and (b) amended; (c) removed............................35999
14.53  Revised.....................................................35999
20  Appendix D amended.............................................35500
21.2  Footnote 1 amended...........................................35500
25.17  (e) revised.................................................35207
25.18  Added.......................................................47205
25.23  Revised.....................................................47205
30  Authority citation revised.....................................36000
30.4  (h) and (l) revised; (y) and (z) added; eff. 4-1-87..........36967
30.6  (b) introductory text and (1) revised; (b)(2)(i)-(v) amended
                                                                   36000
30.34  (g) revised; eff. 4-1-87....................................36967
31  Authority citation revised; section authority citations 
        removed....................................................36967
31.11  (b) revised; eff. 4-1-87....................................36967
32.70  Removed; eff. 4-1-87........................................36967
32.72  Heading, (a) introductory text and (4)(i) revised; eff. 4-
        1-87.......................................................36967
32.73  (a)(5)(ii) revised; eff. 4-1-87.............................36967
32.74  (a) introductory text and (3) revised; eff. 4-1-87..........36967
34  Authority citation revised; section and Appendix A authority 
        citations removed..........................................21739
34.2  Amended......................................................21740

[[Page 824]]

34.11  (d) revised.................................................21740
34.43  Revised.....................................................21740
35  Revised; eff. 4-1-87...........................................36951
40  Authority citation revised...............................9766, 36001
40.4  (g) revised; eff. 4-1-87.....................................36968
40.5  (b) introductory text and (1) revised; (b)(2)(i) through (v) 
        amended....................................................36001
40.64  (b) revised..................................................9766
50  Authority citation revised...............................7765, 27820
    Policy statement........................................24643, 28044
    Policy statement corrected and republished.....................30028
50.2  Amended.......................................................6519
50.4  Revised; eff. 1-5-87.........................................40306
50.8  (b) revised...................................................6519
50.30  (a) and (b) revised; (c) removed; eff. 1-5-87...............40307
50.34  (d) revised.................................................27820
50.36  (c)(5) revised; eff. 1-5-87.................................40308
50.36a  (a)(2) revised; eff. 1-5-87................................40308
50.44  (c)(3)(vi)(A) and (vii)(A) revised; eff. 1-5-87.............40308
50.47  (b)(12) policy statement....................................32904
50.49  (h) and (i) introductory text revised; eff. 1-5-87..........40308
    (i) corrected..................................................43709
50.54  (p) revised.................................................27820
    (p)(1) corrected...............................................30054
    (a)(3) introductory text and (i), (f), (p) introductory text, 
(q), and (w)(4) revised; eff. 1-5-87...............................40308
    (a)(3) introductory text corrected.............................43709
    (p) revised....................................................47206
50.55  (e)(3) and (f)(3) introductory text and (i) revised; eff. 
        1-5-87.....................................................40309
50.55a  (g)(5)(ii) and (iii) revised; eff. 1-5-87..................40309
50.57  (d) removed..................................................7765
50.58  (b) revised..................................................7765
50.59  (b) revised; eff. 1-5-87....................................40309
50.62  (c)(6) and (d) revised; eff. 1-5-87.........................40310
50.64  Added........................................................6519
50.71  (a), (b), and (e)(1) revised; eff. 1-5-87...................40310
50.73  (c) and (d) revised; eff. 1-5-87............................40310
50.82  (a) revised; eff. 1-5-87....................................40310
50.90  Revised; eff. 1-5-87........................................40310
50.91  Revised......................................................7765
    (a)(1) revised; eff. 1-5-87....................................40310
50.92  Revised......................................................7767
50.109  Workshops..................................................10536
50  Appendix A amended.............................................12505
    Appendixes E, G, H, I, J, K, M, N, O, and Q amended; eff. 1-5-
87.................................................................40311

                                  1987

10 CFR
                                                                   52 FR
                                                                    Page
Chapter I
Chapter I  Policy statements revocation corrected..................20592
0  Authority citation revised......................................11027
0.735-3  (e) introductory text and (1) and (f) revised.............31608
0.735-21  (b)(1) revised; (e) added................................11027
    (a), (b) and (e) revised.......................................30903
0.735-28  (a)(2) and (b) amended...................................31608
0.735-29  (b)(1)(v) revised........................................11028
0.735-49  (a) amended..............................................31608
1  Revised.........................................................31602
    Policy statement...............................................36215
2  Authority citation revised...............................36218, 49369
2.101  (c)(3) and (e)(1) amended...................................31608
2.201  (a), (b) and (c) amended....................................31608
2.202  (a) introductory text and (f) amended.......................31608
2.205  (a), (c), (d), (g), (h) and (i) revised.....................31608
2.206  (a) and (b) revised.........................................31608
2.785  (a) revised..................................................2993
2.790  (a)(7), (b)(1)(ii) and (d) revised; eff. 2-1-88.............49355
2.802  (b) and (g) revised.........................................31609
2  Appendix C revised..............................................36218
    Appendix C amended; eff. 2-1-88................................49370
4  Authority citation revised......................................25357
    Table of contents corrected....................................28132
4.1  Revised.......................................................25357
4.1a  Redesignated as 4.2 and revised..............................25358
4.2  Redesignated as 4.3 and revised; new 4.2 redesignated from 
        4.1a and revised...........................................25358

[[Page 825]]

4.3  Redesignated as 4.4 and (d) revised; new 4.3 redesignated 
        from 4.2 and revised.......................................25358
4.4  Redesignated as 4.5; new 4.4 redesignated from 4.3 and (d) 
        revised....................................................25358
4.5  Redesignated from 4.4.........................................25358
4.301--4.341 (Subpart C)  Added....................................25358
4  Appendix A amended..............................................25361
7  Authority citation revised......................................31609
7.19  (b) amended..................................................31609
9  Authority citation revised......................................49355
9.1  Revised; eff. 2-1-88..........................................49355
9.1a  Removed; eff. 2-1-88.........................................49355
9.2  Redesignated as 9.3 and revised; eff. 2-1-88..................49355
9.2a  Redesignated as 9.5 and revised; eff. 2-1-88.................49356
9.2b  Redesignated as 9.8 and revised; eff. 2-1-88.................49356
9.3  Removed; new 9.3 redesignated from 9.2 and revised; eff. 2-1-
        88.........................................................49355
9.3a--9.16 (Subpart A)  Redesignated as 9.11--9.45 (Subpart A) and 
        revised; eff. 2-1-88.......................................49356
9.5  Redesignated from 9.2a and revised; eff. 2-1-88...............49356
9.8  Removed; eff. 2-1-88..........................................49355
    Redesignated from 9.2b and revised; eff. 2-1-88................49356
9.11--9.45 (Subpart A)  Redesignated from 9.3a--9.16 (Subpart A) 
        and revised; eff. 2-1-88...................................49356
9.14  (a)(1) revised...............................................29505
9.53  (a) and (b) amended..........................................31609
9.54  (b) amended..................................................31609
9.65  (a) introductory text amended................................31609
9.66  (a)(1) introductory text, (2), and (3) and (c)(2) amended....31609
9.69  (a) amended..................................................31609
9.85  Revised......................................................31609
    Revised; eff. 2-1-88...........................................49362
9.95  Revised........................................................760
9.100  Revised; eff. 2-1-88........................................49362
9.200  (b) revised; eff. 2-1-88....................................49362
10.5  (b) amended..................................................31609
10.12  (a) amended.................................................31609
10.21  Amended.....................................................31609
10.22  Introductory text, (c), (d) and (e) amended.................31609
10.23  (a) and (b) amended.........................................31609
10.24  (a) and (b) amended.........................................31609
10.27  (c) amended.................................................31609
10.28  (m) amended.................................................31609
10.29  (d) amended.................................................31609
10.30  Amended.....................................................31610
10.31  (a) amended.................................................31610
10.32  (b) amended.................................................31610
10.33  (c) and (d) amended.........................................31610
10.34  (b) amended.................................................31610
10.35  (b) amended.................................................31610
10.37  Amended.....................................................31610
11.15  (e)(1) revised..............................................44594
11.16  Amended.....................................................31610
    Revised........................................................44594
15.3  Amended......................................................31610
15.35  (c) introductory text revised...............................31610
19.2  Amended.......................................................8240
19.3  (d) amended...................................................8240
19.5  Revised......................................................31610
19.11  (c) Note revised............................................31610
19.16  (a) and (b) amended.........................................31610
19.17  (a) and (b) amended.........................................31610
20.2  Amended.......................................................8240
20  Authority citation revised......................................4605
20.3  (a)(20) added; eff. 2-12-88...................................4604
    (a)(9) amended..................................................8240
20.103  (a)(1) footnote 5 and (g) amended..........................31610
20.202  (c) added; eff. 2-12-88.....................................4604
20.403  (d)(2) revised.............................................33917
21.2  Amended.......................................................8241
21.5  Revised......................................................31610
21.21  (b)(2) revised..............................................31611
25.33  (c) amended.................................................31611
25  Appendix A revised.............................................44594
30  Authority citation revised........................1294, 27786, 49371
30.4  Introductory text, (b), and (i) amended; (x) removed..........8241
30.5  Amended.......................................................8241
30.6  (a) and (b)(1) amended........................................8241
    (b) introductory text and (1) revised; (b)(2) (i) through (v) 
amended............................................................38392
    (b)(2)(iii) revised............................................48093
30.7  (e) Note amended.............................................31611
30.9  Added; eff. 2-1-88...........................................49371
30.11  (a) amended..................................................8241
30.13  Amended......................................................8241
30.14  (a) and (c) amended..........................................8241
30.15  (a) amended..................................................8241
30.16  Amended......................................................8241
30.18  (a) amended..................................................8241
30.19  (a) amended..................................................8241

[[Page 826]]

30.20  (a) amended..................................................8241
30.31  Amended......................................................8241
30.32  (g) added...................................................27786
30.33  (a)(4) amended...............................................8241
30.34  (h) added....................................................1295
    (a), (b), (c), (d), and (e) amended.............................8241
30.39  Amended......................................................8241
30.51  (a), (b), (d)(1) and (2) amended.............................8241
30.53  Amended......................................................8241
30.55  (c) amended.................................................31611
30.56  Removed......................................................8241
32  Authority citation revised.....................................27786
32.1  (a) revised..................................................27786
32.210 (Subpart D)  Added..........................................27786
35.59  (e)(2) amended..............................................31611
35.205  Exemption...................................................9292
39  Added...........................................................8234
40  Authority citation revised.........................1295, 9651, 49371
40.1  (a) revised...................................................9651
40.4  (r) added.....................................................9651
40.5  (b)(1) amended................................................8241
    (b) introductory text and (1) revised; (b)(2) (i) through (v) 
amended............................................................38392
    (b)(2)(iii) revised............................................48093
40.7  (e) Note amended.............................................31611
40.9  Added; eff. 2-1-88...........................................49371
40.12  Revised......................................................9651
40.23  Added........................................................9651
40.25  (c) (1) and (2) and (d)(4) amended..........................31611
40.26  (c)(2) amended..............................................31611
40.35  (e)(1) amended..............................................31611
40.41  (f) added....................................................1295
40.64  (a), (b) and (c) amended....................................31611
40.65  (a)(1) amended..............................................31611
40.66  Added........................................................9651
40.67  Added........................................................9652
40  Appendix A amended......................................31611, 43562
50  Authority citation revised; section and Appendix authority 
        citations removed...........................................1295
    Authority citation corrected....................................2352
    Policy statement; interim.......................................3788
    Authority citation revised..............................28972, 49371
    Policy statement........................................34884, 38077
50.4  (c) and (f) amended..........................................31611
50.7  (e) Note amended.............................................31611
50.9  Added; eff. 2-1-88...........................................49372
50.33  Authority citation correctly removed.........................2352
50.34  (b)(8) revised...............................................9469
50.47  (c)(1) revised..............................................42085
50.49  (b)(3) footnote 4 revised...................................31611
50.54  (cc) added...................................................1295
    (p)(1) correctly designated.....................................1415
    (i) and (i-1) revised...........................................9469
    (f) corrected..................................................19303
    (w) revised....................................................28972
50.70  (b) (1) and (2) amended.....................................31612
50.74  Added........................................................9469
50  Appendix E amended......................................16829, 42086
    Appendix A amended.............................................41294

                                  1988

10 CFR
                                                                   53 FR
                                                                    Page
Chapter I
0  Authority citation revised......................................10365
0.735-29  (a) revised..............................................35303
0.735-42  (b) (6) and (7) added....................................35303
0.735-48  Revised..................................................10365
1.3  (a) amended...................................................43419
    (c) amended....................................................52993
1.5  (a) (1) through (9) revised; (a) (10) and (11) added...........1745
    (b) amended.....................................................3862
    (a) introductory text revised; (a)(10) removed; (a)(11) 
redesignated as (a)(10)............................................17916
    (a) introductory text amended; (a)(5) removed; (a) (6) through 
(10) redesignated as (a) (5) through (9)...........................43419
2  Authority citation revised.....................................10365,
                                                            31679, 40022
    Policy statement...............................................40019
2.4  Amended................................................10365, 43419
2.101  (a)(2) and (g)(1) amended...................................43419
2.104  (e) revised.................................................31679
2.105  (a)(6) amended; (a) (7) through (9) redesignated as (a) (9) 
        through (11); new (a) (7) and (8) added....................31679
2.206  (a)(1) amended..............................................43419
2.701  (a)(1) amended..............................................43419
2.719  Removed.....................................................10365
2.764  (c) revised.................................................31679
2.780--2.781  Undesignated center heading revised..................10365
2.780  Revised.....................................................10365
2.781  Added.......................................................10366
2.790  (d) revised.................................................17688
2.802  (g) amended.................................................43419
    (b), (e), and (g) amended......................................52993

[[Page 827]]

2  Appendix C amended..............................................9430,
                                                            31679, 45451
    Appendix C corrected...........................................47662
    Appendix A amended.............................................10367
    Appendix C revised.............................................40022
4.5  Revised........................................................6138
4.6  Added.........................................................19244
4.32  Revised......................................................19244
4.125  (d) introductory text revised...............................19244
4.127  (d) introductory text revised...............................19244
7.17  (a) amended..................................................43419
9.21  (b) amended..................................................43420
9.23  (a)(1) amended...............................................43420
    (b) introductory text, (1) and (2) and (e) amended.............52993
9.25  (a), (b), (c), and (f) amended...............................52993
9.27  (a), (b), and (c) amended....................................52993
9.29  (d) amended..................................................52993
9.35  (a)(1) amended...............................................43420
9.41  (a)(2) amended...............................................52993
9.60  (a) amended..................................................17689
9.85  Amended......................................................52993
9.107  (d)(1) amended..............................................43420
11.9  Amended......................................................19245
11.10  Added.......................................................19245
11.13  (b) revised.................................................19245
11.15  (e)(1) revised..............................................21980
    (b) and (c) (1) and (2) revised................................30829
15.3  Revised.......................................................6138
    Amended........................................................43420
19  Authority citation revised.....................................31680
19.2  Revised......................................................31680
19.3  (d) revised..................................................31680
19.5  Revised.......................................................6138
    Amended........................................................43420
20  Authority citation revised.....................................31680
20.2  Revised......................................................31680
20.7  Revised.......................................................6139
    Amended........................................................43420
20.103  (g) amended................................................17689
20.311  (g)(3) amended.............................................17689
20.408  (a)(5) revised.............................................31680
20  Appendix D amended..............................................3862
21  Authority citation revised.....................................31680
21.2  Revised......................................................31680
21.5  Revised.......................................................6139
    Amended........................................................43420
25.8  (c)(1) revised...............................................30830
25.11  Amended.....................................................19245
25.13  Heading revised; existing text designated as (a); (b) added
                                                                   19245
25.17  (c)(2) amended; (c)(1) revised..............................30830
25.23  Introductory text amended...................................19245
25.27  (b) revised.................................................30830
25.29  Amended.....................................................30830
25.35  Amended.....................................................19245
25  Appendix A revised.............................................21980
30  Authority citation revised.....................................24044
    Generic EIS availability.......................................24679
30.4  (aa) added...................................................24044
30.6  (b)(2)(i) revised.............................................3862
    (a)(2)(ii) revised..............................................4110
    (a)(2)(i) amended..............................................43420
30.32  (h) added...................................................24044
30.34  (g) revised.................................................19245
    (g) corrected..................................................23383
30.35  Added.......................................................24044
30.36  Revised.....................................................24045
30.51  (c) removed; (d) redesignated as (c); (a), (b), and new 
        (c)(1) revised.............................................19245
30  Appendix A added...............................................24046
31.5  (c)(4) revised...............................................19246
31.12  Added.......................................................19246
32.3  Added........................................................19246
34.4  Added........................................................19246
    Corrected......................................................23383
34.24  Amended.....................................................19246
34.25  (c) revised.................................................19246
34.26  Amended.....................................................19246
34.27  Introductory text revised...................................19246
34.28  (b) revised.................................................19247
34.29  (c) revised.................................................19247
34.32  Introductory text revised...................................19247
34.33  (b) and (e) revised.........................................19247
35.5  Added........................................................19247
35.27  (c) amended.................................................19247
35.29  (b) amended.................................................19247
35.33  (c) amended; footnote 1 removed.............................21627
35.50  (e) introductory text amended...............................19247
35.51  (d) introductory text amended...............................19247
35.53  (c) introductory text amended...............................19247
35.59  (i) amended.................................................19247
35.70  (h) amended.................................................19247
35.80  (f) amended.................................................19247
35.92  (b) amended.................................................19247
35.204  (c) amended................................................19247
35.205  (b) and (e) revised........................................27667

[[Page 828]]

35.310  (b) amended................................................19247
35.315  (a)(4) amended.............................................19247
35.404  (b) amended................................................19247
35.406  (d) amended................................................19247
35.410  (b) amended................................................19247
35.415  (a)(4) amended.............................................19247
35.610  (c) amended................................................19247
35.615  (d)(4) amended.............................................19247
35.632  (d) amended................................................43420
35.634  (c) and (f) amended........................................19247
35.636  (c) amended................................................19247
40  Authority citation revised.....................................24047
    Generic EIS availability.......................................24679
40.4  (s) added....................................................24047
40.5  (b)(2)(i) revised.............................................3862
    (a)(2)(ii) revised..............................................4110
    (a)(2)(i) amended..............................................43420
40.23  (d) revised..................................................4110
40.26  (c)(2) revised..............................................19248
40.31  (i) added...................................................24047
40.35  (e)(3) revised..............................................19248
40.36  Added.......................................................24047
40.42  Revised.....................................................24048
40.61  (c) removed; (d) redesignated as (c); (a), (b), and new 
        (c)(1) revised.............................................19248
40.66  (c) revised..................................................4110
40.67  (c) and (d) revised..........................................4110
40  Appendix A amended.............................................19248
50  Policy statement.........................................9430, 21981
    Meeting.................................................18260, 48243
    Authority citation revised....................................20610,
                                                            23214, 24049
    Generic EIS availability.......................................24679
50.2  Amended...............................................23214, 24049
50.4  (d) revised...................................................6139
50.8  (b) amended..................................................23215
50.33  (f) introductory text republished; (f) (2) and (4) revised; 
        (k) added..................................................24049
50.34  (f)(3)(v)(A)(2) amended.....................................43420
50.36  (c) introductory text, (1), (2), and (7) revised............19249
50.36a  (a)(1) revised.............................................19250
50.44  (c)(3)(iv)(C) amended.......................................43420
50.46  (a) revised.................................................36004
50.47  Technical correction.........................................8845
    (d) revised....................................................36959
50.48  (a) revised.................................................19250
50.49  (d) introductory text revised...............................19250
50.51  Revised.....................................................24049
50.54  (p)(2) introductory text and (q) revised....................19250
50.55a  (b) (1), (2) introductory text and (iv) and footnote 6 
        revised; (b)(2)(v) added...................................16053
    (b) introductory text amended..................................43420
50.63  Added.......................................................23215
50.70  (b)(4) added................................................42942
50.71  (c) and (d)(1) revised; (e)(6) added........................19250
50.75  Added.......................................................24049
50.82  Revised.....................................................24051
50.109  Revised....................................................20610
50  Appendix E technical correction.................................8845
    Appendix R amended.............................................19251
    Appendix K amended.............................................36005
    Appendixes G, H, J, and Q amended..............................43420
    Appendix J amended.............................................45891

                                  1989

10 CFR
                                                                   54 FR
                                                                    Page
Chapter I
0.735-28  (a)(2) amended...........................................53313
1.3  Amendment at 53 FR 52993 eff. date corrected to 12-30-88.......1288
    (c) amended....................................................53313
1.5  (a) revised...................................................53313
1.12  Undesignated center heading and section added................53313
1.18  Added........................................................53314
1.19  Introductory text revised; (c) and (d) added.................53314
1.26  Added........................................................53314
1.27  Removed......................................................53314
1.31  Revised......................................................53314
1.32  Added........................................................53315
1.33  Revised......................................................53315
1.34  Added........................................................53315
1.36  Added........................................................53315
1.38  Added........................................................53315
1.40  Added........................................................53315
2  Authority citation revised................................8276, 27869
    Technical correction...........................................35452
2.101  (f) (1), (2), (5), and (7) revised; (f)(4) removed..........27869
2.110  (a) (1) and (2) amended.....................................15398
2.201  (a), (b), and (c) amended...................................53315
2.202  (a) and (f) amended.........................................53315
2.205  (a), (d), (g), and (h) amended..............................53315
2.400  Amended.....................................................15398

[[Page 829]]

2.401  Heading and (a) amended.....................................15398
2.402  (a) amended.................................................15398
2.403  Heading and (a) amended.....................................15398
2.404  Amended.....................................................15398
2.406  Amended.....................................................15398
2.500  Amended.....................................................15398
2.501  Heading and (a) amended.....................................15398
    (b)(1)(vii) and (3) correctly amended..........................52342
2.502  Amended.....................................................15398
2.700  Revised.....................................................14944
2.712  (d), (e), and (f) redesignated as (e), (f), and (g); new 
        (d) added..................................................26731
    (d)(4) (i) through (iii) revised...............................29008
2.714  (i) added...................................................14944
    (i) correctly designated.......................................23740
    (a) (1), (2), and (g) amended; (b), (c), and (d) revised; (e) 
through (h) redesignated as (f) through (j); new (e) added.........33180
    (j) correctly designated.......................................39728
2.722  (a)(4) added................................................14944
2.740  (b)(1) revised; (b)(3) added................................33181
2.743  (f) revised.................................................14944
    (a) and (b) revised............................................33181
2.749  (a) revised.................................................33181
2.754  (c) revised.................................................33182
2.762  (d) revised.................................................33182
2.764  (e)(1), (2)(ii), and (f)(1) revised..........................7757
    (d) removed....................................................14944
2.802  Amendment at 53 FR 52993 eff. date corrected to 12-30-88.....1288
    (b) and (g) amended............................................53315
2.1000--2.1023 (Subpart J)  Added..................................14944
2.1201--2.1263 (Subpart L)  Added; interim..........................8276
2.1213  Corrected..................................................53035
2.1235  (a) and (b) corrected......................................53035
2.1251  (b) corrected..............................................53035
2  Appendix C amended.............................................24494,
                                                            50611, 53315
7  Revised.........................................................26948
7.10  (b)(1) corrected.............................................28554
    (b) correctly designated as (c); new (c) introductory text 
revised............................................................31646
7.11  (b) and (d)(2) corrected.....................................28554
9.23  Amendments at 53 FR 52993 eff. date corrected to 12-30-88.....1288
    (b) amended....................................................53316
9.25  Amendments at 53 FR 52993 eff. date corrected to 12-30-88.....1288
9.27  Amendments at 53 FR 52993 eff. date corrected to 12-30-88.....1288
9.29  Amendments at 53 FR 52993 eff. date corrected to 12-30-88.....1288
    (c)(1) introductory text, (2), (3), and (d) revised............10138
9.35  (a)(1) revised...............................................36757
9.41  Amendments at 53 FR 52993 eff. date corrected to 12-30-88.....1288
    (a)(2) amended.................................................53316
9.53  (a) and (b) amended..........................................53316
9.54  (b) amended..................................................53316
9.60  (a) amended..................................................53316
9.65  (a) amended..................................................53316
9.66  (a) (1), (2), (3), and (c)(2) amended........................53316
9.69  (a) amended..................................................53316
9.85  Amendments at 53 FR 52993 eff. date corrected to 12-30-88.....1288
10.5  (b) amended..................................................53316
10.12  (a) amended.................................................53316
10.21  Amended.....................................................53316
10.22  Introductory text, (c), (d), and (e) amended................53316
10.23  (a) and (b) amended.........................................53316
10.24  (a) and (b) amended.........................................53316
10.27  (c) amended.................................................53316
10.28  (m) amended.................................................53316
10.29  (d) amended.................................................53316
10.30  Amended.....................................................53316
10.31  (a) amended.................................................53316
10.32  (b) amended.................................................53316
10.33  (c) and (d) amended.........................................53316
10.34  (b) amended.................................................53316
10.35  (b) amended.................................................53316
10.37  Amended.....................................................53316
11.15  (e)(1) revised..............................................40860
15.3  Amended......................................................53316
15.35  (c) amended.................................................53316
20  Appendix D amended.............................................42288
21.2  Footnote 1 amended...........................................42288
21.3  Correctly amended............................................52342
25.18  Removed.....................................................40860

[[Page 830]]

25.23  Introductory text amended...................................40860
25.33  (c) amended.................................................53316
25  Appendix A revised.............................................40860
26  Added..........................................................24494
26.2  (c) corrected................................................29139
    Corrected......................................................33148
26.73  (d) corrected........................................29139, 47451
30  Authority citation revised.....................................14059
30.4  Introductory text, (b), and paragraph designations removed; 
        text amended...............................................14059
30.32  (i) added...................................................14060
30.34  (f) added...................................................14061
30.72  Added.......................................................14061
35  Authority citation revised.....................................41820
35.400  (g) added..................................................41821
39.41  (a)(3) generic exemption....................................30883
40  Authority citation revised.....................................14061
40.4  Introductory text and paragraph designations removed; text 
        amended....................................................14061
40.31  (j) added...................................................14061
40.35  (f) added...................................................14062
50  Policy statement...............................................3424,
                                                             7530, 50611
    Authority citation revised......................................7180
    Policy statement...............................................18649
50.54  (dd) added...................................................7180
    (w)(5)(i) revised..............................................11163
50.62  (c)(4) revised..............................................13362
50.109  (a)(1)(iv) amended.........................................15398

                                  1990

10 CFR
                                                                   55 FR
                                                                    Page
Chapter I
0.735-3  (d)(2) and (g) amended....................................47741
1.21  Removed......................................................47741
2.785  Amended.....................................................42945
2.788  Amended.....................................................42945
2.1011  (f)(1)(ii) corrected.......................................51401
2.1015  Amended....................................................42945
2.1201--2.1263 (Subpart L)  Heading revised........................36806
2.1201  Revised....................................................36806
2.1205  (b) revised................................................36806
2.1255  Amended....................................................42945
2  Appendix C amended; eff. 1-10-91..................................852
4.128  (a) amended; (b) revised; eff. 1-18-91...............52139, 52138
9.25  (c) revised..................................................33646
9.27  (b)(5) revised...............................................33646
9.29  (a), (c)(1) introductory text, (3), and (d) revised..........33646
9.65  (a) introductory text, (2), (b), and (c) revised.............33647
9.66  (a)(1) introductory text, (2), (3), (b), and (c) revised.....33647
9.67  Revised......................................................33648
9.68  Revised......................................................33648
9.201  Revised.....................................................33648
9.202  (a) and (c) revised.........................................33648
9.203  Revised.....................................................33649
10.21  Revised.........................................................4
11.7  (d) revised..................................................11574
11.15  (e)(1) and (f) revised......................................11574
    (f)(2) corrected...............................................14379
11.16  Revised.....................................................11574
    Heading corrected..............................................14379
15  Authority citation revised.....................................32377
15.1  (a) and (b)(1) revised; (b)(2) redesignated as (b)(3); new 
        (b)(2) added...............................................32377
15.2  Added........................................................32377
15.3  Revised......................................................32377
15.5  (a)(1) and (b)(1) revised; (b)(3) amended; (b)(5) and (6) 
        added......................................................32377
15.7  Introductory text and (b) revised............................32378
15.9  (a) revised..................................................32378
15.13  Revised.....................................................32378
15.21--15.39 (Subpart B)  Heading revised..........................32378
15.21  (b)(3)(iii) through (v) redesignated as (b)(3)(iv) through 
        (b)(3)(vi); (a)(1), (4), (5), and (6), (b) introductory 
        text and (2) revised; new (b)(3)(iii) added................32378
15.25  (a) introductory text revised...............................32378
15.26  Added.......................................................32378
15.29  Revised.....................................................32378
15.31  (a) and (b) revised.........................................32379
15.32  Added.......................................................32379
15.33  (a), (b), and (c) revised; (d) redesignated as (e); new (d) 
        added......................................................32379
15.35  (a) and (b) revised.........................................32379
15.37  Revised.....................................................32380
15.38  Added.......................................................32380
15.41  Revised.....................................................32380
15.43  (b) amended; (c) and (d) revised; (e) added.................32380
15.45  Amended.....................................................32380
15.51  Revised.....................................................32380

[[Page 831]]

15.61  (a) revised; (b) redesignated as (c); new (b) and (d) added
                                                                   32380
15.63  Removed.....................................................32381
15.67  (a) and (b) redesignated as (b) and (c); new (a) and (d) 
        added......................................................32381
19  Heading revised..................................................247
19.1  Revised........................................................247
19.2  Revised........................................................247
19.3  Amended........................................................247
19.18  Added.........................................................247
25.5  Amended......................................................11574
25.25  Revised.....................................................11575
25  Appendix A revised.............................................11575
30  Authority citation revised..............................10404, 34517
30.7  (c) introductory text revised; (g) added.....................10404
30.34  (i) added; interim; eff. to 8-23-93.........................34517
34  Authority citation revised.......................................852
34.20  Added; eff. 1-10-91...........................................852
    (d) and (e) corrected...........................................2281
34.21  Existing text designated as (a); (b) added; eff. 1-10-91......853
    (b) corrected...................................................2281
34.30  Undesignated heading and section added; eff. 1-10-91..........853
34.33  (a) revised; (f) added; eff. 1-10-91..........................853
34  Appendix A amended; eff. 1-10-91.................................853
35  Authority citation revised.....................................34517
35.8  (b) revised; interim; eff. to 8-23-93........................34518
35.200  (c) added; interim; eff. to 8-23-93........................34518
35.300  Existing text designated as (a); (b) added; interim; eff. 
        to 8-23-93.................................................34518
40  Authority citation revised.....................................10404
40.1  Revised......................................................45597
40.2a  (a) revised.................................................45598
40.3  Revised......................................................45598
40.4  Amended......................................................45598
40.7  (c) introductory text revised; (g) added.....................10404
    (f) revised....................................................45598
40.20  Revised.....................................................45598
40.27  Added.......................................................45598
40.28  Added.......................................................45599
40  Appendix A amended.............................................45600
50  Authority citation revised..............................10404, 29194
50.7  (c) introductory text revised; (f) added.....................10404
50.54  (w) revised.................................................12166
50.72  (b)(2)(vii) added...........................................29194

                                  1991

10 CFR
                                                                   56 FR
                                                                    Page
Chapter I
0  Nomenclature change.............................................29407
1.1  Amended.......................................................29407
1.11  (c) revised..................................................29407
1.17  Removed......................................................29407
1.23  (b) revised..................................................29407
1.24  Added........................................................29407
2  Heading and authority citation revised..........................40684
    Nomenclature changes...........................................29411
2.1  Revised.......................................................40684
2.4  Amended.................................................7795, 29408
    Amended; eff. 1-13-92..........................................64975
2.8  Added.........................................................29408
2.109  Revised; eff. 1-13-92.......................................64975
2.201  Revised.....................................................40684
2.202  Revised.....................................................40684
2.204  Revised.....................................................40685
2.700  Revised.....................................................40635
2.704  (d)(2) revised..............................................29408
2.713  (c)(4) amended..............................................29408
2.714a  (a) revised................................................29408
2.715  (d) amended.................................................29408
2.721  (c) removed; (d) redesignated as (c)........................29408
2.758  (a) and (b) revised; eff. 1-13-92...........................64975
2.760  (a), (b)(1) and (c)(4) revised..............................29408
2.761  (a)(1) and (c)(1) revised...................................29408
2.762  Removed.....................................................29408
2.763  Revised.....................................................29408
2.764  (a), (b), (e)(2), (f)(2)(iv) and (g) revised; (e)(1)(i) 
        amended; (e)(3) removed....................................29408
2.770  (a) revised.................................................29409
2.771  (a) revised.................................................29409
2.780  (e)(2) revised..............................................29409
2.781  (d)(2) and (f) revised......................................29409
2.785  Removed.....................................................29409
2.786  Revised.....................................................29409
2.787  Removed.....................................................29410
2.788  Revised.....................................................29410
2.802  (b) revised.................................................10360
2.1000  Revised..............................................7795, 29410
2.1001  Amended.....................................................7795
2.1003  (h)(2)(iii) revised.........................................7795

[[Page 832]]

2.1004  (d) revised.................................................7795
2.1006  (b) revised.................................................7795
2.1008  (a), (b)(1), (c) and (d) revised............................7795
2.1010  Heading, (a), (b) introductory text, (6) and (e) revised; 
        (f) added...................................................7796
2.1012  (c) and (d) revised.........................................7796
2.1013  (c)(1), (6) and (d) amended.................................7796
2.1014  (a)(1) introductory text, (c) introductory text, (d) 
        introductory text, and (e) amended; (a)(2)(iv) removed; 
        (a)(2)(ii), (iii), (3) and (4) revised; (c)(4), (5) and 
        (h) added...................................................7796
2.1015  Revised.....................................................7797
    (c) revised....................................................29410
2.1016  (a) and (c) through (e) amended.............................7797
2.1018  (a)(2), (b)(2), (c) introductory text, (5), (7), (d), 
        (f)(1), (2) and (g) amended; (e)(3) revised.................7797
2.1019  (a) amended; (j) revised....................................7797
2.1020  (b) amended.................................................7797
2.1021  (a) introductory text, (3), (b) and (d) amended.............7797
2.1022  (a) introductory text revised; (c) amended..................7797
2.1023  (a) introductory text, (b) introductory text and (c)(1) 
        through (3) amended.........................................7797
2.1025  Added.......................................................7798
2.1026  Added.......................................................7798
2.1027  Added.......................................................7798
2.1209  (d) revised................................................29411
2.1241  Revised....................................................29411
2.1251  (a), (c)(3) and (f) revised................................29411
2.1253  Revised....................................................29411
2.1255  Removed....................................................29411
2.1257  Removed....................................................29411
2  Appendix D added.................................................7798
    Appendix D corrected...........................................14151
    Appendix C amended.................23470, 32069, 36999, 40685, 55996
    Regulation at 56 FR 23470 effective date corrected......23956, 61352
    Appendix A amended.............................................29411
    Appendix C amended; eff. 1-27-92...............................34120
    Appendix C corrected...........................................51321
9.35  (a)(1) and (2) revised.......................................32071
    (a)(1) and (2) correctly designated............................67153
11.15  (e)(1) revised...............................................5927
13  Added..........................................................47135
13.2  Corrected....................................................49945
13.6  (a)(2) corrected.............................................49945
13.9  (c) corrected................................................64839
13.14  (a) introductory text corrected.............................64839
15.1  (b)(1) revised...............................................51830
15.2  Amended......................................................51830
15.5  (b)(6) revised...............................................51830
15.21  (c) revised.................................................51830
15.27  Revised.....................................................51830
15.33  (c) and (d)(4)(ii) revised..................................51830
15.35  (b) introductory text revised...............................51830
16  Added..........................................................51830
19.3  Amended......................................................23470
    Regulation at 56 FR 23470 effective date corrected......23956, 61352
    Amended; eff. 1-21-92..........................................65948
19.13  (b), (c) and (e) revised; (d) amended.......................23471
    Regulation at 56 FR 23471 effective date corrected......23956, 61352
19.18  (b) through (e) removed; eff. 1-21-92.......................65948
20  Authority citation revised.....................................23390
20.403  (d)(2) amended...............................................944
    (a)(2) and (b)(2) amended; (a)(3), (4), (b)(3) and (4) removed
                                                                   40766
20.408  (b) revised................................................32072
20.1--20.601  Appendixes A through D redesignated from Appendixes 
        A through D to Part 20.....................................23391
    Appendixes A through D regulation at 56 FR 23391 effective 
date corrected..............................................23956, 61352
20.1001--20.2401  Undesignated center heading added................23391
    Regulation at 56 FR 23391 effective date corrected......23956, 61352
20.1001--20.1009 (Subpart A)  Added................................23391
    Regulation at 56 FR 23391 effective date corrected......23956, 61352
20.1005  (a) and (b) corrected.....................................61352
20.1009  OMB number pending........................................23395
20.1101 (Subpart B)  Added.........................................23396
    Regulation at 56 FR 23396 effective date corrected......23956, 61352
20.1201--20.1208 (Subpart C)  Added................................23396

[[Page 833]]

    Regulation at 56 FR 23396 effective date corrected......23956, 61352
20.1301--20.1302 (Subpart D)  Added................................23398
    Regulation at 56 FR 23398 effective date corrected......23956, 61352
20.1302  (c) corrected.............................................61352
20.1501--20.1502 (Subpart F)  Added................................23398
    Regulation at 56 FR 23398 effective date corrected......23956, 61352
20.1601--20.1603 (Subpart G)  Added................................23398
    Regulation at 56 FR 23398 effective date corrected......23956, 61352
20.1701--20.1704 (Subpart H)  Added................................23400
    Regulation at 56 FR 23400 effective date corrected......23956, 61352
20.1801--20.1802 (Subpart I)  Added................................23401
    Regulation at 56 FR 23401 effective date corrected......23956, 61352
20.1901--20.1906 (Subpart J)  Added................................23401
    Regulation at 56 FR 23401 effective date corrected......23956, 61352
20.2001--20.2007 (Subpart K)  Added................................23403
    Regulation at 56 FR 23403 effective date corrected......23956, 61352
20.2101--20.2101 (Subpart L)  Added................................23404
    Regulation at 56 FR 23404 effective date corrected......23956, 61352
20.2201--20.2206 (Subpart M)  Added................................23406
    Regulation at 56 FR 23406 effective date corrected......23956, 61352
20.2202  (a)(2) and (b)(2) amended; (a)(3), (4), (b)(3) and (4) 
        removed....................................................40766
20.2206  (c) revised...............................................32072
20.2301--20.2302 (Subpart N)  Added................................23408
    Regulation at 56 FR 23408 effective date corrected......23956, 61352
20.2401 (Subpart O)  Added.........................................23408
    Regulation at 56 FR 23408 effective date corrected......23956, 61352
20.2401  (c) corrected.............................................61352
20.1001--20.2401  Appendix A added.................................23408
    Appendix B added...............................................23409
    Appendix C added...............................................23465
    Appendix D and F added.........................................23468
    Appendix A regulation at 56 FR 23408 effective date corrected 
                                                            23956, 61352
    Appendix B regulation at 56 FR 23409 effective date corrected 
                                                            23956, 61352
    Appendix C regulation at 56 FR 23465 effective date corrected 
                                                            23956, 61352
    Appendix D and F regulation at 56 FR 23468 effective date 
corrected...................................................23956, 61352
    Appendix D amended.............................................41449
    Appendix B corrected...........................................61352
    Appendix C corrected...........................................61352
20  Appendix D amended.............................................19254
    Appendixes A through D redesignated as Appendixes A through D 
to 20.1--20.601....................................................23391
    Appendixes A through D regulation at 56 FR 23391 effective 
date corrected..............................................23956, 61352
21.2  Footnote 1 amended...........................................19254
    Footnote 1 amended.............................................41449
    Revised........................................................36089
21.3  (g) through (l) redesignated as (h) and (j) through (n); new 
        (g) and new (i) added; (a)(3), (c), new (h) and new (j) 
        revised....................................................36089
21.5  Revised......................................................36089
21.21  (b)(1) through (4) and (c) redesignated as (c)(1) and (3) 
        through (5) and (d); new (b) and (c)(2) added; heading, 
        (a), new (c)(1), (3) and new (d) revised...................36089
21.51  Revised.....................................................36090
25  Appendix A revised..............................................5927
26.24  (d) revised (OMB number pending)............................41926
26.71  (d) revised (OMB number pending)............................41927
26  Appendix amended...............................................41927
30  Authority citation revised..............................40688, 40766
30.1  Revised......................................................40689
30.8  (b) revised..................................................40767
30.10  Added.......................................................40689
30.35  (a) and (d) amended; Note added.............................23471
    Regulation at 56 FR 23471 effective date corrected......23956, 61352
30.50  Added.......................................................40767

[[Page 834]]

31.2  (a) amended..................................................40767
31.5  (c)(10) amended..............................................23471
    Regulation at 56 FR 23471 effective date corrected......23956, 61352
    (c)(10) corrected..............................................61352
31.7  (b) amended..................................................23471
    Regulation at 56 FR 23471 effective date corrected......23956, 61352
    (b) corrected..................................................61352
31.8  (c) amended..................................................40767
31.10  (b)(1) and (3) amended......................................23471
    Regulation at 56 FR 23471 effective date corrected......23956, 61352
    (b)(1) and (3) corrected.......................................61352
31.11  (c)(5) and (f) amended......................................23471
    Regulation at 56 FR 23471 effective date corrected......23956, 61352
    (c)(5) and (f) corrected.......................................61352
32.51  (a)(2)(ii) and (c) revised..................................23471
    Regulation at 56 FR 23471 effective date corrected......23956, 61352
32.61  (d) amended.................................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
32.71  (c)(2) and (e) amended......................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
34.11  (b)(5) redesignated as (6); new (b)(5) added................11509
34.29  (a) amended.................................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
34.30  (a) introductory text amended...............................40768
34.33  (a) corrected; CFR correction...............................19920
34.41  Amended.....................................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
34.42  Amended.....................................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
35  Authority citation revised.....................................34120
35.2  Amended; eff. 1-27-92........................................34120
35.8  (b) revised; eff. 1-27-92....................................34121
35.25  (a)(1) and (2) revised; eff. 1-27-92........................34121
35.32  Added; eff. 1-27-92.........................................34121
35.33  Revised; eff. 1-27-92.......................................34122
35.92  (a) introductory text amended...............................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
35.315  (a)(8) amended.............................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
35.415  (a)(1) amended.............................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
35.630  (a)(1) and (2) amended.....................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
35.641  (a)(2)(i) and (ii) and (b)(2) amended......................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
35.643  (a) introductory text and (1) and (b) amended..............23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
39.15  (a)(5)(iii)(B) amended......................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
39.31  (a)(1) and (2) amended......................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
39.77  (b) amended.................................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
    (b) amended....................................................40768
    (b) correctly revised..........................................64980
40  Authority citation revised..............................40689, 40768
40.1  (a) revised..................................................55997
40.2  Revised......................................................40689
40.8  (b) and (c)(1) amended.......................................40768
40.10  Added.......................................................40689
40.26  (c)(1) amended..............................................40768
40.34  (a)(2) revised..............................................23472
    Regulation at 56 FR 23472 effective date corrected......23956, 61352
40.43  (a) amended.................................................40768
40.44  Amended.....................................................40768
40.60  Added.......................................................40768
40  Appendix A amended.............................................23473
    Appendix A regulation at 56 FR 23473 effective date corrected 
                                                            23956, 61352
50  Authority citation revised................22304, 31324, 40689, 64975
50.1  Revised......................................................40690
50.2  Amended......................................................36090
50.5  Added........................................................40690
50.8  (b) revised..................................................22304
50.34  (f)(2)(viii) revised........................................23473
    Regulation at 56 FR 23473 effective date corrected......23956, 61352
50.36a  (a) introductory text amended; (b) revised.................23473
    Regulation at 56 FR 23473 effective date corrected......23956, 61352

[[Page 835]]

50.47  (a)(1) revised; eff. 1-13-92................................64976
50.51  Revised; eff. 1-13-92.......................................64976
50.55  (e) revised.................................................36091
50.61  (b) revised.................................................22304
50.65  Added; eff. 7-10-96 (OMB number pending)....................31324
50.72  (a)(2) footnote 3 amended.....................................944
    (a) footnote 1 amended; (b)(2)(iv) revised.....................23473
    Regulation at 56 FR 23473 effective date corrected......23956, 61352
    (a)(4) redesignated as (a)(5); new (a)(4) added................40184
50.73  (a)(2)(viii) and (ix) revised...............................23473
    Regulation at 56 FR 23473 effective date corrected......23956, 61352
    (a)(2)(ix) corrected...........................................61352
50.82  (a) revised; eff. 1-13-92...................................64976
50  Appendix E amended.............................................40185

                                  1992

10 CFR
                                                                   57 FR
                                                                    Page
Chapter I
1.3  (a) amended....................................................1639
1.11  (c) and (d) revised...........................................1639
1.27  Added.........................................................1639
1.28  Added.........................................................1639
1.29  Revised.......................................................1639
1.31  (b) amended...................................................1639
1.41  Redesignated as 1.42; new 1.41 added..........................1639
1.42--1.47  Undesignated center heading added.......................1640
1.42  Redesignated as 1.41..........................................1639
2  Authority citation revised................................5797, 18390
2.104  (b)(2) revised..............................................18390
2.202  (c) revised.................................................20198
2.702  Revised......................................................4153
2.1201  Revised.....................................................4153
2  Appendix C revised...............................................5797
    Appendix C corrected............................................8519
11.15  (c)(3) redesignated as (c)(5); (c)(1) introductory text, 
        (2) and new (5) revised; new (c)(3) and (4) added...........2442
    (e)(1) revised.................................................41375
11.30--11.32  Undesignated center heading added....................55070
11.30  Added.......................................................55070
11.32  Added.......................................................55070
15.29  Revised......................................................4153
19  Regulation at 56 FR 23360 effective date confirmed.............23929
    Authority citation revised.....................................55071
19.3  Amended; eff. 3-1-93.........................................61785
19.13  (b) revised.................................................38590
19.18  (b) through (e) added; eff. 3-1-93..........................61785
19.30  Revised.....................................................55071
19.40  Added.......................................................55071
20  Regulation at 56 FR 23360 effective date confirmed.............23929
    Technical correction...........................................27845
    Authority citation revised..............................55071, 57656
20.305  Revised; eff. 1-6-93.......................................57656
20.601  Revised....................................................55071
20.602  Added......................................................55071
20.1001--20.2401  Undesignated center heading revised..............57878
20.1003  Amended...................................................57878
20.1008  (a) revised...............................................38590
20.1009  Revised...................................................57878
20.1202  (b)(3) footnote 1 amended.................................57878
20.1302  (b)(2)(ii) amended........................................57878
20.1703  (b)(1), (c) and (d) amended...............................57878
20.1903  (b) revised...............................................39357
20.1906  (b) revised...............................................39357
20.2004  Revised; eff. 1-6-93......................................57656
20.2104  (a)(2) and (c)(2) amended; (d) revised....................57878
20.2202  (a)(2) amended............................................57879
20.2401  (c) removed...............................................55071
20.1001--20.2402  Appendix B amended...............................57879
    Appendix F amended.............................................57879
20.2402  Added.....................................................55071
21  Authority citation revised.....................................55071
21.62  Added.......................................................55071
25  Authority citation revised.....................................55072
25.8  (c) revised...................................................3720
25.17  (e) revised..................................................3720
25.19  Revised......................................................3720
25.21  (a) revised; (c) added.......................................3720
    (b) revised....................................................41376
25.23  Revised......................................................3721
25.25  Revised......................................................3721
25.27  (a) revised..................................................3721
    Revised........................................................41376
25.31  (d) added....................................................3721
25.37  (c) removed.................................................55072
25.39  Added.......................................................55072
25  Appendix A revised.......................................3721, 41376

[[Page 836]]

    Appendix A corrected...........................................56406
26  Authority citation revised.....................................55072
26.24  OMB approval................................................55443
26.71  (d) revised.................................................55444
26.90  (c) removed.................................................55072
26.91  Added.......................................................55072
30  Authority citation revised.....................................55072
30.34  (i) revised.................................................45568
30.63  Revised.....................................................55072
30.64  Added.......................................................55072
31  Authority citation revised.....................................55072
31.13  Added.......................................................55072
31.14  Added.......................................................55072
32  Authority citation revised.....................................55073
32.301--32.303 (Subpart E)  Added..................................55073
33  Authority citation revised.....................................55073
33.21--33.23  Undesignated center heading added....................55073
33.21  Added.......................................................55073
33.23  Added.......................................................55073
34  Authority citation revised.....................................55073
34.20  (a) amended.................................................61786
34.61--34.63  Undesignated center heading added....................55073
34.61  Added.......................................................55073
34.63  Added.......................................................55074
35  Authority citation revised..............................45568, 55074
      Meeting......................................................48305
35.8  (b) revised; (d) added (OMB numbers).........................41378
35.200  (c) revised................................................45568
35.300  (b) revised................................................45568
35.632  (d) amended................................................61786
35.990  Revised....................................................55074
35.991  Added......................................................55074
39  Authority citation revised.....................................55074
39.101  Revised....................................................55074
39.103  Added......................................................55074
40  Authority citation revised..............................18390, 55074
40.4  Amended......................................................18390
40.5  (b)(1)(vi) added.............................................18390
40.31  (k) and (l) added...........................................18390
40.32  (e) revised; (g) added......................................18390
40.33  Added.......................................................18391
40.41  (g) added...................................................18391
40.65  (a) introductory text revised...............................18391
40.81  Revised.....................................................55074
40.82  Added.......................................................55075
50  Policy statement..................................6262, 35455, 43886
    Authority citation revised..............................41381, 55075
    Technical correction...........................................53191
50.2  Amended......................................................18391
50.33a  (e) revised................................................18391
50.34  (f)(3)(v)(A)(2) amended.....................................61786
50.36a  (a)(2) revised.............................................39358
50.44  (a) introductory text, (b) introductory text and (c)(1) 
        introductory text revised..................................39358
50.46  (a)(1)(i) revised...........................................39358
50.54  (ee) added..................................................47983
50.55a  Introductory text, (a), (b)(1), (2) introductory text, 
        (iii), (iv)(A), (g)(1), (2), (3) introductory text, (i), 
        (ii), (4), (5)(i), (iv), (h) and footnote 8 revised; 
        (g)(3)(iii) and (iv) removed; (b)(2)(vii), (viii), (f), 
        (g) introductory text and (6)(ii)(A) added.................34673
    (b) introductory text revised..................................61786
50.59  (b)(2) revised..............................................39358
50.71  (e)(4) revised..............................................39358
50.72  (b)(2)(ii) revised..........................................41381
50.73  (a)(2)(iv) revised..........................................41381
50.82  (a) revised.................................................30387
50.110  Revised....................................................55075
50.111  Added......................................................55075
50  Appendixes H, J and K amended..................................61786

                                  1993

10 CFR
                                                                   58 FR
                                                                    Page
Chapter I
0  Authority citation revised......................................29951
0.735-1  Removed....................................................3825
0.735-2  Removed....................................................3825
0.735-3  Revised....................................................3825
    Removed........................................................29951
0.735-4  Removed....................................................3825
0.735-5  Removed....................................................3825
0.735-6  Removed....................................................3825
0.735-8  Revised....................................................3825
0.735-20  Removed...................................................3825
0.735-21  (d) revised...............................................3826
    Revised........................................................29951
0.735-22  Removed..................................................29952
0.735-23  Revised...................................................3826
    Removed........................................................29952
0.735-24  Removed...................................................3826
0.735-25  Removed...................................................3826
0.735-26  Revised...................................................3826
    Removed........................................................29952
0.735-27  Removed...................................................3826

[[Page 837]]

0.735-28  Removed...................................................3826
0.735-28a  Removed..................................................3826
0.735-30 (Subpart C)  Removed.......................................3826
0.735-40  (e), (g) and (h) removed; (f) redesignated as new (e).....3826
0.735-41  Removed...................................................3826
0.735-42  Removed...................................................3826
0.735-43  Removed...................................................3826
0.735-44  Removed...................................................3826
0.735-45  Removed...................................................3826
0.735-46  Removed...................................................3826
0.735-47  Removed...................................................3826
0.735-48  Removed...................................................3826
0.735-49  Removed...................................................3826
0.735-49a  Removed..................................................3826
0.735-50--0.735-55 (Subpart E)  Removed.............................3826
0  Annex A removed.................................................29952
1.5  (b) amended...................................................64111
2  Authority citation revised......................................44611
    Authority citation corrected...................................50635
2.8  (b) revised...................................................14309
2  Appendix C amended.........................14309, 14310, 17322, 67658
    Appendix B removed.............................................44611
9.35  (a)(1) and (2) revised.......................................38666
11.15  (e)(1) revised..............................................44435
19  Authority citation revised.....................................52408
19.2  Amended.......................................................7736
19.3  Amended.......................................................7736
19.11  (c) revised.................................................52408
    Regulation at 58 FR 52408 eff. date corrected to 11-8-93.......54646
19.13  (b) through (e) revised.....................................67658
20  Technical correction...........................................11290
    Authority citation revised..............................67659, 69219
20.2  Amended.......................................................7736
20.3  (a)(9) amended................................................7736
20.203  (c)(6) and (7) removed......................................7736
20.1--20.601  Appendix C redesignated as part 30 appendix B; 
        sections and appendixes A, B and D removed.................67659
20.1001--20.1008 (Subpart A)  Undesignated center heading removed 
                                                                   67659
20.1002  Amended....................................................7736
20.1003  Amended....................................................7736
20.1008  Removed...................................................67659
20.1603  Removed....................................................7736
20.2109  Removed....................................................7736
20.2201  (a)(2)(ii) revised........................................69220
20.2202  (d)(2) revised............................................69220
20.1001--20.2402  Appendix D amended...............................64111
    Appendixes A through F redesignated as part 20 appendixes A 
through F..........................................................67659
20  Appendixes A through F redesignated from 20.1001--20.2401 
        appendixes A through F; new appendix C amended.............67659
25  Appendix A revised.............................................44436
26.1  Revised......................................................31469
26.2  Revised......................................................31469
26.3  Amended......................................................31469
26.10  Introductory text and (a) revised...........................31469
26.24  Heading, (a)(2) and (b) revised.............................31469
26.27  (a), (b)(2) and (3) revised.................................31470
26.73  (d) revised.................................................31470
26  Appendix A amended.............................................31470
30  Authority citation revised.....................................52408
30.4  Amended.......................................................7736
30.5  Amended.......................................................7736
30.6  (a) introductory text and (b)(1) introductory text amended 
                                                                    7736
    (b)(2)(iii) amended............................................64111
30.7  Revised......................................................52408
    Regulation at 58 FR 52409 eff. date corrected to 11-8-93.......54646
30.8  (b) revised..................................................39633
    (b) revised; eff. 1-28-94......................................68730
30.11  (a) amended..................................................7736
30.13  Amended......................................................7736
30.14  (a) and (c) amended..........................................7736
30.15  (a) introductory text amended................................7736
30.16  Amended......................................................7736
30.18  (a) amended..................................................7736
30.19  (a) amended..................................................7736
30.20  (a) amended..................................................7736
30.31  Amended......................................................7736
30.33  (a)(4) amended...............................................7736
30.34  (a) through (d) and (e) introductory text amended............7736
    (i)(1) revised.................................................39132
30.35  (g)(3) redesignated as (g)(4); new (g)(3) added.............39633
    (a) and (d) amended; (g)(3)(i) and (iv) revised; note removed 
                                                                   67659
    (f)(2) introductory text revised; eff. 1-28-94.................68730
30.36  (c)(2)(iii)(D) redesignated as (c)(2)(iii)(E); new 
        (c)(2)(iii)(D) added; (c)(3) revised.......................39633

[[Page 838]]

30.39  Amended......................................................7736
30.51  (a) introductory text, (b), (c)(1) and (2) amended...........7736
30.53  Introductory text amended....................................7736
30  Appendix B redesignated from 20.1--20.601 appendix C...........67659
    Appendix B added; eff. 1-28-94.................................68730
31.5  (c)(10) amended..............................................67659
31.7  (b) amended..................................................67659
31.10  (b)(1) and (3) amended......................................67659
31.11  (c)(5) and (f) amended......................................67659
32.51  (a)(2)(ii) and (c) revised..................................67660
32.61  (d) amended.................................................67660
32.71  (c)(2) and (e) amended......................................67660
34.29  (a) amended.................................................67660
34.41  Amended.....................................................67660
34.42  Amended.....................................................67660
35.92  (a) amended.................................................67660
35.200  (c)(1) revised.............................................39132
35.205  (a) and (c) amended........................................67660
35.300  (b)(1) revised.............................................39132
35.315  (a)(8) amended.............................................67660
35.415  (a)(1) amended.............................................67660
35.641  (a)(2)(i), (ii) and (b)(2) amended.........................67660
35.643  (a) introductory text, (1) and (b) amended.................67660
36  Added...........................................................7728
36.59  (c) amended.................................................67660
39.15  (a)(5)(iii)(B) amended......................................67660
39.31  (a)(1) and (2) amended......................................67660
39.77  (b) amended.................................................67660
40  Authority citation revised.....................................52409
40.5  (b)(1) amended................................................7736
    (b)(2)(iii) amended............................................64111
40.7  Revised......................................................52409
    Regulation at 58 FR 52409 eff. date corrected to 11-8-93.......54646
40.8  (b) revised..................................................39633
    (b) revised; eff. 1-28-94......................................68731
40.34  (a)(2) revised..............................................67661
40.36  (f)(3) redesignated as (f)(4); new (f)(3) added.............39633
    (f)(3)(i) amended..............................................67661
    (e)(2) introductory text revised; eff. 1-28-94.................68731
40.42  (c)(2)(iii)(D) redesignated as (c)(2)(iii)(E); new 
        (c)(2)(iii)(D) added; (c)(3) revised.......................39634
40  Appendix A amended.............................................67661
50  Authority citation revised..............................21911, 52410
    Policy statement...............................................39132
50.7  Revised......................................................52410
    Regulation at 58 FR 52410 eff. date corrected to 11-8-93.......54646
50.8  (b) revised..................................................21912
    (b) revised; eff. 1-28-94......................................68731
50.34  (f)(2)(viii) amended........................................67661
50.36a  (a) introductory text amended; (b) revised.................67661
50.54  (a)(3) introductory text revised............................45244
50.65  (a)(3) revised; eff. 7-10-96................................33996
50.72  (a) Footnote 1 amended; (b)(2)(iv)(A) and (B) revised.......67661
50.73  (a)(2)(viii) and (ix) revised...............................67661
50.75  (e)(1)(iii) introductory text and (2)(iii) revised; eff. 1-
        28-94......................................................68731
50.120  Added......................................................21912
    (b)(1) corrected...............................................39092

                                  1994

10 CFR
                                                                   59 FR
                                                                    Page
Chapter I
Chapter  I Regulatory agenda.......................................48558
0  Authority citation revised......................................17460
0.735-1  Added.....................................................17460
0.735-2  Redesignated from 0.735-21; heading revised...............17460
0.735-8  Removed...................................................17460
0.735-21  Redesignated as 0.735-2..................................17460
0.735-29  Removed..................................................17460
0.735-40  Removed..................................................17460
1.5  (b) amended...................................................17465
    Revised........................................................63882
1.11  (c)  revised.................................................63882
1.26  Removed......................................................63882
1.31  (b) revised; (d) added.......................................63882
1.34  (c) added....................................................63882
1.37  Heading and introductory text revised........................63882
1.40  Removed......................................................63882
1.41  (h) amended...................................................5519
2.802  (g) revised.................................................44895
    (b)  introductory text amended.................................60552
2.1205  (c)(2) revised.............................................29189
2  Appendix C amended.......................................36040, 60699
12  Added..........................................................23121
19  Authority citation revised.....................................48959
19.2  Revised......................................................48959

[[Page 839]]

19.13  (c) revised.................................................41642
20  Authority citation revised.....................................48959
20.1--20.602  Sections and appendixes A, B and D correctly 
        removed; appendix C correctly redesignated as part 30 
        appendix B..................................................1900
20.1002  Revised...................................................48959
20.1008  Added.....................................................41643
20.2202  (d)(2) revised............................................14086
20  Appendix D amended.............................................17465
21  Authority citation revised.....................................48959
21.2  (d) amended..................................................14086
    (e) added......................................................48959
21.3  (e) amended...................................................5519
21.21  (c)(3)(i) amended...........................................14086
26  Authority citation revised.....................................48959
26.2  (d) added....................................................48959
26.24  (a)(2) revised................................................507
30.4  Amended...............................................36034, 61780
30.6  (b)(2)(iv) revised; (b)(2)(v) removed........................17465
30.8  (b) corrected.................................................1618
    (b)  and (c) revised...........................................61780
30.34  (i) removed.................................................61780
30.35  (f)(2) corrected.............................................1618
30.36  Revised.....................................................36034
30.37  Revised.....................................................36035
30.50  (c)(1) Footnote 1 amended...................................14086
30.70  Table amended................................................5519
30  Appendix C correctly designated.................................1618
32.8  (b) and (c) revised..........................................61780
32.51  (a)(3)(iii) amended..........................................5520
32.72  Revised.....................................................61780
    (b)(4)  corrected..............................................65244
32.73  Removed.....................................................61781
32.303  (b) revised................................................61781
34.20  (a) amended.................................................50689
34.42  Corrected....................................................1900
35.2  Amended......................................................61781
35.6  Added........................................................61781
35.7  Added........................................................61782
35.8  (b) revised..................................................61782
35.11  (a) revised; (c) added......................................61782
35.12  (e) added...................................................61782
35.13  (b) revised.................................................61782
35.14  Revised.....................................................61782
35.15  Added.......................................................61782
35.22  (b)(2) revised..............................................61782
35.25  (b) redesignated as (c); new (b) added......................61782
35.27  Removed.....................................................61783
35.32  (a)(2) and (b)(1)(i) revised................................61783
35.33  (a)(1) Footnote 2 amended...................................14086
    (a)(2),  (3), (4), (b) and (c) revised.........................61783
35.49  Revised.....................................................61783
35.50  (a), (b)(3), (e)(2), (3) and (4) revised....................61783
35.52  Added.......................................................61783
35.53  Heading, (a), (b), (c)(2) and (3) revised...................61784
35.60  (b) and (c) revised.........................................61784
35.75  Revised.....................................................61784
35.100  Revised....................................................61784
35.200  Revised....................................................61784
35.205  (a) and (c) revised........................................41643
35.300  Revised....................................................61784
35.310  (a) introductory text, (1) and (5) revised.................61784
35.315  (a) introductory text, (2), (3), (5), (6), (7) and (b) 
        revised....................................................61784
35.404  Revised....................................................61785
35.406  (a), (b) and (c) revised...................................61785
35.410  (a) introductory text, (3) and (5) revised.................61785
35.415  (a) introductory text, (1), (2), (3), (5) and (b) revised 
                                                                   61785
    (a)(1)  correctly revised......................................65244
35.610  (a)(1) revised.............................................61785
35.615  (d)(3) and (e) revised.....................................61785
35.632  (d) amended................................................50689
35.900  (a)(4) and (5) revised; (a)(6) through (9) added...........61786
35.910  (a)(3), (b)(2)(i), (iii) and (v) revised; (a)(4) and (5) 
        added......................................................61786
35.920  (a)(2), (3), (b)(2)(iii), (3)(i), (iii) and (v) revised; 
        (a)(4) and (5) added.......................................61786
35.930  Heading, (a)(1) and (2) revised; (a)(3) and (4) added......61786
35.940  (a)(1) revised.............................................61786
35.950  (a)(1) and (2) revised; (a)(4) added.......................61786
35.960  (a)(1) and (b)(3)(iii) revised.............................61786
35.961  (b) redesignated as (c); new (b) added.....................61786
35.972  Revised....................................................61786
35.980  Added......................................................61786
35.981  Added......................................................61787
    Corrected......................................................65244
35.991  (b)  revised...............................................61787
40.4  Amended......................................................36035

[[Page 840]]

40.5  (b)(2)(iv) revised; (b)(2)(v) removed........................17466
40.34  (a)(2) amended..............................................41643
40.36  (e)(2) corrected.............................................1618
40.42  Revised.....................................................36035
40.43  Revised.....................................................36037
40.60  (c)(1) Footnote 1 amended...................................14086
40.64  (a) revised.................................................35620
40  Appendix A amended.............................................28229
50  Policy statement...............................................35461
50.34  (f)(3)(v)(A)(2) amended.....................................50689
50.36a  (b) amended.................................................5520
50.54  (s)(1) amended...............................................5520
    (bb)  revised..................................................10269
50.55  (e)(6)(i) amended...........................................14087
50.55a  (b) introductory text amended..............................50689
50.72  (a)(2) Footnote 3 amended...................................14087
50.73  (b)(2)(ii)(F)(2) amended....................................50689
50.75  (e)(2)(iii) corrected........................................1618
50  Appendix E amended.............................................14090
    Appendixes H, J and K amended..................................50689

                                  1995

10 CFR
                                                                   60 FR
                                                                    Page
Chapter I
Chapter I  Policy statement.........................................4071
    Regulatory agenda..............................................49327
2  Authority citation revised...............................20886, 22491
2.712  (d)(4)(iii) revised.........................................24550
2.758  (b) and (e) revised.........................................22491
2.764  (a), (b) and (c) revised....................................20886
2.810  Added.......................................................18346
2  appendix C removed..............................................34380
9.52  (b)(4) revised; eff. 1-12-96.................................63900
9.61  (b) redesignated as (c); new (b) added; eff. 1-12-96.........63900
9.80  (a)(6), (10) and (11) revised; (a)(12) added; eff. 1-12-96 
                                                                   63900
9.95  Revised; eff. 1-12-96........................................63900
11.15  (c) revised.................................................26356
19.11  (c) amended.................................................24551
19.12  Revised.....................................................36043
20.1002  Revised...................................................48625
20.1003  Amended............................................36043, 48625
20.1009  Revised (OMB numbers); eff. 3-1-98........................15663
20.1201  (d) and (e) amended.......................................20185
20.1203  Amended...................................................20185
20.1204  (c)(3), (e)(1) and (h)(2) amended.........................20185
20.1301  (a)(1) revised............................................48625
20.1302  (b)(2)(i) and (c) amended.................................20185
20.1502  (b)(1) amended............................................20185
20.1701  Amended...................................................20185
20.1702  Amended...................................................20185
20.1703  (a)(3)(v) revised..........................................7903
    (b)(1), (2) introductory text and (d) revised..................20185
20.1704  Introductory text amended.................................20185
20.1902  (e) amended...............................................20185
20.1905  (a) and (b) amended.......................................20185
20.1906  (c) and (d) amended.......................................20185
20.2003  (a)(2)(i) and (3)(i) amended..............................20185
20.2006  Revised; eff. 3-1-98......................................15663
    (a) through (d) amended........................................20185
20.2101  (b) redesignated as (c); new (b) added; eff. 3-1-98.......15663
20.2103  (b)(1) through (4) revised................................20185
20.2104  (f) revised...............................................20186
    (a) revised....................................................36043
20.2106  (f) revised...............................................20186
20.2108  (b) revised...............................................20186
20.2201  (a)(1)(i), (ii) and (b)(2)(ii) amended....................20186
20.2203  (d) amended...............................................20186
20.2204  Amended...................................................20186
20.2205  Added.....................................................36043
20  Appendix G added; eff. 3-1-98..................................15664
    Appendixes C and F amended.....................................20186
    Appendix D amended.............................................24551
    Appendix G amended; eff. 3-1-98................................25983
21.2  (d) amended..................................................48373
21.3  Amended......................................................48373
21.6  (a) revised..................................................48374
21.21  (a) introductory text revised; (c) and (d) redesignated as 
        (d) and (e); new (c) added.................................48374
21.31  Revised.....................................................48374
21.41  Revised.....................................................48374
21.51  (a) introductory text and (b) revised.......................48374
21.61  Revised.....................................................48374
25.21  (c) revised.................................................26357
30.6  (a)(2)(ii) revised...........................................24551
30.7  (e)(2) amended...............................................24551

[[Page 841]]

30.35  (b)(2), (c)(2), (3) and (e) revised; (c)(4) added...........38238
30.36  (e) through (j) redesignated as (f) through (k); new (e) 
        added......................................................38238
32.52  (a) revised..................................................3737
32.56  Revised......................................................3737
32.72  (a)(4) revised................................................324
32.210  (b) amended................................................24551
34.20  (a) revised; (f) added......................................28325
35.2  Amended......................................................48626
35.33  (a)(2), (3), (4), (b) and (c) revised.......................48626
40.5  (a)(2)(ii) revised...........................................24551
40.7  (e)(2) amended...............................................24551
40.23  (b)(1), (2)(ix), (c) and (d) amended........................24551
40.25  (c)(1) introductory text, (2) and (d)(4) amended............24551
40.36  (b)(2), (c)(2), (3) and (d) revised; (c)(4) added...........38238
40.42  (e) through (k) redesignated as (f) through (l); new (e) 
        added......................................................38239
40.66  (a), (b)(5) and (c) amended.................................24551
40.67  (a), (c) and (d) amended....................................