[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2003 Edition]
[From the U.S. Government Printing Office]



[[Page i]]



                    10


          Parts 51 to 199

                         Revised as of January 1, 2003

Energy





          Containing a codification of documents of general 
          applicability and future effect
          As of January 1, 2003
          With Ancillaries
          Published by:
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2003



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                            Table of Contents



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

  Title 10:
          Chapter I--Nuclear Regulatory Commission (Continued)       3
  Finding Aids:
      Material Approved for Incorporation by Reference........     733
      Table of CFR Titles and Chapters........................     735
      Alphabetical List of Agencies Appearing in the CFR......     753
      List of CFR Sections Affected...........................     763



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

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  10 CFR 51.1 refers 
                       to title 10, part 51, 
                       section 1.

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

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                               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, 2003), 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, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
volumes. For the period beginning January 1, 2001, 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) 741-6010.

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

[[Page vii]]


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 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
[email protected].

SALES

    The Government Printing Office (GPO) processes all sales and 
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ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
Government Manual, the Federal Register, Public Laws, Public Papers, 
Weekly Compilation of Presidential Documents and the Privacy Act 
Compilation are available in electronic format at www.access.gpo.gov/
nara (``GPO Access''). For more information, contact Electronic 
Information Dissemination Services, U.S. Government Printing Office. 
Phone 202-512-1530, or 888-293-6498 (toll-free). E-mail, 
[email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

January 1, 2003.



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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 1-50, 51-199, 200-499 
and part 500-end. The first and second volumes containing parts 1-199 
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, 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, 2003.

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

[[Page 1]]



                            TITLE 10--ENERGY




                  (This book contains parts 51 to 199)

  --------------------------------------------------------------------
                                                                    Part

Chapter I--Nuclear Regulatory Commission (Continued)........          51

[[Page 3]]



                CHAPTER I--NUCLEAR REGULATORY COMMISSION




  --------------------------------------------------------------------
Part                                                                Page
51              Environmental protection regulations for 
                    domestic licensing and related 
                    regulatory functions....................           5
52              Early site permits; standard design 
                    certifications; and combined licenses 
                    for nuclear power plants................          55
53              [Reserved]

54              Requirements for renewal of operating 
                    licenses for nuclear power plants.......          95
55              Operators' licenses.........................         102
60              Disposal of high-level radioactive wastes in 
                    geologic repositories...................         117
61              Licensing requirements for land disposal of 
                    radioactive waste.......................         152
62              Criteria and procedures for emergency access 
                    to non-federal and regional low-level 
                    waste disposal facilities...............         179
63              Disposal of high-level radioactive wastes in 
                    a geologic repository at Yucca Mountain, 
                    Nevada..................................         187
70              Domestic licensing of special nuclear 
                    material................................         228
71              Packaging and transportation of radioactive 
                    material................................         289
72              Licensing requirements for the independent 
                    storage of spent nuclear fuel, high-
                    level radioactive waste, and reactor-
                    related greater than Class C waste......         334
73              Physical protection of plants and materials.         392
74              Material control and accounting of special 
                    nuclear material........................         466
75              Safeguards on nuclear material--
                    implementation of US/IAEA agreement.....         492
76              Certification of gaseous diffusion plants...         506
81              Standard specifications for the granting of 
                    patent licenses.........................         531
95              Facility security clearance and safeguarding 
                    of national security information and 
                    restricted data.........................         539
100             Reactor site criteria.......................         556

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110             Export and import of nuclear equipment and 
                    material................................         570
140             Financial protection requirements and 
                    indemnity agreements....................         619
150             Exemptions and continued regulatory 
                    authority in Agreement States and in 
                    offshore waters under section 274.......         691
160             Trespassing on Commission property..........         702
170             Fees for facilities, materials, import and 
                    export licenses, and other regulatory 
                    services under the Atomic Energy Act of 
                    1954, as amended........................         703
171             Annual fees for reactor licenses and fuel 
                    cycle licenses and materials licenses, 
                    including holders of certificates of 
                    compliance, registrations, and quality 
                    assurance program approvals and 
                    government agencies licensed by the NRC.         717
172-199         [Reserved]

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PART 51--ENVIRONMENTAL PROTECTION REGULATIONS FOR DOMESTIC LICENSING AND RELATED REGULATORY FUNCTIONS--Table of Contents




Sec.
51.1  Scope.
51.2  Subparts.
51.3  Resolution of conflict.
51.4  Definitions.
51.5  Interpretations.
51.6  Specific exemptions.

 Subpart A--National Environmental Policy Act--Regulations Implementing 
                             Section 102(2)

51.10  Purpose and scope of subpart; application of regulations of 
          Council on Environmental Quality.
51.11  Relationship to other subparts. [Reserved]
51.12  Application of subpart to ongoing environmental work.
51.13  Emergencies.
51.14  Definitions.
51.15  Time schedules.
51.16  Proprietary information.
51.17  Information collection requirements; OMB approval.

                         Preliminary Procedures

           classification of licensing and regulatory actions

51.20  Criteria for and identification of licensing and regulatory 
          actions requiring environmental impact statements.
51.21  Criteria for and identification of licensing and regulatory 
          actions requiring environmental assessments.
51.22  Criterion for categorical exclusion; identification of licensing 
          and regulatory actions eligible for categorical exclusion or 
          otherwise not requiring environmental review.
51.23  Temporary storage of spent fuel after cessation of reactor 
          operation--generic determination of no significant 
          environmental impact.

determinations to prepare environmental impact statements, environmental 
assessments or findings of no significant impact, and related procedures

51.25  Determination to prepare environmental impact statement or 
          environmental assessment; eligibility for categorical 
          exclusion.
51.26  Requirement to publish notice of intent and conduct scoping 
          process.
51.27  Notice of intent.

                                 scoping

51.28  Scoping--participants.
51.29  Scoping--environmental impact statement.

                        environmental assessment

51.30  Environmental assessment.
51.31  Determinations based on environmental assessment.

                    finding of no significant impact

51.32  Finding of no significant impact.
51.33  Draft finding of no significant impact; distribution.
51.34  Preparation of finding of no significant impact.
51.35  Requirement to publish finding of no significant impact; 
          limitation on Commission action.

   Environmental Reports and Information--Requirements Applicable to 
                Applicants and Petitioners for Rulemaking

                                 general

51.40  Consultation with NRC staff.
51.41  Requirement to submit environmental information.

               environmental reports--general requirements

51.45  Environmental report.

      environmental reports--production and utilization facilities

51.50  Environmental report--construction permit stage.
51.51  Uranium fuel cycle environmental data--Table S-3.
51.52  Environmental effects of transportation of fuel and waste--Table 
          S-4.
51.53  Postconstruction environmental reports.
51.54  Environmental report--manufacturing license.
51.55  Environmental report--number of copies; distribution.

                environmental reports--materials licenses

51.60  Environmental report--materials licenses.
51.61  Environmental report--independent spent fuel storage installation 
          (ISFSI) or monitored retrievable storage installation (MRS) 
          license.
51.62  Environmental report--land disposal of radioactive waste licensed 
          under 10 CFR part 61.
51.66  Environmental report--number of copies; distribution.
51.67  Environmental information concerning geologic repositories.

                    environmental reports--rulemaking

51.68  Environmental report--rulemaking.

[[Page 6]]

51.69  Environmental report--number of copies.

                     Environmental Impact Statements

       draft environmental impact statements--general requirements

51.70  Draft environmental impact statement--general.
51.71  Draft environmental impact statement--contents.
51.72  Supplement to draft environmental impact statement.
51.73  Request for comments on draft environmental impact statement.
51.74  Distribution of draft environmental impact statement and 
          supplement to draft environmental impact statement; news 
          releases.

   draft environmental impact statements--production and utilization 
                               facilities

51.75  Draft environmental impact statement--construction permit.
51.76  Draft environmental impact statement--manufacturing license.
51.77  Distribution of draft environmental impact statement.

        draft environmental impact statements--materials licenses

51.80  Draft environmental impact statement--materials license.
51.81  Distribution of draft environmental impact statement.

            draft environmental impact statements--rulemaking

51.85  Draft environmental impact statement--rulemaking.
51.86  Distribution of draft environmental impact statement.

 legislative environmental impact statements--proposals for legislation

51.88  Proposals for legislation.

       final environmental impact statements--general requirements

51.90  Final environmental impact statement--general.
51.91  Final environmental impact statement--contents.
51.92  Supplement to final environmental impact statement.
51.93  Distribution of final environmental impact statement and 
          supplement to final environmental impact statement; news 
          releases.
51.94  Requirement to consider final environmental impact statement.

   final environmental impact statements--production and utilization 
                               facilities

51.95  Postconstruction environmental impact statements.

        final environmental impact statements--materials licenses

51.97  Final environmental impact statement--materials license.

            final environmental impact statements--rulemaking

51.99  [Reserved]

                NEPA Procedure and Administrative Action

                                 general

51.100  Timing of Commission action.
51.101  Limitations on actions.
51.102  Requirement to provide a record of decision; preparation.
51.103  Record of decision--general.
51.104  NRC proceeding using public hearings; consideration of 
          environmental impact statement.

                  production and utilization facilities

51.105  Public hearings in proceedings for issuance of construction 
          permits or licenses to manufacture.
51.106  Public hearings in proceedings for issuance of operating 
          licenses.

                           materials licenses

51.108  [Reserved]
51.109  Public hearings in proceedings for issuance of materials license 
          with respect to a geologic repository.

                               rulemaking

51.110  [Reserved]

         Public Notice of and Access to Environmental Documents

51.116  Notice of intent.
51.117  Draft environmental impact statement--notice of availability.
51.118  Final environmental impact statement--notice of availability.
51.119  Publication of finding of no significant impact; distribution.
51.120  Availability of environmental documents for public inspection.
51.121  Status of NEPA actions.
51.122  List of interested organizations and groups.
51.123  Charges for environmental documents; distribution to public; 
          distribution to governmental agencies.

                               Commenting

51.124  Commission duty to comment.

[[Page 7]]

                          Responsible Official

51.125  Responsible official.

Appendix A to Subpart A to Part 51--Format for Presentation of Material 
          in Environmental Impact Statements
Appendix B to Subpart A to Part 51--Environmental Effect of Renewing the 
          Operating License of a Nuclear Power Plant

    Authority: Sec. 161, 68 Stat. 948, as amended, sec. 1701, 106 Stat. 
2951, 2952, 2953, (42 U.S.C. 2201, 2297f); secs. 201, as amended, 202, 
88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, 5842). Subpart A also 
issued under National Environmental Policy Act of 1969, secs. 102, 104, 
105, 83 Stat. 853-854, as amended (42 U.S.C. 4332, 4334, 4335); and Pub. 
L. 95-604, Title II, 92 Stat. 3033-3041; and sec. 193, Pub. L. 101-575, 
104 Stat. 2835 (42 U.S.C. 2243). Sections 51.20, 51.30, 51.60, 51.80. 
and 51.97 also issued under secs. 135, 141, Pub. L. 97-425, 96 Stat. 
2232, 2241, and sec. 148, Pub. L. 100-203, 101 Stat. 1330-223 (42 U.S.C. 
10155, 10161, 10168). Section 51.22 also issued under sec. 274, 73 Stat. 
688, as amended by 92 Stat. 3036-3038 (42 U.S.C. 2021) and under Nuclear 
Waste Policy Act of 1982, sec 121, 96 Stat. 2228 (42 U.S.C. 10141). 
Sections 51.43, 51.67, and 51.109 also under Nuclear Waste Policy Act of 
1982, sec 114(f), 96 Stat. 2216, as amended (42 U.S.C. 10134(f)).

    Source: 49 FR 9381, Mar. 12, 1984, unless otherwise noted.



Sec. 51.1  Scope.

    This part contains environmental protection regulations applicable 
to NRC's domestic licensing and related regulatory functions. These 
regulations do not apply to export licensing matters within the scope of 
part 110 of this chapter or to any environmental effects which NRC's 
domestic licensing and related regulatory functions may have upon the 
environment of foreign nations. Subject to these limitations, the 
regulations in this part implement:
    (a) Section 102(2) of the National Environmental Policy Act of 1969, 
as amended.



Sec. 51.2  Subparts.

    (a) The regulations in subpart A of this part implement section 
102(2) of the National Environmental Policy Act of 1969, as amended.



Sec. 51.3  Resolution of conflict.

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



Sec. 51.4  Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954 (Pub. L. 83-703, 68 Stat. 
919) including any amendments thereto.
    Commission means the Nuclear Regulatory Commission or its authorized 
representatives.
    NRC means the Nuclear Regulatory Commission, the agency established 
by Title II of the Energy Reorganization Act of 1974, as amended.
    NRC staff means any NRC officer or employee or his/her authorized 
representative, except a Commissioner, a member of a Commissioner's 
immediate staff, an Atomic Safety and Licensing Board, an Atomic Safety 
and Licensing Appeal Board, a presiding officer, an administrative 
judge, an administrative law judge, or any other officer or employee of 
the Commission who performs adjudicatory functions.
    NRC Staff Director means:

Executive Director for Operations;
Director, Office of Nuclear Reactor Regulation;
Director, Office of Nuclear Material Safety and Safeguards;
Director, Office of Nuclear Regulatory Research;
Director, Office of Governmental and Public Affairs; and

    The designee of any NRC staff director.

[49 FR 9381, Mar. 12, 1984, as amended at 51 FR 35999, Oct. 8, 1986; 52 
FR 31612, Aug. 21, 1987]



Sec. 51.5  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation 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. 51.6  Specific 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 8]]

are authorized by law and are otherwise in the public interest.



 Subpart A--National Environmental Policy Act--Regulations Implementing 
                             Section 102(2)



Sec. 51.10  Purpose and scope of subpart; application of regulations of Council on Environmental Quality.

    (a) The National Environmental Policy Act of 1969, as amended (NEPA) 
directs that, to the fullest extent possible: (1) The policies, 
regulations, and public laws of the United States shall be interpreted 
and administered in accordance with the policies set forth in NEPA, and 
(2) all agencies of the Federal Government shall comply with the 
procedures in section 102(2) of NEPA except where compliance would be 
inconsistent with other statutory requirements. The regulations in this 
subpart implement section 102(2) of NEPA in a manner which is consistent 
with the NRC's domestic licensing and related regulatory authority under 
the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act 
of 1974, as amended, and the Uranium Mill Tailings Radiation Control Act 
of 1978, and which reflects the Commission's announced policy to take 
account of the regulations of the Council on Environmental Quality 
published November 29, 1978 (43 FR 55978-56007) voluntarily, subject to 
certain conditions. This subpart does not apply to export licensing 
matters within the scope of part 110 of this chapter nor does it apply 
to any environmental effects which NRC's domestic licensing and related 
regulatory functions may have upon the environment of foreign nations.
    (b) The Commission recognizes a continuing obligation to conduct its 
domestic licensing and related regulatory functions in a manner which is 
both receptive to environmental concerns and consistent with the 
Commission's responsibility as an independent regulatory agency for 
protecting the radiological health and safety of the public. 
Accordingly, the Commission will:
    (1) Examine any future interpretation or change to the Council's 
NEPA regulations;
    (2) Follow the provisions of 40 CFR 1501.5 and 1501.6 relating to 
lead agencies and cooperating agencies, except that the Commission 
reserves the right to prepare an independent environmental impact 
statement whenever the NRC has regulatory jurisdiction over an acitivity 
even though the NRC has not been designated as lead agency for 
preparation of the statement; and
    (3) Reserve the right to make a final decision on any matter within 
the NRC's regulatory authority even though another agency has made a 
predecisional referral of an NRC action to the Council under the 
procedures of 40 CFR part 1504.
    (c) The regulations in this subpart 1 also address the 
limitations imposed on NRC's authority and responsibility under the 
National Environmental Policy Act of 1969, as amended, by the Federal 
Water Pollution Control Act Amendments of 1972, Pub. L. 92-500, 86 Stat. 
816 et seq. (33 U.S.C. 1251 et seq.) In accordance with section 
511(c)(2) of the Federal Water Pollution Control Act (86 Stat. 893, 33 
U.S.C 1371(c)(2)) the NRC recognizes that responsibility for Federal 
regulation of nonradiological pollutant discharges 2 into 
receiving waters rests by statute with the Environmental Protection 
Agency.
---------------------------------------------------------------------------

    \1\ See also Second Memorandum of Understanding Regarding 
Implementation of Certain NRC and EPA Responsibilities and Policy 
Statement on Implementation of Section 511 of the Federal Water 
Pollution Control Act (FWPCA) attached as Appendix A thereto, which were 
published in the Federal Register on December 31, 1975 (40 FR 60115) and 
became effective January 30, 1976.
    \2\ On June 1, 1976, the U.S. Supreme Court held that ```pollutants' 
subject to regulation under the FWPCA [Federal Water Pollution Control 
Act] do not include source, byproduct, and special nuclear materials, . 
. .'' Train v. Colorado PIRG, 426 U.S. 1 at 25.
---------------------------------------------------------------------------

    (d) Commission actions initiating or relating to administrative or 
judicial civil or criminal enforcement actions or proceedings are not 
subject to Section 102(2) of NEPA. These actions include issuance of 
notices of violation, orders, and denials of requests for action 
pursuant to subpart B of part 2 of this chapter; matters covered by part 
15 and part 160 of this chapter; and issuance of confirmatory action 
letters, bulletins, generic letters, notices

[[Page 9]]

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of deviation, and notices of nonconformance.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 43578, Oct. 26, 1989; 61 
FR 43408, Aug. 22, 1996]



Sec. 51.11  Relationship to other subparts. [Reserved]



Sec. 51.12  Application of subpart to ongoing environmental work.

    (a) Except as otherwise provided in this section, the regulations in 
this subpart shall apply to the fullest extent practicable to NRC's 
ongoing environmental work.
    (b) No environmental report or any supplement to an environmental 
report filed with the NRC and no environmental assessment, environmental 
impact statement or finding of no significant impact or any supplement 
to any of the foregoing issued by the NRC before June 7, 1984, need be 
redone and no notice of intent to prepare an environmental impact 
statement or notice of availability of these environmental documents 
need be republished solely by reason of the promulgation on March 12, 
1984, of this revision of part 51.

[49 FR 9381, Mar. 12, 1984, as amended at 49 FR 24513, June 14, 1984]



Sec. 51.13  Emergencies.

    Whenever emergency circumstances make it necessary and whenever, in 
other situations, the health and safety of the public may be adversely 
affected if mitigative or remedial actions are delayed, the Commission 
may take an action with significant environmental impact without 
observing the provisions of these regulations. In taking an action 
covered by this section, the Commission will consult with the Council as 
soon as feasible concerning appropriate alternative NEPA arrangements.



Sec. 51.14  Definitions.

    (a) As used in this subpart:
    Categorical Exclusion means a category of actions which do not 
individually or cumulatively have a significant effect on the human 
environment and which the Commission has found to have no such effect in 
accordance with procedures set out in Sec. 51.22, and for which, 
therefore, neither an environmental assessment nor an environmental 
impact statement is required.
    Cooperating Agency means any Federal agency other than the NRC which 
has jurisdiction by law or special expertise with respect to any 
environmental impact involved in a proposal (or a reasonable 
alternative) for legislation or other major Federal action significantly 
affecting the quality of the human environment. By agreement with the 
Commission, a State or local agency of similar qualifications or, when 
the effects are on a reservation, an Indian Tribe, may become a 
cooperating agency.
    Council means the Council on Environmental Quality (CEQ) established 
by Title II of NEPA.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Environmental Assessment means a concise public document for which 
the Commission is responsible that serves to:
    (1) Briefly provide sufficient evidence and analysis for determining 
whether to prepare an environmental impact statement or a finding of no 
significant impact.
    (2) Aid the Commission's compliance with NEPA when no environmental 
impact statement is necessary.
    (3) Facilitate preparation of an environmental impact statement when 
one is necessary.
    Environmental document includes an environmental assessment, an 
environmental impact statement, a finding of no significant impact, an 
environmental report and any supplements to or comments upon those 
documents, and a notice of intent.
    Environmental Impact Statement means a detailed written statement as 
required by section 102(2)(C) of NEPA.
    Environmental report means a document submitted to the Commission by 
an applicant for a permit, license, or other form of permission, or an 
amendment to or renewal of a permit, license or other form of 
permission, or by a petitioner for rulemaking, in order to aid the 
Commission in complying with section 102(2) of NEPA.
    Finding of No Significant Impact means a concise public document for

[[Page 10]]

which the Commission is responsible that briefly states the reasons why 
an action, not otherwise excluded, will not have a significant effect on 
the human environment and for which therefore an environmental impact 
statement will not be prepared.
    NEPA means the National Environmental Policy Act of 1969, as amended 
(Pub. L. 91-190, 83 Stat. 852, 856, as amended by Pub. L. 94-83, 89 
Stat. 424, 42 U.S.C. 4321, et seq.).
    Notice of Intent means a notice that an environmental impact 
statement will be prepared and considered.
    Uranium enrichment facility means:
    (1) Any facility used for separating the isotopes for 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.
    (b) The definitions in 40 CFR 1508.3, 1508.7, 1508.8, 1508.14, 
1508.15, 1508.16, 1508.17, 1508.18, 1508.20, 1508.23, 1508.25, 1508.26, 
and 1508.27, will also be used in implementing section 102(2) of NEPA.

[49 FR 9381, Mar. 12, 1984, as amended at 57 FR 18391, Apr. 30, 1992]



Sec. 51.15  Time schedules.

    Consistent with the purposes of NEPA, the Administrative Procedure 
Act, the Commission's rules of practice in part 2 of this chapter, 
Secs. 51.100 and 51.101, and with other essential considerations of 
national policy:
    (a) The appropriate NRC staff director may, and upon the request of 
an applicant for a proposed action or a petitioner for rulemaking shall, 
establish a time schedule for all or any constituent part of the NRC 
staff NEPA process. To the maximum extent practicable, the NRC staff 
will conduct its NEPA review in accordance with any time schedule 
established under this section.
    (b) Pursuant to subpart G of part 2 of this chapter, the presiding 
officer, the Atomic Safety and Licensing Appeal Board or the 
Commissioners acting as a collegial body may establish a time schedule 
for all or any part of an adjudicatory or rulemaking proceeding to the 
extent that each has jurisdiction.



Sec. 51.16  Proprietary information.

    (a) Proprietary information, such as trade secrets or privileged or 
confidential commercial or financial information, will be treated in 
accordance with the procedures provided in Sec. 2.790, ``Public 
Inspections, Exemptions, Requests for Withholding,'' of part 2, ``Rules 
of Practice,'' of this chapter.
    (b) Any proprietary information which a person seeks to have 
withheld from public disclosure shall be submitted in accordance with 
Sec. 2.790 of this chapter. When submitted, the proprietary information 
should be clearly identified and accompanied by a request, containing 
detailed reasons and justifications, that the proprietary information be 
withheld from public disclosure. A non-proprietary summary describing 
the general content of the proprietary information should also be 
provided.



Sec. 51.17  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0021.
    (b) The approved information collection requirements in this part 
appear in Secs. 51.6, 51.16, 51.41, 51.45, 51.50, 51.51, 51.52, 51.53, 
51.54, 51.55, 51.60, 51.61, 51.62, 51.66, 51.68, and 51.69.

[49 FR 24513, June 14, 1984, as amended at 62 FR 52188, Oct. 6, 1997; 67 
FR 67100, Nov. 4, 2002]

[[Page 11]]

                         Preliminary Procedures

           classification of licensing and regulatory actions



Sec. 51.20  Criteria for and identification of licensing and regulatory actions requiring environmental impact statements.

    (a) Licensing and regulatory actions requiring an environmental 
impact statement shall meet at least one of the following criteria:
    (1) The proposed action is a major Federal action significantly 
affecting the quality of the human environment.
    (2) The proposed action involves a matter which the Commission, in 
the exercise of its discretion, has determined should be covered by an 
environmental impact statement.
    (b) The following types of actions require an environmental impact 
statement or a supplement to an environmental impact statement:
    (1) Issuance of a limited work authorization or a permit to 
construct a nuclear power reactor, testing facility or fuel reprocessing 
plant pursuant to part 50 of this chapter.
    (2) Issuance or renewal of a full power or design capacity license 
to operate a nuclear power reactor, testing facility, or fuel 
reprocessing plant pursuant to part 50 of this chapter.
    (3) Issuance of a permit to construct or a design capacity license 
to operate or renewal of a design capacity license to operate an 
isotopic enrichment plant pursuant to part 50 of this chapter.
    (4) Conversion of a provisional operating license for a nuclear 
power reactor, testing facility or fuel reprocessing plant to a full 
term or design capacity license pursuant to part 50 of this chapter if a 
final environmental impact statement covering full term or design 
capacity operation has not been previously prepared.
    (5) [Reserved]
    (6) Issuance of a license to manufacture pursuant to Appendix M of 
part 52 of this chapter.
    (7) Issuance of a license to possess and use special nuclear 
material for processing and fuel fabrication, scrap recovery, or 
conversion of uranium hexafluoride pursuant to part 70 of this chapter.
    (8) Issuance of a license to possess and use source material for 
uranium milling or production of uranium hexafluoride pursuant to part 
40 of this chapter.
    (9) Issuance of a license pursuant to part 72 of this chapter for 
the storage of spent fuel in an independent spent fuel storage 
installation (ISFSI) at a site not occupied by a nuclear power reactor, 
or for the storage of spent fuel or high-level radioactive waste in a 
monitored retrievable storage installation (MRS).
    (10) Issuance of a license for a uranium enrichment facility.
    (11) Issuance of renewal of a license authorizing receipt and 
disposal of radioactive waste from other persons pursuant to part 61 of 
this chapter.
    (12) Issuance of a license amendment pursuant to part 61 of this 
chapter authorizing (i) closure of a land disposal site, (ii) transfer 
of the license to the disposal site owner for the purpose of 
institutional control, or (iii) termination of the license at the end of 
the institutional control period.
    (13) Issuance of a construction authorization and license pursuant 
to part 60 or part 63 of this chapter.
    (14) Any other action which the Commission determines is a major 
Commission action significantly affecting the quality of the human 
environment. As provided in Sec. 51.22(b), the Commission may, in 
special circumstances, prepare an environmental impact statement on an 
action covered by a categorical exclusion.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31681, Aug. 19, 1988; 53 
FR 24052, June 27, 1988; 54 FR 15398, Apr. 18, 1989; 54 FR 27870, July 
3, 1989; 57 FR 18392, Apr. 30, 1992; 66 FR 55790, Nov. 2, 2001]



Sec. 51.21  Criteria for and identification of licensing and regulatory actions requiring environmental assessments.

    All licensing and regulatory actions subject to this subpart require 
an environmental assessment except those identified in Sec. 51.20(b) as 
requiring an environmental impact statement, those identified in 
Sec. 51.22(c) as categorical exclusions, and those identified in 
Sec. 51.22(d) as other actions not requiring environmental review. As 
provided in

[[Page 12]]

Sec. 51.22(b), the Commission may, in special circumstances, prepare an 
environmental assessment on an action covered by a categorical 
exclusion.

[54 FR 27870, July 3, 1989]



Sec. 51.22  Criterion for categorical exclusion; identification of licensing and regulatory actions eligible for categorical exclusion or otherwise not 
          requiring environmental review.

    (a) Licensing and regulatory actions eligible for categorical 
exclusion shall meet the following criterion: The proposed action 
belongs to a category of actions which the Commission, by rule or 
regulation, has declared to be a categorical exclusion, after first 
finding that the category of actions does not individually or 
cumulatively have a significant effect on the human environment.
    (b) Except in special circumstances, as determined by the Commission 
upon its own initiative or upon request of any interested person, an 
environmental assessment or an environmental impact statement is not 
required for any action within a category of actions included in the 
list of categorical exclusions set out in paragraph (c) of this section. 
Special circumstances include the circumstance where the proposed action 
involves unresolved conflicts concerning alternative uses of available 
resources within the meaning of section 102(2)(E) of NEPA.
    (c) The following categories of actions are categorical exclusions:
    (1) Amendments to Parts 1, 2, 4, 7, 8, 9, 10, 11, 19, 21, 25, 55, 
75, 95, 110, 140, 150, 170, or 171 of this chapter, and actions on 
petitions for rulemaking relating to Parts 1, 2, 4, 7, 9, 10, 11, 14, 
19, 21, 25, 55, 75, 95, 110, 140, 150, 170, or 171.
    (2) Amendments to the regulations in this chapter which are 
corrective or of a minor or nonpolicy nature and do not substantially 
modify existing regulations, and actions on petitions for rulemaking 
relating to these amendments.
    (3) Amendments to parts 20, 30, 31, 32, 33, 34, 35, 39, 40, 50, 51, 
54, 60, 61, 63, 70, 71, 72, 73, 74, 81, and 100 of this chapter which 
relate to--
    (i) Procedures for filing and reviewing applications for licenses or 
construction permits or other forms of permission or for amendments to 
or renewals of licenses or construction permits or other forms of 
permission;
    (ii) Recordkeeping requirements; or
    (iii) Reporting requirements; and
    (iv) Actions on petitions for rulemaking relating to these 
amendments.
    (4) Entrance into or amendment, suspension, or termination of all or 
part of an agreement with a State pursuant to section 274 of the Atomic 
Energy Act of 1954, as amended, providing for assumption by the State 
and discontinuance by the Commission of certain regulatory authority of 
the Commission.
    (5) Procurement of general equipment and supplies.
    (6) Procurement of technical assistance, confirmatory research 
provided that the confirmatory research does not involve any significant 
construction impacts, and personal services relating to the safe 
operation and protection of commercial reactors, other facilities, and 
materials subject to NRC licensing and regulation.
    (7) Personnel actions.
    (8) Issuance, amendment, or renewal of operators' licenses pursuant 
to part 55 of this chapter.
    (9) Issuance of an amendment to a permit or license for a reactor 
pursuant to part 50 of this chapter which changes a requirement with 
respect to installation or use of a facility component located within 
the restricted area, as defined in part 20 of this chapter, or which 
changes an inspection or a surveillance requirement, provided that (i) 
the amendment involves no significant hazards consideration, (ii) there 
is no significant change in the types or significant increase in the 
amounts of any effluents that may be released offsite, and (iii) there 
is no significant increase in individual or cumulative occupational 
radiation exposure.
    (10) Issuance of an amendment to a permit or license under parts 30, 
31, 32, 33, 34, 35, 36, 39, 40, 50, 60, 61, 63, 70, or part 72 of this 
chapter which --
    (i) Changes surety, insurance and/or indemnity requirements; or
    (ii) Changes recordkeeping, reporting, or administrative procedures 
or requirements.

[[Page 13]]

    (11) Issuance of amendments to licenses for fuel cycle plants and 
radioactive waste disposal sites and amendments to materials licenses 
identified in Sec. 51.60(b)(1) which are administrative, organizational, 
or procedural in nature, or which result in a change in process 
operations or equipment, provided that (i) there is no significant 
change in the types or significant increase in the amounts of any 
effluents that may be released offsite, (ii) there is no significant 
increase in individual or cumulative occupational radiation exposure, 
(iii) there is no significant construction impact, and (iv) there is no 
significant increase in the potential for or consequences from 
radiological accidents.
    (12) Issuance of an amendment to a license pursuant to parts 50, 60, 
61, 63, 70, 72, or 75 of this chapter relating solely to safeguards 
matters (i.e., protection against sabotage or loss or diversion of 
special nuclear material) or issuance of an approval of a safeguards 
plan submitted pursuant to parts 50, 70, 72, and 73 of this chapter, 
provided that the amendment or approval does not involve any significant 
construction impacts. These amendments and approvals are confined to--
    (i) Organizational and procedural matters;
    (ii) Modifications to systems used for security and/or materials 
accountability;
    (iii) Administrative changes; and
    (iv) Review and approval of transportation routes pursuant to 10 CFR 
73.37.
    (13) Approval of package designs for packages to be used for the 
transportation of licensed materials.
    (14) Issuance, amendment, or renewal of materials licenses issued 
pursuant to 10 CFR parts 30, 31, 32, 33, 34, 35, 36, 39, 40 or part 70 
authorizing the following types of activities:
    (i) Distribution of radioactive material and devices or products 
containing radioactive material to general licensees and to persons 
exempt from licensing.
    (ii) Distribution of radiopharmaceuticals, generators, reagent kits 
and/or sealed sources to persons licensed pursuant to 10 CFR 35.18.
    (iii) Nuclear pharmacies.
    (iv) Medical and veterinary.
    (v) Use of radioactive materials for research and development and 
for educational purposes.
    (vi) Industrial radiography.
    (vii) Irradiators.
    (viii) Use of sealed sources and use of gauging devices, analytical 
instruments and other devices containing sealed sources.
    (ix) Use of uranium as shielding material in containers or devices.
    (x) Possession of radioactive material incident to performing 
services such as installation, maintenance, leak tests and calibration.
    (xi) Use of sealed sources and/or radioactive tracers in well-
logging procedures.
    (xii) Acceptance of packaged radioactive wastes from others for 
transfer to licensed land burial facilities provided the interim storage 
period for any package does not exceed 180 days and the total possession 
limit for all packages held in interim storage at the same time does not 
exceed 50 curies.
    (xiii) Manufacturing or processing of source, byproduct, or special 
nuclear materials for distribution to other licensees, except processing 
of source material for extraction of rare earth and other metals.
    (xiv) Nuclear laundries.
    (xv) Possession, manufacturing, processing, shipment, testing, or 
other use of depleted uranium military munitions.
    (xvi) Any use of source, byproduct, or special nuclear material not 
listed above which involves quantities and forms of source, byproduct, 
or special nuclear material similar to those listed in paragraphs 
(c)(14) (i) through (xv) of this section (Category 14).
    (15) Issuance, amendment or renewal of licenses for import of 
nuclear facilities and materials pursuant to part 110 of this chapter, 
except for import of spent power reactor fuel.
    (16) Issuance or amendment of guides for the implementation of 
regulations in this chapter, and issuance or amendment of other 
informational and procedural documents that do not impose any legal 
requirements.
    (17) Issuance of an amendment to a permit or license pursuant to 
parts 30, 40, 50 or part 70 of this chapter which

[[Page 14]]

deletes any limiting condition of operation or monitoring requirement 
based on or applicable to any matter subject to the provisions of the 
Federal Water Pollution Control Act.
    (18) Issuance of amendments or orders authorizing licensees of 
production or utilization facilities to resume operation, provided the 
basis for the authorization rests solely on a determination or 
redetermination by the Commission that applicable emergency planning 
requirements are met.
    (19) Issuance, amendment, modification, or renewal of a certificate 
of compliance of gaseous diffusion enrichment facilities pursuant to 10 
CFR part 76.
    (20) Decommissioning of sites where licensed operations have been 
limited to the use of--
    (i) Small quantities of short-lived radioactive materials; or
    (ii) Radioactive materials in sealed sources, provided there is no 
evidence of leakage of radioactive material from these sealed sources.
    (21) Approvals of direct or indirect transfers of any license issued 
by NRC and any associated amendments of license required to reflect the 
approval of a direct or indirect transfer of an NRC license.
    (d) In accordance with section 121 of the Nuclear Waste Policy Act 
of 1982 (42 U.S.C. 10141), the promulgation of technical requirements 
and criteria that the Commission will apply in approving or disapproving 
applications under part 60 or 63 of this chapter shall not require an 
environmental impact statement, an environmental assessment, or any 
environmental review under subparagraph (E) or (F) of section 102(2) of 
NEPA.

[49 FR 9381, Mar. 12, 1984, as amended at 51 FR 9766, Mar. 21, 1986; 51 
FR 33231, Sept. 18, 1986; 52 FR 8241, Mar. 17, 1987; 54 FR 27870, July 
3, 1989; 58 FR 7737, Feb. 9, 1993; 59 FR 48959, Sept. 23, 1994; 60 FR 
22491, May 8, 1995; 61 FR 9902, Mar. 12, 1996; 62 FR 39091, July 21, 
1997; 63 FR 66735, Dec. 3, 1998; 65 FR 54950, Sept. 12, 2000; 66 FR 
55790, Nov. 2, 2001]

    Effective Date Note: At 67 FR 78141, Dec. 23, 2002, Sec. 51.22 was 
amended by revising paragraph (c)(12), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 51.22  Criterion for categorical exclusion; identification of 
          licensing and regulatory actions eligible for categorical 
          exclusion or otherwise not requiring environmental review.

                                * * * * *

    (c) * * *
    (12) Issuance of an amendment to a license implementing any 
requirement of this chapter relating solely to safeguards matters (i.e., 
protection against sabotage or loss or diversion of special nuclear 
material), or issuance of an approval of a safeguards plan (or a 
revision of a safeguards plan) submitted pursuant to a requirement of 
any part of this chapter, provided that the amendment or approval does 
not involve any significant construction impacts. These amendments and 
approvals are confined to:
    (i) Organizational and procedural matters;
    (ii) Modifications to systems used for security and/or materials 
accountability;
    (iii) Administrative changes; and
    (iv) Review and approval of transportation routes pursuant to 10 CFR 
73.37.

                                * * * * *



Sec. 51.23  Temporary storage of spent fuel after cessation of reactor operation--generic determination of no significant environmental impact.

    (a) The Commission has made a generic determination that, if 
necessary, spent fuel generated in any reactor can be stored safely and 
without significant environmental impacts for at least 30 years beyond 
the licensed life for operation (which may include the term of a revised 
or renewed license) of that reactor at its spent fuel storage basin or 
at either onsite or offsite independent spent fuel storage 
installations. Further, the Commission believes there is reasonable 
assurance that at least one mined geologic repository will be available 
within the first quarter of the twenty-first century, and sufficient 
repository capacity will be available within 30 years beyond the 
licensed life for operation of any reactor to dispose of the commercial 
high-level waste and spent fuel originating in such reactor and 
generated up to that time.
    (b) Accordingly, as provided in Secs. 51.30(b), 51.53, 51.61, 
51.80(b), 51.95 and 51.97(a), and within the scope of the generic 
determination in paragraph (a) of

[[Page 15]]

this section, no discussion of any environmental impact of spent fuel 
storage in reactor facility storage pools or independent spent fuel 
storage installations (ISFSI) for the period following the term of the 
reactor operating license or amendment or initial ISFSI license or 
amendment for which application is made, is required in any 
environmental report, environmental impact statement, environmental 
assessment or other analysis prepared in connection with the issuance or 
amendment of an operating license for a nuclear reactor or in connection 
with the issuance of an initial license for storage of spent fuel at an 
ISFSI, or any amendment thereto.
    (c) This section does not alter any requirements to consider the 
environmental impacts of spent fuel storage during the term of a reactor 
operating license or a license for an ISFSI in a licensing proceeding.

[49 FR 34694, Aug. 31, 1984, as amended at 55 FR 38474, Sept. 18, 1990]

determinations to prepare environmental impact statements, environmental 
assessments or findings of no significant impact, and related procedures



Sec. 51.25  Determination to prepare environmental impact statement or environmental assessment; eligibility for categorical exclusion.

    Before taking a proposed action subject to the provisions of this 
subpart, the appropriate NRC staff director will determine on the basis 
of the criteria and classifications of types of actions in Secs. 51.20, 
51.21 and 51.22 of this subpart whether the proposed action is of the 
type listed in Sec. 51.22(c) as a categorical exclusion or whether an 
environmental impact statement or an environmental assessment should be 
prepared. An environmental assessment is not necessary if it is 
determined that an environmental impact statement will be prepared.



Sec. 51.26  Requirement to publish notice of intent and conduct scoping process.

    (a) Whenever the appropriate NRC staff director determines that an 
environmental impact statement will be prepared by NRC in connection 
with a proposed action, a notice of intent will be prepared as provided 
in Sec. 51.27, and will be published in the Federal Register as provided 
in Sec. 51.116, and an appropriate scoping process (see Secs. 51.27, 
51.28, and 51.29) will be conducted.
    (b) The scoping process may include a public scoping meeting.
    (c) Upon receipt of an application and accompanying environmental 
impact statement under Sec. 60.22 or Sec. 63.22 of this chapter 
(pertaining to geologic repositories for high-level radioactive waste), 
the appropriate NRC staff director will include in the notice of 
docketing required to be published by Sec. 2.101(f)(8) of this chapter a 
statement of Commission intention to adopt the environmental impact 
statement to the extent practicable. However, if the appropriate NRC 
staff director determines, at the time of such publication or at any 
time thereafter, that NRC should prepare a supplemental environmental 
impact statement in connection with the Commission's action on the 
license application, the NRC shall follow the procedures set out in 
paragraph (a) of this section.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 27870, July 3, 1989; 66 
FR 55791, Nov. 2, 2001]



Sec. 51.27  Notice of intent.

    (a) The notice of intent required by Sec. 51.26 shall:
    (1) State that an environmental impact statement will be prepared;
    (2) Describe the proposed action and, to the extent sufficient 
information is available, possible alternatives;
    (3) State whether the applicant or petitioner for rulemaking has 
filed an environmental report, and, if so, where copies are available 
for public inspection;
    (4) Describe the proposed scoping process, including the role of 
participants, whether written comments will be accepted, the last date 
for submitting comments and where comments should be sent, whether a 
public scoping meeting will be held, the time and place of any scoping 
meeting or when the time and place of the meeting will be announced; and
    (5) State the name, address and telephone number of an individual in 
NRC

[[Page 16]]

who can provide information about the proposed action, the scoping 
process, and the environmental impact statement.

                                 scoping



Sec. 51.28  Scoping--participants.

    (a) The appropriate NRC staff director shall invite the following 
persons to participate in the scoping process:
    (1) The applicant or the petitioner for rulemaking;
    (2) Any person who has petitioned for leave to intervene in the 
proceeding or who has been admitted as a party to the proceeding;
    (3) Any other Federal agency which has jurisdiction by law or 
special expertise with respect to any environmental impact involved or 
which is authorized to develop and enforce relevant environmental 
standards;
    (4) Affected State and local agencies, including those authorized to 
develop and enforce relevant environmental standards;
    (5) Any affected Indian tribe; and
    (6) Any person who has requested an opportunity to participate in 
the scoping process.
    (b) The appropriate NRC staff director may also invite any other 
appropriate person to participate in the scoping process.
    (c) Participation in the scoping process for an environmental impact 
statement does not entitle the participant to become a party to the 
proceeding to which the environmental impact statement relates. 
Participation in an adjudicatory proceeding is governed by the 
procedures in 10 CFR 2.714 and 2.715. Participation in a rulemaking 
proceeding in which the Commission has decided to have a hearing is 
governed by the provisions in the notice of hearing.



Sec. 51.29  Scoping--environmental impact statement.

    (a) The scoping process for an environmental impact statement shall 
begin as soon as practicable after publication of the notice of intent 
as provided in Sec. 51.116, and shall be used to:
    (1) Define the proposed action which is to be the subject of the 
statement. The provisions of 40 CFR 1502.4 will be used for this 
purpose.
    (2) Determine the scope of the statement and identify the 
significant issues to be analyzed in depth.
    (3) Identify and eliminate from detailed study issues which are 
peripheral or are not significant or which have been covered by prior 
environmental review. Discussion of these issues in the statement will 
be limited to a brief presentation of why they are peripheral or will 
not have a significant effect on the quality of the human environment or 
a reference to their coverage elsewhere.
    (4) Identify any environmental assessments and other environmental 
impact statements which are being or will be prepared that are related 
to but are not part of the scope of the statement under consideration.
    (5) Identify other environmental review and consultation 
requirements related to the proposed action so that other required 
analyses and studies may be prepared concurrently and integrated with 
the environmental impact statement.
    (6) Indicate the relationship between the timing of the preparation 
of environmental analyses and the Commission's tentative planning and 
decision-making schedule.
    (7) Identify any cooperating agencies, and as appropriate, allocate 
assignments for preparation and schedules for completion of the 
statement to the NRC and any cooperating agencies.
    (8) Describe the means by which the environmental impact statement 
will be prepared, including any contractor assistance to be used.
    (b) At the conclusion of the scoping process, the appropriate NRC 
staff director will prepare a concise summary of the determinations and 
conclusions reached, including the significant issues identified, and 
will send a copy of the summary to each participant in the scoping 
process.
    (c) At any time prior to issuance of the draft environmental impact 
statement, the appropriate NRC staff director may revise the 
determinations made under paragraph (b) of this section, as appropriate, 
if substantial

[[Page 17]]

changes are made in the proposed action, or if significant new 
circumstances or information arise which bear on the proposed action or 
its impacts.

                        environmental assessment



Sec. 51.30  Environmental assessment.

    (a) An environmental assessment shall identify the proposed action 
and include:
    (1) A brief discussion of:
    (i) The need for the proposed action;
    (ii) Alternatives as required by section 102(2)(E) of NEPA;
    (iii) The environmental impacts of the proposed action and 
alternatives as appropriate; and
    (2) A list of agencies and persons consulted, and identification of 
sources used.
    (b) Unless otherwise determined by the Commission, an environmental 
assessment will not include discussion of any aspect of the storage of 
spent fuel within the scope of the generic determination in 
Sec. 51.23(a) and in accordance with the provisions of Sec. 51.23(b).
    (c) An environmental assessment for a proposed action regarding a 
monitored retrievable storage installation (MRS) will not address the 
need for the MRS or any alternative to the design criteria for an MRS 
set forth in section 141(b)(1) of the Nuclear Waste Policy Act of 1982 
(96 Stat. 2242, 42 U.S.C. 10161(b)(1)).

[49 FR 9381, Mar. 12, 1984, as amended at 49 FR 34694, Aug. 31, 1984; 53 
FR 31681, Aug. 19, 1988]



Sec. 51.31  Determinations based on environmental assessment.

    Upon completion of an environmental assessment, the appropriate NRC 
staff director will determine whether to prepare an environmental impact 
statement or a finding of no significant impact on the proposed action. 
As provided in Sec. 51.33, a determination to prepare a draft finding of 
no significant impact may be made.

                    finding of no significant impact



Sec. 51.32  Finding of no significant impact.

    (a) A finding of no significant impact will:
    (1) Identify the proposed action;
    (2) State that the Commission has determined not to prepare an 
environmental impact statement for the proposed action;
    (3) Briefly present the reasons why the proposed action will not 
have a significant effect on the quality of the human environment;
    (4) Include the environmental assessment or a summary of the 
environmental assessment. If the assessment is included, the finding 
need not repeat any of the discussion in the assessment but may 
incorporate it by reference;
    (5) Note any other related environmental documents; and
    (6) State that the finding and any related environmental documents 
are available for public inspection and where the documents may be 
inspected.



Sec. 51.33  Draft finding of no significant impact; distribution.

    (a) As provided in paragraph (b) of this section, the appropriate 
NRC staff director may make a determination to prepare and issue a draft 
finding of no significant impact for public review and comment before 
making a final determination whether to prepare an environmental impact 
statement or a final finding of no significant impact on the proposed 
action.
    (b) Circumstances in which a draft finding of no significant impact 
may be prepared will ordinarily include the following:
    (1) A finding of no significant impact appears warranted for the 
proposed action but the proposed action is (i) closely similar to one 
which normally requires the preparation of an environmental impact 
statement, or (ii) without precedent; and
    (2) The appropriate NRC staff director determines that preparation 
of a draft finding of no significant impact will further the purposes of 
NEPA.

[[Page 18]]

    (c) A draft finding of no significant impact will (1) be marked 
``Draft'', (2) contain the information specified in Sec. 51.32, (3) be 
accompanied by or include a request for comments on the proposed action 
and on the draft finding within thirty (30) days, or such longer period 
as may be specified in the notice of the draft finding, and (4) be 
published in the Federal Register as required by Secs. 51.35 and 51.119.
    (d) A draft finding will be distributed as provided in 
Sec. 51.74(a). Additional copies will be made available in accordance 
with Sec. 51.123.
    (e) When a draft finding of no significant impact is issued for a 
proposed action, a final determination to prepare an environmental 
impact statement or a final finding of no significant impact for that 
action shall not be made until the last day of the public comment period 
has expired.



Sec. 51.34  Preparation of finding of no significant impact.

    (a) Except as provided in paragraph (b) of this section, the finding 
of no significant impact will be prepared by the NRC staff director 
authorized to take the action.
    (b) When a hearing is held on the proposed action under the 
regulations in subpart G of part 2 of this chapter or when the action 
can only be taken by the Commissioners acting as a collegial body, the 
appropriate NRC staff director will prepare a proposed finding of no 
significant impact which may be subject to modification as a result of 
review and decision as appropriate to the nature and scope of the 
proceeding. In such cases, the presiding officer, the Atomic Safety and 
Licensing Appeal Board, or the Commission acting as a collegial body, as 
appropriate, will issue the final finding of no significant impact.



Sec. 51.35  Requirement to publish finding of no significant impact; limitation on Commission action.

    (a) Whenever the Commission makes a draft or final finding of no 
significant impact on a proposed action, the finding will be published 
in the Federal Register as provided in Sec. 51.119.
    (b) Except as provided in Sec. 51.13, the Commission shall not take 
the proposed action until after the final finding has been published in 
the Federal Register.

   Environmental Reports and Information--Requirements Applicable to 
                Applicants and Petitioners for Rulemaking

                                 general



Sec. 51.40  Consultation with NRC staff.

    (a) A prospective applicant or petitioner for rulemaking is 
encouraged to confer with NRC staff as early as possible in its planning 
process before submitting environmental information or filing an 
environmental report.
    (b) Requests for guidance or information on environmental matters 
may include inquiries relating to:
    (1) Applicable NRC rules and regulations;
    (2) Format, content and procedures for filing environmental reports 
and other environmental information, including the type and quantity of 
environmental information likely to be needed to address issues and 
concerns identified in the scoping process described in Sec. 51.29 in a 
manner appropriate to their relative significance;
    (3) Availability of relevant environmental studies and environmental 
information;
    (4) Need for, appropriate level and scope of any environmental 
studies or information which the Commission may require to be submitted 
in connection with an application or petition for rulemaking;
    (5) Public meetings with NRC staff.
    (c) Questions concerning environmental matters should be addressed 
to the following NRC staff offices as appropriate:
    (1) Utilization facilities: Director, Office of Nuclear Reactor 
Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Telephone: (301) 415-1270.
    (2) Production facilities: Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555, Telephone: (301) 415-7800.

[[Page 19]]

    (3) Materials licenses: Director, Office of Nuclear Material Safety 
and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 
20555, Telephone: (301) 415-7800.
    (4) Rulemaking: Director, Office of Nuclear Regulatory Research, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: 
(301) 415-6641.
    (5) General Environmental Matters: Executive Director for 
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Telephone: (301) 415-1700.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 13399, Apr. 25, 1988; 60 
FR 24552, May 9, 1995]



Sec. 51.41  Requirement to submit environmental information.

    The Commission may require an applicant for a permit, license, or 
other form of permission, or amendment to or renewal of a permit, 
license or other form of permission, or a petitioner for rulemaking to 
submit such information to the Commission as may be useful in aiding the 
Commission in complying with section 102(2) of NEPA. The Commission will 
independently evaluate and be responsible for the reliability of any 
information which it uses.

               environmental reports--general requirements



Sec. 51.45  Environmental report.

    (a) General. As required by Secs. 51.50, 51.53, 51.54, 51.60, 51.61, 
51.62 or Sec. 51.68, as appropriate, each applicant or petitioner for 
rulemaking shall submit with its application or petition for rulemaking 
one signed original of a separate document entitled ``Applicant's'' or 
``Petitioner's Environmental Report,'' as appropriate, and the number of 
copies specified in Secs. 51.55, 51.66 or Sec. 51.69. An applicant or 
petitioner for rulemaking may submit a supplement to an environmental 
report at any time.
    (b) Environmental considerations. The environmental report shall 
contain a description of the proposed action, a statement of its 
purposes, a description of the environment affected, and discuss the 
following considerations:
    (1) The impact of the proposed action on the environment. Impacts 
shall be discussed in proportion to their significance;
    (2) Any adverse environmental effects which cannot be avoided should 
the proposal be implemented;
    (3) Alternatives to the proposed action. The discussion of 
alternatives shall be sufficiently complete to aid the Commission in 
developing and exploring, pursuant to section 102(2)(E) of NEPA, 
``appropriate alternatives to recommended courses of action in any 
proposal which involves unresolved conflicts concerning alternative uses 
of available resources.'' To the extent practicable, the environmental 
impacts of the proposal and the alternatives should be presented in 
comparative form;
    (4) The relationship between local short-term uses of man's 
environment and the maintenance and enhancement of long-term 
productivity; and
    (5) Any irreversible and irretrievable commitments of resources 
which would be involved in the proposed action should it be implemented.
    (c) Analysis. The environmental report shall include an analysis 
that considers and balances the environmental effects of the proposed 
action, the environmental impacts of alternatives to the proposed 
action, and alternatives available for reducing or avoiding adverse 
environmental effects. Except for environmental reports prepared at the 
license renewal stage pursuant to Sec. 51.53(c), the analysis in the 
environmental report should also include consideration of the economic, 
technical, and other benefits and costs of the proposed action and of 
alternatives. Environmental reports prepared at the license renewal 
stage pursuant to Sec. 51.53(c) need not discuss the economic or 
technical benefits and costs of either the proposed action or 
alternatives except insofar as such benefits and costs are either 
essential for a determination regarding the inclusion of an alternative 
in the range of alternatives considered or relevant to mitigation. In 
addition, environmental reports prepared pursuant to Sec. 51.53(c) need 
not discuss other issues not related to the environmental effects of the 
proposed action and alternatives. The analyses

[[Page 20]]

for environmental reports shall, to the fullest extent practicable, 
quantify the various factors considered. To the extent that there are 
important qualitative considerations or factors that cannot be 
quantified, those considerations or factors shall be discussed in 
qualitative terms. The environmental report should contain sufficient 
data to aid the Commission in its development of an independent 
analysis.
    (d) Status of compliance. The environmental report shall list all 
Federal permits, licenses, approvals and other entitlements which must 
be obtained in connection with the proposed action and shall describe 
the status of compliance with these requirements. The environmental 
report shall also include a discussion of the status of compliance with 
applicable environmental quality standards and requirements including, 
but not limited to, applicable zoning and land-use regulations, and 
thermal and other water pollution limitations or requirements which have 
been imposed by Federal, State, regional, and local agencies having 
responsibility for environmental protection. The discussion of 
alternatives in the report shall include a discussion of whether the 
alternatives will comply with such applicable environmental quality 
standards and requirements.
    (e) Adverse information. The information submitted pursuant to 
paragraphs (b) through (d) of this section should not be confined to 
information supporting the proposed action but should also include 
adverse information.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28486, June 5, 1996; 61 
FR 66542, Dec. 18, 1996]

      environmental reports--production and utilization facilities



Sec. 51.50  Environmental report--construction permit stage.

    Each applicant for a permit to construct a production or utilization 
facility covered by Sec. 51.20 shall submit with its application the 
number of copies, as specified in Sec. 51.55, of a separate document, 
entitled ``Applicant's Environmental Report--Construction Permit 
Stage,'' which shall contain the information specified in Secs. 51.45, 
51.51 and 51.52. Each environmental report shall identify procedures for 
reporting and keeping records of environmental data, and any conditions 
and monitoring requirements for protecting the non-aquatic environment, 
proposed for possible inclusion in the license as environmental 
conditions in accordance with Sec. 50.36b of this chapter.



Sec. 51.51  Uranium fuel cycle environmental data--Table S-3.

    (a) Every environmental report prepared for the construction permit 
stage of a light-water-cooled nuclear power reactor, and submitted on or 
after September 4, 1979, shall take Table S-3, Table of Uranium Fuel 
Cycle Environmental Data, as the basis for evaluating the contribution 
of the environmental effects of uranium mining and milling, the 
production of uranium hexafluoride, isotopic enrichment, fuel 
fabrication, reprocessing of irradiated fuel, transportation of 
radioactive materials and management of low level wastes and high level 
wastes related to uranium fuel cycle activities to the environmental 
costs of licensing the nuclear power reactor. Table S-3 shall be 
included in the environmental report and may be supplemented by a 
discussion of the environmental significance of the data set forth in 
the table as weighed in the analysis for the proposed facility.
    (b) Table S-3.

[[Page 21]]



      Table S-3--Table of Uranium Fuel Cycle Environmental Data \1\
     [Normalized to model LWR annual fuel requirement [WASH-1248] or
                  reference reactor year [NUREG-0116]]
                  [See footnotes at end of this table]
------------------------------------------------------------------------
                                                    Maximum effect per
                                                 annual fuel requirement
    Environmental considerations        Total      or reference reactor
                                                 year of model 1,000 MWe
                                                           LWR
------------------------------------------------------------------------
        Natural Resource Use
Land (acres):
  Temporarily committed 2...........        100
    Undisturbed area................         79
    Disturbed area..................         22  Equivalent to a 110 MWe
                                                  coal-fired power
                                                  plant.
  Permanently committed.............         13
  Overburden moved (millions of MT).        2.8  Equivalent to 95 MWe
                                                  coal-fired power
                                                  plant.
                                     -----------
Water (millions of gallons):
  Discharged to air.................        160  =2 percent of model
                                                  1,000 MWe LWR with
                                                  cooling tower.
  Discharged to water bodies........     11,090
  Discharged to ground..............        127
                                     -----------
      Total.........................     11,377  <4 percent of model
                                                  1,000 MWe LWR with
                                                  once-through cooling.
                                     -----------
Fossil fuel:
  Electrical energy (thousands of MW-       323  <5 percent of model
   hour).                                         1,000 MWe LWR output.
  Equivalent coal (thousands of MT).        118  Equivalent to the
                                                  consumption of a 45
                                                  MWe coal-fired power
                                                  plant.
  Natural gas (millions of scf).....        135  <0.4 percent of model
                                                  1,000 MWe energy
                                                  output.
 
      Effluents--Chemical (MT)
 
Gases (including entrainment): 3
  SOx...............................      4,400
  NOx\4\............................      1,190  Equivalent to emissions
                                                  from 45 MWe coal-fired
                                                  plant for a year.
  Hydrocarbons......................         14
  CO................................       29.6
  Particulates......................      1,154
Other gases:
  F.................................        .67  Principally from UF6
                                                  production,
                                                  enrichment, and
                                                  reprocessing.
                                                  Concentration within
                                                  range of state
                                                  standards--below level
                                                  that has effects on
                                                  human health.
  HCl...............................       .014
 
Liquids:
SO-4................................        9.9  From enrichment, fuel
NO-3................................       25.8   fabrication, and
Fluoride............................       12.9   reprocessing steps.
Ca++................................        5.4   Components that
C1-.................................        8.5   constitute a potential
Na+.................................       12.1   for adverse
NH3.................................       10.0   environmental effect
Fe..................................         .4   are present in dilute
                                                  concentrations and
                                                  receive additional
                                                  dilution by receiving
                                                  bodies of water to
                                                  levels below
                                                  permissible standards.
                                                  The constituents that
                                                  require dilution and
                                                  the flow of dilution
                                                  water are: NH3--600
                                                  cfs., NO3--20 cfs.,
                                                  Fluoride--70 cfs.
Tailings solutions (thousands of MT)        240  From mills only--no
                                                  significant effluents
                                                  to environment.
Solids..............................     91,000  Principally from mills--
                                                  no significant
                                                  effluents to
                                                  environment.
  Effluents--Radiological (curies)
 
Gases (including entrainment):
  Rn-222............................  .........  Presently under
                                                  reconsideration by the
                                                  Commission.
  Ra-226............................        .02
  Th-230............................        .02
  Uranium...........................       .034
  Tritium (thousands)...............       18.1
  C-14..............................         24
  Kr-85 (thousands).................        400
  Ru-106............................        .14  Principally from fuel
                                                  reprocessing plants.
  I-129.............................        1.3
  I-131.............................        .83
  Tc-99.............................  .........  Presently under
                                                  consideration by the
                                                  Commission.
  Fission products and transuranics.       .203
 
Liquids:
  Uranium and daughters.............        2.1  Principally from
                                                  milling--included
                                                  tailings liquor and
                                                  returned to ground--no
                                                  effluents; therefore,
                                                  no effect on
                                                  environment.
  Ra-226............................      .0034  From UF6 production.

[[Page 22]]

 
  Th-230............................      .0015
  Th-234............................        .01  From fuel fabrication
                                                  plants--concentration
                                                  10 percent of 10 CFR
                                                  20 for total
                                                  processing 26 annual
                                                  fuel requirements for
                                                  model LWR.
  Fission and activation products...   5.9x10-6
Solids (buried on site):
  Other than high level (shallow)...     11,300  9,100 Ci comes from low
                                                  level reactor wastes
                                                  and 1,500 Ci comes
                                                  from reactor
                                                  decontamination and
                                                  decommissioning--
                                                  buried at land burial
                                                  facilities. 600 Ci
                                                  comes from mills--
                                                  included in tailings
                                                  returned to ground.
                                                  Approximately 60 Ci
                                                  comes from conversion
                                                  and spent fuel
                                                  storage. No
                                                  significant effluent
                                                  to the environment.
  TRU and HLW (deep)................   1.1x10 7  Buried at Federal
                                                  Repository.
Effluents--thermal (billions of           4,063  <5 percent of model
 British thermal units).                          1,000 MWe LWR.
Transportation (person-rem):
  Exposure of workers and general           2.5
   public.
  Occupational exposure (person-rem)       22.6  From reprocessing and
                                                  waste management.
------------------------------------------------------------------------
\1\ In some cases where no entry appears it is clear from the background
  documents that the matter was addressed and that, in effect, the Table
  should be read as if a specific zero entry had been made. However,
  there are other areas that are not addressed at all in the Table.
  Table S-3 does not include health effects from the effluents described
  in the Table, or estimates of releases of Radon-222 from the uranium
  fuel cycle or estimates of Technetium-99 released from waste
  management or reprocessing activities. These issues may be the subject
  of litigation in the individual licensing proceedings.
Data supporting this table are given in the ``Environmental Survey of
  the Uranium Fuel Cycle,'' WASH-1248, April 1974; the ``Environmental
  Survey of the Reprocessing and Waste Management Portion of the LWR
  Fuel Cycle,'' NUREG-0116 (Supp.1 to WASH-1248); the ``Public Comments
  and Task Force Responses Regarding the Environmental Survey of the
  Reprocessing and Waste Management Portions of the LWR Fuel Cycle,''
  NUREG-0216 (Supp. 2 to WASH-1248); and in the record of the final
  rulemaking pertaining to Uranium Fuel Cycle Impacts from Spent Fuel
  Reprocessing and Radioactive Waste Management, Docket RM-50-3. The
  contributions from reprocessing, waste management and transportation
  of wastes are maximized for either of the two fuel cycles (uranium
  only and no recycle). The contribution from transportation excludes
  transportation of cold fuel to a reactor and of irradiated fuel and
  radioactive wastes from a reactor which are considered in Table S-4 of
  Sec.  51.20(g). The contributions from the other steps of the fuel
  cycle are given in columns A-E of Table S-3A of WASH-1248.
\2\ The contributions to temporarily committed land from reprocessing
  are not prorated over 30 years, since the complete temporary impact
  accrues regardless of whether the plant services one reactor for one
  year or 57 reactors for 30 years.
\3\ Estimated effluents based upon combustion of equivalent coal for
  power generation.
\4\ 1.2 percent from natural gas use and process.


[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984, as amended at 67 
FR 77652, Dec. 19, 2002]



Sec. 51.52  Environmental effects of transportation of fuel and waste--Table S-4.

    Every environmental report prepared for the construction permit 
stage of a light-water-cooled nuclear power reactor, and submitted after 
February 4, 1975, shall contain a statement concerning transportation of 
fuel and radioactive wastes to and from the reactor. That statement 
shall indicate that the reactor and this transportation either meet all 
of the conditions in paragraph (a) of this section or all of the 
conditions in paragraph (b) of this section.
    (a)(1) The reactor has a core thermal power level not exceeding 
3,800 megawatts;
    (2) The reactor fuel is in the form of sintered uranium dioxide 
pellets having a uranium-235 enrichment not exceeding 4% by weight, and 
the pellets are encapsulated in zircaloy rods;
    (3) The average level of irradiation of the irradiated fuel from the 
reactor does not exceed 33,000 megawatt-days per metric ton, and no 
irradiated fuel assembly is shipped until at least 90 days after it is 
discharged from the reactor;
    (4) With the exception of irradiated fuel, all radioactive waste 
shipped from the reactor is packaged and in a solid form;
    (5) Unirradiated fuel is shipped to the reactor by truck; irradiated 
fuel is shipped from the reactor by truck, rail, or barge; and 
radioactive waste other than irradiated fuel is shipped from the reactor 
by truck or rail; and
    (6) The environmental impacts of transportation of fuel and waste to 
and

[[Page 23]]

from the reactor, with respect to normal conditions of transport and 
possible accidents in transport, are as set forth in Summary Table S-4 
in paragraph (c) of this section; and the values in the table represent 
the contribution of the transportation to the environmental costs of 
licensing the reactor.
    (b) For reactors not meeting the conditions of paragraph (a) of this 
section, the statement shall contain a full description and detailed 
analysis of the environmental effects of transportation of fuel and 
wastes to and from the reactor, including values for the environmental 
impact under normal conditions of transport and for the environmental 
risk from accidents in transport. The statement shall indicate that the 
values determined by the analysis represent the contribution of such 
effects to the environmental costs of licensing the reactor.
    (c)

  Summary Table S-4--Environmental Impact of Transportation of Fuel and
   Waste to and From One Light-Water-Cooled Nuclear Power Reactor \1\
                     Normal Conditions of Transport
------------------------------------------------------------------------
                                               Environmental impact
------------------------------------------------------------------------
Heat (per irradiated fuel cask in        250,000 Btu/hr.
 transit).
Weight (governed by Federal or State     73,000 lbs. per truck; 100 tons
 restrictions).                           per cask per rail car.
Traffic density:
  Truck................................  Less than 1 per day.
  Rail.................................  Less than 3 per month
------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
                                          Estimated
                                          number of     Range of doses to exposed     Cumulative dose to exposed
           Exposed population              persons     individuals \2\ (per reactor     population (per reactor
                                           exposed                year)                        year) \3\
----------------------------------------------------------------------------------------------------------------
Transportation workers.................         200  0.01 to 300 millirem...........  4 man-rem.
General public:
  Onlookers............................       1,100  0.003 to 1.3 millirem..........  3 man-rem.
  Along Route..........................     600,000  0.0001 to 0.06 millirem........
----------------------------------------------------------------------------------------------------------------


                         Accidents in Transport
------------------------------------------------------------------------
                                                Environmental risk
------------------------------------------------------------------------
Radiological effects...................  Small \4\
Common (nonradiological) causes........  1 fatal injury in 100 reactor
                                          years; 1 nonfatal injury in 10
                                          reactor years; $475 property
                                          damage per reactor year.
------------------------------------------------------------------------
\1\ Data supporting this table are given in the Commission's
  ``Environmental Survey of Transportation of Radioactive Materials to
  and from Nuclear Power Plants,'' WASH-1238, December 1972, and Supp. 1
  NUREG-75/038 April 1975. Both documents are available for inspection
  and copying at the Commission's Public Document Room, 2120 L Street
  NW., Washington, DC and may be obtained from National Technical
  Information Service, Springfield, VA 22161. WASH-1238 is available
  from NTIS at a cost of $5.45 (microfiche, $2.25) and NUREG-75/038 is
  available at a cost of $3.25 (microfiche, $2.25).
\2\ The Federal Radiation Council has recommended that the radiation
  doses from all sources of radiation other than natural background and
  medical exposures should be limited to 5,000 millirem per year for
  individuals as a result of occupational exposure and should be limited
  to 500 millirem per year for individuals in the general population.
  The dose to individuals due to average natural background radiation is
  about 130 millirem per year.
\3\ Man-rem is an expression for the summation of whole body doses to
  individuals in a group. Thus, if each member of a population group of
  1,000 people were to receive a dose of 0.001 rem (1 millirem), or if 2
  people were to receive a dose of 0.5 rem (500 millirem) each, the
  total man-rem dose in each case would be 1 man-rem.
\4\ Athough the environmental risk of radiological effects stemming from
  transportation accidents is currently incapable of being numerically
  quantified, the risk remains small regardless of whether it is being
  appiled to a single reactor or a multireactor site.


[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984, as amended at 53 
FR 43420, Oct. 27, 1988]



Sec. 51.53  Postconstruction environmental reports.

    (a) General. Any environmental report prepared under the provisions 
of this section may incorporate by reference any information contained 
in a prior environmental report or supplement thereto that relates to 
the production or utilization facility or any information contained in a 
final environmental document previously prepared by the NRC staff that 
relates to the production or utilization facility. Documents that may be 
referenced include, but are not limited to, the final environmental 
impact statement; supplements to the final environmental

[[Page 24]]

impact statement, including supplements prepared at the license renewal 
stage; NRC staff-prepared final generic environmental impact statements; 
and environmental assessments and records of decisions prepared in 
connection with the construction permit, the operating license, and any 
license amendment for that facility.
    (b) Operating license stage. Each applicant for a license to operate 
a production or utilization facility covered by Sec. 51.20 shall submit 
with its application the number of copies specified in Sec. 51.55 of a 
separate document entitled ``Supplement to Applicant's Environmental 
Report--Operating License Stage,'' which will update ``Applicant's 
Environmental Report--Construction Permit Stage.'' Unless otherwise 
required by the Commission, the applicant for an operating license for a 
nuclear power reactor shall submit this report only in connection with 
the first licensing action authorizing full-power operation. In this 
report, the applicant shall discuss the same matters described in 
Secs. 51.45, 51.51, and 51.52, but only to the extent that they differ 
from those discussed or reflect new information in addition to that 
discussed in the final environmental impact statement prepared by the 
Commission in connection with the construction permit. No discussion of 
need for power, or of alternative energy sources, or of alternative 
sites for the facility, or of any aspect of the storage of spent fuel 
for the facility within the scope of the generic determination in 
Sec. 51.23(a) and in accordance with Sec. 51.23(b) is required in this 
report.
    (c) Operating license renewal stage. (1) Each applicant for renewal 
of a license to operate a nuclear power plant under part 54 of this 
chapter shall submit with its application the number of copies specified 
in Sec. 51.55 of a separate document entitled ``Applicant's 
Environmental Report--Operating License Renewal Stage.''
    (2) The report must contain a description of the proposed action, 
including the applicant's plans to modify the facility or its 
administrative control procedures as described in accordance with 
Sec. 54.21 of this chapter. This report must describe in detail the 
modifications directly affecting the environment or affecting plant 
effluents that affect the environment. In addition, the applicant shall 
discuss in this report the environmental impacts of alternatives and any 
other matters described in Sec. 51.45. The report is not required to 
include discussion of need for power or the economic costs and economic 
benefits of the proposed action or of alternatives to the proposed 
action except insofar as such costs and benefits are either essential 
for a determination regarding the inclusion of an alternative in the 
range of alternatives considered or relevant to mitigation. The 
environmental report need not discuss other issues not related to the 
environmental effects of the proposed action and the alternatives. In 
addition, the environmental report need not discuss any aspect of the 
storage of spent fuel for the facility within the scope of the generic 
determination in Sec. 51.23(a) and in accordance with Sec. 51.23(b).
    (3) For those applicants seeking an initial renewal license and 
holding either an operating license or construction permit as of June 
30, 1995, the environmental report shall include the information 
required in paragraph (c)(2) of this section subject to the following 
conditions and considerations:
    (i) The environmental report for the operating license renewal stage 
is not required to contain analyses of the environmental impacts of the 
license renewal issues identified as Category 1 issues in appendix B to 
subpart A of this part.
    (ii) The environmental report must contain analyses of the 
environmental impacts of the proposed action, including the impacts of 
refurbishment activities, if any, associated with license renewal and 
the impacts of operation during the renewal term, for those issues 
identified as Category 2 issues in appendix B to subpart A of this part. 
The required analyses are as follows:
    (A) If the applicant's plant utilizes cooling towers or cooling 
ponds and withdraws make-up water from a river whose annual flow rate is 
less than 3.15x1012 ft3/year (9x1010 
m3/year), an assessment of the impact of the proposed action 
on the flow of the river and related impacts on instream and riparian

[[Page 25]]

ecological communities must be provided. The applicant shall also 
provide an assessment of the impacts of the withdrawal of water from the 
river on alluvial aquifers during low flow.
    (B) If the applicant's plant utilizes once-through cooling or 
cooling pond heat dissipation systems, the applicant shall provide a 
copy of current Clean Water Act 316(b) determinations and, if necessary, 
a 316(a) variance in accordance with 40 CFR part 125, or equivalent 
State permits and supporting documentation. If the applicant can not 
provide these documents, it shall assess the impact of the proposed 
action on fish and shellfish resources resulting from heat shock and 
impingement and entrainment.
    (C) If the applicant's plant uses Ranney wells or pumps more than 
100 gallons (total onsite) of ground water per minute, an assessment of 
the impact of the proposed action on ground-water use must be provided.
    (D) If the applicant's plant is located at an inland site and 
utilizes cooling ponds, an assessment of the impact of the proposed 
action on groundwater quality must be provided.
    (E) All license renewal applicants shall assess the impact of 
refurbishment and other license-renewal-related construction activities 
on important plant and animal habitats. Additionally, the applicant 
shall assess the impact of the proposed action on threatened or 
endangered species in accordance with the Endangered Species Act.
    (F) If the applicant's plant is located in or near a nonattainment 
or maintenance area, an assessment of vehicle exhaust emissions 
anticipated at the time of peak refurbishment workforce must be provided 
in accordance with the Clean Air Act as amended.
    (G) If the applicant's plant uses a cooling pond, lake, or canal or 
discharges into a river having an annual average flow rate of less than 
3.15x1012 ft3/year (9x1010 
m3/year), an assessment of the impact of the proposed action 
on public health from thermophilic organisms in the affected water must 
be provided.
    (H) If the applicant's transmission lines that were constructed for 
the specific purpose of connecting the plant to the transmission system 
do not meet the recommendations of the National Electric Safety Code for 
preventing electric shock from induced currents, an assessment of the 
impact of the proposed action on the potential shock hazard from the 
transmission lines must be provided.
    (I) An assessment of the impact of the proposed action on housing 
availability, land-use, and public schools (impacts from refurbishment 
activities only) within the vicinity of the plant must be provided. 
Additionally, the applicant shall provide an assessment of the impact of 
population increases attributable to the proposed project on the public 
water supply.
    (J) All applicants shall assess the impact of highway traffic 
generated by the proposed project on the level of service of local 
highways during periods of license renewal refurbishment activities and 
during the term of the renewed license.
    (K) All applicants shall assess whether any historic or 
archaeological properties will be affected by the proposed project.
    (L) If the staff has not previously considered severe accident 
mitigation alternatives for the applicant's plant in an environmental 
impact statement or related supplement or in an environmental 
assessment, a consideration of alternatives to mitigate severe accidents 
must be provided.
    (M) [Reserved]
    (iii) The report must contain a consideration of alternatives for 
reducing adverse impacts, as required by Sec. 51.45(c), for all Category 
2 license renewal issues in appendix B to subpart A of this part. No 
such consideration is required for Category 1 issues in appendix B to 
subpart A of this part.
    (iv) The environmental report must contain any new and significant 
information regarding the environmental impacts of license renewal of 
which the applicant is aware.
    (d) Postoperating license stage. Each applicant for a license 
amendment authorizing decommissioning activities for a production or 
utilization facility either for unrestricted use or based on continuing 
use restrictions applicable to the site; and each applicant for a 
license amendment approving a license termination plan or 
decommissioning

[[Page 26]]

plan under Sec. 50.82 of this chapter either for unrestricted use or 
based on continuing use restrictions applicable to the site; and each 
applicant for a license or license amendment to store spent fuel at a 
nuclear power reactor after expiration of the operating license for the 
nuclear power reactor shall submit with its application the number of 
copies, as specified in Sec. 51.55, of a separate document, entitled 
``Supplement to Applicant's Environmental Report--Post Operating License 
Stage,'' which will update ``Applicant's Environmental Report--Operating 
License Stage,'' as appropriate, to reflect any new information or 
significant environmental change associated with the applicant's 
proposed decommissioning activities or with the applicant's proposed 
activities with respect to the planned storage of spent fuel. Unless 
otherwise required by the Commission, in accordance with the generic 
determination in Sec. 51.23(a) and the provisions in Sec. 51.23(b), the 
applicant shall only address the environmental impact of spent fuel 
storage for the term of the license applied for. The ``Supplement to 
Applicant's Environmental Report--Post Operating License Stage'' may 
incorporate by reference any information contained in ``Applicants 
Environmental Report--Construction Permit Stage.

[61 FR 66543, Dec. 18, 1996, as amended at 64 FR 48506, Sept. 3, 1999]



Sec. 51.54  Environmental report--manufacturing license.

    Each applicant for a license to manufacture a nuclear power reactor 
or, for an amendment to a license to manufacture seeking approval of the 
final design of the nuclear power reactor, pursuant to appendix M of 
part 52 of this chapter, shall submit with its application, as specified 
in Sec. 50.4, a separate document, entitled ``Applicant's Environmental 
Report--Manufacturing License,'' or ``Supplement to Applicant's 
Environmental Report--Manufacturing License.'' The environmental report 
shall address the environmental matters specified in appendix M of part 
52 of this chapter, and shall contain the information specified in 
Sec. 51.45, as appropriate.

[51 FR 40311, Nov. 6, 1986, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 51.55  Environmental report--number of copies; distribution.

    (a) Each applicant for a license to construct and operate a 
production or utilization facility covered by paragraphs (b)(1), (b)(2), 
(b)(3), or (b)(4) of Sec. 51.20, each applicant for renewal of an 
operating license for a nuclear power plant, each applicant for a 
license amendment authorizing the decommissioning of a production or 
utilization facility covered by Sec. 51.20, and each applicant for a 
license or license amendment to store spent fuel at a nuclear power 
plant after expiration of the operating license for the nuclear power 
plant shall submit to the Director of the Office of Nuclear Reactor 
Regulation or the Director of the Office of Nuclear Material Safety and 
Safeguards, as appropriate, 41 copies of an environmental report or any 
supplement to an environmental report. The applicant shall retain an 
additional 109 copies of the environmental report or any supplement to 
the environmental report for distribution to parties and Boards in the 
NRC proceedings; Federal, State, and local officials; and any affected 
Indian tribes, in accordance with written instructions issued by the 
Director of the Office of Nuclear Reactor Regulation or the Director of 
the Office of Nuclear Material Safety and Safeguards, as appropriate.
    (b) Each applicant for a license to manufacture a nuclear power 
reactor, or for an amendment to a license to manufacture seeking 
approval of the final design of the nuclear power reactor, pursuant to 
appendix M of part 52 of this chapter shall submit to the Commission an 
environmental report or any supplement to an environmental report in the 
manner specified in Sec. 50.4. The applicant shall retain an additional 
109 copies of the environmental report or any supplement to the 
environmental report for distribution to parties and Boards in the NRC 
proceeding, Federal, State, and local officials and any affected Indian 
tribes, in accordance with written instructions

[[Page 27]]

issued by the Director of Nuclear Reactor Regulation.

[51 FR 40311, Nov. 6, 1986, as amended at 53 FR 24052, June 27, 1988; 54 
FR 15398, Apr. 18, 1989; 61 FR 28488, June 5, 1996; 61 FR 66544, Dec. 
18, 1996; 62 FR 59276, Nov. 3, 1997]

                environmental reports--materials licenses



Sec. 51.60  Environmental report--materials licenses.

    (a) Each applicant for a license or other form of permission, or an 
amendment to or renewal of a license or other form of permission issued 
pursuant to parts 30, 32, 33, 34, 35, 36, 39, 40, 61, 70 and/or 72 of 
this chapter, and covered by paragraphs (b)(1) through (b)(5) of this 
section, shall submit with its application to the Director of Nuclear 
Material Safety and Safeguards the number of copies, as specified in 
Sec. 51.66, of a separate document, entitled ``Applicant's Environmental 
Report'' or ``Supplement to Applicant's Environmental Report,'' as 
appropriate. The ``Applicant's Environmental Report'' shall contain the 
information specified in Sec. 51.45. If the application is for an 
amendment to or a renewal of a license or other form of permission for 
which the applicant has previously submitted an environmental report, 
the supplement to applicant's environmental report may be limited to 
incorporating by reference, updating or supplementing the information 
previously submitted to reflect any significant environmental change, 
including any significant environmental change resulting from 
operational experience or a change in operations or proposed 
decommissioning activities. If the applicant is the U.S. Department of 
Energy, the environmental report may be in the form of either an 
environmental impact statement or an environmental assessment, as 
appropriate.
    (b) As required by paragraph (a) of this section, each applicant 
shall prepare an environmental report for the following types of 
actions:
    (1) Issuance or renewal of a license or other form of permission 
for:
    (i) Possession and use of special nuclear material for processing 
and fuel fabrication, scrap recovery, or conversion of uranium 
hexafluoride pursuant to part 70 of this chapter.
    (ii) Possession and use of source material for uranium milling or 
production of uranium hexafluoride pursuant to part 40 of this chapter.
    (iii) Storage of spent fuel in an independent spent fuel storage 
installation (ISFSI) or the storage of spent fuel or high-level radio-
active waste in a monitored retrievable storage installation (MRS) 
pursuant to part 72 of this chapter.
    (iv) Receipt and disposal of radioactive waste from other persons 
pursuant to part 61 of this chapter.
    (v) Processing of source material for extraction of rare earth and 
other metals.
    (vi) Use of radioactive tracers in field flood studies involving 
secondary and tertiary oil and gas recovery.
    (vii) Construction and operation of a uranium enrichment facility.
    (2) Issuance of an amendment that would authorize or result in (i) a 
significant expansion of a site, (ii) a significant change in the types 
of effluents, (iii) a significant increase in the amounts of effluents, 
(iv) a significant increase in individual or cumulative occupational 
radiation exposure, (v) a significant increase in the potential for or 
consequences from radiological accidents, or (vi) a significant increase 
in spent fuel storage capacity, in a license or other form of permission 
to conduct an activity listed in paragraph (b)(1) of this section.
    (3) Amendment of a license to authorize the decommissioning of an 
independent spent fuel storage installation (ISFSI) or a monitored 
retrievable storage installation (MRS) pursuant to part 72 of this 
chapter.
    (4) Issuance of a license amendment pursuant to part 61 of this 
chapter authorizing (i) closure of a land disposal site, (ii) transfer 
of the license to the disposal site owner for the purpose of 
institutional control, or (iii) termination of the license at the end of 
the institutional control period.

[[Page 28]]

    (5) Any other licensing action for which the Commission determines 
an Environmental Report is necessary.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31681, Aug. 19, 1988; 57 
FR 18392, Apr. 30, 1992; 58 FR 7737, Feb. 9, 1993; 62 FR 26732, May 14, 
1997]



Sec. 51.61  Environmental report--independent spent fuel storage installation (ISFSI) or monitored retrievable storage installation (MRS) license.

    Each applicant for issuance of a license for storage of spent fuel 
in an independent spent fuel storage installation (ISFSI) or for the 
storage of spent fuel and high-level radioactive waste in a monitored 
retrievable storage installation (MRS) pursuant to part 72 of this 
chapter shall submit with its application to the Director of Nuclear 
Material Safety and Safeguards the number of copies, as specified in 
Sec. 51.66 of a separate document entitled ``Applicant's Environmental 
Report--ISFSI License'' or ``Applicant's Environmental Report--MRS 
License,'' as appropriate. If the applicant is the U.S. Department of 
Energy, the environmental report may be in the form of either an 
environmental impact statement or an environmental assessment, as 
appropriate. The environmental report shall contain the information 
specified in Sec. 51.45 and shall address the siting evaluation factors 
contained in subpart E of part 72 of this chapter. Unless otherwise 
required by the Commission, in accordance with the generic determination 
in Sec. 51.23(a) and the provisions in Sec. 51.23(b), no discussion of 
the environmental impact of the storage of spent fuel at an ISFSI beyond 
the term of the license or amendment applied for is required in an 
environmental report submitted by an applicant for an initial license 
for storage of spent fuel in an ISFSI, or any amendment thereto.

[53 FR 31681, Aug. 19, 1988]



Sec. 51.62  Environmental report--land disposal of radioactive waste licensed under 10 CFR part 61.

    (a) Each applicant for issuance of a license for land disposal of 
radioactive waste pursuant to part 61 of this chapter shall submit with 
its application to the Director of Nuclear Material Safety and 
Safeguards the number of copies, as specified in Sec. 51.66 of a 
separate document, entitled ``Applicant's Environmental Report--License 
for Land Disposal of Radioactive Waste.'' The environmental report and 
any supplement to the environmental report may incorporate by reference 
information contained in the application or in any previous application, 
statement or report filed with the Commission provided that such 
references are clear and specific and that copies of the information so 
incorporated are available at the NRC Web site, http://www.nrc.gov, and/
or at the NRC Public Document Room.
    (b) The environmental report shall contain the information specified 
in Sec. 51.45, shall address the applicant's environmental monitoring 
program required by Secs. 61.12(l), 61.53 and 61.59(b) of this chapter, 
and shall be as complete as possible in the light of information that is 
available at the time the environmental report is submitted.
    (c) The applicant shall supplement the environmental report in a 
timely manner as necessary to permit the Commission to review, prior to 
issuance, amendment or renewal of a license, new information regarding 
the environmental impact of previously proposed activities, information 
regarding the environmental impact of any changes in previously proposed 
activities, or any significant new information regarding the 
environmental impact of closure activities and long-term performance of 
the disposal site.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 43420, Oct. 27, 1988; 64 
FR 48952, Sept. 9, 1999]



Sec. 51.66  Environmental report--number of copies; distribution.

    (a) Each applicant for a license or other form of permission, or an 
amendment to or renewal of a license or other form of permission issued 
pursuant to parts 30, 32, 33, 34, 35, 36, 39, 40, 61, 70 and/or 72 of 
this chapter, and covered by paragraphs (b) (1) through (6) of 
Sec. 51.60; or by Sec. 51.61 or Sec. 51.62 shall submit to the Director 
of Nuclear Material Safety and Safeguards an environmental report or any 
supplement to an environmental report in the number of

[[Page 29]]

copies specified. The applicant shall retain additional copies of the 
environmental report or any supplement to the environmental report in 
the number of copies specified for distribution to Federal, State, and 
local officials and any affected Indian tribes in accordance with 
written instructions issued by the Director of Nuclear Material Safety 
and Safeguards.
    (b)

                          Environmental Report
------------------------------------------------------------------------
                                                       Number of copies
                                 Number of copies to   to be retained by
    Type of licensing action      be submitted with      applicant for
                                     application          subsequent
                                                         distribution
------------------------------------------------------------------------
Licensing actions requiring      25 copies..........  125 copies.
 environmental impact
 statements pursuant to Sec.
 51.20(b).
Licensing actions requiring      15 copies..........  None.
 environmental assessments
 pursuant to Sec.  51.21.
------------------------------------------------------------------------


[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 8241, Mar. 17, 1987; 58 
FR 7737, Feb. 9, 1993]



Sec. 51.67  Environmental information concerning geologic repositories.

    (a) In lieu of an environmental report, the Department of Energy, as 
an applicant for a license or license amendment pursuant to part 60 or 
63 of this chapter, shall submit to the Commission any final 
environmental impact statement which the Department prepares in 
connection with any geologic repository developed under Subtitle A of 
Title I, or under Title IV, of the Nuclear Waste Policy Act of 1982, as 
amended. (See Sec. 60.22 or Sec. 63.22 of this chapter as to the 
required time and manner of submission.) The statement shall include, 
among the alternatives under consideration, denial of a license or 
construction authorization by the Commission.
    (b) Under applicable provisions of law, the Department of Energy may 
be required to supplement its final environmental impact statement if it 
makes a substantial change in its proposed action that is relevant to 
environmental concerns or determines that there are significant new 
circumstances or information relevant to environmental concerns and 
bearing on the proposed action or its impacts. The Department shall 
submit any supplement to its final environmental impact statement to the 
Commission. (See Sec. 60.22 or Sec. 63.22 of this chapter as to the 
required time and manner of submission.)
    (c) Whenever the Department of Energy submits a final environmental 
impact statement, or a final supplement to an environmental impact 
statement, to the Commission pursuant to this section, it shall also 
inform the Commission of the status of any civil action for judicial 
review initiated pursuant to section 119 of the Nuclear Waste Policy Act 
of 1982. This status report, which the Department shall update from time 
to time to reflect changes in status, shall:
    (1) State whether the environmental impact statement has been found 
by the courts of the United States to be adequate or inadequate; and
    (2) Identify any issues relating to the adequacy of the 
environmental impact statement that may remain subject to judicial 
review.

[54 FR 27870, July 3, 1989, as amended at 66 FR 55791, Nov. 2, 2001]

                    environmental reports--rulemaking



Sec. 51.68  Environmental report--rulemaking.

    Petitioners for rulemaking requesting amendments of parts 30, 31, 
32, 33, 34, 35, 36, 39, 40 or part 70 of this chapter concerning the 
exemption from licensing and regulatory requirements of or authorizing 
general licenses for any equipment, device, commodity or other product 
containing byproduct material, source material or special nuclear 
material shall submit with the petition the number of copies, as 
specified in Sec. 51.69, of a separate document entitled ``Petitioner's 
Environmental Report,'' which shall contain the information specified in 
Sec. 51.45.

[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 8241, Mar. 17, 1987; 58 
FR 7737, Feb. 9, 1993]



Sec. 51.69  Environmental report--number of copies.

    Petitioners for rulemaking covered by Sec. 51.68 shall submit fifty 
(50) copies

[[Page 30]]

of an environmental report or any supplement to an environmental report.

                     Environmental Impact Statements

       draft environmental impact statements--general requirements



Sec. 51.70  Draft environmental impact statement--general.

    (a) The NRC staff will prepare a draft environmental impact 
statement as soon as practicable after publication of the notice of 
intent to prepare an environmental impact statement and completion of 
the scoping process. To the fullest extent practicable, environmental 
impact statements will be prepared concurrently or integrated with 
environmental impact analyses and related surveys and studies required 
by other Federal law.
    (b) The draft environmental impact statement will be concise, clear 
and analytic, will be written in plain language with appropriate 
graphics, will state how alternatives considered in it and decisions 
based on it will or will not achieve the requirements of sections 101 
and 102(1) of NEPA and of any other relevant and applicable 
environmental laws and policies, will identify any methodologies used 
and sources relied upon, and will be supported by evidence that the 
necessary environmental analyses have been made. The format provided in 
section 1(a) of appendix A of this subpart should be used. The NRC staff 
will independently evaluate and be responsible for the reliability of 
all information used in the draft environmental impact statement.
    (c) The Commission will cooperate with State and local agencies to 
the fullest extent possible to reduce duplication between NEPA and State 
and local requirements, in accordance with 40 CFR 1506.2 (b) and (c).



Sec. 51.71  Draft environmental impact statement--contents.

    (a) Scope. The draft environmental impact statement will be prepared 
in accordance with the scope decided upon in the scoping process 
required by Secs. 51.26 and 51.29. As appropriate and to the extent 
required by the scope, the draft statement will address the topics in 
paragraphs (b), (c), (d) and (e) of this section and the matters 
specified in Secs. 51.45, 51.50, 51.51, 51.52, 51.53, 51.54, 51.61 and 
51.62.
    (b) Analysis of major points of view. To the extent sufficient 
information is available, the draft environmental impact statement will 
include consideration of major points of view concerning the 
environmental impacts of the proposed action and the alternatives, and 
contain an analysis of significant problems and objections raised by 
other Federal, State, and local agencies, by any affected Indian tribes, 
and by other interested persons.
    (c) Status of compliance. The draft environmental impact statement 
will list all Federal permits, licenses, approvals, and other 
entitlements which must be obtained in implementing the proposed action 
and will describe the status of compliance with those requirements. If 
it is uncertain whether a Federal permit, license, approval, or other 
entitlement is necessary, the draft environmental impact statement will 
so indicate.
    (d) Analysis. The draft environmental impact statement will include 
a preliminary analysis that considers and weighs the environmental 
effects of the proposed action; the environmental impacts of 
alternatives to the proposed action; and alternatives available for 
reducing or avoiding adverse environmental effects. Except for 
supplemental environmental impact statements for the operating license 
renewal stage prepared pursuant to Sec. 51.95(c), draft environmental 
impact statements should also include consideration of the economic, 
technical, and other benefits and costs of the proposed action and 
alternatives and indicate what other interests and considerations of 
Federal policy, including factors not related to environmental quality 
if applicable, are relevant to the consideration of environmental 
effects of the proposed action identified pursuant to paragraph (a) of 
this section. Supplemental environmental impact statements prepared at 
the license renewal stage pursuant to Sec. 51.95(c) need not discuss the 
economic or technical benefits and costs of either the proposed action 
or alternatives except insofar as such benefits and costs are either 
essential for a determination regarding the inclusion of an alternative

[[Page 31]]

in the range of alternatives considered or relevant to mitigation. In 
addition, the supplemental environmental impact statement prepared at 
the license renewal stage need not discuss other issues not related to 
the environmental effects of the proposed action and associated 
alternatives. The draft supplemental environmental impact statement for 
license renewal prepared pursuant to Sec. 51.95(c) will rely on 
conclusions as amplified by the supporting information in the GEIS for 
issues designated as Category 1 in appendix B to subpart A of this part. 
The draft supplemental environmental impact statement must contain an 
analysis of those issues identified as Category 2 in appendix B to 
subpart A of this part that are open for the proposed action. The 
analysis for all draft environmental impact statements will, to the 
fullest extent practicable, quantify the various factors considered. To 
the extent that there are important qualitative considerations or 
factors that cannot be quantified, these considerations or factors will 
be discussed in qualitative terms. Due consideration will be given to 
compliance with environmental quality standards and requirements that 
have been imposed by Federal, State, regional, and local agencies having 
responsibility for environmental protection, including applicable zoning 
and land-use regulations and water pollution limitations or requirements 
promulgated or imposed pursuant to the Federal Water Pollution Control 
Act. The environmental impact of the proposed action will be considered 
in the analysis with respect to matters covered by such standards and 
requirements irrespective of whether a certification or license from the 
appropriate authority has been obtained.3 While satisfaction 
of Commission standards and criteria pertaining to radiological effects 
will be necessary to meet the licensing requirements of the Atomic 
Energy Act, the analysis will, for the purposes of NEPA, consider the 
radiological effects of the proposed action and alternatives.
---------------------------------------------------------------------------

    \3\ Compliance with the environmental quality standards and 
requirements of the Federal Water Pollution Control Act (imposed by EPA 
or designated permitting states) is not a substitute for and does not 
negate the requirement for NRC to weigh all environmental effects of the 
proposed action, including the degradation, if any, of water quality, 
and to consider alternatives to the proposed action that are available 
for reducing adverse effects. Where an environmental assessment of 
aquatic impact from plant discharges is available from the permitting 
authority, the NRC will consider the assessment in its determination of 
the magnitude of environmental impacts for striking an overall cost-
benefit balance at the construction permit and operating license stages, 
and in its determination of whether the adverse environmental impacts of 
license renewal are so great that preserving the option of license 
renewal for energy planning decisionmakers would be unreasonable at the 
license renewal stage. When no such assessment of aquatic impacts is 
available from the permitting authority, NRC will establish on its own 
or in conjunction with the permitting authority and other agencies 
having relevant expertise the magnitude of potential impacts for 
striking an overall cost-benefit balance for the facility at the 
construction permit and operating license stages, and in its 
determination of whether the adverse environmental impacts of license 
renewal are so great that preserving the option of license renewal for 
energy planning decisionmakers would be unreasonable at the license 
renewal stage.
---------------------------------------------------------------------------

    (e) Preliminary recommendation. The draft environmental impact 
statement normally will include a preliminary recommendation by the NRC 
staff respecting the proposed action. This preliminary recommendation 
will be based on the information and analysis described in paragraphs 
(a) through (d) of this section and Secs. 51.75, 51.76, 51.80, 51.85, 
and 51.95, as appropriate, and will be reached after considering the 
environmental effects of the proposed action and reasonable 
alternatives,4 and, except for supplemental environmental 
impact statements for the operating license renewal stage prepared 
pursuant to Sec. 51.95(c), after weighing the costs and benefits of the 
proposed action. In lieu of a recommendation, the NRC

[[Page 32]]

staff may indicate in the draft statement that two or more alternatives 
remain under consideration.
---------------------------------------------------------------------------

    \4\ The consideration of reasonable alternatives to a proposed 
action involving nuclear power reactors (e.g., alternative energy 
sources) is intended to assist the NRC in meeting its NEPA obligations 
and does not preclude any State authority from making separate 
determinations with respect to these alternatives and in no way 
preempts, displaces, or affects the authority of States or other Federal 
agencies to address these issues.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28488, June 5, 1996; 61 
FR 66544, Dec. 18, 1996]



Sec. 51.72  Supplement to draft environmental impact statement.

    (a) The NRC staff will prepare a supplement to a draft environmental 
impact statement for which a notice of availability has been published 
in the Federal Register as provided in Sec. 51.117, if:
    (1) There are substantial changes in the proposed action that are 
relevant to environmental concerns; or
    (2) There are significant new circumstances or information relevant 
to environmental concerns and bearing on the proposed action or its 
impacts.
    (b) The NRC staff may prepare a supplement to a draft environmental 
impact statement when, in its opinion, preparation of a supplement will 
further the purposes of NEPA.
    (c) The supplement to a draft environmental impact statement will be 
prepared and noticed in the same manner as the draft environmental 
impact statement except that a scoping process need not be used.



Sec. 51.73  Request for comments on draft environmental impact statement.

    Each draft environmental impact statement and each supplement to a 
draft environmental impact statement distributed in accordance with 
Sec. 51.74, and each news release provided pursuant to Sec. 51.74(d) 
will be accompanied by or include a request for comments on the proposed 
action and on the draft environmental impact statement or any supplement 
to the draft environmental impact statement and will state where 
comments should be submitted and the date on which the comment period 
closes. A minimum comment period of 45 days will be provided. The 
comment period will be calculated from the date on which the 
Environmental Protection Agency notice stating that the draft statement 
or the supplement to the draft statement has been filed with EPA is 
published in the Federal Register. If no comments are provided within 
the time specified, it will be presumed, unless the agency or person 
requests an extension of time, that the agency or person has no comment 
to make. To the extent practicable, NRC staff will grant reasonable 
requests for extensions of time of up to fifteen (15) days.



Sec. 51.74  Distribution of draft environmental impact statement and supplement to draft environmental impact statement; news releases.

    (a) A copy of the draft environmental impact statement will be 
distributed to:
    (1) The Environmental Protection Agency.
    (2) Any other Federal agency which has special expertise or 
jurisdiction by law with respect to any environmental impact involved or 
which is authorized to develop and enforce relevant environmental 
standards.
    (3) The applicant or petitioner for rulemaking and any other party 
to the proceeding.
    (4) Appropriate State and local agencies authorized to develop and 
enforce relevant environmental standards.
    (5) Appropriate State, regional and metropolitan clearinghouses.
    (6) Appropriate Indian tribes when the proposed action may have an 
environmental impact on a reservation.
    (7) Upon written request, any organization or group included in the 
master list of interested organizations and groups maintained under 
Sec. 51.122.
    (8) Upon written request, any other person to the extent available.
    (b) Additional copies will be made available in accordance with 
Sec. 51.123.
    (c) A supplement to a draft environmental impact statement will be 
distributed in the same manner as the draft environmental impact 
statement to which it relates.
    (d) News releases stating the availability for comment and place for 
obtaining or inspecting a draft environmental statement or supplement 
will be provided to local newspapers and other appropriate media.
    (e) A notice of availability will be published in the Federal 
Register in accordance with Sec. 51.117.

[[Page 33]]

   draft environmental impact statements--production and utilization 
                               facilities



Sec. 51.75  Draft environmental impact statement--construction permit.

    A draft environmental impact statement relating to issuance of a 
construction permit for a production or utilization facility will be 
prepared in accordance with the procedures and measures described in 
Secs. 51.70, 51.71, 51.72 and 51.73. The contribution of the 
environmental effects of the uranium fuel cycle activities specified in 
Sec. 51.51 shall be evaluated on the basis of impact values set forth in 
Table S-3, Table of Uranium Fuel Cycle Environmental Data, which shall 
be set out in the draft environmental impact statement. With the 
exception of radon-222 and technetium-99 releases, no further discussion 
of fuel cycle release values and other numerical data that appear 
explicitly in the Table shall be required.5 The impact 
statement shall take account of dose commitments and health effects from 
fuel cycle effluents set forth in Table S-3 and shall in addition take 
account of economic, socioeconomic, and possible cumulative impacts and 
such other fuel cycle impacts as may reasonably appear significant.
---------------------------------------------------------------------------

    \5\ Values for releases of Rn-222 and Tc-99 are not given in the 
Table. The amount and significance of Rn-222 releases from the fuel 
cycle and Tc-99 releases from waste management or reprocessing 
activities shall be considered in the draft environmental impact 
statement and may be the subject of litigation in individual licensing 
proceedings.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28489, June 5, 1996]



Sec. 51.76  Draft environmental impact statement--manufacturing license.

    A draft environmental impact statement relating to issuance of a 
license to manufacture a nuclear power reactor will address the 
environmental matters specified in appendix M of part 52 of this 
chapter. The draft environmental impact statement will include a request 
for comments as provided in Sec. 51.73.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 51.77  Distribution of draft environmental impact statement.

    (a) In addition to the distribution authorized by Sec. 51.74, a copy 
of a draft environmental statement for a licensing action for a 
production or utilization facility, except an action authorizing 
issuance, amendment or renewal of a license to manufacture a nuclear 
power reactor pursuant to 10 CFR part 52, appendix M will also be 
distributed to:
    (1) The chief executive of the municipality or county identified in 
the draft environmental impact statement as the preferred site for the 
proposed facility or activity.
    (2) Upon request, the chief executive of each municipality or county 
identified in the draft environmental impact statement as an alternative 
site.
    (b) Additional copies will be made available in accordance with 
Sec. 51.123.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 15398, Apr. 18, 1989]

        draft environmental impact statements--materials licenses



Sec. 51.80  Draft environmental impact statement--materials license.

    (a) The NRC staff will either prepare a draft environmental impact 
statement or as provided in Sec. 51.92, a supplement to a final 
environmental impact statement for each type of action identified in 
Sec. 51.20(b) (7) through (12). Except as the context may otherwise 
require, procedures and measures similar to those described in 
Secs. 51.70, 51.71, 51.72 and 51.73 will be followed.
    (b)(1) Independent spent fuel storage installation (ISFSI). Unless 
otherwise determined by the Commission and in accordance with the 
generic determination in Sec. 51.23(a) and the provisions of 
Sec. 51.23(b), a draft environmental impact statement on the issuance of 
an initial license for storage of spent fuel at an independent spent 
fuel storage installation (ISFSI) or any amendment thereto, will address 
environmental impacts of spent fuel only for the term of the license or 
amendment applied for.
    (2) Monitored retrievable storage installation (MRS). As provided in 
sections 141 (c), (d), and (e) and 148 (a) and (c) of the Nuclear Waste 
Policy Act of 1982, as amended (NWPA) (96 Stat. 2242, 2243,

[[Page 34]]

42 U.S.C. 10161 (c), (d), (e); 101 Stat. 1330-235, 1330-236, 42 U.S.C. 
10168 (a) and (c)), a draft environmental impact statement for the 
construction of a monitored retrievable storage installation (MRS) will 
not address the need for the MRS or any alternative to the design 
criteria for an MRS set forth in section 141(b)(1) of the NWPA (96 Stat. 
2242, 42 U.S.C. 10161(b)(1)) but may consider alternative facility 
designs which are consistent with these design criteria.

[49 FR 34695, Aug. 31, 1984, as amended at 53 FR 31682, Aug. 19, 1988]



Sec. 51.81  Distribution of draft environmental impact statement.

    Copies of the draft environmental impact statement and any 
supplement to the draft environmental impact statement will be 
distributed in accordance with the provisions of Sec. 51.74.

            draft environmental impact statements--rulemaking



Sec. 51.85  Draft environmental impact statement--rulemaking.

    Except as the context may otherwise require, procedures and measures 
similar to those described in Secs. 51.70, 51.71, 51.72 and 51.73 will 
be followed in proceedings for rulemaking for which the Commission has 
determined to prepare an environmental impact statement.



Sec. 51.86  Distribution of draft environmental impact statement.

    Copies of the draft environmental impact statement and any 
supplement to the draft environmental impact statement will be 
distributed in accordance with the provisions of Sec. 51.74.

 legislative environmental impact statements--proposals for legislation



Sec. 51.88  Proposals for legislation.

    The Commission will, as a matter of policy, follow the provisions of 
40 CFR 1506.8 regarding the NEPA process for proposals for legislation.

       final environmental impact statements--general requirements



Sec. 51.90  Final environmental impact statement--general.

    After receipt and consideration of comments requested pursuant to 
Secs. 51.73 and 51.117, the NRC staff will prepare a final environmental 
impact statement in accordance with the requirements in Secs. 51.70(b) 
and 51.71 for a draft environmental impact statement. The format 
provided in section 1(a) of appendix A of this subpart should be used.



Sec. 51.91  Final environmental impact statement--contents.

    (a)(1) The final environmental impact statement will include 
responses to any comments on the draft environmental impact statement or 
on any supplement to the draft environmental impact statement. Responses 
to comments may include:
    (i) Modification of alternatives, including the proposed action;
    (ii) Development and evaluation of alternatives not previously given 
serious consideration;
    (iii) Supplementation or modification of analyses;
    (iv) Factual corrections;
    (v) Explanation of why comments do not warrant further response, 
citing sources, authorities or reasons which support this conclusion.
    (2) All substantive comments received on the draft environmental 
impact statement or any supplement to the draft environmental impact 
statement (or summaries thereof where the response has been 
exceptionally voluminous) will be attached to the final statement, 
whether or not each comment is discussed individually in the text of the 
statement.
    (3) If changes in the draft environmental impact statement in 
response to comments are minor and are confined either to factual 
corrections or to explanations of why the comments do not warrant 
further response, the changes may be made by attaching errata sheets to 
the draft statement. The entire document with a new cover may

[[Page 35]]

then be issued as the final environmental impact statement.
    (b) The final environmental impact statement will discuss any 
relevant responsible opposing view not adequately discussed in the draft 
environmental impact statement or in any supplement to the draft 
environmental impact statement, and respond to the issues raised.
    (c) The final environmental impact statement will state how the 
alternatives considered in it and decisions based on it will or will not 
achieve the requirements of sections 101 and 102(1) of NEPA and of any 
other relevant and applicable environmental laws and policies.
    (d) The final environmental impact statement will include a final 
analysis and a final recommendation on the action to be taken.



Sec. 51.92  Supplement to the final environmental impact statement.

    (a) If the proposed action has not been taken, the NRC staff will 
prepare a supplement to a final environmental impact statement for which 
a notice of availability has been published in the Federal Register as 
provided in Sec. 51.118, if:
    (1) There are substantial changes in the proposed action that are 
relevant to environmental concerns; or
    (2) There are significant new circumstances or information relevant 
to environmental concerns and bearing on the proposed action or its 
impacts.
    (b) The NRC staff may prepare a supplement to a final environmental 
impact statement when, in its opinion, preparation of a supplement will 
further the purposes of NEPA.
    (c) The supplement to a final environmental impact statement will be 
prepared in the same manner as the final environmental impact statement 
except that a scoping process need not be used.
    (d)(1) A supplement to a final environmental impact statement will 
be accompanied by or will include a request for comments as provided in 
Sec. 51.73 and a notice of availability will be published in the Federal 
Register as provided in Sec. 51.117 if the conditions described in 
paragraph (a) of this section apply.
    (2) If comments are not requested, a notice of availability of a 
supplement to a final environmental impact statement will be published 
in the Federal Register as provided in Sec. 51.118.



Sec. 51.93  Distribution of final environmental impact statement and supplement to final environmental impact statement; news releases.

    (a) A copy of the final environmental impact statement will be 
distributed to:
    (1) The Environmental Protection Agency.
    (2) The applicant or petitioner for rulemaking and any other party 
to the proceeding.
    (3) Appropriate State, regional and metropolitan clearinghouses.
    (4) Each commenter.
    (b) Additional copies will be made available in accordance with 
Sec. 51.123.
    (c) If the final environmental impact statement is unusually long or 
there are so many comments on a draft environmental impact statement or 
any supplement to a draft environmental impact statement that 
distribution of the entire final statement to all commenters is 
impracticable, a summary of the final statement and the substantive 
comments will be distributed. When the final environmental impact 
statement has been prepared by adding errata sheets to the draft 
environmental impact statement as provided in Sec. 51.91(a)(3), only the 
comments, the responses to the comments and the changes to the 
environmental impact statement will be distributed.
    (d) A supplement to a final environmental impact statement will be 
distributed in the same manner as the final environmental impact 
statement to which it relates.
    (e) News releases stating the availability and place for obtaining 
or inspecting a final environmental impact statement or supplement will 
be provided to local newspapers and other appropriate media.
    (f) A notice of availability will be published in the Federal 
Register in accordance with Sec. 51.118.

[[Page 36]]



Sec. 51.94  Requirement to consider final environmental impact statement.

    The final environmental impact statement, together with any comments 
and any supplement, will accompany the application or petition for 
rulemaking through, and be considered in, the Commission's 
decisionmaking process. The final environmental impact statement, 
together with any comments and any supplement, will be made a part of 
the record of the appropriate adjudicatory or rulemaking proceeding.

   final environmental impact statements--production and utilization 
                               facilities



Sec. 51.95  Postconstruction environmental impact statements.

    (a) General. Any supplement to a final environmental impact 
statement or any environmental assessment prepared under the provisions 
of this section may incorporate by reference any information contained 
in a final environmental document previously prepared by the NRC staff 
that relates to the same production or utilization facility. Documents 
that may be referenced include, but are not limited to, the final 
environmental impact statement; supplements to the final environmental 
impact statement, including supplements prepared at the operating 
license stage; NRC staff-prepared final generic environmental impact 
statements; environmental assessments and records of decisions prepared 
in connection with the construction permit, the operating license, and 
any license amendment for that facility. A supplement to a final 
environmental impact statement will include a request for comments as 
provided in Sec. 51.73.
    (b) Initial operating license stage. In connection with the issuance 
of an operating license for a production or utilization facility, the 
NRC staff will prepare a supplement to the final environmental impact 
statement on the construction permit for that facility, which will 
update the prior environmental review. The supplement will only cover 
matters that differ from the final environmental impact statement or 
that reflect significant new information concerning matters discussed in 
the final environmental impact statement. Unless otherwise determined by 
the Commission, a supplement on the operation of a nuclear power plant 
will not include a discussion of need for power, or of alternative 
energy sources, or of alternative sites, or of any aspect of the storage 
of spent fuel for the nuclear power plant within the scope of the 
generic determination in Sec. 51.23(a) and in accordance with 
Sec. 51.23(b), and will only be prepared in connection with the first 
licensing action authorizing full-power operation.
    (c) Operating license renewal stage. In connection with the renewal 
of an operating license for a nuclear power plant under part 54 of this 
chapter, the Commission shall prepare an EIS, which is a supplement to 
the Commission's NUREG-1437, ``Generic Environmental Impact Statement 
for License Renewal of Nuclear Plants'' (May 1996) which is available in 
the NRC Public Document Room, 2120 L Street, NW., (Lower Level) 
Washington, DC.
    (1) The supplemental environmental impact statement for the 
operating license renewal stage shall address those issues as required 
by Sec. 51.71. In addition, the NRC staff must comply with 40 CFR 
1506.6(b)(3) in conducting the additional scoping process as required by 
Sec. 51.71(a).
    (2) The supplemental environmental impact statement for license 
renewal is not required to include discussion of need for power or the 
economic costs and economic benefits of the proposed action or of 
alternatives to the proposed action except insofar as such benefits and 
costs are either essential for a determination regarding the inclusion 
of an alternative in the range of alternatives considered or relevant to 
mitigation. In addition, the supplemental environmental impact statement 
prepared at the license renewal stage need not discuss other issues not 
related to the environmental effects of the proposed action and the 
alternatives, or any aspect of the storage of spent fuel for the 
facility within the scope of the generic determination in Sec. 51.23(a) 
and in accordance with Sec. 51.23(b). The analysis of alternatives in 
the supplemental environmental impact statement should be limited to

[[Page 37]]

the environmental impacts of such alternatives and should otherwise be 
prepared in accordance with Sec. 51.71 and appendix A to subpart A of 
this part.
    (3) The supplemental environmental impact statement shall be issued 
as a final impact statement in accordance with Secs. 51.91 and 51.93 
after considering any significant new information relevant to the 
proposed action contained in the supplement or incorporated by 
reference.
    (4) The supplemental environmental impact statement must contain the 
NRC staff's recommendation regarding the environmental acceptability of 
the license renewal action. In order to make its recommendation and 
final conclusion on the proposed action, the NRC staff, adjudicatory 
officers, and Commission shall integrate the conclusions, as amplified 
by the supporting information in the generic environmental impact 
statement for issues designated Category 1 (with the exception of 
offsite radiological impacts for collective effects and the disposal of 
spent fuel and high level waste) or resolved Category 2,information 
developed for those open Category 2 issues applicable to the plant in 
accordance with Sec. 51.53(c)(3)(ii), and any significant new 
information. Given this information, the NRC staff, adjudicatory 
officers, and Commission shall determine whether or not the adverse 
environmental impacts of license renewal are so great that preserving 
the option of license renewal for energy planning decisionmakers would 
be unreasonable.
    (d) Postoperating license stage. In connection with the amendment of 
an operating license authorizing decommissioning activities at a 
production or utilization facility covered by Sec. 51.20, either for 
unrestricted use or based on continuing use restrictions applicable to 
the site, or with the issuance, amendment or renewal of a license to 
store spent fuel at a nuclear power reactor after expiration of the 
operating license for the nuclear power reactor, the NRC staff will 
prepare a supplemental environmental impact statement for the post 
operating license stage or an environmental assessment, as appropriate, 
which will update the prior environmental review. The supplement or 
assessment may incorporate by reference any information contained in the 
final environmental impact statement-operating license stage, or in the 
records of decision prepared in connection with the construction permit 
or the operating license for that facility. The supplement will include 
a request for comments as provided in Sec. 51.73. Unless other wise 
required by the Commission in accordance with the generic determination 
in Sec. 51.23(a) and the provisions of Sec. 51.23(b), a supplemental 
environmental impact statement for the post operating license stage or 
an environmental assessment, as appropriate, will address the 
environmental impacts of spent fuel storage only for the term of the 
license, license amendment or license renewal applied for.

[61 FR 66545, Dec. 18, 1996]

        final environmental impact statements--materials licenses



Sec. 51.97  Final environmental impact statement--materials license.

    (a) Independent spent fuel storage installation (ISFSI). Unless 
otherwise determined by the Commission, and in accordance with the 
generic determination in Sec. 51.23(a) and the provisions of 
Sec. 51.23(b), a final environmental impact statement on the issuance of 
an initial license for the storage of spent fuel at an independent spent 
fuel storage installation (ISFSI) or any amendment thereto, will address 
environmental impacts of spent fuel storage only for the term of the 
license or amendment applied for.
    (b) Monitored retrievable storage facility (MRS). As provided in 
sections 141 (c), (d), and (e) and 148 (a) and (c) of the Nuclear Waste 
Policy Act of 1982, as amended (NWPA) (96 Stat. 2242, 2243, 42 U.S.C. 
10161 (c), (d), (e); 101 Stat. 1330-235, 1330-236, 42 U.S.C. 10168 (a), 
(c)) a final environmental impact statement for the construction of a 
monitored retrievable storage installation (MRS) will not address the 
need for the MRS or any alternative to the design criteria for an MRS 
set forth in section 141(b)(1) of the NWPA (96 Stat. 2242, 42 U.S.C. 
10161(b)(1)) but may consider alternative facility designs which are 
consistent with these design criteria.

[[Page 38]]

    (c) Uranium enrichment facility. As provided in section 5(e) of the 
Solar, Wind, Waste, and Geothermal Power Production Incentives Act of 
1990 (104 Stat. 2834 at 2835, 42 U.S.C. 2243), a final environmental 
impact statement must be prepared before the hearing on the issuance of 
a license for a uranium enrichment facility is completed.

[49 FR 34695, Aug. 31, 1984, as amended at 53 FR 31682, Aug. 19, 1988; 
57 FR 18392, Apr. 30, 1992]

            final environmental impact statements--rulemaking



Sec. 51.99  [Reserved]

                NEPA Procedure and Administrative Action

                                 general



Sec. 51.100  Timing of Commission action.

    (a)(1) Except as provided in Sec. 51.13 and paragraph (b) of this 
section, no decision on a proposed action, including the issuance of a 
permit, license, or other form of permission, or amendment to or renewal 
of a permit, license, or other form of permission, or the issuance of an 
effective regulation, for which an environmental impact statement is 
required, will be made and no record of decision will be issued until 
the later of the following dates:
    (i) Ninety (90) days after publication by the Environmental 
Protection Agency of a Federal Register notice stating that the draft 
environmental impact statement has been filed with EPA.
    (ii) Thirty (30) days after publication by the Environmental 
Protection Agency of a Federal Register notice stating that the final 
environmental impact statement has been filed with EPA.
    (2) If a notice of filing of a final environmental impact statement 
is published by the Environmental Protection Agency within ninety (90) 
days after a notice of filing of a draft environmental impact statement 
has been published by EPA, the minimum thirty (30) day period and the 
minimum ninety (90) day period may run concurrently to the extent they 
overlap.
    (b) In any rulemaking proceeding for the purpose of protecting the 
public health or safety or the common defense and security, the 
Commission may make and publish the decision on the final rule at the 
same time that the Environmental Protection Agency publishes the Federal 
Register notice of filing of the final environmental impact statement.



Sec. 51.101  Limitations on actions.

    (a) Until a record of decision is issued in connection with a 
proposed licensing or regulatory action for which an environmental 
impact statement is required under Sec. 51.20, or until a final finding 
of no significant impact is issued in connection with a proposed 
licensing or regulatory action for which an environmental assessment is 
required under Sec. 51.21:
    (1) No action concerning the proposal may be taken by the Commission 
which would (i) have an adverse environmental impact, or (ii) limit the 
choice of reasonable alternatives.
    (2) Any action concerning the proposal taken by an applicant which 
would (i) have an adverse environmental impact, or (ii) limit the choice 
of reasonable alternatives may be grounds for denial of the license. In 
the case of an application covered by Secs. 30.32(f), 40.31(f), 
50.10(c), 70.21(f), or Secs. 72.16 and 72.34 of this chapter, the 
provisions of this paragraph will be applied in accordance with 
Secs. 30.33(a)(5), 40.32(e), 50.10 (c) and (e), 70.23(a)(7) or 
Sec. 72.40(b) of this chapter, as appropriate.
    (b) While work on a required program environmental impact statement 
is in progress, the Commission will not undertake in the interim any 
major Federal action covered by the program which may significantly 
affect the quality of the human environment unless such action:
    (1) Is justified independently of the program;
    (2) Is itself accompanied by an adequate environmental impact 
statement; and
    (3) Will not prejudice the ultimate decision on the program. Absent 
any satisfactory explanation to the contrary, interim action which tends 
to determine subsequent development or limit reasonable alternatives, 
will be considered prejudicial.

[[Page 39]]

    (c) This section does not preclude any applicant for an NRC permit, 
license, or other form of permission, or amendment to or renewal of an 
NRC permit, license, or other form of permission, (1) from developing 
any plans or designs necessary to support an application; or (2) after 
prior notice and consultation with NRC staff, (i) from performing any 
physical work necessary to support an application, or (ii) from 
performing any other physical work relating to the proposed action if 
the adverse environmental impact of that work is de minimis.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31682, Aug. 19, 1988]



Sec. 51.102  Requirement to provide a record of decision; preparation.

    (a) A Commission decision on any action for which a final 
environmental impact statement has been prepared shall be accompanied by 
or include a concise public record of decision.
    (b) Except as provided in paragraph (c) of this section, the record 
of decision will be prepared by the NRC staff director authorized to 
take the action.
    (c) When a hearing is held on the proposed action under the 
regulations in subpart G of part 2 of this chapter or when the action 
can only be taken by the Commissioners acting as a collegial body, the 
initial decision of the presiding officer or the final decision of the 
Atomic Safety and Licensing Appeal Board or the final decision of the 
Commissioners acting as a collegial body will constitute the record of 
decision. An initial or final decision constituting the record of 
decision will be distributed as provided in Sec. 51.93.



Sec. 51.103  Record of decision--general.

    (a) The record of decision required by Sec. 51.102 shall be clearly 
identified and shall:
    (1) State the decision.
    (2) Identify all alternatives considered by the Commission in 
reaching the decision, state that these alternatives were included in 
the range of alternatives discussed in the environmental impact 
statement, and specify the alternative or alternatives which were 
considered to be environmentally preferable.
    (3) Discuss preferences among alternatives based on relevant 
factors, including economic and technical considerations where 
appropriate, the NRC's statutory mission, and any essential 
considerations of national policy, which were balanced by the Commission 
in making the decision and state how these considerations entered into 
the decision.
    (4) State whether the Commission has taken all practicable measures 
within its jurisdiction to avoid or minimize environmental harm from the 
alternative selected, and if not, to explain why those measures were not 
adopted. Summarize any license conditions and monitoring programs 
adopted in connection with mitigation measures.
    (5) In making a final decision on a license renewal action pursuant 
to part 54 of this chapter, the Commission shall determine whether or 
not the adverse environmental impacts of license renewal are so great 
that preserving the option of license renewal for energy planning 
decisionmakers would be unreasonable.
    (b) The record of decision may be integrated into any other record 
prepared by the Commission in connection with the action.
    (c) The record of decision may incorporate by reference material 
contained in a final environmental impact statement.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28490, June 5, 1996; 61 
FR 66546, Dec. 18, 1996; 61 FR 68543, Dec. 30, 1996]



Sec. 51.104  NRC proceeding using public hearings; consideration of environmental impact statement.

    (a)(1) In any proceeding in which (i) a hearing is held on the 
proposed action, (ii) a final environmental impact statement has been 
prepared in connection with the proposed action, and (iii) matters 
within the scope of NEPA and this subpart are in issue, the NRC staff 
may not offer the final environmental impact statement in evidence or 
present the position of the NRC staff on matters within the scope of 
NEPA and this subpart until the final environmental

[[Page 40]]

impact statement is filed with the Environmental Protection Agency, 
furnished to commenting agencies and made available to the public.
    (2) Any party to the proceeding may take a position and offer 
evidence on the aspects of the proposed action within the scope of NEPA 
and this subpart in accordance with the provisions of part 2 of this 
chapter applicable to that proceeding or in accordance with the terms of 
the notice of hearing.
    (3) In the proceeding the presiding officer will decide those 
matters in controversy among the parties within the scope of NEPA and 
this subpart.
    (b) In any proceeding in which a hearing is held where the NRC staff 
has determined that no environmental impact statement need be prepared 
for the proposed action, unless the Commission orders otherwise, any 
party to the proceeding may take a position and offer evidence on the 
aspects of the proposed action within the scope of NEPA and this subpart 
in accordance with the provisions of part 2 of this chapter applicable 
to that proceeding or in accordance with the terms of the notice of 
hearing. In the proceeding, the presiding officer will decide any such 
matters in controversy among the parties.

                  production and utilization facilities



Sec. 51.105  Public hearings in proceedings for issuance of construction permits or licenses to manufacture.

    (a) In addition to complying with applicable requirements of 
Sec. 51.104, in a proceeding for the issuance of a construction permit 
for a nuclear power reactor, testing facility, fuel reprocessing plant 
or isotopic enrichment plant, or for the issuance of a license to 
manufacture, the presiding officer will:
    (1) Determine whether the requirements of section 102(2) (A), (C), 
and (E) of NEPA and the regulations in this subpart have been met;
    (2) 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;
    (3) Determine, after weighing the environmental, economic, 
technical, and other benefits against environmental and other costs, and 
considering reasonable alternatives, whether the construction permit or 
license to manufacture should be issued, denied, or appropriately 
conditioned to protect environmental values;
    (4) Determine, in an uncontested proceeding, whether the NEPA review 
conducted by the NRC staff has been adequate; and
    (5) Determine, in a contested proceeding, whether in accordance with 
the regulations in this subpart, the construction permit or license to 
manufacture should be issued as proposed.



Sec. 51.106  Public hearings in proceedings for issuance of operating licenses.

    (a) Consistent with the requirements of this section and as 
appropriate, the presiding officer in an operating license hearing shall 
comply with any applicable requirements of Secs. 51.104 and 51.105.
    (b) During the course of a hearing on an application for issuance of 
an operating license for a nuclear power reactor, or a testing facility, 
the presiding officer may authorize, pursuant to Sec. 50.57(c) of this 
chapter, the loading of nuclear fuel in the reactor core and limited 
operation within the scope of Sec. 50.57(c) of this chapter, upon 
compliance with the procedures described therein. In any such hearing, 
where any party opposes such authorization on the basis of matters 
covered by subpart A of this part, the provisions of Secs. 51.104 and 
51.105 will apply, as appropriate.
    (c) The presiding officer in an operating license hearing shall not 
admit contentions proffered by any party concerning need for power or 
alternative energy sources or alternative sites for the facility for 
which an operating license is requested.
    (d) The presiding officer in an operating license hearing shall not 
raise issues concerning alternative sites for the facility for which an 
operating license is requested sua sponte.

[[Page 41]]

                           materials licenses



Sec. 51.108  [Reserved]



Sec. 51.109  Public hearings in proceedings for issuance of materials license with respect to a geologic repository.

    (a)(1) In a proceeding for the issuance of a license to receive and 
possess source, special nuclear, and byproduct material at a geologic 
repository operations area, the NRC staff shall, upon the publication of 
the notice of hearing in the Federal Register, present its position on 
whether it is practicable to adopt, without further supplementation, the 
environmental impact statement (including any supplement thereto) 
prepared by the Secretary of Energy. If the position of the staff is 
that supplementation of the environmental impact statement by NRC is 
required, it shall file its final supplemental environmental impact 
statement with the Environmental Protection Agency, furnish that 
statement to commenting agencies, and make it available to the public, 
before presenting its position, or as soon thereafter as may be 
practicable. In discharging its responsibilities under this paragraph, 
the staff shall be guided by the principles set forth in paragraphs (c) 
and (d) of this section.
    (2) Any other party to the proceeding who contends that it is not 
practicable to adopt the DOE environmental impact statement, as it may 
have been supplemented, shall file a contention to that effect within 
thirty days after the publication of the notice of hearing in the 
Federal Register. Such contention must be accompanied by one or more 
affidavits which set forth factual and/or technical bases for the claim 
that, under the principles set forth in paragraphs (c) and (d) of this 
section, it is not practicable to adopt the DOE environmental impact 
statement, as it may have been supplemented. The presiding officer shall 
resolve disputes concerning adoption of the DOE environmental impact 
statement by using, to the extent possible, the criteria and procedures 
that are followed in ruling on motions to reopen under Sec. 2.734 of 
this chapter.
    (b) In any such proceeding, the presiding officer will determine 
those matters in controversy among the parties within the scope of NEPA 
and this subpart, specifically including whether, and to what extent, it 
is practicable to adopt the environmental impact statement prepared by 
the Secretary of Energy in connection with the issuance of a 
construction authorization and license for such repository.
    (c) The presiding officer will find that it is practicable to adopt 
any environmental impact statement prepared by the Secretary of Energy 
in connection with a geologic repository proposed to be constructed 
under Title I of the Nuclear Waste Policy Act of 1982, as amended, 
unless:
    (1)(i) The action proposed to be taken by the Commission differs 
from the action proposed in the license application submitted by the 
Secretary of Energy; and
    (ii) The difference may significantly affect the quality of the 
human environment; or
    (2) Significant and substantial new information or new 
considerations render such environmental impact statement inadequate.
    (d) To the extent that the presiding officer determines it to be 
practicable, in accordance with paragraph (c) of this section, to adopt 
the environmental impact statement prepared by the Secretary of Energy, 
such adoption shall be deemed to satisfy all responsibilities of the 
Commission under NEPA and no further consideration under NEPA or this 
subpart shall be required.
    (e) To the extent that it is not practicable, in accordance with 
paragraph (c) of this section, to adopt the environmental impact 
statement prepared by the Secretary of Energy, the presiding officer 
will:
    (1) Determine whether the requirements of section 102(2) (A), (C), 
and (E) of NEPA and the regulations in this subpart have been met;
    (2) 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;
    (3) Determine, after weighing the environmental, economic, technical 
and other benefits against environmental

[[Page 42]]

and other costs, whether the construction authorization or license 
should be issued, denied, or appropriately conditioned to protect 
environmental values;
    (4) Determine, in an uncontested proceeding, whether the NEPA review 
conducted by the NRC staff has been adequate; and
    (5) Determine, in a contested proceeding, whether in accordance with 
the regulations in this subpart, the construction authorization or 
license should be issued as proposed.
    (f) In making the determinations described in paragraph (e), the 
environmental impact statement will be deemed modified to the extent 
that findings and conclusions differ from those in the final statement 
prepared by the Secretary of Energy, as it may have been supplemented. 
The initial decision will be distributed to any persons not otherwise 
entitled to receive it who responded to the request in the notice of 
docketing, as described in Sec. 51.26(c). If the Commission or the 
Atomic Safety and Licensing Appeal Board reaches conclusions different 
from those of the presiding officer with respect to such matters, the 
final environmental impact statement will be deemed modified to that 
extent and the decision will be similarly distributed.
    (g) The provisions of this section shall be followed, in place of 
those set out in Sec. 51.104, in any proceedings for the issuance of a 
license to receive and possess source, special nuclear, and byproduct 
material at a geologic repository operations area.

[54 FR 27870, July 3, 1989]

                               rulemaking



Sec. 51.110  [Reserved]

         Public Notice of and Access to Environmental Documents



Sec. 51.116  Notice of intent.

    (a) In accordance with Sec. 51.26, the appropriate NRC staff 
director will publish in the Federal Register a notice of intent stating 
that an environmental impact statement will be prepared. The notice will 
contain the information specified in Sec. 51.27.
    (b) Copies of the notice will be sent to appropriate Federal, State, 
and local agencies, and Indian tribes, appropriate State, regional, and 
metropolitan clearinghouses and to interested persons upon request. A 
public announcement of the notice of intent will also be made.



Sec. 51.117  Draft environmental impact statement--notice of availability.

    (a) Upon completion of a draft environmental impact statement or any 
supplement to a draft environmental impact statement, the appropriate 
NRC staff director will publish a notice of availability of the 
statement in the Federal Register.
    (b) The notice will request comments on the proposed action and on 
the draft statement or any supplement to the draft statement and will 
specify where comments should be submitted and when the comment period 
expires.
    (c) The notice will (1) state that copies of the draft statement or 
any supplement to the draft statement are available for public 
inspection; (2) state where inspection may be made, and (3) state that 
any comments of Federal, State, and local agencies, Indian tribes or 
other interested persons will be made available for public inspection 
when received.
    (d) Copies of the notice will be sent to appropriate Federal, State, 
and local agencies, and Indian tribes, appropriate State, regional, and 
metropolitan clearinghouses, and to interested persons upon request.



Sec. 51.118  Final environmental impact statement--notice of availability.

    (a) Upon completion of a final environmental impact statement or any 
supplement to a final environmental impact statement, the appropriate 
NRC staff director will publish a notice of availability of the 
statement in the Federal Register. The notice will state that copies of 
the final statement or any supplement to the final statement are 
available for public inspection and where inspection may be made. Copies 
of the notice will be sent to appropriate Federal, State, and local 
agencies, and Indian tribes, appropriate State, regional, and 
metropolitan

[[Page 43]]

clearinghouses and to interested persons upon request.
    (b) Upon adoption of a final environmental impact statement or any 
supplement to a final environmental impact statement prepared by the 
Department of Energy with respect to a geologic repository that is 
subject to the Nuclear Waste Policy Act of 1982, the appropriate NRC 
staff director shall follow the procedures set out in paragraph (a) of 
this section.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 27871, July 3, 1989]



Sec. 51.119  Publication of finding of no significant impact; distribution.

    (a) As required by Sec. 51.35, the appropriate NRC staff director 
will publish the finding of no significant impact in the Federal 
Register. The finding of no significant impact will be identified as a 
draft or final finding, and will contain the information specified in 
Secs. 51.32 or 51.33, as appropriate. A draft finding of no significant 
impact will include a request for comments which specifies where 
comments should be submitted and when the comment period expires.
    (b) The finding will state that copies of the finding, the 
environmental assessment setting forth the basis for the finding and any 
related environmental documents are available for public inspection and 
where inspection may be made.
    (c) A copy of a final finding will be sent to appropriate Federal, 
State, and local agencies, and Indian tribes, appropriate State, 
regional, and metropolitan clearinghouses, the applicant or petitioner 
for rulemaking and any other party to the proceeding, and if a draft 
finding was issued, to each commenter. Additional copies will be made 
available in accordance with Sec. 51.123.



Sec. 51.120  Availability of environmental documents for public inspection.

    Copies of environmental reports, draft and final environmental 
impact statements, environmental assessments, and findings of no 
significant impact, together with any related comments and environmental 
documents, will be made available at the NRC Web site, http://
www.nrc.gov, and/or at the NRC Public Document Room.

[64 FR 48952, Sept. 9, 1999]



Sec. 51.121  Status of NEPA actions.

    Individuals or organizations desiring information on the NRC's NEPA 
process or on the status of specific NEPA actions should address 
inquiries to:
    (a) Utilization facilities: Director, Office of Nuclear Reactor 
Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Telephone (301) 415-1270.
    (b) Production facilities: Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555, Telephone: (301) 415-7800.
    (c) Materials licenses: Director, Office of Nuclear Material Safety 
and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 
20555, Telephone: (301) 415-7800.
    (d) Rulemaking: Director, Office of Nuclear Regulatory Research, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: 
(301) 415-6641.
    (e) General Environmental Matters: Executive Director for 
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Telephone: (301) 415-1700.

[53 FR 13399, Apr. 25, 1988, as amended at 60 FR 24552, May 9, 1995]



Sec. 51.122  List of interested organizations and groups.

    The NRC Office of Information Resources Management will maintain a 
master list of organizations and groups, including relevant conservation 
commissions, known to be interested in the Commission's licensing and 
regulatory activities. The NRC Office of Information Resources 
Management with the assistance of the appropriate NRC staff director 
will select from this master list those organizations and groups that 
may have an interest in a specific NRC NEPA action and will promptly 
notify such organizations and groups of the availability

[[Page 44]]

of a draft environmental impact statement or a draft finding of no 
significant impact.

[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 31612, Aug. 12, 1987; 54 
FR 53316, Dec. 28, 1989]



Sec. 51.123  Charges for environmental documents; distribution to public; distribution to governmental agencies.

    (a) Distribution to public. Upon written request to the Reproduction 
and Distribution Services Section, Office of the Chief Information 
Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, 
and to the extent available, single copies of draft environmental impact 
statements and draft findings of no significant impact will be made 
available to interested persons without charge. Single copies of final 
environmental impact statements and final findings of no significant 
impact will also be provided without charge to the persons listed in 
Secs. 51.93(a) and 51.119(c), respectively. When more than one copy of 
an environmental impact statement or a finding of no significant impact 
is requested or when available NRC copies have been exhausted, the 
requestor will be advised that the NRC will provide copies at the 
charges specified in Sec. 9.35 of this chapter.
    (b) Distribution to governmental agencies. Upon written request to 
the Reproduction and Distribution Services Section, Office of the Chief 
Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 
20555-0001, and to the extent available, copies of draft and final 
environmental impact statements and draft final findings of no 
significant impact will be made available in the number requested to 
Federal, State and local agencies, Indian tribes, and State, regional 
and metropolitan clearinghouses. When available NRC copies have been 
exhausted, the requester will be advised that the NRC will provide 
copies at the charges specified in Sec. 9.35 of this chapter.
    (c) Charges. Charges for the reproduction of environmental documents 
by the NRC at locations other than the NRC Public Document Room located 
in Washington, DC vary according to location.

[50 FR 21037, May 22, 1985, as amended at 52 FR 31612, Aug. 21, 1987; 53 
FR 43421, Oct. 27, 1988; 61 FR 9902, Mar. 12, 1996; 64 FR 48952, Sept. 
9, 1999]

                               Commenting



Sec. 51.124  Commission duty to comment.

    It is the policy of the Commission to comment on draft environmental 
impact statements prepared by other Federal agencies, consistent with 
the provisions of 40 CFR 1503.2 and 1503.3.

                          Responsible Official



Sec. 51.125  Responsible official.

    The Executive Director for Operations shall be responsible for 
overall review of NRC NEPA compliance, except for matters under the 
jurisdiction of a presiding officer, administrative judge, 
administrative law judge, Atomic Safety and Licensing Board, Atomic 
Safety and Licensing Appeal Board, or the Commission acting as a 
collegial body.

Appendix A to Subpart A of Part 51--Format for Presentation of Material 
                   in Environmental Impact Statements

1. General
2. Cover sheet
3. Summary
4. Purpose of and need for action
5. Alternatives including the proposed action
6. Affected environment
7. Environmental consequences and mitigating actions
8. List of preparers
9. Appendices

                               1. General.

    (a) The Commission will use a format for environmental impact 
statements which will encourage good analysis and clear presentation of 
the alternatives including the proposed action. The following standard 
format for environmental impact statements should be followed unless 
there is a compelling reason to do otherwise:

    (1) Cover sheet*
    (2) Summary*
    (3) Table of Contents
    (4) Purpose of and Need for Action*
    (5) Alternatives including the proposed action*
    (6) Affected Environment*

[[Page 45]]

    (7) Environmental Consequences and Mitigating Actions*
    (8) List of Preparers*
    (9) List of Agencies, Organizations and Persons to Whom Copies of 
the Statement are Sent
    (10) Substantive Comments Received and NRC Staff Responses
    (11) Index
    (12) Appendices (if any)*
    If a different format is used, it shall include paragraphs (1), (2), 
(3), (8), (9), (10), and (11) of this section and shall include the 
substance of paragraphs (4), (5), (6), (7), and (12) of this section, in 
any appropriate format.
    Additional guidance on the presentation of material under the format 
headings identified by an asterisk is set out in sections 2.-9. of this 
appendix.
    (b) The techniques of tiering and incorporation by reference 
described respectively in 40 CFR 1502.20 and 1508.28 and 40 CFR 1502.21 
1 of CEQ's NEPA regulations may be used as appropriate to aid 
in the presentation of issues, eliminate repetition or reduce the size 
of an environmental impact statement. In appropriate circumstances, 
draft or final environmental impact statements prepared by other Federal 
agencies may be adopted in whole or in part in accordance with the 
procedures outlined in 40 CFR 1506.3 2 of CEQ's NEPA 
regulations. In final environmental impact statements, material under 
the following format headings will normally be presented in less than 
150 pages: Purpose of and Need for Action, Alternatives Including the 
Proposed Action, Affected Environment, and Environmental Consequences 
and Mitigating Actions. For proposals of unusual scope or complexity, 
the material presented under these format headings may extend to 300 
pages.
---------------------------------------------------------------------------

    \1\ Tiering--40 CFR 1502.20, 40 CFR 1508.28; Incorporation by 
reference--40 CFR 1502.21.
    \2\ Adoption--40 CFR 1506.3.
---------------------------------------------------------------------------

                             2. Cover sheet.

    The cover sheet will not exceed one page. It will include:
    (a) The name of the NRC office responsible for preparing the 
statement and a list of any cooperating agencies.
    (b) The title of the proposed action that is the subject of the 
statement with a list of the states, counties or municipalities where 
the facility or other subject of the action is located, as appropriate.
    (c) The name, address, and telephone number of the individual in NRC 
who can supply further information.
    (d) A designation of the statement as a draft or final statement, or 
a draft or final supplement.
    (e) A one paragraph abstract of the statement.
    (f) For draft environmental impact statements, the date by which 
comments must be received. This date may be specified in the form of the 
following or a substantially similar statement:
    ``Comments should be filed no later than 3 days after the 
date on which the Environmental Protection Agency notice stating that 
the draft environmental impact statement has been filed with EPA is 
published in the Federal Register. Comments received after the 
expiration of the comment period will be considered if it is practical 
to do so but assurance of consideration of late comments cannot be 
given.''
---------------------------------------------------------------------------

    \3\ The number of days in the comment period should be inserted. The 
minimum comment period is 45 days (see Sec. 51.73.)
---------------------------------------------------------------------------

                               3. Summary.

    Each environmental impact statement will contain a summary which 
adequately and accurately summarizes the statement. The summary will 
stress the major issues considered. The summary will discuss the areas 
of controversy, will identify any remaining issues to be resolved, and 
will present the major conclusions and recommendations. The summary will 
normally not exceed 15 pages.

                   4. Purpose of and need for action.

    The statement will briefly describe and specify the need for the 
proposed action. The alternative of no action will be discussed. In the 
case of nuclear power plant construction or siting, consideration will 
be given to the potential impact of conservation measures in determining 
the demand for power and consequent need for additional generating 
capacity.

             5. Alternatives including the proposed action.

    This section is the heart of the environmental impact statement. It 
will present the environmental impacts of the proposal and the 
alternatives in comparative form. Where important to the comparative 
evaluation of alternatives, appropriate mitigating measures of the 
alternatives will be discussed. All reasonable alternatives will be 
identified. The range of alternatives discussed will encompass those 
proposed to be considered by the ultimate decisionmaker. An otherwise 
reasonable alternative will not be excluded from discussion solely on 
the ground that it is not within the jurisdiction of the 
NRC.4 The discussion of alternatives will take into

[[Page 46]]

accounts, without duplicating, the environmental information and 
analyses included in sections, 4., 6. and 7. of this appendix.
---------------------------------------------------------------------------

    \4\ With respect to limitations on NRC's NEPA authority and 
responsibility imposed by the Federal Water Pollution Control Act 
Amendments of 1972, see Secs. 51.10(c), 51.22(c)(17) and 51.71(d).
---------------------------------------------------------------------------

    In the draft environmental impact statement, this section will 
either include a preliminary recommendation on the action to be taken, 
or identify the alternatives under consideration.
    In the final environmental impact statement, this section will 
include a final recommendation on the action to be taken.

                        6. Affected environment.

    The environmental impact statement will succinctly describe the 
environment to be affected by the proposed action. Data and analyses in 
the statement will be commensurate with the importance of the impact, 
with less important material summarized, consolidated, or simply 
referenced. Effort and attention will be concentrated on important 
issues; useless bulk will be eliminated.

          7. Environmental consequences and mitigating actions.

    This section discusses the environmental consequences of 
alternatives, including the proposed actions and any mitigating actions 
which may be taken. Alternatives eliminated from detailed study will be 
identified and a discussion of those alternatives will be confined to a 
brief statement of the reasons why the alternatives were eliminated. The 
level of information for each alternative considered in detail will 
reflect the depth of analysis required for sound decisionmaking.
    The discussion will include any adverse environmental effects which 
cannot be avoided should the alternative be implemented, the 
relationship between short-term uses of man's environment and the 
maintenance and enhancement of long-term productivity, and any 
irreversible or irretrievable commitments of resources which would be 
involved in the alternative should it be implemented. This section will 
include discussions of:
    (a) Direct effects and their significance.
    (b) Indirect effects and their significance.
    (c) Possible conflicts between the alternative and the objectives of 
Federal, regional, State, and local (and in the case of a reservation, 
Indian tribe) land use plans, policies and controls for the area 
concerned.
    (d) Means to mitigate adverse environmental impacts.

                          8. List of preparers.

    The environmental impact statement will list the names and 
qualifications (expertise, experience, professional disciplines), of the 
persons who were primarily responsible for preparing the environmental 
impact statement or significant background papers. Persons responsible 
for making an independent evaluation of information submitted by the 
applicant or petitioner for rulemaking or others will be included in the 
list. Where possible, the persons who are responsible for a particular 
analysis, including analyses in background papers, will be identified.

                             9. Appendices.

    An appendix to an environmental impact statement will:
    (a) Consist of material prepared in connection with an environmental 
impact statement (as distinct from material which is not so prepared and 
which is incorporated by reference (40 CFR 1502.21)).
    (b) Normally consist of material which substantiates any analysis 
fundamental to the impact statement. Discussion of methodology used may 
be placed in an appendix.
    (c) Normally be analytic.
    (d) Be relevant to the decision to be made.
    (e) Be circulated with the environmental impact statement or be 
readily available on request.

                         Discussion of Footnotes

                               1. Tiering.

    40 CFR 1502.20 states:
    ``Agencies are encouraged to tier their environmental impact 
statements to eliminate repetitive discussions of the same issues and to 
focus on the actual issues ripe for decision at each level of 
environmental review (Sec. 1508.28). Whenever a broad environmental 
impact statement has been prepared (such as a program or policy 
statement) and a subsequent statement or environmental assessment is 
then prepared on an action included within the entire program or policy 
(such as a site specific action) the subsequent statement or 
environmental assessment need only summarize the issues discussed in the 
broader statement and incorporate discussions from the broader statement 
by reference and shall concentrate on the issues specific to the 
subsequent action. The subsequent document shall state where the earlier 
document is available. Tiering may also be appropriate for different 
stages of actions. (Sec. 1508.28).''
    40 CFR 1508.28 states:
    `` `Tiering' refers to the coverage of general matters in broader 
environmental impact statements (such as national program or policy 
statements) with subsequent narrower statements or environmental 
analyses (such as regional or basinwide program statements or ultimately 
site-specific statements) incorporating by reference the general 
discussions and concentrating solely on the issues specific to the 
statement subsequently prepared. Tiering is appropriate when the 
sequence of statements or analyses is:
    ``(a) From a program, plan, or policy environmental impact statement 
to a program, plan, or policy statement or analysis of lesser scope or 
to a site-specific statement or analysis.

[[Page 47]]

    ``(b) From an environmental impact statement on a specific action at 
an early stage (such as need and site selection) to a supplement (which 
is preferred) or a subsequent statement or analysis at a later stage 
(such as environmental mitigation). Tiering in such cases is appropriate 
when it helps the lead agency to focus on the issues which are ripe for 
decision and exclude from consideration issues already decided or not 
yet ripe.''
    Incorporation by reference. 40 CFR 1502.21 states:
    ``Agencies shall incorporate material into an environmental impact 
statement by reference when the effect will be to cut down on bulk 
without impeding agency and public review of the action. The 
incorporated material shall be cited in the statement and its content 
briefly described. No material may be incorporated by reference unless 
it is reasonably available for inspection by potentially interested 
persons within the time allowed for comment. Material based on 
proprietary data which is itself not available for review and comment 
shall not be incorporated by reference.''

                              2. Adoption.

    40 CFR 1506.3 states:
    ``(a) An agency may adopt a Federal draft or final environmental 
impact statement or portion thereof provided that the statement or 
portion thereof meets the standards for an adequate statement under 
these regulations.
    ``(b) If the actions covered by the original environmental impact 
statement and the proposed action are substantially the same, the agency 
adopting another agency's statement is not required to recirculate it 
except as a final statement. Otherwise the adopting agency shall treat 
the statement as a draft and recirculate it (except as provided in 
paragraph (c) of this section).
    ``(c) A cooperating agency may adopt without recirculating the 
environmental impact statement of a lead agency when, after an 
independent review of the statement, the cooperating agency concludes 
that its comments and suggestions have been satisfied.
    ``(d) When an agency adopts a statement which is not final within 
the agency that prepared it, or when the action it assesses is the 
subject of a referral under part 1504, or when the statement's adequacy 
is the subject of a judicial action which is not final, the agency shall 
so specify.''

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28490, June 5, 1996; 61 
FR 66546, Dec. 18, 1996]

Appendix B to Subpart A of Part 51--Environmental Effect of Renewing the 
               Operating License of a Nuclear Power Plant

    The Commission has assessed the environmental impacts associated 
with granting a renewed operating license for a nuclear power plant to a 
licensee who holds either an operating license or construction permit as 
of June 30, 1995. Table B-1 summarizes the Commission's findings on the 
scope and magnitude of environmental impacts of renewing the operating 
license for a nuclear power plant as required by section 102(2) of the 
National Environmental Policy Act of 1969, as amended. Table B-1, 
subject to an evaluation of those issues identified in Category 2 as 
requiring further analysis and possible significant new information, 
represents the analysis of the environmental impacts associated with 
renewal of any operating license and is to be used in accordance with 
Sec. 51.95(c). On a 10-year cycle, the Commission intends to review the 
material in this appendix and update it if necessary. A scoping notice 
must be published in the Federal Register indicating the results of the 
NRC's review and inviting public comments and proposals for other areas 
that should be updated.

          Table B-1--Summary of Findings on NEPA Issues for License Renewal of Nuclear Power Plants \1\
----------------------------------------------------------------------------------------------------------------
                   Issue                      Category 2                        Findings 3
----------------------------------------------------------------------------------------------------------------
                           Surface Water Quality, Hydrology, and Use (for all plants)
 
----------------------------------------------------------------------------------------------------------------
Impacts of refurbishment on surface water              1  SMALL. Impacts are expected to be negligible during
 quality.                                                  refurbishment because best management practices are
                                                           expected to be employed to control soil erosion and
                                                           spills.
Impacts of refurbishment on surface water              1  SMALL. Water use during refurbishment will not
 use.                                                      increase appreciably or will be reduced during plant
                                                           outage.
Altered current patterns at intake and                 1  SMALL. Altered current patterns have not been found to
 discharge structures.                                     be a problem at operating nuclear power plants and
                                                           are not expected to be a problem during the license
                                                           renewal term.
Altered salinity gradients.................            1  SMALL. Salinity gradients have not been found to be a
                                                           problem at operating nuclear power plants and are not
                                                           expected to be a problem during the license renewal
                                                           term.
Altered thermal stratification of lakes....            1  SMALL. Generally, lake stratification has not been
                                                           found to be a problem at operating nuclear power
                                                           plants and is not expected to be a problem during the
                                                           license renewal term.

[[Page 48]]

 
Temperature effects on sediment transport              1  SMALL. These effects have not been found to be a
 capacity.                                                 problem at operating nuclear power plants and are not
                                                           expected to be a problem during the license renewal
                                                           term.
Scouring caused by discharged cooling water            1  SMALL. Scouring has not been found to be a problem at
                                                           most operating nuclear power plants and has caused
                                                           only localized effects at a few plants. It is not
                                                           expected to be a problem during the license renewal
                                                           term.
Eutrophication.............................            1  SMALL. Eutrophication has not been found to be a
                                                           problem at operating nuclear power plants and is not
                                                           expected to be a problem during the license renewal
                                                           term.
Discharge of chlorine or other biocides....            1  SMALL. Effects are not a concern among regulatory and
                                                           resource agencies, and are not expected to be a
                                                           problem during the license renewal term.
Discharge of sanitary wastes and minor                 1  SMALL. Effects are readily controlled through NPDES
 chemical spills.                                          permit and periodic modifications, if needed, and are
                                                           not expected to be a problem during the license
                                                           renewal term.
Discharge of other metals in waste water...            1  SMALL. These discharges have not been found to be a
                                                           problem at operating nuclear power plants with
                                                           cooling-tower-based heat dissipation systems and have
                                                           been satisfactorily mitigated at other plants. They
                                                           are not expected to be a problem during the license
                                                           renewal term.
Water use conflicts (plants with once-                 1  SMALL. These conflicts have not been found to be a
 through cooling systems).                                 problem at operating nuclear power plants with once-
                                                           through heat dissipation systems.
Water use conflicts (plants with cooling               2  SMALL OR MODERATE. The issue has been a concern at
 ponds or cooling towers using make-up                     nuclear power plants with cooling ponds and at plants
 water from a small river with low flow).                  with cooling towers. Impacts on instream and riparian
                                                           communities near these plants could be of moderate
                                                           significance in some situations. See Sec.
                                                           51.53(c)(3)(ii)(A).
 
----------------------------------------------------------------------------------------------------------------
                                        Aquatic Ecology (for all plants)
 
----------------------------------------------------------------------------------------------------------------
Refurbishment..............................            1  SMALL. During plant shutdown and refurbishment there
                                                           will be negligible effects on aquatic biota because
                                                           of a reduction of entrainment and impingement of
                                                           organisms or a reduced release of chemicals.
Accumulation of contaminants in sediments              1  SMALL. Accumulation of contaminants has been a concern
 or biota.                                                 at a few nuclear power plants but has been
                                                           satisfactorily mitigated by replacing copper alloy
                                                           condenser tubes with those of another metal. It is
                                                           not expected to be a problem during the license
                                                           renewal term.
Entrainment of phytoplankton and                       1  SMALL. Entrainment of phytoplankton and zooplankton
 zooplankton.                                              has not been found to be a problem at operating
                                                           nuclear power plants and is not expected to be a
                                                           problem during the license renewal term.
Cold shock.................................            1  SMALL. Cold shock has been satisfactorily mitigated at
                                                           operating nuclear plants with once-through cooling
                                                           systems, has not endangered fish populations or been
                                                           found to be a problem at operating nuclear power
                                                           plants with cooling towers or cooling ponds, and is
                                                           not expected to be a problem during the license
                                                           renewal term.
Thermal plume barrier to migrating fish....            1  SMALL. Thermal plumes have not been found to be a
                                                           problem at operating nuclear power plants and are not
                                                           expected to be a problem during the license renewal
                                                           term.
Distribution of aquatic organisms..........            1  SMALL. Thermal discharge may have localized effects
                                                           but is not expected to effect the larger geographical
                                                           distribution of aquatic organisms.
Premature emergence of aquatic insects.....            1  SMALL. Premature emergence has been found to be a
                                                           localized effect at some operating nuclear power
                                                           plants but has not been a problem and is not expected
                                                           to be a problem during the license renewal term.
Gas supersaturation (gas bubble disease)...            1  SMALL. Gas supersaturation was a concern at a small
                                                           number of operating nuclear power plants with once-
                                                           through cooling systems but has been satisfactorily
                                                           mitigated. It has not been found to be a problem at
                                                           operating nuclear power plants with cooling towers or
                                                           cooling ponds and is not expected to be a problem
                                                           during the license renewal term.
Low dissolved oxygen in the discharge......            1  SMALL. Low dissolved oxygen has been a concern at one
                                                           nuclear power plant with a once-through cooling
                                                           system but has been effectively mitigated. It has not
                                                           been found to be a problem at operating nuclear power
                                                           plants with cooling towers or cooling ponds and is
                                                           not expected to be a problem during the license
                                                           renewal term.
Losses from predation, parasitism, and                 1  SMALL. These types of losses have not been found to be
 disease among organisms exposed to                        a problem at operating nuclear power plants and are
 sublethal stresses.                                       not expected to be a problem during the license
                                                           renewal term.

[[Page 49]]

 
Stimulation of nuisance organisms (e.g.,               1  SMALL. Stimulation of nuisance organisms has been
 shipworms).                                               satisfactorily mitigated at the single nuclear power
                                                           plant with a once-through cooling system where
                                                           previously it was a problem. It has not been found to
                                                           be a problem at operating nuclear power plants with
                                                           cooling towers or cooling ponds and is not expected
                                                           to be a problem during the license renewal term.
 
----------------------------------------------------------------------------------------------------------------
            Aquatic Ecology (for plants with once-through and cooling pond heat dissipation systems)
 
----------------------------------------------------------------------------------------------------------------
Entrainment of fish and shellfish in early             2  SMALL, MODERATE, OR LARGE. The impacts of entrainment
 life stages.                                              are small at many plants but may be moderate or even
                                                           large at a few plants with once-through and cooling-
                                                           pond cooling systems. Further, ongoing efforts in the
                                                           vicinity of these plants to restore fish populations
                                                           may increase the numbers of fish susceptible to
                                                           intake effects during the license renewal period,
                                                           such that entrainment studies conducted in support of
                                                           the original license may no longer be valid. See Sec.
                                                            51.53(c)(3)(ii)(B).
Impingement of fish and shellfish..........            2  SMALL, MODERATE, OR LARGE. The impacts of impingement
                                                           are small at many plants but may be moderate or even
                                                           large at a few plants with once-through and cooling-
                                                           pond cooling systems. See Sec.  51.53(c)(3)(ii)(B).
Heat shock.................................            2  SMALL, MODERATE, OR LARGE. Because of continuing
                                                           concerns about heat shock and the possible need to
                                                           modify thermal discharges in response to changing
                                                           environmental conditions, the impacts may be of
                                                           moderate or large significance at some plants. See
                                                           Sec.  51.53(c)(3)(ii)(B).
 
----------------------------------------------------------------------------------------------------------------
                 Aquatic Ecology (for plants with cooling-tower-based heat dissipation systems)
 
----------------------------------------------------------------------------------------------------------------
Entrainment of fish and shellfish in early             1  SMALL. Entrainment of fish has not been found to be a
 life stages.                                              problem at operating nuclear power plants with this
                                                           type of cooling system and is not expected to be a
                                                           problem during the license renewal term.
Impingement of fish and shellfish..........            1  SMALL. The impingement has not been found to be a
                                                           problem at operating nuclear power plants with this
                                                           type of cooling system and is not expected to be a
                                                           problem during the license renewal term.
Heat shock.................................            1  SMALL. Heat shock has not been found to be a problem
                                                           at operating nuclear power plants with this type of
                                                           cooling system and is not expected to be a problem
                                                           during the license renewal term.
 
----------------------------------------------------------------------------------------------------------------
                                          Ground-water Use and Quality
 
----------------------------------------------------------------------------------------------------------------
Impacts of refurbishment on ground-water               1  SMALL. Extensive dewatering during the original
 use and quality.                                          construction on some sites will not be repeated
                                                           during refurbishment on any sites. Any plant wastes
                                                           produced during refurbishment will be handled in the
                                                           same manner as in current operating practices and are
                                                           not expected to be a problem during the license
                                                           renewal term.
Ground-water use conflicts (potable and                1  SMALL. Plants using less than 100 gpm are not expected
 service water; plants that use <100 gpm).                 to cause any ground-water use conflicts.
Ground-water use conflicts (potable and                2  SMALL, MODERATE, OR LARGE. Plants that use more than
 service water, and dewatering; plants that                100 gpm may cause ground-water use conflicts with
 use 100 gpm).                                  nearby ground-water users. See Sec.
                                                           51.53(c)(3)(ii)(C).
Ground-water use conflicts (plants using               2  SMALL, MODERATE, OR LARGE. Water use conflicts may
 cooling towers withdrawing make-up water                  result from surface water withdrawals from small
 from a small river).                                      water bodies during low flow conditions which may
                                                           affect aquifer recharge, especially if other ground-
                                                           water or upstream surface water users come on line
                                                           before the time of license renewal. See Sec.
                                                           51.53(c)(3)(ii)(A).
Ground-water use conflicts (Ranney wells)..            2  SMALL, MODERATE, OR LARGE. Ranney wells can result in
                                                           potential ground-water depression beyond the site
                                                           boundary. Impacts of large ground-water withdrawal
                                                           for cooling tower makeup at nuclear power plants
                                                           using Ranney wells must be evaluated at the time of
                                                           application for license renewal. See Sec.
                                                           51.53(c)(3)(ii)(C).
Ground-water quality degradation (Ranney               1  SMALL. Ground-water quality at river sites may be
 wells).                                                   degraded by induced infiltration of poor-quality
                                                           river water into an aquifer that supplies large
                                                           quantities of reactor cooling water. However, the
                                                           lower quality infiltrating water would not preclude
                                                           the current uses of ground water and is not expected
                                                           to be a problem during the license renewal term.
Ground-water quality degradation (saltwater            1  SMALL. Nuclear power plants do not contribute
 intrusion).                                               significantly to saltwater intrusion.

[[Page 50]]

 
Ground-water quality degradation (cooling              1  SMALL. Sites with closed-cycle cooling ponds may
 ponds in salt marshes).                                   degrade ground-water quality. Because water in salt
                                                           marshes is brackish, this is not a concern for plants
                                                           located in salt marshes.
Ground-water quality degradation (cooling              2  SMALL, MODERATE, OR LARGE. Sites with closed-cycle
 ponds at inland sites).                                   cooling ponds may degrade ground-water quality. For
                                                           plants located inland, the quality of the ground
                                                           water in the vicinity of the ponds must be shown to
                                                           be adequate to allow continuation of current uses.
                                                           See Sec.  51.53(c)(3)(ii)(D).
 
----------------------------------------------------------------------------------------------------------------
                                              Terrestrial Resources
 
----------------------------------------------------------------------------------------------------------------
Refurbishment impacts......................            2  SMALL, MODERATE, OR LARGE. Refurbishment impacts are
                                                           insignificant if no loss of important plant and
                                                           animal habitat occurs. However, it cannot be known
                                                           whether important plant and animal communities may be
                                                           affected until the specific proposal is presented
                                                           with the license renewal application. See Sec.
                                                           51.53(c)(3)(ii)(E).
Cooling tower impacts on crops and                     1  SMALL. Impacts from salt drift, icing, fogging, or
 ornamental vegetation.                                    increased humidity associated with cooling tower
                                                           operation have not been found to be a problem at
                                                           operating nuclear power plants and are not expected
                                                           to be a problem during the license renewal term.
Cooling tower impacts on native plants.....            1  SMALL. Impacts from salt drift, icing, fogging, or
                                                           increased humidity associated with cooling tower
                                                           operation have not been found to be a problem at
                                                           operating nuclear power plants and are not expected
                                                           to be a problem during the license renewal term.
Bird collisions with cooling towers........            1  SMALL. These collisions have not been found to be a
                                                           problem at operating nuclear power plants and are not
                                                           expected to be a problem during the license renewal
                                                           term.
Cooling pond impacts on terrestrial                    1  SMALL. Impacts of cooling ponds on terrestrial
 resources.                                                ecological resources are considered to be of small
                                                           significance at all sites.
Power line right-of-way management (cutting            1  SMALL. The impacts of right-of-way maintenance on
 and herbicide application).                               wildlife are expected to be of small significance at
                                                           all sites.
Bird collision with power lines............            1  SMALL. Impacts are expected to be of small
                                                           significance at all sites.
Impacts of electromagnetic fields on flora             1  SMALL. No significant impacts of electromagnetic
 and fauna (plants, agricultural crops,                    fields on terrestrial flora and fauna have been
 honeybees, wildlife, livestock).                          identified. Such effects are not expected to be a
                                                           problem during the license renewal term.
Floodplains and wetland on power line right            1  SMALL. Periodic vegetation control is necessary in
 of way.                                                   forested wetlands underneath power lines and can be
                                                           achieved with minimal damage to the wetland. No
                                                           significant impact is expected at any nuclear power
                                                           plant during the license renewal term.
 
----------------------------------------------------------------------------------------------------------------
                                Threatened or Endangered Species (for all plants)
 
----------------------------------------------------------------------------------------------------------------
Threatened or endangered species...........            2  SMALL, MODERATE, OR LARGE. Generally, plant
                                                           refurbishment and continued operation are not
                                                           expected to adversely affect threatened or endangered
                                                           species. However, consultation with appropriate
                                                           agencies would be needed at the time of license
                                                           renewal to determine whether threatened or endangered
                                                           species are present and whether they would be
                                                           adversely affected. See Sec.  51.53(c)(3)(ii)(E).
 
----------------------------------------------------------------------------------------------------------------
                                                   Air Quality
 
----------------------------------------------------------------------------------------------------------------
Air quality during refurbishment (non-                 2  SMALL, MODERATE, OR LARGE. Air quality impacts from
 attainment and maintenance areas).                        plant refurbishment associated with license renewal
                                                           are expected to be small. However, vehicle exhaust
                                                           emissions could be cause for concern at locations in
                                                           or near nonattainment or maintenance areas. The
                                                           significance of the potential impact cannot be
                                                           determined without considering the compliance status
                                                           of each site and the numbers of workers expected to
                                                           be employed during the outage. See Sec.
                                                           51.53(c)(3)(ii)(F).
Air quality effects of transmission lines..            1  SMALL. Production of ozone and oxides of nitrogen is
                                                           insignificant and does not contribute measurably to
                                                           ambient levels of these gases.
 
----------------------------------------------------------------------------------------------------------------
                                                    Land Use
 
----------------------------------------------------------------------------------------------------------------
Onsite land use............................            1  SMALL. Projected onsite land use changes required
                                                           during refurbishment and the renewal period would be
                                                           a small fraction of any nuclear power plant site and
                                                           would involve land that is controlled by the
                                                           applicant.

[[Page 51]]

 
Power line right of way....................            1  SMALL. Ongoing use of power line right of ways would
                                                           continue with no change in restrictions. The effects
                                                           of these restrictions are of small significance.
 
----------------------------------------------------------------------------------------------------------------
                                                  Human Health
 
----------------------------------------------------------------------------------------------------------------
Radiation exposures to the public during               1  SMALL. During refurbishment, the gaseous effluents
 refurbishment.                                            would result in doses that are similar to those from
                                                           current operation. Applicable regulatory dose limits
                                                           to the public are not expected to be exceeded.
Occupational radiation exposures during                1  SMALL. Occupational doses from refurbishment are
 refurbishment.                                            expected to be within the range of annual average
                                                           collective doses experienced for pressurized-water
                                                           reactors and boiling-water reactors. Occupational
                                                           mortality risk from all causes including radiation is
                                                           in the mid-range for industrial settings.
Microbiological organisms (occupational                1  SMALL. Occupational health impacts are expected to be
 health).                                                  controlled by continued application of accepted
                                                           industrial hygiene practices to minimize worker
                                                           exposures.
Microbiological organisms (public                      2  SMALL, MODERATE, OR LARGE. These organisms are not
 health)(plants using lakes or canals, or                  expected to be a problem at most operating plants
 cooling towers or cooling ponds that                      except possibly at plants using cooling ponds, lakes,
 discharge to a small river).                              or canals that discharge to small rivers. Without
                                                           site-specific data, it is not possible to predict the
                                                           effects generically. See Sec.  51.53(c)(3)(ii)(G).
Noise......................................            1  SMALL. Noise has not been found to be a problem at
                                                           operating plants and is not expected to be a problem
                                                           at any plant during the license renewal term.
Electromagnetic fields, acute effects                  2  SMALL, MODERATE, OR LARGE. Electrical shock resulting
 (electric shock).                                         from direct access to energized conductors or from
                                                           induced charges in metallic structures have not been
                                                           found to be a problem at most operating plants and
                                                           generally are not expected to be a problem during the
                                                           license renewal term. However, site-specific review
                                                           is required to determine the significance of the
                                                           electric shock potential at the site. See Sec.
                                                           51.53(c)(3)(ii)(H).
Electromagnetic fields, chronic effects \5\       \4\ NA  UNCERTAIN. Biological and physical studies of 60-Hz
                                                           electromagnetic fields have not found consistent
                                                           evidence linking harmful effects with field
                                                           exposures. However, research is continuing in this
                                                           area and a consensus scientific view has not been
                                                           reached.\5\
Radiation exposures to public (license                 1  SMALL. Radiation doses to the public will continue at
 renewal term).                                            current levels associated with normal operations.
Occupational radiation exposures (license              1  SMALL. Projected maximum occupational doses during the
 renewal term).                                            license renewal term are within the range of doses
                                                           experienced during normal operations and normal
                                                           maintenance outages, and would be well below
                                                           regulatory limits.
 
----------------------------------------------------------------------------------------------------------------
                                                 Socioeconomics
 
----------------------------------------------------------------------------------------------------------------
Housing impacts............................            2  SMALL, MODERATE, OR LARGE. Housing impacts are
                                                           expected to be of small significance at plants
                                                           located in a medium or high population area and not
                                                           in an area where growth control measures that limit
                                                           housing development are in effect. Moderate or large
                                                           housing impacts of the workforce associated with
                                                           refurbishment may be associated with plants located
                                                           in sparsely populated areas or in areas with growth
                                                           control measures that limit housing development. See
                                                           Sec.  51.53(c)(3)(ii)(I).
Public services: public safety, social                 1  SMALL. Impacts to public safety, social services, and
 services, and tourism and recreation.                     tourism and recreation are expected to be of small
                                                           significance at all sites.
Public services: public utilities..........            2  SMALL OR MODERATE. An increased problem with water
                                                           shortages at some sites may lead to impacts of
                                                           moderate significance on public water supply
                                                           availability. See Sec.  51.53(c)(3)(ii)(I).
Public services, education (refurbishment).            2  SMALL, MODERATE, OR LARGE. Most sites would experience
                                                           impacts of small significance but larger impacts are
                                                           possible depending on site- and project-specific
                                                           factors. See Sec.  51.53(c)(3)(ii)(I).
Public services, education (license renewal            1  SMALL. Only impacts of small significance are
 term).                                                    expected.
Offsite land use (refurbishment)...........            2  SMALL OR MODERATE. Impacts may be of moderate
                                                           significance at plants in low population areas. See
                                                           Sec.  51.53(c)(3)(ii)(I).
Offsite land use (license renewal term)....            2  SMALL, MODERATE, OR LARGE. Significant changes in land
                                                           use may be associated with population and tax revenue
                                                           changes resulting from license renewal. See Sec.
                                                           51.53(c)(3)(ii)(I).

[[Page 52]]

 
Public services, Transportation............            2  SMALL, MODERATE, OR LARGE. Transportation impacts
                                                           (level of service) of highway traffic generated
                                                           during plant refurbishment and during the term of the
                                                           renewed license are generally expected to be of small
                                                           significance. However, the increase in traffic
                                                           associated with additional workers and the local road
                                                           and traffic control conditions may lead to impacts of
                                                           moderate or large significance at some sites. See
                                                           Sec.  51.53(c)(3)(ii)(J).
Historic and archaeological resources......            2  SMALL, MODERATE, OR LARGE. Generally, plant
                                                           refurbishment and continued operation are expected to
                                                           have no more than small adverse impacts on historic
                                                           and archaeological resources. However, the National
                                                           Historic Preservation Act requires the Federal agency
                                                           to consult with the State Historic Preservation
                                                           Officer to determine whether there are properties
                                                           present that require protection. See Sec.
                                                           51.53(c)(3)(ii)(K).
Aesthetic impacts (refurbishment)..........            1  SMALL. No significant impacts are expected during
                                                           refurbishment.
Aesthetic impacts (license renewal term)...            1  SMALL. No significant impacts are expected during the
                                                           license renewal term.
Aesthetic impacts of transmission lines                1  SMALL. No significant impacts are expected during the
 (license renewal term).                                   license renewal term.
 
----------------------------------------------------------------------------------------------------------------
                                              Postulated Accidents
 
----------------------------------------------------------------------------------------------------------------
Design basis accidents.....................            1  SMALL. The NRC staff has concluded that the
                                                           environmental impacts of design basis accidents are
                                                           of small significance for all plants.
Severe accidents...........................            2  SMALL. The probability weighted consequences of
                                                           atmospheric releases, fallout onto open bodies of
                                                           water, releases to ground water, and societal and
                                                           economic impacts from severe accidents are small for
                                                           all plants. However, alternatives to mitigate severe
                                                           accidents must be considered for all plants that have
                                                           not considered such alternatives. See Sec.
                                                           51.53(c)(3)(ii)(L).
 
----------------------------------------------------------------------------------------------------------------
                                     Uranium Fuel Cycle and Waste Management
 
----------------------------------------------------------------------------------------------------------------
Offsite radiological impacts (individual               1  SMALL. Off-site impacts of the uranium fuel cycle have
 effects from other than the disposal of                   been considered by the Commission in Table S-3 of
 spent fuel and high level waste).                         this part. Based on information in the GEIS, impacts
                                                           on individuals from radioactive gaseous and liquid
                                                           releases including radon-222 and technetium-99 are
                                                           small.
 
Offsite radiological impacts (collective               1  The 100 year environmental dose commitment to the U.S.
 effects).                                                 population from the fuel cycle, high level waste and
                                                           spent fuel disposal excepted, is calculated to be
                                                           about 14,800 person rem, or 12 cancer fatalities, for
                                                           each additional 20-year power reactor operating term.
                                                           Much of this, especially the contribution of radon
                                                           releases from mines and tailing piles, consists of
                                                           tiny doses summed over large populations. This same
                                                           dose calculation can theoretically be extended to
                                                           include many tiny doses over additional thousands of
                                                           years as well as doses outside the U. S. The result
                                                           of such a calculation would be thousands of cancer
                                                           fatalities from the fuel cycle, but this result
                                                           assumes that even tiny doses have some statistical
                                                           adverse health effect which will not ever be
                                                           mitigated (for example no cancer cure in the next
                                                           thousand years), and that these doses projected over
                                                           thousands of years are meaningful. However, these
                                                           assumptions are questionable. In particular, science
                                                           cannot rule out the possibility that there will be no
                                                           cancer fatalities from these tiny doses. For
                                                           perspective, the doses are very small fractions of
                                                           regulatory limits, and even smaller fractions of
                                                           natural background exposure to the same populations.
                                                          Nevertheless, despite all the uncertainty, some
                                                           judgement as to the regulatory NEPA implications of
                                                           these matters should be made and it makes no sense to
                                                           repeat the same judgement in every case. Even taking
                                                           the uncertainties into account, the Commission
                                                           concludes that these impacts are acceptable in that
                                                           these impacts would not be sufficiently large to
                                                           require the NEPA conclusion, for any plant, that the
                                                           option of extended operation under 10 CFR Part 54
                                                           should be eliminated. Accordingly, while the
                                                           Commission has not assigned a single level of
                                                           significance for the collective effects of the fuel
                                                           cycle, this issue is considered Category 1.

[[Page 53]]

 
 
Offsite radiological impacts (spent fuel               1  For the high level waste and spent fuel disposal
 and high level waste disposal).                           component of the fuel cycle, there are no current
                                                           regulatory limits for offsite releases of
                                                           radionuclides for the current candidate repository
                                                           site. However, if we assume that limits are developed
                                                           along the lines of the 1995 National Academy of
                                                           Sciences (NAS) report, ``Technical Bases for Yucca
                                                           Mountain Standards,'' and that in accordance with the
                                                           Commission's Waste Confidence Decision, 10 CFR 51.23,
                                                           a repository can and likely will be developed at some
                                                           site which will comply with such limits, peak doses
                                                           to virtually all individuals will be 100 millirem per
                                                           year or less. However, while the Commission has
                                                           reasonable confidence that these assumptions will
                                                           prove correct, there is considerable uncertainty
                                                           since the limits are yet to be developed, no
                                                           repository application has been completed or
                                                           reviewed, and uncertainty is inherent in the models
                                                           used to evaluate possible pathways to the human
                                                           environment. The NAS report indicated that 100
                                                           millirem per year should be considered as a starting
                                                           point for limits for individual doses, but notes that
                                                           some measure of consensus exists among national and
                                                           international bodies that the limits should be a
                                                           fraction of the 100 millirem per year. The lifetime
                                                           individual risk from 100 millirem annual dose limit
                                                           is about 3 x 10-3.
 
                                                          Estimating cumulative doses to populations over
                                                           thousands of years is more problematic. The
                                                           likelihood and consequences of events that could
                                                           seriously compromise the integrity of a deep geologic
                                                           repository were evaluated by the Department of Energy
                                                           in the ``Final Environmental Impact Statement:
                                                           Management of Commercially Generated Radioactive
                                                           Waste,'' October 1980. The evaluation estimated the
                                                           70-year whole-body dose commitment to the maximum
                                                           individual and to the regional population resulting
                                                           from several modes of breaching a reference
                                                           repository in the year of closure, after 1,000 years,
                                                           after 100,000 years, and after 100,000,000 years.
                                                           Subsequently, the NRC and other federal agencies have
                                                           expended considerable effort to develop models for
                                                           the design and for the licensing of a high level
                                                           waste repository, especially for the candidate
                                                           repository at Yucca Mountain. More meaningful
                                                           estimates of doses to population may be possible in
                                                           the future as more is understood about the
                                                           performance of the proposed Yucca Mountain
                                                           repository. Such estimates would involve very great
                                                           uncertainty, especially with respect to cumulative
                                                           population doses over thousands of years. The
                                                           standard proposed by the NAS is a limit on maximum
                                                           individual dose. The relationship of potential new
                                                           regulatory requirements, based on the NAS report, and
                                                           cumulative population impacts has not been
                                                           determined, although the report articulates the view
                                                           that protection of individuals will adequately
                                                           protect the population for a repository at Yucca
                                                           Mountain. However, EPA's generic repository standards
                                                           in 40 CFR part 191 generally provide an indication of
                                                           the order of magnitude of cumulative risk to
                                                           population that could result from the licensing of a
                                                           Yucca Mountain repository, assuming the ultimate
                                                           standards will be within the range of standards now
                                                           under consideration. The standards in 40 CFR part 191
                                                           protect the population by imposing ``containment
                                                           requirements'' that limit the cumulative amount of
                                                           radioactive material released over 10,000 years.
                                                           Reporting performance standards that will be required
                                                           by EPA are expected to result in releases and
                                                           associated health consequences in the range between
                                                           10 and 100 premature cancer deaths with an upper
                                                           limit of 1,000 premature cancer deaths world-wide for
                                                           a 100,000 metric tonne (MTHM) repository.
                                                          Nevertheless, despite all the uncertainty, some
                                                           judgement as to the regulatory NEPA implications of
                                                           these matters should be made and it makes no sense to
                                                           repeat the same judgement in every case. Even taking
                                                           the uncertainties into account, the Commission
                                                           concludes that these impacts are acceptable in that
                                                           these impacts would not be sufficiently large to
                                                           require the NEPA conclusion, for any plant, that the
                                                           option of extended operation under 10 CFR part 54
                                                           should be eliminated. Accordingly, while the
                                                           Commission has not assigned a single level of
                                                           significance for the impacts of spent fuel and high
                                                           level waste disposal, this issue is considered
                                                           Category 1.
Nonradiological impacts of the uranium fuel            1  SMALL. The nonradiological impacts of the uranium fuel
 cycle.                                                    cycle resulting from the renewal of an operating
                                                           license for any plant are found to be small.

[[Page 54]]

 
Low-level waste storage and disposal.......            1  SMALL. The comprehensive regulatory controls that are
                                                           in place and the low public doses being achieved at
                                                           reactors ensure that the radiological impacts to the
                                                           environment will remain small during the term of a
                                                           renewed license. The maximum additional on-site land
                                                           that may be required for low-level waste storage
                                                           during the term of a renewed license and associated
                                                           impacts will be small. Nonradiological impacts on air
                                                           and water will be negligible. The radiological and
                                                           nonradiological environmental impacts of long-term
                                                           disposal of low-level waste from any individual plant
                                                           at licensed sites are small. In addition, the
                                                           Commission concludes that there is reasonable
                                                           assurance that sufficient low-level waste disposal
                                                           capacity will be made available when needed for
                                                           facilities to be decommissioned consistent with NRC
                                                           decommissioning requirements.
Mixed waste storage and disposal...........            1  SMALL. The comprehensive regulatory controls and the
                                                           facilities and procedures that are in place ensure
                                                           proper handling and storage, as well as negligible
                                                           doses and exposure to toxic materials for the public
                                                           and the environment at all plants. License renewal
                                                           will not increase the small, continuing risk to human
                                                           health and the environment posed by mixed waste at
                                                           all plants. The radiological and nonradiological
                                                           environmental impacts of long-term disposal of mixed
                                                           waste from any individual plant at licensed sites are
                                                           small. In addition, the Commission concludes that
                                                           there is reasonable assurance that sufficient mixed
                                                           waste disposal capacity will be made available when
                                                           needed for facilities to be decommissioned consistent
                                                           with NRC decommissioning requirements.
On-site spent fuel.........................            1  SMALL. The expected increase in the volume of spent
                                                           fuel from an additional 20 years of operation can be
                                                           safely accommodated on site with small environmental
                                                           effects through dry or pool storage at all plants if
                                                           a permanent repository or monitored retrievable
                                                           storage is not available.
Nonradiological waste......................            1  SMALL. No changes to generating systems are
                                                           anticipated for license renewal. Facilities and
                                                           procedures are in place to ensure continued proper
                                                           handling and disposal at all plants.
Transportation.............................            1  SMALL. The impacts of transporting spent fuel enriched
                                                           up to 5 percent uranium-235 with average burnup for
                                                           the peak rod to current levels approved by NRC up to
                                                           62,000 MWd/MTU and the cumulative impacts of
                                                           transporting high-level waste to a single repository,
                                                           such as Yucca Mountain, Nevada are found to be
                                                           consistent with the impact values contained in 10 CFR
                                                           51.52(c), Summary Table S-4--Environmental Impact of
                                                           Transportation of Fuel and Waste to and from One
                                                           Light-Water-Cooled Nuclear Power Reactor. If fuel
                                                           enrichment or burnup conditions are not met, the
                                                           applicant must submit an assessment of the
                                                           implications for the environmental impact values
                                                           reported in Sec.  51.52.
 
----------------------------------------------------------------------------------------------------------------
                                                 Decommissioning
 
----------------------------------------------------------------------------------------------------------------
Radiation doses............................            1  SMALL. Doses to the public will be well below
                                                           applicable regulatory standards regardless of which
                                                           decommissioning method is used. Occupational doses
                                                           would increase no more than 1 man-rem caused by
                                                           buildup of long-lived radionuclides during the
                                                           license renewal term.
Waste management...........................            1  SMALL. Decommissioning at the end of a 20-year license
                                                           renewal period would generate no more solid wastes
                                                           than at the end of the current license term. No
                                                           increase in the quantities of Class C or greater than
                                                           Class C wastes would be expected.
Air quality................................            1  SMALL. Air quality impacts of decommissioning are
                                                           expected to be negligible either at the end of the
                                                           current operating term or at the end of the license
                                                           renewal term.
Water quality..............................            1  SMALL. The potential for significant water quality
                                                           impacts from erosion or spills is no greater whether
                                                           decommissioning occurs after a 20-year license
                                                           renewal period or after the original 40-year
                                                           operation period, and measures are readily available
                                                           to avoid such impacts.
Ecological resources.......................            1  SMALL. Decommissioning after either the initial
                                                           operating period or after a 20-year license renewal
                                                           period is not expected to have any direct ecological
                                                           impacts.
Socioeconomic impacts......................            1  SMALL. Decommissioning would have some short-term
                                                           socioeconomic impacts. The impacts would not be
                                                           increased by delaying decommissioning until the end
                                                           of a 20-year relicense period, but they might be
                                                           decreased by population and economic growth.
 
----------------------------------------------------------------------------------------------------------------

[[Page 55]]

 
                                              Environmental Justice
 
----------------------------------------------------------------------------------------------------------------
Environmental justice \6\..................       \4\ NA  NONE. The need for and the content of an analysis of
                                                           environmental justice will be addressed in plant-
                                                           specific reviews.\6\
----------------------------------------------------------------------------------------------------------------
\1\ Data supporting this table are contained in NUREG-1437, ``Generic Environmental Impact Statement for License
  Renewal of Nuclear Plants'' (May 1996) and NUREG-1437, Vol. 1, Addendum 1, ``Generic Environmental Impact
  Statement for License Renewal of Nuclear Plants: Main Report Section 6.3--`Transportation,' Table 9.1 `Summary
  of findings on NEPA issues for license renewal of nuclear power plants,' Final Report'' (August 1999).
\2\ The numerical entries in this column are based on the following category definitions:
Category 1: For the issue, the analysis reported in the Generic Environmental Impact Statement has shown:
(1) The environmental impacts associated with the issue have been determined to apply either to all plants or,
  for some issues, to plants having a specific type of cooling system or other specified plant or site
  characteristic;
(2) A single significance level (i.e., small, moderate, or large) has been assigned to the impacts (except for
  collective off site radiological impacts from the fuel cycle and from high level waste and spent fuel
  disposal); and
(3) Mitigation of adverse impacts associated with the issue has been considered in the analysis, and it has been
  determined that additional plant-specific mitigation measures are likely not to be sufficiently beneficial to
  warrant implementation.
The generic analysis of the issue may be adopted in each plant-specific review.
Category 2: For the issue, the analysis reported in the Generic Environmental Impact Statement has shown that
  one or more of the criteria of Category 1 cannot be met, and therefore additional plant-specific review is
  required.
\3\ The impact findings in this column are based on the definitions of three significance levels. Unless the
  significance level is identified as beneficial, the impact is adverse, or in the case of ``small,'' may be
  negligible. The definitions of significance follow:
SMALL--For the issue, environmental effects are not detectable or are so minor that they will neither
  destabilize nor noticeably alter any important attribute of the resource. For the purposes of assessing
  radiological impacts, the Commission has concluded that those impacts that do not exceed permissible levels in
  the Commission's regulations are considered small as the term is used in this table.
MODERATE--For the issue, environmental effects are sufficient to alter noticeably, but not to destabilize,
  important attributes of the resource.
LARGE--For the issue, environmental effects are clearly noticeable and are sufficient to destabilize important
  attributes of the resource.
For issues where probability is a key consideration (i.e., accident consequences), probability was a factor in
  determining significance.
\4\ NA (not applicable). The categorization and impact finding definitions do not apply to these issues.
\5\ If, in the future, the Commission finds that, contrary to current indications, a consensus has been reached
  by appropriate Federal health agencies that there are adverse health effects from electromagnetic fields, the
  Commission will require applicants to submit plant-specific reviews of these health effects as part of their
  license renewal applications. Until such time, applicants for license renewal are not required to submit
  information on this issue.
\6\ Environmental Justice was not addressed in NUREG-1437, ``Generic Environmental Impact Statement for License
  Renewal of Nuclear Plants,'' because guidance for implementing Executive Order 12898 issued on February 11,
  1994, was not available prior to completion of NUREG-1437. This issue will be addressed in individual license
  renewal reviews.


[61 FR 66546, Dec. 18, 1996, as amended at 62 FR 59276, Nov. 3, 1997; 64 
FR 48507, Sept. 3, 1999; 66 FR 39278, July 30, 2001]



PART 52--EARLY SITE PERMITS; STANDARD DESIGN CERTIFICATIONS; AND COMBINED LICENSES FOR NUCLEAR POWER PLANTS--Table of Contents




                           General Provisions

Sec.
52.1  Scope.
52.3  Definitions.
52.5  Interpretations.
52.8  Information collection requirements: OMB approval.
52.9  Deliberate misconduct.

                      Subpart A--Early Site Permits

52.11  Scope of subpart.
52.13  Relationship to subpart F of 10 CFR part 2 and appendix Q of this 
          part.
52.15  Filing of applications.
52.17  Contents of applications.
52.18  Standards for review of applications.
52.19  Permit and renewal fees.
52.21  Hearings.
52.23  Referral to the ACRS.
52.24  Issuance of early site permit.
52.25  Extent of activities permitted.
52.27  Duration of permit.
52.29  Application for renewal.
52.31  Criteria for renewal.
52.33  Duration of renewal.
52.35  Use of site for other purposes.
52.37  Reporting of defects and noncompliance; revocation, suspension, 
          modification of permits for cause.
52.39  Finality of early site permit determinations.

                Subpart B--Standard Design Certifications

52.41  Scope of subpart.
52.43  Relationship to appendices M, N, and O of this part.
52.45  Filing of applications.
52.47  Contents of applications.
52.48  Standards for review of applications.
52.49  Fees for review of applications.
52.51  Administrative review of applications.
52.53  Referral to the ACRS.

[[Page 56]]

52.54  Issuance of standard design certification.
52.55  Duration of certification.
52.57  Application for renewal.
52.59  Criteria for renewal.
52.61  Duration of renewal.
52.63  Finality of standard design certifications.

                      Subpart C--Combined Licenses

52.71  Scope of subpart.
52.73  Relationship to subparts A and B.
52.75  Filing of applications.
52.77  Contents of applications; general information.
52.78  Contents of applications; training and qualification of nuclear 
          power plant personnel.
52.79  Contents of applications; technical information.
52.81  Standards for review of applications.
52.83  Applicability of part 50 provisions.
52.85  Administrative review of applications.
52.87  Referral to the ACRS.
52.89  Environmental review.
52.91  Authorization to conduct site activities.
52.93  Exemptions and variances.
52.97  Issuance of combined licenses.
52.99  Inspection during construction.
52.103  Operation under a combined license.

                          Subpart D--Violations

52.111  Violations.
52.113  Criminal penalties.

Appendix A to Part 52--Design Certification Rule for the U.S. Advanced 
          Boiling Water Reactor
Appendix B to Part 52--Design Certification Rule for the System 80+ 
          Design
Appendix C to Part 52--Design Certification Rule for the AP600 Design
Appendixes D-L to Part 52 [Reserved]
Appendix M to Part 52--Standardization of Design; Manufacture of Nuclear 
          Power Reactors; Construction and Operation of Nuclear Power 
          Reactors Manufactured Pursuant to Commission License
Appendix N to Part 52--Standardization of Nuclear Power Plant Designs: 
          Licenses to Construct and Operate Nuclear Power Reactors of 
          Duplicate Design at Multiple Sites
Appendix O to Part 52--Standardization of Design: Staff Review of 
          Standard Designs
Appendix P to Part 52  [Reserved]
Appendix Q to Part 52--Pre-Application Early Review of Site Suitability 
          Issues

    Authority: Secs. 103, 104, 161, 182, 183, 186, 189, 68 Stat. 936, 
948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 444, as amended 
(42 U.S.C. 2133, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, 202, 
206, 88 Stat. 1242, 1244, 1246, as amended (42 U.S.C. 5841, 5842, 5846).

    Source: 54 FR 15386, Apr. 18, 1989, unless otherwise noted.

                           General Provisions



Sec. 52.1  Scope.

    This part governs the issuance of early site permits, standard 
design certifications, and combined licenses for nuclear power 
facilities licensed under Section 103 or 104b of the Atomic Energy Act 
of 1954, as amended (68 Stat. 919), and Title II of the Energy 
Reorganization Act of 1974 (88 Stat. 1242). This part also gives notice 
to all persons who knowingly provide to any holder of or applicant for 
an early site permit, standard design certification, or combined 
license, or to a contractor, subcontractor, or consultant of any of 
them, components, equipment, materials, or other goods or services, that 
relate to the activities of a holder of or applicant for an early site 
permit, standard design certification, or combined license, subject to 
this part, that they may be individually subject to NRC enforcement 
action for violation of Sec. 52.9.

[63 FR 1897, Jan. 13, 1998]



Sec. 52.3  Definitions.

    As used in this part,
    (a) Combined license means a combined construction permit and 
operating license with conditions for a nuclear power facility issued 
pursuant to subpart C of this part.
    (b) Early site permit means a Commission approval, issued pursuant 
to subpart A of this part, for a site or sites for one or more nuclear 
power facilities.
    (c) Standard design means a design which is sufficiently detailed 
and complete to support certification in accordance with subpart B of 
this part, and which is usable for a multiple number of units or at a 
multiple number of sites without reopening or repeating the review.
    (d) Standard design certification, design certification, or 
certification means a Commission approval, issued pursuant to subpart B 
of this part, of a standard design for a nuclear power facility. A

[[Page 57]]

design so approved may be referred to as a certified standard design.
    (e) All other terms in this part have the meaning set out in 10 CFR 
50.2, or section 11 of the Atomic Energy Act, as applicable.



Sec. 52.5  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. 52.8  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0151.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 52.15, 52.17, 52.29, 52.35, 52.45, 52.47, 
52.57, 52.63, 52.75, 52.77, 52.78, 52.79, 52.91, 52.99, and appendices 
A, B. and C to this part.

[62 FR 52188, Oct. 6, 1997, as amended at 64 FR 72015, Dec. 23, 1999; 67 
FR 67100, Nov. 4, 2002]



Sec. 52.9  Deliberate misconduct.

    (a) Any holder of, or applicant for, an early site permit, standard 
design certification, or combined license, including its employees, 
contractors, subcontractors, or consultants and their employees, who 
knowingly provides to any holder of, or applicant for, an early site 
permit, standard design certification, or combined license, or to a 
contractor, subcontractor or consultant of any of them, equipment, 
materials, or other goods or services that relate to the activities of a 
holder of, or applicant for, an early site permit, standard design 
certification or combined license in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a holder of, or applicant for, an early site 
permit, standard design certification, or combined license, to be in 
violation of any rule, regulation, or order; or any term, condition, or 
limitation of any permit, certification or license issued by the 
Commission; or
    (2) Deliberately submit to the NRC, a holder of, or applicant for, 
an early site permit, standard design certification, or combined 
license, or a contractor, subcontractor, or consultant of any of them, 
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 the 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 holder of, or applicant for, an early site permit, 
standard design certification, or combined license, 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 holder of, or 
applicant for, an early site permit, certified design or combined 
license, or a contractor or subcontractor of any of them.

[63 FR 1897, Jan. 13, 1998]



                      Subpart A--Early Site Permits



Sec. 52.11  Scope of subpart.

    This subpart sets out the requirements and procedures applicable to 
Commission issuance of early site permits for approval of a site or 
sites for one or more nuclear power facilities separate from the filing 
of an application for a construction permit or combined license for such 
a facility.

[[Page 58]]



Sec. 52.13  Relationship to subpart F of 10 CFR part 2 and appendix Q of this part.

    The procedures of this subpart do not replace those set out in 
subpart F of 10 CFR part 2 or appendix Q of this part. Subpart F applies 
only when early review of site suitability issues is sought in 
connection with an appliction for a permit to construct certain power 
facilities. Appendix Q applies only when NRC staff review of one or more 
site suitability issues is sought separately from and prior to the 
submittal of a construction permit. A Staff Site Report issued under 
appendix Q in no way affects the authority of the Commission or the 
presiding officer in any proceeding under subpart F or G of 10 CFR part 
2. Subpart A applies when any person who may apply for a construction 
permit under 10 CFR part 50 or for a combined license under 10 CFR part 
52 seeks an early site permit from the Commission separately from an 
application for a construction permit or a combined license for a 
facility.



Sec. 52.15  Filing of applications.

    (a) Any person who may apply for a construction permit under 10 CFR 
part 50, or for a combined license under 10 CFR part 52, may file with 
the Director of Nuclear Reactor Regulation an application for an early 
site permit. An application for an early site permit may be filed 
notwithstanding the fact that an application for a construction permit 
or a combined license has not been filed in connection with the site or 
sites for which a permit is sought.
    (b) The application must comply with the filing requirements of 10 
CFR 50.30 (a), (b), and (f) as they would apply to an application for a 
construction permit. The following portions of Sec. 50.4, which is 
referenced by Sec. 50.30(a)(1), are applicable: paragraphs (a), (b) (1)-
(3), (c), (d), and (e).



Sec. 52.17  Contents of applications.

    (a)(1) The application must contain the information required by 
Sec. 50.33 (a) through (d), the information required by Sec. 50.34 
(a)(12) and (b)(10), and to the extent approval of emergency plans is 
sought under paragraph (b)(2)(ii) of this section, the information 
required by Sec. 50.33 (g) and (j), and Sec. 50.34 (b)(6)(v) of this 
chapter. The application must also contain a description and safety 
assessment of the site on which the facility is to be located. The 
assessment must contain an analysis and evaluation of the major 
structures, systems, and components of the facility that bear 
significantly on the acceptability of the site under the radiological 
consequence evaluation factors identified in Sec. 50.34(a)(1) of this 
chapter. Site characteristics must comply with part 100 of this chapter. 
In addition, the application should describe the following:
    (i) The number, type, and thermal power level of the facilities for 
which the site may be used;
    (ii) The boundaries of the site;
    (iii) The proposed general location of each facility on the site;
    (iv) The anticipated maximum levels of radiological and thermal 
effluents each facility will produce;
    (v) The type of cooling systems, intakes, and outflows that may be 
associated with each facility;
    (vi) The seismic, meteorological, hydrologic, and geologic 
characteristics of the proposed site;
    (vii) The location and description of any nearby industrial, 
military, or transportation facilities and routes; and
    (viii) The existing and projected future population profile of the 
area surrounding the site.
    (2) A complete environmental report as required by 10 CFR 51.45 and 
51.50 must be included in the application, provided, however, that such 
environmental report must focus on the environmental effects of 
construction and operation of a reactor, or reactors, which have 
characteristics that fall within the postulated site parameters, and 
provided further that the report need not include an assessment of the 
benefits (for example, need for power) of the proposed action, but must 
include an evaluation of alternative sites to determine whether there is 
any obviously superior alternative to the site proposed.
    (b)(1) The application must identify physical characteristics unique 
to the proposed site, such as egress limitations from the area 
surrounding the

[[Page 59]]

site, that could pose a significant impediment to the development of 
emergency plans.
    (2) The application may also either:
    (i) Propose major features of the emergency plans, such as the exact 
sizes of the emergency planning zones, that can be reviewed and approved 
by NRC in consultation with FEMA in the absence of complete and 
integrated emergency plans; or
    (ii) Propose complete and integrated emergency plans for review and 
approval by the NRC, in consultation with the Federal Emergency 
Management Agency, in accord with the applicable provisions of 10 CFR 
50.47.
    (3) Under paragraphs (b) (1) and (2)(i) of this section, the 
application must include a description of contacts and arrangements made 
with local, state, and federal governmental agencies with emergency 
planning responsibilities. Under the option set forth in paragraph 
(b)(2)(ii) of this section, the applicant shall make good faith efforts 
to obtain from the same governmental agencies certifications that: (i) 
The proposed emergency plans are practicable; (ii) These agencies are 
committed to participating in any further development of the plans, 
including any required field demonstrations, and (iii) that these 
agencies are committed to executing their responsibilities under the 
plans in the event of an emergency. The application must contain any 
certifications that have been obtained. If these certifications cannot 
be obtained, the application must contain information, including a 
utility plan, sufficient to show that the proposed plans nonetheless 
provide reasonable assurance that adequate protective measures can and 
will be taken, in the event of a radiological emergency at the site.
    (c) If the applicant wishes to be able to perform, after grant of 
the early site permit, the activities at the site allowed by 10 CFR 
50.10(e)(1) without first obtaining the separate authorization required 
by that section, the applicant shall propose, in the early site permit, 
a plan for redress of the site in the event that the activities are 
performed and the site permit expires before it is referenced in an 
application for a construction permit or a combined license issued under 
subpart C of this part. The application must demonstrate that there is 
reasonable assurance that redress carried out under the plan will 
achieve an environmentally stable and aesthetically acceptable site 
suitable for whatever non-nuclear use may conform with local zoning 
laws.

[54 FR 15386, Sept. 18, 1989, as amended at 61 FR 65175, Dec. 11, 1996]



Sec. 52.18  Standards for review of applications.

    Applications filed under this subpart will be reviewed according to 
the applicable standards set out in 10 CFR part 50 and its appendices 
and part 100 as they apply to applications for construction permits for 
nuclear power plants. In particular, the Commission shall prepare an 
environmental impact statement during review of the application, in 
accordance with the applicable provisions of 10 CFR part 51, provided, 
however, that the draft and final environmental impact statements 
prepared by the Commission focus on the environmental effects of 
construction and operation of a reactor, or reactors, which have 
characteristics that fall within the postulated site parameters, and 
provided further that the statements need not include an assessment of 
the benefits (for example, need for power) of the proposed action, but 
must include an evaluation of alternative sites to determine whether 
there is any obviously superior alternative to the site proposed. The 
Commission shall determine, after consultation with the Federal 
Emergency Management Agency, whether the information required of the 
applicant by Sec. 52.17(b)(1) shows that there is no significant 
impediment to the development of emergency plans, whether any major 
features of emergency plans submitted by the applicant under 
Sec. 52.17(b)(2)(i) are acceptable, and whether any emergency plans 
submitted by the applicant under Sec. 52.17(b)(2)(ii) provide reasonable 
assurance that adequate protective measures can and will be taken in the 
event of a radiological emergency.



Sec. 52.19  Permit and renewal fees.

    The fees charged for the review of an application for the initial 
issuance or

[[Page 60]]

renewal of an early site permit are set forth in 10 CFR 170.21 and shall 
be paid in accordance with 10 CFR 170.12.

[56 FR 31499, July 10, 1991]



Sec. 52.21  Hearings.

    An early site permit is a partial construction permit and is 
therefore subject to all procedural requirements in 10 CFR part 2 which 
are applicable to construction permits, including the requirements for 
docketing in Secs. 2.101(a) (1)-(4), and the requirements for issuance 
of a notice of hearing in Secs. 2.104 (a), (b)(1) (iv) and (v), (b)(2) 
to the extent it runs parallel to (b)(1) (iv) and (v), and (b)(3), 
provided that the designated sections may not be construed to require 
that the environmental report or draft or final environmental impact 
statement include an assessment of the benefits of the proposed action. 
In the hearing, the presiding officer shall also determine whether, 
taking into consideration the site criteria contained in 10 CFR part 
100, a reactor, or reactors, having characteristics that fall within the 
parameters for the site can be constructed and operated without undue 
risk to the health and safety of the public. All hearings conducted on 
applications for early site permits filed under this part are governed 
by the procedures contained in subpart G of part 2.



Sec. 52.23  Referral to the ACRS.

    The Commission shall refer a copy of the application to the Advisory 
Committee on Reactor Safeguards (ACRS). The ACRS shall report on those 
portions of the application which concern safety.



Sec. 52.24  Issuance of early site permit.

    After conducting a hearing under Sec. 52.21 of this subpart and 
receiving the report to be submitted by the Advisory Committee on 
Reactor Safeguards under Sec. 52.23 of this subpart, and upon 
determining that an application for an early site permit meets the 
applicable standards and requirements of the Atomic Energy Act and the 
Commission's regulations, and that notifications, if any, to other 
agencies or bodies have been duly made, the Commission shall issue an 
early site permit, in the form and containing the conditions and 
limitations, as the Commission deems appropriate and necessary.



Sec. 52.25  Extent of activities permitted.

    (a) If an early site permit contains a site redress plan, the holder 
of the permit, or the applicant for a construction permit or combined 
license who references the permit, may perform the activities at the 
site allowed by 10 CFR 50.10(e)(1) without first obtaining the separate 
authorization required by that section, provided that the final 
environmental impact statement prepared for the permit has concluded 
that the activities will not result in any significant adverse 
environmental impact which cannot be redressed.
    (b) If the activities permitted by paragraph (a) of this section are 
performed at any site for which an early site permit has been granted, 
and the site is not referenced in an application for a construction 
permit or a combined license issued under subpart C of this part while 
the permit remains valid, then the early site permit must remain in 
effect solely for the purpose of site redress, and the holder of the 
permit shall redress the site in accordance with the terms of the site 
redress plan required by Sec. 52.17(c). If, before redress is complete, 
a use not envisaged in the redress plan is found for the site or parts 
thereof, the holder of the permit shall carry out the redress plan to 
the greatest extent possible consistent with the alternate use.



Sec. 52.27  Duration of permit.

    (a) Except as provided in paragraph (b) of this section, an early 
site permit issued under this subpart may be valid for not less than ten 
nor more than twenty years from the date of issuance.
    (b)(1) An early site permit continues to be valid beyond the date of 
expiration in any proceeding on a construction permit application or a 
combined license application which references the early site permit and 
is docketed either before the date of expiration of the early site 
permit, or, if a timely application for renewal of the permit has been 
filed, before the Commission has determined whether to renew the permit.

[[Page 61]]

    (2) An early site permit also continues to be valid beyond the date 
of expiration in any proceeding on an operating license application 
which is based on a construction permit which references the early site 
permit, and in any hearing held under Sec. 52.103 of this part before 
operation begins under a combined license which references the early 
site permit.
    (c) An applicant for a construction permit or combined license may, 
at its own risk, reference in its application a site for which an early 
site permit application has been docketed but not granted.



Sec. 52.29  Application for renewal.

    (a) Not less than twelve nor more than thirty-six months prior to 
the end of the initial twenty-year period, or any later renewal period, 
the permit holder may apply for a renewal of the permit. An application 
for renewal must contain all information necessary to bring up to date 
the information and data contained in the previous application.
    (b) Any person whose interests may be affected by renewal of the 
permit may request a hearing on the application for renewal. The request 
for a hearing must comply with 10 CFR 2.714. If a hearing is granted, 
notice of the hearing will be published in accordance with 10 CFR 2.703.
    (c) An early site permit, either original or renewed, for which a 
timely application for renewal has been filed, remains in effect until 
the Commission has determined whether to renew the permit. If the permit 
is not renewed, it continues to be valid in certain proceedings in 
accordance with the provisions of Sec. 52.27(b).
    (d) The Commission shall refer a copy of the application for renewal 
to the Advisory Committee on Reactor Safeguards (ACRS). The ACRS shall 
report on those portions of the application which concern safety and 
shall apply the criteria set forth in Sec. 52.31.



Sec. 52.31  Criteria for renewal.

    (a) The Commission shall grant the renewal if the Commission 
determines that the site complies with the Atomic Energy Act and the 
Commission's regulations and orders applicable and in effect at the time 
the site permit was originally issued, and any new requirements the 
Commission may wish to impose after a determination that there is a 
substantial increase in overall protection of the public health and 
safety or the common defense and security to be derived from the new 
requirements and that the direct and indirect costs of implementation of 
those requirements are justified in view of this increased protection.
    (b) A denial of renewal on this basis does not bar the permit holder 
or another applicant from filing a new application for the site which 
proposes changes to the site or the way in which it is used which 
correct the deficiencies cited in the denial of the renewal.



Sec. 52.33  Duration of renewal.

    Each renewal of an early site permit may be for not less than ten 
nor more than twenty years.



Sec. 52.35  Use of site for other purposes.

    A site for which an early site permit has been issued under this 
subpart may be used for purposes other than those described in the 
permit, including the location of other types of energy facilities. The 
permit holder shall inform the Director of Nuclear Reactor Regulation of 
any significant uses for the site which have not been approved in the 
early site permit. The information about the activities must be given to 
the Director in advance of any actual construction or site modification 
for the activities. The information provided could be the basis for 
imposing new requirements on the permit, in accordance with the 
provisions of Sec. 52.39. If the permit holder informs the Director that 
the holder no longer intends to use the site for a nuclear power plant, 
the Director shall terminate the permit.



Sec. 52.37  Reporting of defects and noncompliance; revocation, suspension, modification of permits for cause.

    For purposes of part 21 and 10 CFR 50.100, an early site permit is a 
construction permit.

[[Page 62]]



Sec. 52.39  Finality of early site permit determinations.

    (a)(1) Notwithstanding any provision in 10 CFR 50.109, while an 
early site permit is in effect under Secs. 52.27 or 52.33 the Commission 
may not impose new requirements, including new emergency planning 
requirements, on the early site permit or the site for which it was 
issued, unless the Commission determines that a modification is 
necessary either to bring the permit or the site into compliance with 
the Commission's regulations and orders applicable and in effect at the 
time the permit was issued, or to assure adequate protection of the 
public health and safety or the common defense and security.
    (2) In making the findings required for issuance of a construction 
permit, operating license, or combined license, or the findings required 
by Sec. 52.103 of this part, if the application for the construction 
permit, operating license, or combined license references an early site 
permit, the Commission shall treat as resolved those matters resolved in 
the proceeding on the application for issuance or renewal of the early 
site permit, unless a contention is admitted that a reactor does not fit 
within one or more of the site parameters included in the site permit, 
or a petition is filed which alleges either that the site is not in 
compliance with the terms of the early site permit, or that the terms 
and conditions of the early site permit should be modified.
    (i) A contention that a reactor does not fit within one or more of 
the site parameters included in the site permit may be litigated in the 
same manner as other issues material to the proceeding.
    (ii) A petition which alleges that the site is not in compliance 
with the terms of the early site permit must include, or clearly 
reference, official NRC documents, documents prepared by or for the 
permit holder, or evidence admissible in a proceeding under subpart G of 
part 2, which show, prima facie, that the acceptance criteria have not 
been met. The permit holder and NRC staff may file answers to the 
petition within the time specified in 10 CFR 2.730 for answers to 
motions by parties and staff. If the Commission, in its judgment, 
decides, on the basis of the petitions and any answers thereto, that the 
petition meets the requirements of this paragraph, that the issues are 
not exempt from adjudication under 5 U.S.C. 554(a)(3), that genuine 
issues of material fact are raised, and that settlement or other 
informal resolution of the issues is not possible, then the genuine 
issues of material fact raised by the petition must be resolved in 
accordance with the provisions in 554, 556, and 557 which are applicable 
to determining application for initial licenses.
    (iii) A petition which alleges that the terms and conditions of the 
early site permit should be modified will be processed in accord with 10 
CFR 2.206. Before construction commences, the Commission shall consider 
the petition and determine whether any immediate action is required. If 
the petition is granted, then an appropriate order will be issued. 
Construction under the construction permit or combined license will not 
be affected by the granting of the petition unless the order is made 
immediately effective.
    (iv) Prior to construction, the Commission shall find that the terms 
of the early site permit have been met.
    (b) An applicant for a construction permit, operating license, or 
combined license who has filed an application referencing an early site 
permit issued under this subpart may include in the application a 
request for a variance from one or more elements of the permit. In 
determining whether to grant the variance, the Commission shall apply 
the same technically relevant criteria as were applicable to the 
application for the original or renewed site permit. Issuance of the 
variance must be subject to litigation during the construction permit, 
operating license, or combined license proceeding in the same manner as 
other issues material to those proceedings.



                Subpart B--Standard Design Certifications



Sec. 52.41  Scope of subpart.

    This subpart set out the requirements and procedures applicable to 
Commission issuance of rules granting standard design certification for 
nuclear power facilities separate from the

[[Page 63]]

filing of an application for a construction permit or combined license 
for such facility.



Sec. 52.43  Relationship to appendices M, N, and O of this part.

    (a) Appendix M to this part governs the issuance of licenses to 
manufacture nuclear power reactors to be installed and operated at sites 
not identified in the manufacturing license application. Appendix N 
governs licenses to construct and operate nuclear power reactors of 
duplicate design at multiple sites. These appendices may be used 
independently of the provisions in this subpart unless the applicant 
also wishes to use a certified standard design approved under this 
subpart.
    (b) Appendix O governs the staff review and approval of preliminary 
and final standard designs. A staff approval under appendix O in no way 
affects the authority of the Commission or the presiding officer in any 
proceeding under subpart G of 10 CFR part 2. Subpart B of part 52 
governs Commission approval, or certification, of standard designs by 
rulemaking.
    (c) A final design approval under appendix O is a prerequisite for 
certification of a standard design under this subpart. An application 
for a final design approval must state whether the applicant intends to 
seek certification of the design. If the applicant does so intend, the 
application for the final design approval must, in addition to 
containing the information required by appendix O, comply with the 
applicable requirements of part 52, subpart B, particularly Secs. 52.45 
and 52.47.



Sec. 52.45  Filing of applications.

    (a)(1) Any person may seek a standard design certification for an 
essentially complete nuclear power plant design which is an evolutionary 
change from light water reactor designs of plants which have been 
licensed and in commercial operation before the effective date of this 
rule.
    (2) Any person may also seek a standard design certification for a 
nuclear power plant design which differs significantly from the light 
water reactor designs described in paragraph (a)(1) of this section or 
utilizes simplified, inherent, passive, or other innovative means to 
accomplish its safety functions.
    (b) An application for certification may be filed notwithstanding 
the fact that an application for a construction permit or combined 
license for such a facility has not been filed.
    (c)(1) Because a final design approval under appendix O of this part 
is a prerequisite for certification of a standard design, a person who 
seeks such a certification and does not hold, or has not applied for, a 
final design approval, shall file with the Director of Nuclear Reactor 
Regulation an application for a final design approval and certification.
    (2) Any person who seeks certification but already holds, or has 
applied for, a final design approval, also shall file with the Director 
of Nuclear Reactor Regulation an application for certification, because 
the NRC staff may require that the information before the staff in 
connection with the review for the final design approval be supplemented 
for the review for certification.
    (d) The applicant must comply with the filing requirements of 10 CFR 
50.30(a) (1)-(4), and (6) and 50.30(b) as they would apply to an 
application for a nuclear power plant construction permit. The following 
portions of Sec. 50.4, which is referenced by Sec. 50.30(a)(1), are 
applicable to the extent technically relevant: paragraphs (a); (b), 
except for paragraphs (6); (c); and (e).



Sec. 52.47  Contents of applications.

    (a) The requirements of this paragraph apply to all applications for 
design certification. (1) An application for design certification must 
contain:
    (i) The technical information which is required of applicants for 
construction permits and operating licenses by 10 CFR part 20, part 50 
and its appendices, and parts 73 and 100, and which is technically 
relevant to the design and not site-specific;
    (ii) Demonstration of compliance with any technically relevant 
portions of the Three Mile Island requirements set forth in 10 CFR 
50.34(f);
    (iii) The site parameters postulated for the design, and an analysis 
and evaluation of the design in terms of such parameters;

[[Page 64]]

    (iv) Proposed technical resolutions of those Unresolved Safety 
Issues and medium- and high-priority Generic Safety Issues which are 
identified in the version of NUREG-0933 current on the date six months 
prior to application and which are technically relevant to the design;
    (v) A design-specific probabilistic risk assessment;
    (vi) Proposed tests, inspections, analyses, and acceptance criteria 
which are necessary and sufficient to provide reasonable assurance that, 
if the tests, inspections and analyses are performed and the acceptance 
criteria met, a plant which references the design is built and will 
operate in accordance with the design certification.
    (vii) The interface requirements to be met by those portions of the 
plant for which the application does not seek certification. These 
requirements must be sufficiently detailed to allow completion of the 
final safety analysis and design-specific probabilistic risk assessment 
required by paragraph (a)(1)(v) of this section;
    (viii) Justification that compliance with the interface requirements 
of paragraph (a)(1)(vii) of this section is verifiable through 
inspection, testing (either in the plant or elsewhere), or analysis. The 
method to be used for verification of interface requirements must be 
included as part of the proposed tests, inspections, analyses, and 
acceptance criteria required by paragraph (a)(1)(vi) of this section; 
and
    (ix) A representative conceptual design for those portions of the 
plant for which the application does not seek certification, to aid the 
staff in its review of the final safety analysis and probabilistic risk 
assessment required by paragraph (a)(1)(v) of this section, and to 
permit assessment of the adequacy of the interface requirements called 
for by paragraph (a)(1)(vii) of this subsection.
    (2) The application must contain a level of design information 
sufficient to enable the Commission to judge the applicant's proposed 
means of assuring that construction conforms to the design and to reach 
a final conclusion on all safety questions associated with the design 
before the certification is granted. The information submitted for a 
design certification must include performance requirements and design 
information sufficiently detailed to permit the preparation of 
acceptance and inspection requirements by the NRC, and procurement 
specifications and construction and installation specifications by an 
applicant. The Commission will require, prior to design certification, 
that information normally contained in certain procurement 
specifications and construction and installation specifications be 
completed and available for audit if such information is necessary for 
the Commission to make its safety determination.
    (3) The staff shall advise the applicant on whether any technical 
information beyond that required by this section must be submitted.
    (b) This paragraph applies, according to its provisions, to 
particular applications:
    (1) The application for certification of a nuclear power plant 
design which is an evolutionary change from light water reactor designs 
of plants which have been licensed and in commercial operation before 
the effective date of this rule must provide an essentially complete 
nuclear power plant design except for site-specific elements such as the 
service water intake structure and the ultimate heat sink.
    (2)(i) Certification of a standard design which differs 
significantly from the light water reactor designs described in 
paragraph (b)(1) of this section or utilizes simplified, inherent, 
passive, or other innovative means to accomplish its safety functions 
will be granted only if
    (A)(1) The performance of each safety feature of the design has been 
demonstrated through either analysis, appropriate test programs, 
experience, or a combination thereof;
    (2) Interdependent effects among the safety features of the design 
have been found acceptable by analysis, appropriate test programs, 
experience, or a combination thereof;
    (3) Sufficient data exist on the safety features of the design to 
assess the analytical tools used for safety analyses over a sufficient 
range of normal operating conditions, transient conditions,

[[Page 65]]

and specified accident sequences, including equilibrium core conditions; 
and
    (4) The scope of the design is complete except for site-specific 
elements such as the service water intake structure and the ultimate 
heat sink; or
    (B) There has been acceptable testing of an appropriately sited, 
full-size, prototype of the design over a sufficient range of normal 
operating conditions, transient conditions, and specified accident 
sequences, including equilibrium core conditions. If the criterion in 
paragraph (b)(2)(i)(A)(4) of this section is not met, the testing of the 
prototype must demonstrate that the non-certified portion of the plant 
cannot significantly affect the safe operation of the plant.
    (ii) The application for final design approval of a standard design 
of the type described in this subsection must propose the specific 
testing necessary to support certification of the design, whether the 
testing be prototype testing or the testing required in the alternative 
by paragraph (b)(2)(i)(A) of this section.
    The Appendix O final design approval of such a design must identify 
the specific testing required for certification of the design.
    (3) An application seeking certification of a modular design must 
describe the various options for the configuration of the plant and 
site, including variations in, or sharing of, common systems, interface 
requirements, and system interactions. The final safety analysis and the 
probabilistic risk assessment should also account for differences among 
the various options, including any restrictions which will be necessary 
during the construction and startup of a given module to ensure the safe 
operation of any module already operating.



Sec. 52.48  Standards for review of applications.

    Applications filed under this subpart will be reviewed for 
compliance with the standards set out in 10 CFR part 20, part 50 and its 
appendices, and parts 73 and 100 as they apply to applications for 
construction permits and operating licenses for nuclear power plants, 
and as those standards are technically relevant to the design proposed 
for the facility.



Sec. 52.49  Fees for review of applications.

    The fee charged for the review of an application for the initial 
issuance or renewal of a standard design certification are set forth in 
10 CFR 170.21 and shall be paid in accordance with 10 CFR 170.12.

[56 FR 31499, July 10, 1991]



Sec. 52.51  Administrative review of applications.

    (a) A standard design certification is a rule that will be issued in 
accordance with the provisions of subpart H of 10 CFR part 2, as 
supplemented by the provisions of this section. The Commission shall 
initiate the rulemaking after an application has been filed under 
Sec. 52.45 and shall specify the procedures to be used for the 
rulemaking.
    (b) The rulemaking procedures must provide for notice and comment 
and an opportunity for an informal hearing before an Atomic Safety and 
Licensing Board. The procedures for the informal hearing must include 
the opportunity for written presentations made under oath or affirmation 
and for oral presentations and questioning if the Board finds them 
either necessary for the creation of an adequate record or the most 
expeditious way to resolve controversies. Ordinarily, the questioning in 
the informal hearing will be done by members of the Board, using either 
the Board's questions or questions submitted to the Board by the 
parties. The Board may also request authority from the Commission to use 
additional procedures, such as direct and cross examination by the 
parties, or may request that the Commission convene a formal hearing 
under subpart G of 10 CFR part 2 on specific and substantial disputes of 
fact, necessary for the Commission's decision, that cannot be resolved 
with sufficient accuracy except in a formal hearing. The staff will be a 
party in the hearing.
    (c) The decision in such a hearing will be based only on information 
on which all parties have had an opportunity to comment, either in 
response to the notice of proposed rulemaking or in the informal 
hearing. Notwithstanding anything in 10 CFR 2.790 to

[[Page 66]]

the contrary, proprietary information will be protected in the same 
manner and to the same extent as proprietary information submitted in 
connection with applications for construction permits and operating 
licenses under 10 CFR part 50, provided that the design certification 
shall be published in chapter I of this title.



Sec. 52.53  Referral to the ACRS.

    The Commission shall refer a copy of the application to the Advisory 
Committee on Reactor Safeguards (ACRS). The ACRS shall report on those 
portions of the application which concern safety.



Sec. 52.54  Issuance of standard design certification.

    After conducting a rulemaking proceeding under Sec. 52.51 on an 
application for a standard design certification and receiving the report 
to be submitted by the Advisory Committee on Reactor Safeguards under 
Sec. 52.53, and upon determining that the application meets the 
applicable standards and requirements of the Atomic Energy Act and the 
Commission's regulations, the Commission shall issue a standard design 
certification in the form of a rule for the design which is the subject 
of the application.



Sec. 52.55  Duration of certification.

    (a) Except as provided in paragraph (b) of this section, a standard 
design certification issued pursuant to this subpart is valid for 
fifteen years from the date of issuance.
    (b) A standard design certification continues to be valid beyond the 
date of expiration in any proceeding on an application for a combined 
license or operating license which references the standard design 
certification and is docketed either before the date of expiration of 
the certification, or, if a timely application for renewal of the 
certification has been filed, before the Commission has determined 
whether to renew the certification. A design certification also 
continues to be valid beyond the date of expiration in any hearing held 
under Sec. 52.103 before operation begins under a combined license which 
references the design certification.
    (c) An applicant for a construction permit or combined license may, 
at its own risk, reference in its application a design for which a 
design certification application has been docketed but not granted.



Sec. 52.57  Application for renewal.

    (a) Not less than twelve nor more than thirty-six months prior to 
expiration of the initial fifteen-year period, or any later renewal 
period, any person may apply for renewal of the certification. An 
application for renewal must contain all information necessary to bring 
up to date the information and data contained in the previous 
application. The Commission will require, prior to renewal of 
certification, that information normally contained in certain 
procurement specifications and construction and installation 
specifications be completed and available for audit if such information 
is necessary for the Commission to make its safety determination. Notice 
and comment procedures must be used for a rulemaking proceeding on the 
application for renewal. The Commission, in its discretion, may require 
the use of additional procedures in individual renewal proceedings.
    (b) A design certification, either original or renewed, for which a 
timely application for renewal has been filed remains in effect until 
the Commission has determined whether to renew the certification. If the 
certification is not renewed, it continues to be valid in certain 
proceedings, in accordance with the provisions of Sec. 52.55.
    (c) The Commission shall refer a copy of the application for renewal 
to the Advisory Committee on Reactor Safeguards (ACRS). The ACRS shall 
report on those portions of the application which concern safety and 
shall apply the criteria set forth in Sec. 52.59.



Sec. 52.59  Criteria for renewal.

    (a) The Commission shall issue a rule granting the renewal if the 
design, either as originally certified or as modified during the 
rulemaking on the renewal, complies with the Atomic Energy Act and the 
Commission's regulations applicable and in effect at the time the 
certification was issued, and

[[Page 67]]

any other requirements the Commission may wish to impose after a 
determination that there is a substantial increase in overall protection 
of the public health and safety or the common defense and security to be 
derived from the new requirements and that the direct and indirect costs 
of implementation of those requirements are justified in view of this 
increased protection. In addition, the applicant for renewal may request 
an amendment to the design certification. The Commission shall grant the 
amendment request if it determines that the amendment will comply with 
the Atomic Energy Act and the Commission's regulations in effect at the 
time or renewal. If the amendment request entails such an extensive 
change to the design certification that an essentially new standard 
design is being proposed, an application for a design certification 
shall be filed in accordance with Sec. 52.45 and 52.47 of this part.
    (b) Denial of renewal does not bar the applicant, or another 
applicant, from filing a new application for certification of the 
design, which proposes design changes which correct the deficiencies 
cited in the denial of the renewal.



Sec. 52.61  Duration of renewal.

    Each renewal of certification for a standard design will be for not 
less than ten nor more than fifteen years.



Sec. 52.63  Finality of standard design certifications.

    (a)(1) Notwithstanding any provision in 10 CFR 50.109, while a 
standard design certification is in effect under Sec. 52.55 or 52.61, 
the Commission may not modify, rescind, or impose new requirements on 
the certification, whether on its own motion, or in response to a 
petition from any person, unless the Commission determines in a 
rulemaking that a modification is necessary either to bring the 
certification or the referencing plants into compliance with the 
Commission's regulations applicable and in effect at the time the 
certification was issued, or to assure adequate protection of the public 
health and safety or the common defense and security. The rulemaking 
procedures must provide for notice and comment and an opportunity for 
the party which applied for the certification to request an informal 
hearing which uses the procedures described in Sec. 52.51 of this 
subpart.
    (2) Any modification the NRC imposes on a design certification rule 
under paragraph (a)(1) of this section will be applied to all plants 
referencing the certified design, except those to which the modification 
has been rendered technically irrelevant by action taken under 
paragraphs (a)(3), (a)(4), or (b) of this section.
    (3) While a design certification is in effect under Sec. 52.55 or 
Sec. 52.61, unless (i) a modification is necessary to secure compliance 
with the Commission's regulations applicable and in effect at the time 
the certification was issued, or to assure adequate protection of the 
public health and safety or the common defense and security, and (ii) 
special circumstances as defined in 10 CFR 50.12(a) are present, the 
Commission may not impose new requirements by plant-specific order on 
any part of the design of a specific plant referencing the design 
certification if that part was approved in the design certification. In 
addition to the factors listed in Sec. 50.12(a), the Commission shall 
consider whether the special circumstances which Sec. 50.12(a)(2) 
requires to be present outweigh any decrease in safety that may result 
from the reduction in standardization caused by the plant-specific 
order.
    (4) Except as provided in 10 CFR 2.758, in making the findings 
required for issuance of a combined license or operating license, or for 
any hearing under Sec. 52.103, the Commission shall treat as resolved 
those matters resolved in connection with the issuance or renewal of a 
design certification.
    (b)(1) An applicant or licensee who references a standard design 
certification may request an exemption from one or more elements of the 
design certification. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 50.12(a). In addition to the factors listed in Sec. 50.12(a), the 
Commission shall consider whether the special circumstances which 
Sec. 50.12(a)(2) requires to be present outweigh any decrease in

[[Page 68]]

safety that may result from the reduction in standardization caused by 
the exemption. The granting of an exemption on request of an applicant 
must be subject to litigation in the same manner as other issues in the 
operating license or combined license hearing.
    (2) Subject Sec. 50.59, a licensee who references a standard design 
certification may make changes to the design of the nuclear power 
facility, without prior Commission approval, unless the proposed change 
involves a change to the design as described in the rule certifying the 
design. The licensee shall maintain records of all changes to the 
facility and these records must be maintained and available for audit 
until the date of termination of the license.
    (c) The Commission will require, prior to granting a construction 
permit, combined license, or operating license which references a 
standard design certification, that information normally contained in 
certain procurement specifications and construction and installation 
specifications be completed and available for audit if such information 
is necessary for the Commission to make its safety determinations, 
including the determination that the application is consistent with the 
certified design. This information may be acquired by appropriate 
arrangements with the design certification applicant.



                      Subpart C--Combined Licenses



Sec. 52.71  Scope of subpart.

    This subpart sets out the requirements and procedures applicable to 
Commission issuance of combined licenses for nuclear power facilities.



Sec. 52.73  Relationship to subparts A and B.

    An application for a combined license under this subpart may, but 
need not, reference a standard design certification issued under subpart 
B of this part or an early site permit issued under subpart A of this 
part, or both. In the absence of a demonstration that an entity other 
than the one originally sponsoring and obtaining a design certification 
is qualified to supply such design, the Commission will entertain an 
application for a combined license which references a standard design 
certification issued under subpart B only if the entity that sponsored 
and obtained the certification supplies the certified design for the 
applicant's use.



Sec. 52.75  Filing of applications.

    Any person except one excluded by 10 CFR 50.38 may file an 
application for a combined license for a nuclear power facility with the 
Director of Nuclear Reactor Regulation. The applicant shall comply with 
the filing requirements of 10 CFR 50.4 and 50.30 (a) and (b), except for 
paragraph (b)(6) of Sec. 50.4, as they would apply to an application for 
a nuclear power plant construction permit. The fees associated with the 
filing and review of the application are set out in 10 CFR part 170.



Sec. 52.77  Contents of applications; general information.

    The application must contain all of the information required by 10 
CFR 50.33, as that section would apply to applicants for construction 
permits and operating licenses, and 10 CFR 50.33a, as that section would 
apply to an applicant for a nuclear power plant construction permit. In 
particular, the applicant shall comply with the requirement of 
Sec. 50.33a(b) regarding the submission of antitrust information.



Sec. 52.78  Contents of applications; training and qualification of nuclear power plant personnel.

    (a) Applicability. The requirements of this section apply only to 
the personnel associated with the operating phase of the combined 
licenses.
    (b) The application must demonstrate compliance with the 
requirements for training programs established in Sec. 50.120 of this 
chapter.

[58 FR 21912, Apr. 26, 1993]



Sec. 52.79  Contents of applications; technical information.

    (a)(1) In general, if the application references an early site 
permit, the application need not contain information or analyses 
submitted to the Commission in connection with the early site permit, 
but must contain, in addition to the information and analyses otherwise 
required, information sufficient to

[[Page 69]]

demonstrate that the design of the facility falls within the parameters 
specified in the early site permit, and to resolve any other significant 
environmental issue not considered in any previous proceeding on the 
site or the design.
    (2) If the application does not reference an early site permit, the 
applicant shall comply with the requirements of 10 CFR 50.30(f) by 
including with the application an environmental report prepared in 
accordance with the provisions of subpart A of 10 CFR part 51.
    (3) If the application does not reference an early site permit which 
contains a site redress plan as described in Sec. 52.17(c), and if the 
applicant wishes to be able to perform the activities at the site 
allowed by 10 CFR 50.10(e)(1), then the application must contain the 
information required by Sec. 52.17(c).
    (b) The application must contain the technically relevant 
information required of applicants for an operating license by 10 CFR 
50.34. The final safety analysis report and other required information 
may incorporate by reference the final safety analysis report for a 
certified standard design. In particular, an application referencing a 
certified design must describe those portions of the design which are 
site-specific, such as the service water intake structure and the 
ultimate heat sink. An application referencing a certified design must 
also demonstrate compliance with the interface requirements established 
for the design under Sec. 52.47(a)(1), and have available for audit 
procurement specifications and construction and installation 
specifications in accordance with Sec. 52.47(a)(2). If the application 
does not reference a certified design, the application must comply with 
the requirements of Sec. 52.47(a)(2) for level of design information, 
and shall contain the technical information required by 
Secs. 52.47(a)(1) (i), (ii), (iv), and (v) and (3), and, if the design 
is modular, Sec. 52.47(b)(3).
    (c) The application for a combined license must include the proposed 
inspections, tests and analyses, including those applicable to emergency 
planning, which the licensee shall perform and the acceptance criteria 
therefor which are necessary and sufficient to provide reasonable 
assurance that, if the inspections, tests and analyses are performed and 
the acceptance criteria met, the facility has been constructed and will 
operate in conformity with the combined license, the provisions of the 
Atomic Energy Act, and the NRC's regulations. Where the application 
references a certified standard design, the inspections, tests, analyses 
and acceptance criteria contained in the certified design must apply to 
those portions of the facility design which are covered by the design 
certification.
    (d) The application must contain emergency plans which provide 
reasonable assurance that adequate protective measures can and will be 
taken in the event of a radiological emergency at the site.
    (1) If the application references an early site permit, the 
application may incorporate by reference emergency plans, or major 
features of emergency plans, approved in connection with the issuance of 
the permit.
    (2) If the application does not reference an early site permit, or 
if no emergency plans were approved in connection with the issuance of 
the permit, the applicant shall make good faith efforts to obtain 
certifications from the local and State governmental agencies with 
emergency planning responsibilities (i) that the proposed emergency 
plans are practicable, (ii) that these agencies are committed to 
participating in any further development of the plans, including any 
required field demonstrations, and (iii) that these agencies are 
committed to executing their responsibilities under the plans in the 
event of an emergency. The application must contain any certifications 
that have been obtained. If these certifications cannot be obtained, the 
application must contain information, including a utility plan, 
sufficient to show that the proposed plans nonetheless provide 
reasonable assurance that adequate protective measures can and will be 
taken in the event of a radiological emergency at the site.

[54 FR 15386, Apr. 18, 1989, as amended at 57 FR 60978, Dec. 23, 1992]

[[Page 70]]



Sec. 52.81  Standards for review of applications.

    Applications filed under this subpart will be reviewed according to 
the standards set out in 10 CFR parts 20, 50, 51, 55, 73, and 100 as 
they apply to applications for construction permits and operating 
licenses for nuclear power plants, and as those standards are 
technically relevant to the design proposed for the facility.



Sec. 52.83  Applicability of part 50 provisions.

    Unless otherwise specifically provided for in this subpart, all 
provisions of 10 CFR part 50 and its appendices applicable to holders of 
construction permits for nuclear power reactors also apply to holders of 
combined licenses issued under this subpart. Similarly, all provisions 
of 10 CFR part 50 and its appendices applicable to holders of operating 
licenses also apply to holders of combined licenses issued under this 
subpart, once the Commission has made the findings required under 
Sec. 52.99, provided that, as applied to a combined license, 10 CFR 
50.51 must require that the initial duration of the license may not 
exceed 40 years from the date on which the Commission makes the findings 
required under Sec. 52.99. However, any limitations contained in part 50 
regarding applicability of the provisions to certain classes of 
facilities continue to apply. Provisions of 10 CFR part 50 that do not 
apply to holders of combined licenses issued under this subpart include 
Secs. 50.55 (a), (b) and (d), and 50.58.

[57 FR 60978, Dec. 23, 1992]



Sec. 52.85  Administrative review of applications.

    A proceeding on a combined license is subject to all applicable 
procedural requirements contained in 10 CFR part 2, including the 
requirements for docketing (Sec. 2.101) and issuance of a notice of 
hearing (Sec. 2.104). All hearings on combined licenses are governed by 
the procedures contained in part 2, subpart G.



Sec. 52.87  Referral to the ACRS.

    The Commission shall refer a copy of the application to the Advisory 
Committee on Reactor Safeguards (ACRS). The ACRS shall report on those 
portions of the application which concern safety and shall apply the 
criteria set forth in Sec. 52.81, in accordance with the finality 
provisions of this part.



Sec. 52.89  Environmental review.

    If the application references an early site permit or a certified 
standard design, the environmental review must focus on whether the 
design of the facility falls within the parameters specified in the 
early site permit and any other significant environmental issue not 
considered in any previous proceeding on the site or the design. If the 
application does not reference an early site permit or a certified 
standard design, the environmental review procedures set out in 10 CFR 
part 51 must be followed, including the issuance of a final 
environmental impact statement, but excluding the issuance of a 
supplement under Sec. 51.95(a).



Sec. 52.91  Authorization to conduct site activities.

    (a)(1) If the application references an early site permit which 
contains a site redress plan as described in Sec. 52.17(c) the applicant 
is authorized by Sec. 52.25 to perform the site preparation activities 
described in 10 CFR 50.10(e)(1).
    (2) If the application does not reference an early site permit which 
contains a redress plan, the applicant may not perform the site 
preparation activities allowed by 10 CFR 50.10(e)(1) without first 
submitting a site redress plan in accord with Sec. 52.79(a)(3) and 
obtaining the separate authorization required by 10 CFR 50.10(e)(1). 
Authorization must be granted only after the presiding officer in the 
proceeding on the application has made the findings and determination 
required by 10 CFR 50.10(e)(2) and has determined that the site redress 
plan meets the criteria in Sec. 52.17(c).
    (3) Authorization to conduct the activities described in 10 CFR 
50.10(e)(3)(i) may be granted only after the presiding officer in the 
combined license proceeding makes the additional finding required by 10 
CFR 50.10(e)(3)(ii).

[[Page 71]]

    (b) If, after an applicant for a combined license has performed the 
activities permitted by paragraph (a) of this section, the application 
for the license is withdrawn or denied, and the early site permit 
referenced by the application expires, then the applicant shall redress 
the site in accord with the terms of the site redress plan. If, before 
redress is complete, a use not envisaged in the redress plan is found 
for the site or parts thereof, the applicant shall carry out the redress 
plan to the greatest extent possible consistent with the alternate use.



Sec. 52.93  Exemptions and variances.

    (a) Applicants for a combined license under this subpart, or any 
amendment to a combined license, may include in the application a 
request, under 10 CFR 50.12, for an exemption from one or more of the 
Commission's regulations, including any part of a design certification 
rule. The Commission shall grant such a request if it determines that 
the exemption will comply with the requirements of 10 CFR 50.12(a) or 
52.63(b)(1) if the exemption includes any part of the design 
certification rule.
    (b) An applicant for a combined license, or any amendment to a 
combined license, who has filed an application referencing an early site 
permit issued under this subpart may include in the application a 
request for a variance from one or more elements of the permit. In 
determining whether to grant the variance, the Commission shall apply 
the same technically relevant criteria as were applicable to the 
application for the original or renewed site permit. Issuance of the 
variance must be subject to litigation during the combined license 
proceeding in the same manner as other issues material to that 
proceeding.



Sec. 52.97  Issuance of combined licenses.

    (a) The Commission shall issue a combined license for a nuclear 
power facility upon finding that the applicable requirements of 10 CFR 
50.40, 50.42, 50.43, 50.47, and 50.50 have been met, and that there is 
reasonable assurance that the facility will be constructed and operated 
in conformity with the license, the provisions of the Atomic Energy Act, 
and the Commission's regulations.
    (b)(1) The Commission shall identify within the combined license the 
inspections, tests, and analyses, including those applicable to 
emergency planning, that the licensee shall perform, and the acceptance 
criteria that, if met, are necessary and sufficient to provide 
reasonable assurance that the facility has been constructed and will be 
operated in conformity with the license, the provisions of the atomic 
Energy Act, and the Commission's rules and regulations.
    (2)(i) Any modification to, addition to, or deletion from the terms 
of a combined construction and operating license, including any 
modification to, addition to, or deletion from the inspections, tests, 
analyses, or related acceptance criteria contained in the license is a 
proposed amendment to the license. There must be an opportunity for a 
hearing on these amendments.
    (ii) The Commission may issue and make immediately effective any 
amendment to a combined construction and operating license upon a 
determination by the Commission that the amendment involves no 
significant hazards consideration, notwithstanding the pendency before 
the Commission of a request for a hearing from any person. The amendment 
may be issued and made immediately effective in advance of the holding 
and completion of any required hearing. The amendment will be processed 
in accordance with the procedures specified in 10 CFR 50.91.

[54 FR 15386, Apr. 18, 1989, as amended at 57 FR 60978, Dec. 23, 1992]



Sec. 52.99  Inspection during construction.

    After issuance of a combined license, the Commission shall ensure 
that the required inspections, tests, and analyses are performed and, 
prior to operation of the facility, shall find that the prescribed 
acceptance criteria are met. Holders of combined licenses shall comply 
with the provisions of 10 CFR 50.70 and 50.71. At appropriate intervals 
during construction, the NRC staff shall publish in the Federal Register 
notices of the successful completion of inspections, tests, and 
analyses.

[57 FR 60978, Dec. 23, 1992]

[[Page 72]]



Sec. 52.103  Operation under a combined license.

    (a) Not less than one hundred and eighty days before the date 
scheduled for initial loading of fuel into a plant by a licensee that 
has been issued a combined construction permit and operating license 
under subpart C of this part, the Commission shall publish in the 
Federal Register notice of intended operation. That notice shall provide 
that any person whose interest may be affected by operation of the 
plant, may within sixty days request the Commission to hold a hearing on 
whether the facility as constructed complies, or on completion will 
comply, with the acceptance criteria of the license.
    (b) A request for hearing under paragraph (a) of this section shall 
show, prima facie, that--
    (1) One or more of the acceptance criteria in the combined license 
have not been, or will not be met; and
    (2) The specific operational consequences of nonconformance that 
would be contrary to providing reasonable assurance of adequate 
protection of the public health and safety.
    (c) After receiving a request for a hearing, the Commission 
expeditiously shall either deny or grant the request. If the request is 
granted, the Commission shall determine, after considering petitioners' 
prima facie showing and any answers thereto, whether during a period of 
interim operation, there will be reasonable assurance of adequate 
protection of the public health and safety. If the Commission determines 
that there is such reasonable assurance, it shall allow operation during 
an interim period under the combined license.
    (d) The Commission, in its discretion, shall determine appropriate 
hearing procedures, whether informal or formal adjudicatory, for any 
hearing under paragraph (a) of this section, and shall state its reasons 
therefor.
    (e) The Commission shall, to the maximum possible extent, render a 
decision on issues raised by the hearing request within one hundred and 
eighty days of the publication of the notice provided by paragraph (a) 
of this section or the anticipated date for initial loading of fuel into 
the reactor, whichever is later.
    (f) A petition to modify the terms and conditions of the combined 
license will be processed as a request for action in accord with 10 CFR 
2.206. The petitioner shall file the petition with the Secretary of the 
Commission. Before the licensed activity allegedly affected by the 
petition (fuel loading, low power testing, etc.) commences, the 
Commission shall determine whether any immediate action is required. If 
the petition is granted, then an appropriate order will be issued. Fuel 
loading and operation under the combined license will not be affected by 
the granting of the petition unless the order is made immediately 
effective.
    (g) Prior to operation of the facility, the Commission shall find 
that the acceptance criteria in the combined license are met. If the 
combined license is for a modular design, each reactor module may 
require a separate finding as construction proceeds.

[57 FR 60978, Dec. 23, 1992]



                          Subpart D--Violations



Sec. 52.111  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) Section 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.

[[Page 73]]

    (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. 52.113  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 52 are issued under one or more of sections 
161b, 161i, or 160o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 52 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 52.1, 52.3, 52.5, 52.8, 52.11, 52.13, 52.15, 52.17, 52.18, 52.19, 
52.21, 52.23, 52.24, 52.27, 52.29, 52.31, 52.33, 52.37, 52.39, 52.41, 
52.43, 52.45, 52.47, 52.48, 52.49, 52.51, 52.53, 52.54, 52.55, 52.57, 
52.59, 52.61, 52.71, 52.73, 52.75, 52.77, 52.78, 52.79, 52.81, 52.83, 
52.85, 52.87, 52.89, 52.93, 52.97, 52.103, 52.111, and 52.113.

[57 FR 55075, Nov. 24, 1992, as amended at 58 FR 21912, Apr. 26, 1993]

 Appendix A to Part 52--Design Certification Rule for the U.S. Advanced 
                          Boiling Water Reactor

                             I. Introduction

    Appendix A constitutes the standard design certification for the 
U.S. Advanced Boiling Water Reactor (ABWR) design, in accordance with 10 
CFR Part 52, Subpart B. The applicant for certification of the U.S. ABWR 
design was GE Nuclear Energy.

                             II. Definitions

    A. Generic design control document (generic DCD) means the document 
containing the Tier 1 and Tier 2 information and generic technical 
specifications that is incorporated by reference into this appendix.
    B. Generic technical specifications means the information, required 
by 10 CFR 50.36 and 50.36a, for the portion of the plant that is within 
the scope of this appendix.
    C. Plant-specific DCD means the document, maintained by an applicant 
or licensee who references this appendix, consisting of the information 
in the generic DCD, as modified and supplemented by the plant-specific 
departures and exemptions made under Section VIII of this appendix.
    D. Tier 1 means the portion of the design-related information 
contained in the generic DCD that is approved and certified by this 
appendix (hereinafter Tier 1 information). The design descriptions, 
interface requirements, and site parameters are derived from Tier 2 
information. Tier 1 information includes:
    1. Definitions and general provisions;
    2. Design descriptions;
    3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
    4. Significant site parameters; and
    5. Significant interface requirements.
    E. Tier 2 means the portion of the design-related information 
contained in the generic DCD that is approved but not certified by this 
appendix (hereinafter Tier 2 information). Compliance with Tier 2 is 
required, but generic changes to and plant-specific departures from Tier 
2 are governed by Section VIII of this appendix. Compliance with Tier 2 
provides a sufficient, but not the only acceptable, method for complying 
with Tier 1. Compliance methods differing from Tier 2 must satisfy the 
change process in Section VIII of this appendix. Regardless of these 
differences, an applicant or licensee must meet the requirement in 
Section III.B to reference Tier 2 when referencing Tier 1. Tier 2 
information includes:
    1. Information required by 10 CFR 52.47, with the exception of 
generic technical specifications and conceptual design information;
    2. Information required for a final safety analysis report under 10 
CFR 50.34;
    3. Supporting information on the inspections, tests, and analyses 
that will be performed to demonstrate that the acceptance criteria in 
the ITAAC have been met; and
    4. Combined license (COL) action items (COL license information), 
which identify certain matters that shall be addressed in the site-
specific portion of the final safety analysis report (FSAR) by an 
applicant who references this appendix. These items constitute 
information requirements but are not the only acceptable set of 
information in the FSAR. An applicant may depart from or omit these 
items, provided that the departure or omission is identified and 
justified in the FSAR. After issuance of a construction permit or COL, 
these items are not requirements for the licensee unless such items are 
restated in the FSAR.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
VIII.B.6 of this appendix. This designation expires for some Tier 2* 
information under VIII.B.6.
    G. All other terms in this appendix have the meaning set out in 10 
CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954, 
as amended, as applicable.

[[Page 74]]

                         III. Scope and Contents

    A. Tier 1, Tier 2, and the generic technical specifications in the 
U.S. ABWR Design Control Document, GE Nuclear Energy, Revision 4 dated 
March 1997, are approved for incorporation by reference by the Director 
of the Office of the Federal Register in accordance with 5 U.S.C. 552(a) 
and 1 CFR Part 51. Copies of the generic DCD may be obtained from the 
National Technical Information Service, 5285 Port Royal Road, 
Springfield, VA 22161. A copy is available for examination and copying 
at the NRC Public Document Room, 2120 L Street NW. (Lower Level), 
Washington, DC 20555. Copies are also available for examination at the 
NRC Library, 11545 Rockville Pike, Rockville, Maryland 20582 and the 
Office of the Federal Register, 800 North Capitol Street, NW., Suite 
700, Washington DC.
    B. An applicant or licensee referencing this appendix, in accordance 
with Section IV of this appendix, shall incorporate by reference and 
comply with the requirements of this appendix, including Tier 1, Tier 2, 
and the generic technical specifications except as otherwise provided in 
this appendix. Conceptual design information, as set forth in the 
generic DCD, and the ``Technical Support Document for the ABWR'' are not 
part of this appendix. Tier 2 references to the probabilistic risk 
assessment (PRA) in the ABWR Standard Safety Analysis Report do not 
incorporate the PRA into Tier 2.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design certification of the U.S. ABWR design or NUREG-
1503, ``Final Safety Evaluation Report related to the Certification of 
the Advanced Boiling Water Reactor Design,'' (FSER) and Supplement No. 
1, then the generic DCD controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site-specific design parameters, provided the design activities do not 
affect the DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a license that wishes to reference this appendix 
shall, in addition to complying with the requirements of 10 CFR 52.77, 
52.78, and 52.79, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix;
    2. Include, as part of its application:
    a. A plant-specific DCD containing the same information and 
utilizing the same organization and numbering as the generic DCD for the 
U.S. ABWR design, as modified and supplemented by the applicant's 
exemptions and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by X.B of this appendix;
    c. Plant-specific technical specifications, consisting of the 
generic and site-specific technical specifications, that are required by 
10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;
    e. Information that addresses the COL action items; and
    f. Information required by 10 CFR 52.47(a) that is not within the 
scope of this appendix.
    3. Physically include, in the plant-specific DCD, the proprietary 
information and safeguards information referenced in the U.S. ABWR DCD.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under 10 CFR Part 50.

                        V. Applicable Regulations

    A. Except as indicated in paragraph B of this section, the 
regulations that apply to the U.S. ABWR design are in 10 CFR Parts 20, 
50, 73, and 100, codified as of May 2, 1997, that are applicable and 
technically relevant, as described in the FSER (NUREG-1503) and 
Supplement No. 1.
    B. The U.S. ABWR design is exempt from portions of the following 
regulations:
    1. Paragraph (f)(2)(iv) of 10 CFR 50.34--Separate Plant Safety 
Parameter Display Console;
    2. Paragraph (f)(2)(viii) of 10 CFR 50.34--Post-Accident Sampling 
for Boron, Chloride, and Dissolved Gases; and
    3. Paragraph (f)(3)(iv) of 10 CFR 50.34--Dedicated Containment 
Penetration.

                          VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
components, and design features of the U.S. ABWR design comply with the 
provisions of the Atomic Energy Act of 1954, as amended, and the 
applicable regulations identified in Section V of this appendix; and 
therefore, provide adequate protection to the health and safety of the 
public. A conclusion that a matter is resolved includes the finding that 
additional or alternative structures, systems, components, design 
features, design criteria, testing, analyses, acceptance criteria, or 
justifications are not necessary for the U.S. ABWR design.
    B. The Commission considers the following matters resolved within 
the meaning of 10 CFR 52.63(a)(4) in subsequent proceedings for issuance 
of a combined license, amendment of a combined license, or renewal of a 
combined license, proceedings held pursuant to

[[Page 75]]

10 CFR 52.103, and enforcement proceedings involving plants referencing 
this appendix:
    1. All nuclear safety issues, except for the generic technical 
specifications and other operational requirements, associated with the 
information in the FSER and Supplement No. 1, Tier 1, Tier 2 (including 
referenced information which the context indicates is intended as 
requirements), and the rulemaking record for certification of the U.S. 
ABWR design;
    2. All nuclear safety and safeguards issues associated with the 
information in proprietary and safeguards documents, referenced and in 
context, are intended as requirements in the generic DCD for the U.S. 
ABWR design;
    3. All generic changes to the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
    4. All exemptions from the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.4 and VIII.B.4 of this appendix, 
but only for that proceeding;
    5. All departures from the DCD that are approved by license 
amendment, but only for that proceeding;
    6. Except as provided in VIII.B.5.f of this appendix, all departures 
from Tier 2 pursuant to and in compliance with the change processes in 
VIII.B.5 of this appendix that do not require prior NRC approval;
    7. All environmental issues concerning severe accident mitigation 
design alternatives associated with the information in the NRC's final 
environmental assessment for the U.S. ABWR design and Revision 1 of the 
Technical Support Document for the U.S. ABWR, dated December 1994, for 
plants referencing this appendix whose site parameters are within those 
specified in the Technical Support Document.
    C. The Commission does not consider operational requirements for an 
applicant or licensee who references this appendix to be matters 
resolved within the meaning of 10 CFR 52.63(a)(4). The Commission 
reserves the right to require operational requirements for an applicant 
or licensee who references this appendix by rule, regulation, order, or 
license condition.
    D. Except in accordance with the change processes in Section VIII of 
this appendix, the Commission may not require an applicant or licensee 
who references this appendix to:
    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, systems, 
components, or design features discussed in the generic DCD.
    E.1. Persons who wish to review proprietary and safeguards 
information or other secondary references in the DCD for the U.S. ABWR 
design, in order to request or participate in the hearing required by 10 
CFR 52.85 or the hearing provided under 10 CFR 52.103, or to request or 
participate in any other hearing relating to this appendix in which 
interested persons have adjudicatory hearing rights, shall first request 
access to such information from GE Nuclear Energy. The request must 
state with particularity:
    a. The nature of the proprietary or other information sought;
    b. The reason why the information currently available to the public 
at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public 
Document Room, is insufficient;
    c. The relevance of the requested information to the hearing 
issue(s) which the person proposes to raise; and
    d. A showing that the requesting person has the capability to 
understand and utilize the requested information.
    2. If a person claims that the information is necessary to prepare a 
request for hearing, the request must be filed no later than 15 days 
after publication in the Federal Register of the notice required either 
by 10 CFR 52.85 or 10 CFR 52.103. If GE Nuclear Energy declines to 
provide the information sought, GE Nuclear Energy shall send a written 
response within ten (10) days of receiving the request to the requesting 
person setting forth with particularity the reasons for its refusal. The 
person may then request the Commission (or presiding officer, if a 
proceeding has been established) to order disclosure. The person shall 
include copies of the original request (and any subsequent clarifying 
information provided by the requesting party to the applicant) and the 
applicant's response. The Commission and presiding officer shall base 
their decisions solely on the person's original request (including any 
clarifying information provided by the requesting person to GE Nuclear 
Energy), and GE Nuclear Energy's response. The Commission and presiding 
officer may order GE Nuclear Energy to provide access to some or all of 
the requested information, subject to an appropriate non-disclosure 
agreement.

                     VII. Duration of This Appendix

    This appendix may be referenced for a period of 15 years from June 
11, 1997 except as provided for in 10 CFR 52.55(b) and 52.57(b). This 
appendix remains valid for an applicant or licensee who references this 
appendix until the application is withdrawn or the license expires, 
including any period of extended operation under a renewed license.

[[Page 76]]

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(3).
    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and Sec. 52.97(b). The Commission 
will deny a request for an exemption from Tier 1, if it finds that the 
design change will result in a significant decrease in the level of 
safety otherwise provided by the design.
    B. Tier 2 information.
    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under Secs. 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, or to 
assure adequate protection of the public health and safety or the common 
defense and security; and
    b. Special circumstances as defined in 10 CFR 50.12(a) are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 50.12(a). The Commission will deny a request for 
an exemption from Tier 2, if it finds that the design change will result 
in a significant decrease in the level of safety otherwise provided by 
the design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of an exemption to a licensee must be subject to an 
opportunity for a hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the technical specifications, or 
involves an unreviewed safety question as defined in paragraphs B.5.b 
and B.5.c of this section. When evaluating the proposed departure, an 
applicant or licensee shall consider all matters described in the plant-
specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, involves an unreviewed safety question if--
    (1) The probability of occurrence or the consequences of an accident 
or malfunction of equipment important to safety previously evaluated in 
the plant-specific DCD may be increased;
    (2) A possibility for an accident or malfunction of a different type 
than any evaluated previously in the plant-specific DCD may be created; 
or
    (3) The margin of safety as defined in the basis for any technical 
specification is reduced.
    c. A proposed departure from Tier 2 affecting resolution of a severe 
accident issue identified in the plant-specific DCD, involves an 
unreviewed safety question if--
    (1) There is a substantial increase in the probability of a severe 
accident such that a particular severe accident previously reviewed and 
determined to be not credible could become credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular severe accident previously reviewed.
    d. If a departure involves an unreviewed safety question as defined 
in paragraph B.5 of this section, it is governed by 10 CFR 50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with VIII.B.5 of this appendix when 
departing from Tier 2 information, may petition to admit into the 
proceeding such a contention. In addition to compliance with the general 
requirements of 10 CFR 2.714(b)(2), the petition must demonstrate that 
the departure does not comply with VIII.B.5 of this appendix. Further, 
the petition must demonstrate that the change bears on an asserted 
noncompliance with an ITAAC acceptance criterion in the case of a 10 CFR 
52.103 preoperational hearing, or that the change bears directly on the 
amendment request in the case of a hearing on a license amendment. Any 
other party may file a response. If, on the basis of the petition and

[[Page 77]]

any response, the presiding officer determines that a sufficient showing 
has been made, the presiding officer shall certify the matter directly 
to the Commission for determination of the admissibility of the 
contention. The Commission may admit such a contention if it determines 
the petition raises a genuine issue of fact regarding compliance with 
VIII.B.5 of this appendix.
    6.a. An applicant who references this appendix may not depart from 
Tier 2* information, which is designated with italicized text or 
brackets and an asterisk in the generic DCD, without NRC approval. The 
departure will not be considered a resolved issue, within the meaning of 
Section VI of this appendix and 10 CFR 52.63(a)(4).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Fuel burnup limit (4.2).
    (2) Fuel design evaluation (4.2.3).
    (3) Fuel licensing acceptance criteria (Appendix 4B).
    c. A licensee who references this appendix may not, before the plant 
first achieves full power following the finding required by 10 CFR 
52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant first 
achieves full power, the following Tier 2* matters revert to Tier 2 
status and are thereafter subject to the departure provisions in 
paragraph B.5 of this section.
    (1) ASME Boiler & Pressure Vessel Code, Section III.
    (2) ACI 349 and ANSI/AISC N-690.
    (3) Motor-operated valves.
    (4) Equipment seismic qualification methods.
    (5) Piping design acceptance criteria.
    (6) Fuel system and assembly design (4.2), except burnup limit.
    (7) Nuclear design (4.3).
    (8) Equilibrium cycle and control rod patterns (App. 4A).
    (9) Control rod licensing acceptance criteria (App. 4C).
    (10) Instrument setpoint methodology.
    (11) EMS performance specifications and architecture.
    (12) SSLC hardware and software qualification.
    (13) Self-test system design testing features and commitments.
    (14) Human factors engineering design and implementation process.
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.
    1. Generic changes to generic technical specifications and other 
operational requirements that were completely reviewed and approved in 
the design certification rulemaking and do not require a change to a 
design feature in the generic DCD are governed by the requirements in 10 
CFR 50.109. Generic changes that do require a change to a design feature 
in the generic DCD are governed by the requirements in paragraphs A or B 
of this section.
    2. Generic changes to generic technical specifications and other 
operational requirements are applicable to all applicants or licensees 
who reference this appendix, except those for which the change has been 
rendered technically irrelevant by action taken under paragraphs C.3 or 
C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
technical specifications and other operational requirements that were 
completely reviewed and approved, provided a change to a design feature 
in the generic DCD is not required and special circumstances as defined 
in 10 CFR 2.758(b) are present. The Commission may modify or supplement 
generic technical specifications and other operational requirements that 
were not completely reviewed and approved or require additional 
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 50.12(a). The grant of an exemption must be subject to litigation in 
the same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a technical specification derived from the generic technical 
specifications must be changed may petition to admit into the proceeding 
such a contention. Such petition must comply with the general 
requirements of 10 CFR 2.714(b)(2) and must demonstrate why special 
circumstances as defined in 10 CFR 2.758(b) are present, or for 
compliance with the Commission's regulations in effect at the time this 
appendix was approved, as set forth in Section V of this appendix. Any 
other party may file a response thereto. If, on the basis of the 
petition and any response, the presiding officer determines that a 
sufficient showing has been made, the presiding officer shall certify 
the matter directly to the Commission for determination of the 
admissibility of the contention. All other issues with respect to the 
plant-specific technical specifications or other operational

[[Page 78]]

requirements are subject to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic technical specifications 
have no further effect on the plant-specific technical specifications 
and changes to the plant-specific technical specifications will be 
treated as license amendments under 10 CFR 50.90.

    IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)

    A.1  An applicant or licensee who references this appendix shall 
perform and demonstrate conformance with the ITAAC before fuel load. 
With respect to activities subject to an ITAAC, an applicant for a 
license may proceed at its own risk with design and procurement 
activities, and a licensee may proceed at its own risk with design, 
procurement, construction, and preoperational activities, even though 
the NRC may not have found that any particular ITAAC has been satisfied.
    2. The licensee who references this appendix shall notify the NRC 
that the required inspections, tests, and analyses in the ITAAC have 
been successfully completed and that the corresponding acceptance 
criteria have been met.
    3. In the event that an activity is subject to an ITAAC, and the 
applicant or licensee who references this appendix has not demonstrated 
that the ITAAC has been satisfied, the applicant or licensee may either 
take corrective actions to successfully complete that ITAAC, request an 
exemption from the ITAAC in accordance with Section VIII of this 
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this 
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802 
and 52.97(b). Such rulemaking changes to the ITAAC must meet the 
requirements of paragraph VIII.A.1 of this appendix.
    B.1  The NRC shall ensure that the required inspections, tests, and 
analyses in the ITAAC are performed. The NRC shall verify that the 
inspections, tests, and analyses referenced by the licensee have been 
successfully completed and, based solely thereon, find the prescribed 
acceptance criteria have been met. At appropriate intervals during 
construction, the NRC shall publish notices of the successful completion 
of ITAAC in the Federal Register.
    2. In accordance with 10 CFR 52.99 and 52.103(g), the Commission 
shall find that the acceptance criteria in the ITAAC for the license are 
met before fuel load.
    3. After the Commission has made the finding required by 10 CFR 
52.103(g), the ITAAC do not, by virtue of their inclusion within the 
DCD, constitute regulatory requirements either for licensees or for 
renewal of the license; except for specific ITAAC, which are the subject 
of a Section 103(a) hearing, their expiration will occur upon final 
Commission action in such proceeding. However, subsequent modifications 
must comply with the Tier 1 and Tier 2 design descriptions in the plant-
specific DCD unless the licensee has complied with the applicable 
requirements of 10 CFR 52.97 and Section VIII of this appendix.

                        X. Records and Reporting

    A. Records.
    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1 and Tier 2. The 
applicant shall maintain the proprietary and safeguards information 
referenced in the generic DCD for the period that this appendix may be 
referenced, as specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made pursuant 
to Section VIII of this appendix throughout the period of application 
and for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written safety evaluations which provide the bases 
for the determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).
    B. Reporting.
    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any 
departures from the plant-specific DCD, including a summary of the 
safety evaluation of each. This report must be filed in accordance with 
the filing requirements applicable to reports in 10 CFR 50.4.
    2. An applicant or licensee who references this appendix shall 
submit updates to its plant-specific DCD, which reflect the generic 
changes to the generic DCD and the plant-specific departures made 
pursuant to Section VIII of this appendix. These updates shall be filed 
in accordance with the filing requirements applicable to final safety 
analysis report updates in 10 CFR 50.4 and 50.71(e).
    3. The reports and updates required by paragraphs B.1 and B.2 of 
this section must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application shall include the report and any 
updates to the plant-specific DCD.
    b. During the interval from the date of application to the date of 
issuance of a license, the report and any updates to the plant-specific 
DCD must be submitted annually and may be submitted along with 
amendments to the application.

[[Page 79]]

    c. During the interval from the date of issuance of a license to the 
date the Commission makes its findings under 10 CFR 52.103(g), the 
report must be submitted quarterly. Updates to the plant-specific DCD 
must be submitted annually.
    d. After the Commission has made its finding under 10 CFR 52.103(g), 
reports and updates to the plant-specific DCD may be submitted annually 
or along with updates to the site-specific portion of the final safety 
analysis report for the facility at the intervals required by 10 CFR 
50.71(e), or at shorter intervals as specified in the license.

[62 FR 25827, May 12, 1997; 62 FR 27293, May 19, 1997, as amended at 64 
FR 48953, Sept. 9, 1999]

  Appendix B to Part 52--Design Certification Rule for the System 80+ 
                                 Design

                             I. Introduction

    Appendix B constitutes design certification for the System 80+ 
1 standard plant design, in accordance with 10 CFR part 52, 
subpart B. The applicant for certification of the System 80+ design was 
Combustion Engineering, Inc. (ABB-CE).
---------------------------------------------------------------------------

    \1\ ``System 80+'' is a trademark of Combustion Engineering, Inc.
---------------------------------------------------------------------------

                             II. Definitions

    A. Generic design control document (generic DCD) means the document 
containing the Tier 1 and Tier 2 information and generic technical 
specifications that is incorporated by reference into this appendix.
    B. Generic technical specifications means the information, required 
by 10 CFR 50.36 and 50.36a, for the portion of the plant that is within 
the scope of this appendix.
    C. Plant-specific DCD means the document, maintained by an applicant 
or licensee who references this appendix, consisting of the information 
in the generic DCD, as modified and supplemented by the plant-specific 
departures and exemptions made under Section VIII of this appendix.
    D. Tier 1 means the portion of the design-related information 
contained in the generic DCD that is approved and certified by this 
appendix (hereinafter Tier 1 information). The design descriptions, 
interface requirements, and site parameters are derived from Tier 2 
information. Tier 1 information includes:
    1. Definitions and general provisions;
    2. Design descriptions;
    3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
    4. Significant site parameters; and
    5. Significant interface requirements.
    E. Tier 2 means the portion of the design-related information 
contained in the generic DCD that is approved but not certified by this 
appendix (hereinafter Tier 2 information). Compliance with Tier 2 is 
required, but generic changes to and plant-specific departures from Tier 
2 are governed by Section VIII of this appendix. Compliance with Tier 2 
provides a sufficient, but not the only acceptable, method for complying 
with Tier 1. Compliance methods differing from Tier 2 must satisfy the 
change process in Section VIII of this appendix. Regardless of these 
differences, an applicant or licensee must meet the requirement in 
Section III.B to reference Tier 2 when referencing Tier 1. Tier 2 
information includes:
    1. Information required by 10 CFR 52.47, with the exception of 
generic technical specifications and conceptual design information;
    2. Information required for a final safety analysis report under 10 
CFR 50.34;
    3. Supporting information on the inspections, tests, and analyses 
that will be performed to demonstrate that the acceptance criteria in 
the ITAAC have been met; and
    4. Combined license (COL) action items (COL license information), 
which identify certain matters that shall be addressed in the site-
specific portion of the final safety analysis report (FSAR) by an 
applicant who references this appendix. These items constitute 
information requirements but are not the only acceptable set of 
information in the FSAR. An applicant may depart from or omit these 
items, provided that the departure or omission is identified and 
justified in the FSAR. After issuance of a construction permit or COL, 
these items are not requirements for the licensee unless such items are 
restated in the FSAR.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
VIII.B.6 of this appendix. This designation expires for some Tier 2* 
information under VIII.B.6.
    G. All other terms in this appendix have the meaning set out in 10 
CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954, 
as amended, as applicable.

                         III. Scope and Contents

    A. Tier 1, Tier 2, and the generic technical specifications in the 
System 80+ Design Control Document, ABB-CE, with revisions dated January 
1997, are approved for incorporation by reference by the Director of the 
Office of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 
CFR Part 51. Copies of the generic DCD may be obtained from the National 
Technical Information Service, 5285 Port Royal Road, Springfield, VA 
22161. A copy is available for examination and copying at the NRC Public 
Document Room, 2120 L Street NW. (Lower Level), Washington, DC

[[Page 80]]

20555. Copies are also available for examination at the NRC Library, 
11545 Rockville Pike, Rockville, Maryland 20582 and the Office of the 
Federal Register, 800 North Capitol Street, NW., Suite 700, Washington, 
DC.
    B. An applicant or licensee referencing this appendix, in accordance 
with Section IV of this appendix, shall incorporate by reference and 
comply with the requirements of this appendix, including Tier 1, Tier 2, 
and the generic technical specifications except as otherwise provided in 
this appendix. Conceptual design information, as set forth in the 
generic DCD, and the Technical Support Document for the System 80+ 
design are not part of this appendix.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design certification of the System 80+ design or NUREG-
1462, ``Final Safety Evaluation Report related to the Certification of 
the System 80+ Design,'' (FSER) and Supplement No. 1, then the generic 
DCD controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site-specific design parameters, provided the design activities do not 
affect the DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a license that wishes to reference this appendix 
shall, in addition to complying with the requirements of 10 CFR 52.77, 
52.78, and 52.79, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix;
    2. Include, as part of its application:
    a. A plant-specific DCD containing the same information and 
utilizing the same organization and numbering as the generic DCD for the 
System 80+ design, as modified and supplemented by the applicant's 
exemptions and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by X.B of this appendix;
    c. Plant-specific technical specifications, consisting of the 
generic and site-specific technical specifications, that are required by 
10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;
    e. Information that addresses the COL action items; and
    f. Information required by 10 CFR 52.47(a) that is not within the 
scope of this appendix.
    3. Physically include, in the plant-specific DCD, the proprietary 
information referenced in the System 80+ DCD.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under 10 CFR Part 50.

                        V. Applicable Regulations

    A. Except as indicated in paragraph B of this section, the 
regulations that apply to the System 80+ design are in 10 CFR Parts 20, 
50, 73, and 100, codified as of May 9, 1997, that are applicable and 
technically relevant, as described in the FSER (NUREG-1462) and 
Supplement No. 1.
    B. The System 80+ design is exempt from portions of the following 
regulations:
    1. Paragraph (f)(2)(iv) of 10 CFR 50.34--Separate Plant Safety 
Parameter Display Console;
    2. Paragraphs (f)(2) (vii), (viii), (xxvi), and (xxviii) of 10 CFR 
50.34--Accident Source Terms;
    3. Paragraph (f)(2)(viii) of 10 CFR 50.34--Post-Accident Sampling 
for Hydrogen, Boron, Chloride, and Dissolved Gases;
    4. Paragraph (f)(3)(iv) of 10 CFR 50.34--Dedicated Containment 
Penetration; and
    5. Paragraphs III.A.1(a) and III.C.3(b) of Appendix J to 10 CFR 50--
Containment Leakage Testing.

                          VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
components, and design features of the System 80+ design comply with the 
provisions of the Atomic Energy Act of 1954, as amended, and the 
applicable regulations identified in Section V of this appendix; and 
therefore, provide adequate protection to the health and safety of the 
public. A conclusion that a matter is resolved includes the finding that 
additional or alternative structures, systems, components, design 
features, design criteria, testing, analyses, acceptance criteria, or 
justifications are not necessary for the System 80+ design.
    B. The Commission considers the following matters resolved within 
the meaning of 10 CFR 52.63(a)(4) in subsequent proceedings for issuance 
of a combined license, amendment of a combined license, or renewal of a 
combined license, proceedings held pursuant to 10 CFR 52.103, and 
enforcement proceedings involving plants referencing this appendix:
    1. All nuclear safety issues, except for the generic technical 
specifications and other operational requirements, associated with the 
information in the FSER and Supplement No. 1, Tier 1, Tier 2 (including 
referenced information which the context indicates is intended as 
requirements), and the rulemaking record for certification of the System 
80+ design;
    2. All nuclear safety issues associated with the information in 
proprietary documents,

[[Page 81]]

referenced and in context, are intended as requirements in the generic 
DCD for the System 80+ design;
    3. All generic changes to the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
    4. All exemptions from the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.4 and VIII.B.4 of this appendix, 
but only for that proceeding;
    5. All departures from the DCD that are approved by license 
amendment, but only for that proceeding;
    6. Except as provided in VIII.B.5.f of this appendix, all departures 
from Tier 2 pursuant to and in compliance with the change processes in 
VIII.B.5 of this appendix that do not require prior NRC approval;
    7. All environmental issues concerning severe accident mitigation 
design alternatives associated with the information in the NRC's final 
environmental assessment for the System 80+ design and the Technical 
Support Document for the System 80+ design, dated January 1995, for 
plants referencing this appendix whose site parameters are within those 
specified in the Technical Support Document.
    C. The Commission does not consider operational requirements for an 
applicant or licensee who references this appendix to be matters 
resolved within the meaning of 10 CFR 52.63(a)(4). The Commission 
reserves the right to require operational requirements for an applicant 
or licensee who references this appendix by rule, regulation, order, or 
license condition.
    D. Except in accordance with the change processes in Section VIII of 
this appendix, the Commission may not require an applicant or licensee 
who references this appendix to:
    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, systems, 
components, or design features discussed in the generic DCD.
    E.1. Persons who wish to review proprietary information or other 
secondary references in the DCD for the System 80+ design, in order to 
request or participate in the hearing required by 10 CFR 52.85 or the 
hearing provided under 10 CFR 52.103, or to request or participate in 
any other hearing relating to this appendix in which interested persons 
have adjudicatory hearing rights, shall first request access to such 
information from ABB-CE. The request must state with particularity:
    a. The nature of the proprietary or other information sought;
    b. The reason why the information currently available to the public 
at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public 
Document Room, is insufficient.
    c. The relevance of the requested information to the hearing 
issue(s) which the person proposes to raise; and
    d. A showing that the requesting person has the capability to 
understand and utilize the requested information.
    2. If a person claims that the information is necessary to prepare a 
request for hearing, the request must be filed no later than 15 days 
after publication in the Federal Register of the notice required either 
by 10 CFR 52.85 or 10 CFR 52.103. If ABB-CE declines to provide the 
information sought, ABB-CE shall send a written response within ten (10) 
days of receiving the request to the requesting person setting forth 
with particularity the reasons for its refusal. The person may then 
request the Commission (or presiding officer, if a proceeding has been 
established) to order disclosure. The person shall include copies of the 
original request (and any subsequent clarifying information provided by 
the requesting party to the applicant) and the applicant's response. The 
Commission and presiding officer shall base their decisions solely on 
the person's original request (including any clarifying information 
provided by the requesting person to ABB-CE), and ABB-CE's response. The 
Commission and presiding officer may order ABB-CE to provide access to 
some or all of the requested information, subject to an appropriate 
nondisclosure agreement.

                     VII. Duration of This Appendix

    This appendix may be referenced for a period of 15 years from June 
20, 1997, except as provided for in 10 CFR 52.55(b) and 52.57(b). This 
appendix remains valid for an applicant or licensee who references this 
appendix until the application is withdrawn or the license expires, 
including any period of extended operation under a renewed license.

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(3).

[[Page 82]]

    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and Sec. 52.97(b). The Commission 
will deny a request for an exemption from Tier 1, if it finds that the 
design change will result in a significant decrease in the level of 
safety otherwise provided by the design.
    B. Tier 2 information.
    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under Secs. 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, or to 
assure adequate protection of the public health and safety or the common 
defense and security; and
    b. Special circumstances as defined in 10 CFR 50.12(a) are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 50.12(a). The Commission will deny a request for 
an exemption from Tier 2, if it finds that the design change will result 
in a significant decrease in the level of safety otherwise provided by 
the design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of an exemption to a licensee must be subject to an 
opportunity for a hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the technical specifications, or 
involves an unreviewed safety question as defined in paragraphs B.5.b 
and B.5.c of this section. When evaluating the proposed departure, an 
applicant or licensee shall consider all matters described in the plant-
specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, involves an unreviewed safety question if--
    (1) The probability of occurrence or the consequences of an accident 
or malfunction of equipment important to safety previously evaluated in 
the plant-specific DCD may be increased;
    (2) A possibility for an accident or malfunction of a different type 
than any evaluated previously in the plant-specific DCD may be created; 
or
    (3) The margin of safety as defined in the basis for any technical 
specification is reduced.
    c. A proposed departure from Tier 2 affecting resolution of a severe 
accident issue identified in the plant-specific DCD, involves an 
unreviewed safety question if--
    (1) There is a substantial increase in the probability of a severe 
accident such that a particular severe accident previously reviewed and 
determined to be not credible could become credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular severe accident previously reviewed.
    d. If a departure involves an unreviewed safety question as defined 
in paragraph B.5 of this section, it is governed by 10 CFR 50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with VIII.B.5 of this appendix when 
departing from Tier 2 information, may petition to admit into the 
proceeding such a contention. In addition to compliance with the general 
requirements of 10 CFR 2.714(b)(2), the petition must demonstrate that 
the departure does not comply with VIII.B.5 of this appendix. Further, 
the petition must demonstrate that the change bears on an asserted 
noncompliance with an ITAAC acceptance criterion in the case of a 10 CFR 
52.103 preoperational hearing, or that the change bears directly on the 
amendment request in the case of a hearing on a license amendment. Any 
other party may file a response. If, on the basis of the petition and 
any response, the presiding officer determines that a sufficient showing 
has been made, the presiding officer shall certify the matter directly 
to the Commission for determination of the admissibility of the 
contention. The Commission may admit such a contention if it determines 
the petition raises a genuine issue of fact regarding compliance with 
VIII.B.5 of this appendix.
    6.a. An applicant who references this appendix may not depart from 
Tier 2* information, which is designated with italicized text or 
brackets and an asterisk in the generic DCD, without NRC approval. The 
departure

[[Page 83]]

will not be considered a resolved issue, within the meaning of Section 
VI of this appendix and 10 CFR 52.63(a)(4).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Maximum fuel rod average burnup.
    (2) Control room human factors engineering.
    c. A licensee who references this appendix may not, before the plant 
first achieves full power following the finding required by 10 CFR 
52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant first 
achieves full power, the following Tier 2* matters revert to Tier 2 
status and are thereafter subject to the departure provisions in 
paragraph B.5 of this section.
    (1) ASME Boiler & Pressure Vessel Code, Section III.
    (2) ACI 349 and ANSI/AISC N-690.
    (3) Motor-operated valves.
    (4) Equipment seismic qualification methods.
    (5) Piping design acceptance criteria.
    (6) Fuel and control rod design, except burnup limit.
    (7) Instrumentation & controls setpoint methodology.
    (8) Instrumentation & controls hardware and software changes.
    (9) Instrumentation & controls environmental qualification.
    (10) Seismic design criteria for non-seismic category I structures.
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.
    1. Generic changes to generic technical specifications and other 
operational requirements that were completely reviewed and approved in 
the design certification rulemaking and do not require a change to a 
design feature in the generic DCD are governed by the requirements in 10 
CFR 50.109. Generic changes that do require a change to a design feature 
in the generic DCD are governed by the requirements in paragraphs A or B 
of this section.
    2. Generic changes to generic technical specifications and other 
operational requirements are applicable to all applicants or licensees 
who reference this appendix, except those for which the change has been 
rendered technically irrelevant by action taken under paragraphs C.3 or 
C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
technical specifications and other operational requirements that were 
completely reviewed and approved, provided a change to a design feature 
in the generic DCD is not required and special circumstances as defined 
in 10 CFR 2.758(b) are present. The Commission may modify or supplement 
generic technical specifications and other operational requirements that 
were not completely reviewed and approved or require additional 
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 50.12(a). The grant of an exemption must be subject to litigation in 
the same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a technical specification derived from the generic technical 
specifications must be changed may petition to admit into the proceeding 
such a contention. Such petition must comply with the general 
requirements of 10 CFR 2.714(b)(2) and must demonstrate why special 
circumstances as defined in 10 CFR 2.758(b) are present, or for 
compliance with the Commission's regulations in effect at the time this 
appendix was approved, as set forth in Section V of this appendix. Any 
other party may file a response thereto. If, on the basis of the 
petition and any response, the presiding officer determines that a 
sufficient showing has been made, the presiding officer shall certify 
the matter directly to the Commission for determination of the 
admissibility of the contention. All other issues with respect to the 
plant-specific technical specifications or other operational 
requirements are subject to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic technical specifications 
have no further effect on the plant-specific technical specifications 
and changes to the plant-specific technical specifications will be 
treated as license amendments under 10 CFR 50.90.

    IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)

    A.1  An applicant or licensee who references this appendix shall 
perform and demonstrate conformance with the ITAAC before fuel load. 
With respect to activities subject to an ITAAC, an applicant for a 
license may proceed at its own risk with design and procurement 
activities, and a licensee may proceed at its own risk with design, 
procurement, construction, and preoperational activities, even though 
the NRC may not have

[[Page 84]]

found that any particular ITAAC has been satisfied.
    2. The licensee who references this appendix shall notify the NRC 
that the required inspections, tests, and analyses in the ITAAC have 
been successfully completed and that the corresponding acceptance 
criteria have been met.
    3. In the event that an activity is subject to an ITAAC, and the 
applicant or licensee who references this appendix has not demonstrated 
that the ITAAC has been satisfied, the applicant or licensee may either 
take corrective actions to successfully complete that ITAAC, request an 
exemption from the ITAAC in accordance with Section VIII of this 
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this 
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802 
and 52.97(b). Such rulemaking changes to the ITAAC must meet the 
requirements of paragraph VIII.A.1 of this appendix.
    B.1  The NRC shall ensure that the required inspections, tests, and 
analyses in the ITAAC are performed. The NRC shall verify that the 
inspections, tests, and analyses referenced by the licensee have been 
successfully completed and, based solely thereon, find the prescribed 
acceptance criteria have been met. At appropriate intervals during 
construction, the NRC shall publish notices of the successful completion 
of ITAAC in the Federal Register.
    2. In accordance with 10 CFR 52.99 and 52.103(g), the Commission 
shall find that the acceptance criteria in the ITAAC for the license are 
met before fuel load.
    3. After the Commission has made the finding required by 10 CFR 
52.103(g), the ITAAC do not, by virtue of their inclusion within the 
DCD, constitute regulatory requirements either for licensees or for 
renewal of the license; except for specific ITAAC, which are the subject 
of a Section 103(a) hearing, their expiration will occur upon final 
Commission action in such proceeding. However, subsequent modifications 
must comply with the Tier 1 and Tier 2 design descriptions in the plant-
specific DCD unless the licensee has complied with the applicable 
requirements of 10 CFR 52.97 and Section VIII of this appendix.

                        X. Records and Reporting

                               A. Records

    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1 and Tier 2. The 
applicant shall maintain the proprietary and safeguards information 
referenced in the generic DCD for the period that this appendix may be 
referenced, as specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made pursuant 
to Section VIII of this appendix throughout the period of application 
and for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written safety evaluations which provide the bases 
for the determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).

                              B. Reporting

    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any 
departures from the plant-specific DCD, including a summary of the 
safety evaluation of each. This report must be filed in accordance with 
the filing requirements applicable to reports in 10 CFR 50.4.
    2. An applicant or licensee who references this appendix shall 
submit updates to its plant-specific DCD, which reflect the generic 
changes to the generic DCD and the plant-specific departures made 
pursuant to Section VIII of this appendix. These updates shall be filed 
in accordance with the filing requirements applicable to final safety 
analysis report updates in 10 CFR 50.4 and 50.71(e).
    3. The reports and updates required by paragraphs B.1 and B.2 of 
this section must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application shall include the report and any 
updates to the plant-specific DCD.
    b. During the interval from the date of application to the date of 
issuance of a license, the report and any updates to the plant-specific 
DCD must be submitted annually and may be submitted along with 
amendments to the application.
    c. During the interval from the date of issuance of a license to the 
date the Commission makes its findings under 10 CFR 52.103(g), the 
report must be submitted quarterly. Updates to the plant-specific DCD 
must be submitted annually.
    d. After the Commission has made its finding under 10 CFR 52.103(g), 
reports and updates to the plant-specific DCD may be submitted annually 
or along with updates to the site-specific portion of the final safety 
analysis report for the facility at the intervals required by 10 CFR 
50.71(e), or at shorter intervals as specified in the license.

[62 FR 27867, May 21, 1997, as amended at 64 FR 48953, Sept. 9, 1999]

[[Page 85]]

  Appendix C to Part 52--Design Certification Rule for the AP600 Design

                             I. Introduction

    Appendix C constitutes the standard design certification for the 
AP600 1 design, in accordance with 10 CFR Part 52, Subpart B. 
The applicant for certification of the AP600 design is Westinghouse 
Electric Company LLC.
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    \1\ AP600 is a trademark of Westinghouse Electric Company LLC.
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                             II. Definitions

    A. Generic design control document (generic DCD) means the document 
containing the Tier 1 and Tier 2 information and generic technical 
specifications that is incorporated by reference into this appendix.
    B. Generic technical specifications means the information, required 
by 10 CFR 50.36 and 50.36a, for the portion of the plant that is within 
the scope of this appendix.
    C. Plant-specific DCD means the document, maintained by an applicant 
or licensee who references this appendix, consisting of the information 
in the generic DCD, as modified and supplemented by the plant-specific 
departures and exemptions made under Section VIII of this appendix.
    D. Tier 1 means the portion of the design-related information 
contained in the generic DCD that is approved and certified by this 
appendix (hereinafter Tier 1 information). The design descriptions, 
interface requirements, and site parameters are derived from Tier 2 
information. Tier 1 information includes:
    1. Definitions and general provisions;
    2. Design descriptions;
    3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
    4. Significant site parameters; and
    5. Significant interface requirements.
    E. Tier 2 means the portion of the design-related information 
contained in the generic DCD that is approved but not certified by this 
appendix (hereinafter Tier 2 information). Compliance with Tier 2 is 
required, but generic changes to and plant-specific departures from Tier 
2 are governed by Section VIII of this appendix. Compliance with Tier 2 
provides a sufficient, but not the only acceptable, method for complying 
with Tier 1. Compliance methods differing from Tier 2 must satisfy the 
change process in Section VIII of this appendix. Regardless of these 
differences, an applicant or licensee must meet the requirement in 
Section III.B to reference Tier 2 when referencing Tier 1. Tier 2 
information includes:
    1. Information required by 10 CFR 52.47, with the exception of 
generic technical specifications and conceptual design information;
    2. Information required for a final safety analysis report under 10 
CFR 50.34;
    3. Supporting information on the inspections, tests, and analyses 
that will be performed to demonstrate that the acceptance criteria in 
the ITAAC have been met; and
    4. Combined license (COL) action items (combined license 
information), which identify certain matters that shall be addressed in 
the site-specific portion of the final safety analysis report (FSAR) by 
an applicant who references this appendix. These items constitute 
information requirements but are not the only acceptable set of 
information in the FSAR. An applicant may depart from or omit these 
items, provided that the departure or omission is identified and 
justified in the FSAR. After issuance of a construction permit or COL, 
these items are not requirements for the licensee unless such items are 
restated in the FSAR.
    5. The investment protection short-term availability controls in 
Section 16.3 of the DCD.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
VIII.B.6 of this appendix. This designation expires for some Tier 2* 
information under VIII.B.6.
    G. All other terms in this appendix have the meaning set out in 10 
CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954, 
as amended, as applicable.

                         III. Scope and Contents

    A. Tier 1, Tier 2 (including the investment protection short-term 
availability controls in Section 16.3), and the generic technical 
specifications in the AP600 DCD (12/99 revision) are approved for 
incorporation by reference by the Director of the Office of the Federal 
Register on January 24, 2000 in accordance with 5 U.S.C. 552(a) and 1 
CFR Part 51. Copies of the generic DCD may be obtained from Mr. Brian A. 
McIntyre, Manager, Advanced Plant Safety and Licensing, Westinghouse 
Electric Company, P.O. Box 355, Pittsburgh, PA 15230-0355. A copy of the 
generic DCD is available for examination and copying at the NRC Public 
Document Room, 2120 L Street NW. (Lower Level), Washington, DC 20555-
0001. Copies are also available for examination at the NRC Library, 
11545 Rockville Pike, Rockville, Maryland 20582; and the Office of the 
Federal Register, 800 North Capitol Street, NW., suite 700, Washington, 
DC.
    B. An applicant or licensee referencing this appendix, in accordance 
with Section IV of this appendix, shall incorporate by reference and 
comply with the requirements of this appendix, including Tier 1, Tier 2 
(including the

[[Page 86]]

investment protection short-term availability controls in Section 16.3), 
and the generic technical specifications except as otherwise provided in 
this appendix. Conceptual design information in the generic DCD and the 
evaluation of severe accident mitigation design alternatives in Appendix 
1B of the generic DCD are not part of this appendix.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design certification of the AP600 design or NUREG-1512, 
``Final Safety Evaluation Report Related to Certification of the AP600 
Standard Design,'' (FSER), then the generic DCD controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site-specific design parameters, provided the design activities do not 
affect the DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a license that wishes to reference this appendix 
shall, in addition to complying with the requirements of 10 CFR 52.77, 
52.78, and 52.79, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix.
    2. Include, as part of its application:
    a. A plant-specific DCD containing the same information and 
utilizing the same organization and numbering as the AP600 DCD, as 
modified and supplemented by the applicant's exemptions and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by X.B of this appendix;
    c. Plant-specific technical specifications, consisting of the 
generic and site-specific technical specifications, that are required by 
10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;
    e. Information that addresses the COL action items; and
    f. Information required by 10 CFR 52.47(a) that is not within the 
scope of this appendix.
    3. Physically include, in the plant-specific DCD, the proprietary 
and safeguards information referenced in the AP600 DCD.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under Part 50.

                        V. Applicable Regulations

    A. Except as indicated in paragraph B of this section, the 
regulations that apply to the AP600 design are in 10 CFR Parts 20, 50, 
73, and 100, codified as of December 16, 1999, that are applicable and 
technically relevant, as described in the FSER (NUREG-1512) and the 
supplementary information for this section.
    B. The AP600 design is exempt from portions of the following 
regulations:
    1. Paragraph (a)(1) of 10 CFR 50.34--whole body dose criterion;
    2. Paragraph (f)(2)(iv) of 10 CFR 50.34--Plant Safety Parameter 
Display Console;
    3. Paragraphs (f)(2)(vii), (viii), (xxvi), and (xxviii) of 10 CFR 
50.34--Accident Source Term in TID 14844;
    4. Paragraph (a)(2) of 10 CFR 50.55a--ASME Boiler and Pressure 
Vessel Code;
    5. Paragraph (c)(1) of 10 CFR 50.62--Auxiliary (or emergency) 
feedwater system;
    6. Appendix A to 10 CFR Part 50, GDC 17--Offsite Power Sources; and
    7. Appendix A to 10 CFR Part 50, GDC 19--whole body dose criterion.

                          VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
components, and design features of the AP600 design comply with the 
provisions of the Atomic Energy Act of 1954, as amended, and the 
applicable regulations identified in Section V of this appendix; and 
therefore, provide adequate protection to the health and safety of the 
public. A conclusion that a matter is resolved includes the finding that 
additional or alternative structures, systems, components, design 
features, design criteria, testing, analyses, acceptance criteria, or 
justifications are not necessary for the AP600 design.
    B. The Commission considers the following matters resolved within 
the meaning of 10 CFR 52.63(a)(4) in subsequent proceedings for issuance 
of a combined license, amendment of a combined license, or renewal of a 
combined license, proceedings held pursuant to 10 CFR 52.103, and 
enforcement proceedings involving plants referencing this appendix:
    1. All nuclear safety issues, except for the generic technical 
specifications and other operational requirements, associated with the 
information in the FSER, Tier 1, Tier 2 (including referenced 
information, which the context indicates is intended as requirements, 
and the investment protection short-term availability controls in 
Section 16.3), and the rulemaking record for certification of the AP600 
design;
    2. All nuclear safety and safeguards issues associated with the 
information in proprietary and safeguards documents, referenced and in 
context, are intended as requirements in the generic DCD for the AP600 
design;
    3. All generic changes to the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;

[[Page 87]]

    4. All exemptions from the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.4 and VIII.B.4 of this appendix, 
but only for that proceeding;
    5. All departures from the DCD that are approved by license 
amendment, but only for that proceeding;
    6. Except as provided in VIII.B.5.f of this appendix, all departures 
from Tier 2 pursuant to and in compliance with the change processes in 
VIII.B.5 of this appendix that do not require prior NRC approval;
    7. All environmental issues concerning severe accident mitigation 
design alternatives (SAMDAs) associated with the information in the 
NRC's environmental assessment for the AP600 design and Appendix 1B of 
the generic DCD, for plants referencing this appendix whose site 
parameters are within those specified in the SAMDA evaluation.
    C. The Commission does not consider operational requirements for an 
applicant or licensee who references this appendix to be matters 
resolved within the meaning of 10 CFR 52.63(a)(4). The Commission 
reserves the right to require operational requirements for an applicant 
or licensee who references this appendix by rule, regulation, order, or 
license condition.
    D. Except in accordance with the change processes in Section VIII of 
this appendix, the Commission may not require an applicant or licensee 
who references this appendix to:
    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, systems, 
components, or design features discussed in the generic DCD.
    E.1. Persons who wish to review proprietary and safeguards 
information or other secondary references in the AP600 DCD, in order to 
request or participate in the hearing required by 10 CFR 52.85 or the 
hearing provided under 10 CFR 52.103, or to request or participate in 
any other hearing relating to this appendix in which interested persons 
have adjudicatory hearing rights, shall first request access to such 
information from Westinghouse. The request must state with 
particularity:
    a. The nature of the proprietary or other information sought;
    b. The reason why the information currently available to the public 
at the NRC Web site, http://www.nrc.gov, and/or at the NRC's Public 
Document Room, is insufficient;
    c. The relevance of the requested information to the hearing 
issue(s) which the person proposes to raise; and
    d. A showing that the requesting person has the capability to 
understand and utilize the requested information.
    2. If a person claims that the information is necessary to prepare a 
request for hearing, the request must be filed no later than 15 days 
after publication in the Federal Register of the notice required either 
by 10 CFR 52.85 or 10 CFR 52.103. If Westinghouse declines to provide 
the information sought, Westinghouse shall send a written response 
within ten (10) days of receiving the request to the requesting person 
setting forth with particularity the reasons for its refusal. The person 
may then request the Commission (or presiding officer, if a proceeding 
has been established) to order disclosure. The person shall include 
copies of the original request (and any subsequent clarifying 
information provided by the requesting party to the applicant) and the 
applicant's response. The Commission and presiding officer shall base 
their decisions solely on the person's original request (including any 
clarifying information provided by the requesting person to 
Westinghouse), and Westinghouse's response. The Commission and presiding 
officer may order Westinghouse to provide access to some or all of the 
requested information, subject to an appropriate non-disclosure 
agreement.

                     VII. Duration of This Appendix

    This appendix may be referenced for a period of 15 years from 
January 24, 2000, except as provided for in 10 CFR 52.55(b) and 
52.57(b). This appendix remains valid for an applicant or licensee who 
references this appendix until the application is withdrawn or the 
license expires, including any period of extended operation under a 
renewed license.

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(3).
    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and Sec. 52.97(b). The Commission 
will deny a request for an exemption from Tier 1, if it finds that the 
design change will result in a significant decrease in the level of 
safety otherwise provided by the design.
    B. Tier 2 information.

[[Page 88]]

    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under Secs. 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, or to 
assure adequate protection of the public health and safety or the common 
defense and security; and
    b. Special circumstances as defined in 10 CFR 50.12(a) are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 50.12(a). The Commission will deny a request for 
an exemption from Tier 2, if it finds that the design change will result 
in a significant decrease in the level of safety otherwise provided by 
the design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of an exemption to a licensee must be subject to an 
opportunity for a hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the technical specifications, or 
involves an unreviewed safety question as defined in paragraphs B.5.b 
and B.5.c of this section. When evaluating the proposed departure, an 
applicant or licensee shall consider all matters described in the plant-
specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, involves an unreviewed safety question if--
    (1) The probability of occurrence or the consequences of an accident 
or malfunction of equipment important to safety previously evaluated in 
the plant-specific DCD may be increased;
    (2) A possibility for an accident or malfunction of a different type 
than any evaluated previously in the plant-specific DCD may be created; 
or
    (3) The margin of safety as defined in the basis for any technical 
specification is reduced.
    c. A proposed departure from Tier 2 affecting resolution of a severe 
accident issue identified in the plant-specific DCD, involves an 
unreviewed safety question if--
    (1) There is a substantial increase in the probability of a severe 
accident such that a particular severe accident previously reviewed and 
determined to be not credible could become credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular severe accident previously reviewed.
    d. If a departure involves an unreviewed safety question as defined 
in paragraph B.5 of this section, it is governed by 10 CFR 50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with VIII.B.5 of this appendix when 
departing from Tier 2 information, may petition to admit into the 
proceeding such a contention. In addition to compliance with the general 
requirements of 10 CFR 2.714(b)(2), the petition must demonstrate that 
the departure does not comply with VIII.B.5 of this appendix. Further, 
the petition must demonstrate that the change bears on an asserted 
noncompliance with an ITAAC acceptance criterion in the case of a 10 CFR 
52.103 preoperational hearing, or that the change bears directly on the 
amendment request in the case of a hearing on a license amendment. Any 
other party may file a response. If, on the basis of the petition and 
any response, the presiding officer determines that a sufficient showing 
has been made, the presiding officer shall certify the matter directly 
to the Commission for determination of the admissibility of the 
contention. The Commission may admit such a contention if it determines 
the petition raises a genuine issue of fact regarding compliance with 
VIII.B.5 of this appendix.
    6.a. An applicant who references this appendix may not depart from 
Tier 2* information, which is designated with italicized text or 
brackets and an asterisk in the generic DCD, without NRC approval. The 
departure will not be considered a resolved issue, within the meaning of 
Section VI of this appendix and 10 CFR 52.63(a)(4).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Maximum fuel rod average burn-up.

[[Page 89]]

    (2) Fuel principal design requirements.
    (3) Fuel criteria evaluation process.
    (4) Fire areas.
    (5) Human factors engineering.
    c. A licensee who references this appendix may not, before the plant 
first achieves full power following the finding required by 10 CFR 
52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant first 
achieves full power, the following Tier 2* matters revert to Tier 2 
status and are thereafter subject to the departure provisions in 
paragraph B.5 of this section.
    (1) Nuclear Island structural dimensions.
    (2) ASME Boiler and Pressure Vessel Code, Section III, and Code Case 
N-284.
    (3) Design Summary of Critical Sections.
    (4) ACI 318, ACI 349, and ANSI/AISC--690.
    (5) Definition of critical locations and thicknesses.
    (6) Seismic qualification methods and standards.
    (7) Nuclear design of fuel and reactivity control system, except 
burn-up limit.
    (8) Motor-operated and power-operated valves.
    (9) Instrumentation and control system design processes, methods, 
and standards.
    (10) PRHR natural circulation test (first plant only).
    (11) ADS and CMT verification tests (first three plants only).
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.
    1. Generic changes to generic technical specifications and other 
operational requirements that were completely reviewed and approved in 
the design certification rulemaking and do not require a change to a 
design feature in the generic DCD are governed by the requirements in 10 
CFR 50.109. Generic changes that do require a change to a design feature 
in the generic DCD are governed by the requirements in paragraphs A or B 
of this section.
    2. Generic changes to generic technical specifications and other 
operational requirements are applicable to all applicants or licensees 
who reference this appendix, except those for which the change has been 
rendered technically irrelevant by action taken under paragraphs C.3 or 
C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
technical specifications and other operational requirements that were 
completely reviewed and approved, provided a change to a design feature 
in the generic DCD is not required and special circumstances as defined 
in 10 CFR 2.758(b) are present. The Commission may modify or supplement 
generic technical specifications and other operational requirements that 
were not completely reviewed and approved or require additional 
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 50.12(a). The grant of an exemption must be subject to litigation in 
the same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a technical specification derived from the generic technical 
specifications must be changed may petition to admit into the proceeding 
such a contention. Such petition must comply with the general 
requirements of 10 CFR 2.714(b)(2) and must demonstrate why special 
circumstances as defined in 10 CFR 2.758(b) are present, or for 
compliance with the Commission's regulations in effect at the time this 
appendix was approved, as set forth in Section V of this appendix. Any 
other party may file a response thereto. If, on the basis of the 
petition and any response, the presiding officer determines that a 
sufficient showing has been made, the presiding officer shall certify 
the matter directly to the Commission for determination of the 
admissibility of the contention. All other issues with respect to the 
plant-specific technical specifications or other operational 
requirements are subject to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic technical specifications 
have no further effect on the plant-specific technical specifications 
and changes to the plant-specific technical specifications will be 
treated as license amendments under 10 CFR 50.90.

    IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)

    A.1 An applicant or licensee who references this appendix shall 
perform and demonstrate conformance with the ITAAC before fuel load. 
With respect to activities subject to an ITAAC, an applicant for a 
license may proceed at its own risk with design and procurement 
activities, and a licensee may proceed at its own risk with design, 
procurement, construction, and preoperational activities, even though 
the NRC may not have found that any particular ITAAC has been satisfied.
    2. The licensee who references this appendix shall notify the NRC 
that the required inspections, tests, and analyses in the ITAAC have 
been successfully completed and

[[Page 90]]

that the corresponding acceptance criteria have been met.
    3. In the event that an activity is subject to an ITAAC, and the 
applicant or licensee who references this appendix has not demonstrated 
that the ITAAC has been satisfied, the applicant or licensee may either 
take corrective actions to successfully complete that ITAAC, request an 
exemption from the ITAAC in accordance with Section VIII of this 
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this 
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802 
and 52.97(b). Such rulemaking changes to the ITAAC must meet the 
requirements of paragraph VIII.A.1 of this appendix.
    B.1 The NRC shall ensure that the required inspections, tests, and 
analyses in the ITAAC are performed. The NRC shall verify that the 
inspections, tests, and analyses referenced by the licensee have been 
successfully completed and, based solely thereon, find the prescribed 
acceptance criteria have been met. At appropriate intervals during 
construction, the NRC shall publish notices of the successful completion 
of ITAAC in the Federal Register.
    2. In accordance with 10 CFR 52.99 and 52.103(g), the Commission 
shall find that the acceptance criteria in the ITAAC for the license are 
met before fuel load.
    3. After the Commission has made the finding required by 10 CFR 
52.103(g), the ITAAC do not, by virtue of their inclusion within the 
DCD, constitute regulatory requirements either for licensees or for 
renewal of the license; except for specific ITAAC, which are the subject 
of a Section 103(a) hearing, their expiration will occur upon final 
Commission action in such proceeding. However, subsequent modifications 
must comply with the Tier 1 and Tier 2 design descriptions in the plant-
specific DCD unless the licensee has complied with the applicable 
requirements of 10 CFR 52.97 and Section VIII of this appendix.

                        X. Records and Reporting

                               A. Records

    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1 and Tier 2. The 
applicant shall maintain the proprietary and safeguards information 
referenced in the generic DCD for the period that this appendix may be 
referenced, as specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made pursuant 
to Section VIII of this appendix throughout the period of application 
and for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written safety evaluations which provide the bases 
for the determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).

                              B. Reporting

    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any 
departures from the plant-specific DCD, including a summary of the 
safety evaluation of each. This report must be filed in accordance with 
the filing requirements applicable to reports in 10 CFR 50.4.
    2. An applicant or licensee who references this appendix shall 
submit updates to its plant-specific DCD, which reflect the generic 
changes to the generic DCD and the plant-specific departures made 
pursuant to Section VIII of this appendix. These updates shall be filed 
in accordance with the filing requirements applicable to final safety 
analysis report updates in 10 CFR 50.4 and 50.71(e).
    3. The reports and updates required by paragraphs B.1 and B.2 of 
this section must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application shall include the report and any 
updates to the plant-specific DCD.
    b. During the interval from the date of application to the date of 
issuance of a license, the report and any updates to the plant-specific 
DCD must be submitted annually and may be submitted along with 
amendments to the application.
    c. During the interval from the date of issuance of a license to the 
date the Commission makes its findings under 10 CFR 52.103(g), the 
report must be submitted quarterly. Updates to the plant-specific DCD 
must be submitted annually.
    d. After the Commission has made its finding under 10 CFR 52.103(g), 
reports and updates to the plant-specific DCD may be submitted annually 
or along with updates to the site-specific portion of the final safety 
analysis report for the facility at the intervals required by 10 CFR 
50.71(e), or at shorter intervals as specified in the license.

[64 FR 72015, Dec. 23, 1999]

[[Page 91]]

                  Appendixes D-L to Part 52 [Reserved]

Appendix M to Part 52--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 of this chapter 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 part 50 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 part 50 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 this chapter 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 of this chapter. 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 part 50 applicable to 
construction permits, including the requirement in Sec. 50.58 of this 
chapter 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.
    2. An application for a manufacturing license pursuant to this 
appendix M must be submitted, as specified in Sec. 50.4 of this chapter 
and meet all the requirements of Secs. 50.34(a) (1)-(9) and 50.34a (a) 
and (b) of this chapter 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 a hypothetical site or sites having 
characterisitics 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 of this chapter and appendix J of part 50 do not apply to 
manufacturing licenses. Appendices E and H of part 50 apply to 
manufacturing licenses only to the extent that the requirements of these 
appendices involve facility design features.
    (b) The financial information submitted pursuant to Sec. 50.33(f) of 
this chapter and appendix C of part 50 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 of components incorporated therein for 
the protection of the health and safety of the public.

[[Page 92]]

    (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 of 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) of this chapter 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 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 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 
by Secs. 50.34(a) and 50.34a of this chapter, 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 
part 50. 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

[[Page 93]]

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.

 Appendix N to Part 52--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 chapter 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 part 50 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) of this 
chapter, and the issuance of an operating license before the 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 part 50, applicable to 
construction permits and operating licenses, including the requirement 
in Sec. 50.58 of this chapter for review of the application by the 
Advisory Committee on Reactor Safeguards and the holding of public 
hearings, apply to construction permits and operating license 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) of this chapter, and be submitted as 
specified in Sec. 50.4 of this chapter. The applicant 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) of this chapter, reference may be 
made to a single preliminary safety analysis of the design \2\ 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) of this chapter. 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.

   Appendix O to Part 52--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 
of this chapter 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 of this chapter for license applications.
    3. The submittal for review of the standard design shall include the 
information described in Secs. 50.33 (a) through (d) of this chapter and 
the applicable technical information

[[Page 94]]

required by Secs. 50.34 (a) and (b), as appropriate, and 50.34a of this 
chapter (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) of this chapter, 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) of this chapter, shall be limted 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) of this chapter 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 NRC 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 at the NRC Web site, http://www.nrc.gov, 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 Board Panel, and other 
presiding officers in any proceeding under subpart G of part 2 of this 
chapter.
    7. 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.

[54 FR 15386, Apr. 18, 1989, as amended at 61 FR 9902, Mar. 12, 1996; 64 
FR 48953, Sept. 9, 1999]

                    Appendix P to Part 52  [Reserved]

Appendix Q to Part 52--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 (ACRS) 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 of this chapter or are testing facilities. This appendix 
does not apply to proceedings conducted pursuant to subpart F or 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) of this chapter, 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) of this chapter, 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 of this chapter for license applications. The 
submittal must include sufficient information concerning 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

[[Page 95]]

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 note 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 requested of 
applicants for construction permits by Secs. 50.33 (a)-(c) and (e) and 
50.34(a)(1) of this chapter will be referred to the 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 NRC staff and, if appropriate by 
the ACRS, of a submittal under this appendix, the NRC 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 an NRC Staff Site Report, the NRC staff shall publish a 
notice of the availability of the report in the Federal Register and 
shall make available a copy of the report at the NRC Web site, http://
www.nrc.gov. The NRC 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 specific 
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) 
of this chapter, or in any way affect the authority of the Commission, 
Atomic Safety and Licensing Appeal Panel, Atomic Safety and Licensing 
Board Panel, 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.

[54 FR 15386, Apr. 18, 1989, as amended at 64 FR 48953, Sept. 9, 1999]

                           PART 53 [RESERVED]



PART 54--REQUIREMENTS FOR RENEWAL OF OPERATING LICENSES FOR NUCLEAR POWER PLANTS--Table of Contents




                           General Provisions

Sec.
54.1  Purpose.
54.3  Definitions.
54.4  Scope.
54.5  Interpretations.

[[Page 96]]

54.7  Written communications.
54.9  Information collection requirements: OMB approval.
54.11  Public inspection of applications.
54.13  Completeness and accuracy of information.
54.15  Specific exemptions.
54.17  Filing of application.
54.19  Contents of application--general information.
54.21  Contents of application--technical information.
54.22  Contents of application--technical specifications.
54.23  Contents of application--environmental information.
54.25  Report of the Advisory Committee on Reactor Safeguards.
54.27  Hearings.
54.29  Standards for issuance of a renewed license.
54.30  Matters not subject to a renewal review.
54.31  Issuance of a renewed license.
54.33  Continuation of CLB and conditions of renewed license.
54.35  Requirements during term of renewed license.
54.37  Additional records and recordkeeping requirements.
54.41  Violations.
54.43  Criminal penalties.

    Authority: Secs. 102, 103, 104, 161, 181, 182, 183, 186, 189, 68 
Stat. 936, 937, 938, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 
1244, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2201, 2232, 2233, 
2236, 2239, 2282); secs 201, 202, 206, 88 Stat. 1242, 1244, as amended 
(42 U.S.C. 5841, 5842), E.O. 12829, 3 CFR, 1993 Comp., p. 570; E.O. 
12958, as amended, 3 CFR, 1995 Comp., p. 333; E.O. 12968, 3 CFR, 1995 
Comp., p. 391.

    Source: 60 FR 22491, May 8, 1995, unless otherwise noted.

                           General Provisions



Sec. 54.1  Purpose.

    This part governs the issuance of renewed operating licenses for 
nuclear power plants licensed pursuant to Sections 103 or 104b of the 
Atomic Energy Act of 1954, as amended (68 Stat. 919), and Title II of 
the Energy Reorganization Act of 1974 (88 Stat. 1242).



Sec. 54.3  Definitions.

    (a) As used in this part,
    Current licensing basis (CLB) is the set of NRC requirements 
applicable to a specific plant and a licensee's written commitments for 
ensuring compliance with and operation within applicable NRC 
requirements and the plant-specific design basis (including all 
modifications and additions to such commitments over the life of the 
license) that are docketed and in effect. The CLB includes the NRC 
regulations contained in 10 CFR parts 2, 19, 20, 21, 26, 30, 40, 50, 51, 
54, 55, 70, 72, 73, 100 and appendices thereto; orders; license 
conditions; exemptions; and technical specifications. It also includes 
the plant-specific design-basis information defined in 10 CFR 50.2 as 
documented in the most recent final safety analysis report (FSAR) as 
required by 10 CFR 50.71 and the licensee's commitments remaining in 
effect that were made in docketed licensing correspondence such as 
licensee responses to NRC bulletins, generic letters, and enforcement 
actions, as well as licensee commitments documented in NRC safety 
evaluations or licensee event reports.
    Integrated plant assessment (IPA) is a licensee assessment that 
demonstrates that a nuclear power plant facility's structures and 
components requiring aging management review in accordance with 
Sec. 54.21(a) for license renewal have been identified and that the 
effects of aging on the functionality of such structures and components 
will be managed to maintain the CLB such that there is an acceptable 
level of safety during the period of extended operation.
    Nuclear power plant means a nuclear power facility of a type 
described in 10 CFR 50.21(b) or 50.22.
    Time-limited aging analyses, for the purposes of this part, are 
those licensee calculations and analyses that:
    (1) Involve systems, structures, and components within the scope of 
license renewal, as delineated in Sec. 54.4(a);
    (2) Consider the effects of aging;
    (3) Involve time-limited assumptions defined by the current 
operating term, for example, 40 years;
    (4) Were determined to be relevant by the licensee in making a 
safety determination;
    (5) Involve conclusions or provide the basis for conclusions related 
to the capability of the system, structure, and component to perform its 
intended functions, as delineated in Sec. 54.4(b); and
    (6) Are contained or incorporated by reference in the CLB.

[[Page 97]]

    (b) All other terms in this part have the same meanings as set out 
in 10 CFR 50.2 or Section 11 of the Atomic Energy Act, as applicable.



Sec. 54.4  Scope.

    (a) Plant systems, structures, and components within the scope of 
this part are--
    (1) Safety-related systems, structures, and components which are 
those relied upon to remain functional during and following design-basis 
events (as defined in 10 CFR 50.49 (b)(1)) to ensure the following 
functions--
    (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), Sec. 50.67(b)(2), or 
Sec. 100.11 of this chapter, as applicable.
    (2) All nonsafety-related systems, structures, and components whose 
failure could prevent satisfactory accomplishment of any of the 
functions identified in paragraphs (a)(1) (i), (ii), or (iii) of this 
section.
    (3) All systems, structures, and components relied on in safety 
analyses or plant evaluations to perform a function that demonstrates 
compliance with the Commission's regulations for fire protection (10 CFR 
50.48), environmental qualification (10 CFR 50.49), pressurized thermal 
shock (10 CFR 50.61), anticipated transients without scram (10 CFR 
50.62), and station blackout (10 CFR 50.63).
    (b) The intended functions that these systems, structures, and 
components must be shown to fulfill in Sec. 54.21 are those functions 
that are the bases for including them within the scope of license 
renewal as specified in paragraphs (a) (1)-(3) of this section.

[60 FR 22491, May 8, 1995, as amended at 61 FR 65175, Dec. 11, 1996; 64 
FR 72002, Dec. 23, 1999]



Sec. 54.5  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. 54.7  Written communications.

    All applications, correspondence, reports, and other written 
communications shall be filed in accordance with applicable portions of 
10 CFR 50.4.



Sec. 54.9  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 (44 U.S.C. 3501, et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0155.
    (b) The approved information requirements contained in this part 
appear in Secs. 54.13, 54.15, 54.17, 54.19, 54.21, 54.22, 54.23, 54.33, 
and 54.37.

[60 FR 22491, May 8, 1995, as amended at 62 FR 52188, Oct. 6, 1997; 67 
FR 67100, Nov. 4, 2002]



Sec. 54.11  Public inspection of applications.

    Applications and documents submitted to the Commission in connection 
with renewal applications may be made available for public inspection in 
accordance with the provisions of the regulations contained in 10 CFR 
part 2.



Sec. 54.13  Completeness and accuracy of information.

    (a) Information provided to the Commission by an applicant for a 
renewed license or information required by statute or by the 
Commission's regulations, orders, or license conditions to be maintained 
by the applicant must be complete and accurate in all material respects.
    (b) Each applicant shall notify the Commission of information 
identified

[[Page 98]]

by the applicant as having, for the regulated activity, a significant 
implication for public health and safety or common defense and security. 
An applicant violates this paragraph only if the applicant fails to 
notify the Commission of information that the applicant has identified 
as having a significant implication for public health and safety or 
common defense and security. Notification must be provided to the 
Administrator of the appropriate regional office within 2 working days 
of identifying the information. This requirement is not applicable to 
information that is already required to be provided to the Commission by 
other reporting or updating requirements.



Sec. 54.15  Specific exemptions.

    Exemptions from the requirements of this part may be granted by the 
Commission in accordance with 10 CFR 50.12.



Sec. 54.17  Filing of application.

    (a) The filing of an application for a renewed license must be in 
accordance with subpart A of 10 CFR part 2 and 10 CFR 50.4 and 50.30.
    (b) 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 know is owned, controlled, or dominated by an alien, a 
foreign corporation, or a foreign government, is ineligible to apply for 
and obtain a renewed license.
    (c) An application for a renewed license may not be submitted to the 
Commission earlier than 20 years before the expiration of the operating 
license currently in effect.
    (d) An applicant may combine an application for a renewed license 
with applications for other kinds of licenses.
    (e) An application may incorporate by reference information 
contained in previous applications for licenses or license amendments, 
statements, correspondence, or reports filed with the Commission, 
provided that the references are clear and specific.
    (f) If the application contains Restricted Data or other defense 
information, it must be prepared in such a manner that all Restricted 
Data and other defense information are separated from unclassified 
information in accordance with 10 CFR 50.33(j).
    (g) As part of its application, and in any event before the receipt 
of Restricted Data or classified National Security Information or the 
issuance of a renewed license, the applicant shall agree in writing that 
it will not permit any individual to have access to or any facility to 
possess Restricted Data or classified National Security Information 
until the individual and/or facility has been approved for such access 
under the provisions of 10 CFR parts 25 and/or 95. The agreement of the 
applicant in this regard shall be deemed part of the renewed license, 
whether so stated therein or not.

[60 FR 22491, May 8, 1995, as amended at 62 FR 17690, Apr. 11, 1997]



Sec. 54.19  Contents of application--general information.

    (a) Each application must provide the information specified in 10 
CFR 50.33 (a) through (e), (h), and (i). Alternatively, the application 
may incorporate by reference other documents that provide the 
information required by this section.
    (b) Each application must include conforming changes to the standard 
indemnity agreement, 10 CFR 140.92, Appendix B, to account for the 
expiration term of the proposed renewed license.



Sec. 54.21  Contents of application--technical information.

    Each application must contain the following information:
    (a) An integrated plant assessment (IPA). The IPA must--
    (1) For those systems, structures, and components within the scope 
of this part, as delineated in Sec. 54.4, identify and list those 
structures and components subject to an aging management review. 
Structures and components subject to an aging management review shall 
encompass those structures and components--
    (i) That perform an intended function, as described in Sec. 54.4, 
without moving parts or without a change in configuration or properties. 
These structures and components include, but are not limited to, the 
reactor vessel, the reactor coolant system pressure

[[Page 99]]

boundary, steam generators, the pressurizer, piping, pump casings, valve 
bodies, the core shroud, component supports, pressure retaining 
boundaries, heat exchangers, ventilation ducts, the containment, the 
containment liner, electrical and mechanical penetrations, equipment 
hatches, seismic Category I structures, electrical cables and 
connections, cable trays, and electrical cabinets, excluding, but not 
limited to, pumps (except casing), valves (except body), motors, diesel 
generators, air compressors, snubbers, the control rod drive, 
ventilation dampers, pressure transmitters, pressure indicators, water 
level indicators, switchgears, cooling fans, transistors, batteries, 
breakers, relays, switches, power inverters, circuit boards, battery 
chargers, and power supplies; and
    (ii) That are not subject to replacement based on a qualified life 
or specified time period.
    (2) Describe and justify the methods used in paragraph (a)(1) of 
this section.
    (3) For each structure and component identified in paragraph (a)(1) 
of this section, demonstrate that the effects of aging will be 
adequately managed so that the intended function(s) will be maintained 
consistent with the CLB for the period of extended operation.
    (b) CLB changes during NRC review of the application. Each year 
following submittal of the license renewal application and at least 3 
months before scheduled completion of the NRC review, an amendment to 
the renewal application must be submitted that identifies any change to 
the CLB of the facility that materially affects the contents of the 
license renewal application, including the FSAR supplement.
    (c) An evaluation of time-limited aging analyses.
    (1) A list of time-limited aging analyses, as defined in Sec. 54.3, 
must be provided. The applicant shall demonstrate that--
    (i) The analyses remain valid for the period of extended operation;
    (ii) The analyses have been projected to the end of the period of 
extended operation; or
    (iii) The effects of aging on the intended function(s) will be 
adequately managed for the period of extended operation.
    (2) A list must be provided of plant-specific exemptions granted 
pursuant to 10 CFR 50.12 and in effect that are based on time-limited 
aging analyses as defined in Sec. 54.3. The applicant shall provide an 
evaluation that justifies the continuation of these exemptions for the 
period of extended operation.
    (d) An FSAR supplement. The FSAR supplement for the facility must 
contain a summary description of the programs and activities for 
managing the effects of aging and the evaluation of time-limited aging 
analyses for the period of extended operation determined by paragraphs 
(a) and (c) of this section, respectively.



Sec. 54.22  Contents of application--technical specifications.

    Each application must include any technical specification changes or 
additions necessary to manage the effects of aging during the period of 
extended operation as part of the renewal application. The justification 
for changes or additions to the technical specifications must be 
contained in the license renewal application.



Sec. 54.23  Contents of application--environmental information.

    Each application must include a supplement to the environmental 
report that complies with the requirements of subpart A of 10 CFR part 
51.



Sec. 54.25  Report of the Advisory Committee on Reactor Safeguards.

    Each renewal application will be referred to the Advisory Committee 
on Reactor Safeguards for a review and report. Any report will be made 
part of the record of the application and made available to the public, 
except to the extent that security classification prevents disclosure.



Sec. 54.27  Hearings.

    A notice of an opportunity for a hearing will be published in the 
Federal Register in accordance with 10 CFR 2.105. In the absence of a 
request for a hearing filed within 30 days by a person whose interest 
may be affected, the Commission may issue a renewed operating license 
without a hearing upon 30-day notice and publication once in

[[Page 100]]

the Federal Register of its intent to do so.



Sec. 54.29  Standards for issuance of a renewed license.

    A renewed license may be issued by the Commission up to the full 
term authorized by Sec. 54.31 if the Commission finds that:
    (a) Actions have been identified and have been or will be taken with 
respect to the matters identified in paragraphs (a)(1) and (a)(2) of 
this section, such that there is reasonable assurance that the 
activities authorized by the renewed license will continue to be 
conducted in accordance with the CLB, and that any changes made to the 
plant's CLB in order to comply with this paragraph are in accord with 
the Act and the Commission's regulations. These matters are:
    (1) managing the effects of aging during the period of extended 
operation on the functionality of structures and components that have 
been identified to require review under Sec. 54.21(a)(1); and
    (2) time-limited aging analyses that have been identified to require 
review under Sec. 54.21(c).
    (b) Any applicable requirements of subpart A of 10 CFR part 51 have 
been satisfied.
    (c) Any matters raised under Sec. 2.758 have been addressed.



Sec. 54.30  Matters not subject to a renewal review.

    (a) If the reviews required by Sec. 54.21 (a) or (c) show that there 
is not reasonable assurance during the current license term that 
licensed activities will be conducted in accordance with the CLB, then 
the licensee shall take measures under its current license, as 
appropriate, to ensure that the intended function of those systems, 
structures or components will be maintained in accordance with the CLB 
throughout the term of its current license.
    (b) The licensee's compliance with the obligation under Paragraph 
(a) of this section to take measures under its current license is not 
within the scope of the license renewal review.



Sec. 54.31  Issuance of a renewed license.

    (a) A renewed license will be of the class for which the operating 
license currently in effect was issued.
    (b) A renewed license will be issued for a fixed period of time, 
which is the sum of the additional amount of time beyond the expiration 
of the operating license (not to exceed 20 years) that is requested in a 
renewal application plus the remaining number of years on the operating 
license currently in effect. The term of any renewed license may not 
exceed 40 years.
    (c) A renewed license will become effective immediately upon its 
issuance, thereby superseding the operating license previously in 
effect. If a renewed license is subsequently set aside upon further 
administrative or judicial appeal, the operating license previously in 
effect will be reinstated unless its term has expired and the renewal 
application was not filed in a timely manner.
    (d) A renewed license may be subsequently renewed in accordance with 
all applicable requirements.



Sec. 54.33  Continuation of CLB and conditions of renewed license.

    (a) Whether stated therein or not, each renewed license will contain 
and otherwise be subject to the conditions set forth in 10 CFR 50.54.
    (b) Each renewed license will be issued in such form and contain 
such conditions and limitations, including technical specifications, as 
the Commission deems appropriate and necessary to help ensure that 
systems, structures, and components subject to review in accordance with 
Sec. 54.21 will continue to perform their intended functions for the 
period of extended operation. In addition, the renewed license will be 
issued in such form and contain such conditions and limitations as the 
Commission deems appropriate and necessary to help ensure that systems, 
structures, and components associated with any time-limited aging 
analyses will continue to perform their intended functions for the 
period of extended operation.
    (c) Each renewed license will include those conditions to protect 
the environment that were imposed pursuant

[[Page 101]]

to 10 CFR 50.36b and that are part of the CLB for the facility at the 
time of issuance of the renewed license. These conditions may be 
supplemented or amended as necessary to protect the environment during 
the term of the renewed license and will be derived from information 
contained in the supplement to the environmental report submitted 
pursuant to 10 CFR part 51, as analyzed and evaluated in the NRC record 
of decision. The conditions will identify the obligations of the 
licensee in the environmental area, including, as appropriate, 
requirements for reporting and recordkeeping of environmental data and 
any conditions and monitoring requirements for the protection of the 
nonaquatic environment.
    (d) The licensing basis for the renewed license includes the CLB, as 
defined in Sec. 54.3(a); the inclusion in the licensing basis of matters 
such as licensee commitments does not change the legal status of those 
matters unless specifically so ordered pursuant to paragraphs (b) or (c) 
of this section.



Sec. 54.35  Requirements during term of renewed license.

    During the term of a renewed license, licensees shall be subject to 
and shall continue to comply with all Commission regulations contained 
in 10 CFR parts 2, 19, 20, 21, 26, 30, 40, 50, 51, 54, 55, 70, 72, 73, 
and 100, and the appendices to these parts that are applicable to 
holders of operating licenses.



Sec. 54.37  Additional records and recordkeeping requirements.

    (a) The licensee shall retain in an auditable and retrievable form 
for the term of the renewed operating license all information and 
documentation required by, or otherwise necessary to document compliance 
with, the provisions of this part.
    (b) After the renewed license is issued, the FSAR update required by 
10 CFR 50.71(e) must include any systems, structures, and components 
newly identified that would have been subject to an aging management 
review or evaluation of time-limited aging analyses in accordance with 
Sec. 54.21. This FSAR update must describe how the effects of aging will 
be managed such that the intended function(s) in Sec. 54.4(b) will be 
effectively maintained during the period of extended operation.



Sec. 54.41  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of the following acts--
    (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 the following--
    (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. 54.43  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violations 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 54 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 54 that are not issued under Sections 
161b, 161i, or 161o for the purposes of Section 223 are as follows: 
Secs. 54.1, 54.3, 54.4, 54.5, 54.7, 54.9, 54.11, 54.15, 54.17, 54.19, 
54.21, 54.22, 54.23, 54.25, 54.27, 54.29, 54.31, 54.41, and 54.43.

[[Page 102]]



PART 55--OPERATORS' LICENSES--Table of Contents




                      Subpart A--General Provisions

Sec.
55.1  Purpose.
55.2  Scope.
55.3  License requirements.
55.4  Definitions.
55.5  Communications.
55.6  Interpretations.
55.7  Additional requirements.
55.8  Information collection requirements: OMB approval.
55.9  Completeness and accuracy of information.

                          Subpart B--Exemptions

55.11  Specific exemptions.
55.13  General exemptions.

                     Subpart C--Medical Requirements

55.21  Medical examination.
55.23  Certification.
55.25  Incapacitation because of disability or illness.
55.27  Documentation.

                         Subpart D--Applications

55.31  How to apply.
55.33  Disposition of an initial application.
55.35  Re-applications.

           Subpart E--Written Examinations and Operating Tests

55.40  Implementation.
55.41  Written examination: Operators.
55.43  Written examination: Senior operators.
55.45  Operating tests.
55.46  Simulation facilities.
55.47  Waiver of examination and test requirements.
55.49  Integrity of examinations and tests.

                           Subpart F--Licenses

55.51  Issuance of licenses.
55.53  Conditions of licenses.
55.55  Expiration.
55.57  Renewal of licenses.
55.59  Requalification.

           Subpart G--Modification and Revocation of Licenses

55.61  Modification and revocation of licenses.

                         Subpart H--Enforcement

55.71  Violations.
55.73  Criminal penalties.

    Authority: Secs. 107, 161, 182, 68 Stat. 939, 948, 953, as amended, 
sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2137, 2201, 2232, 2282); 
secs. 201, as amended, 202, 88 Stat. 1242, as amended, 1244 (42 U.S.C. 
5841, 5842).
    Sections 55.41, 55.43, 55.45, and 55.59 also issued under sec. 306, 
Pub. L. 97-425, 96 Stat. 2262 (42 U.S.C. 10226). Section 55.61 also 
issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237).

    Source: 52 FR 9460, Mar. 25, 1987, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 55.1  Purpose.

    The regulations in this part:
    (a) Establish procedures and criteria for the issuance of licenses 
to operators and senior operators of utilization facilities licensed 
pursuant to the Atomic Energy Act of 1954, as amended, or section 202 of 
the Energy Reorganization Act of 1974, as amended, and part 50 of this 
chapter,
    (b) Provide for the terms and conditions upon which the Commission 
will issue or modify these licenses, and
    (c) Provide for the terms and conditions to maintain and renew these 
licenses.



Sec. 55.2  Scope.

    The regulations in this part apply to--
    (a) Any individual who manipulates the controls of any utilization 
facility licensed pursuant to part 50 of this chapter, and
    (b) Any individual designated by a facility licensee to be 
responsible for directing any licensed activity of a licensed operator.
    (c) Any facility license.

[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]



Sec. 55.3  License requirements.

    A person must be authorized by a license issued by the Commission to 
perform the function of an operator or a senior operator as defined in 
this part.



Sec. 55.4  Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954, including any amendments to 
the Act.

[[Page 103]]

    Actively performing the functions of an operator or senior operator 
means that an individual has a position on the shift crew that requires 
the individual to be licensed as defined in the facility's technical 
specifications, and that the individual carries out and is responsible 
for the duties covered by that position.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Controls when used with respect to a nuclear reactor means apparatus 
and mechanisms the manipulation of which directly affects the reactivity 
or power level of the reactor.
    Facility means any utilization facility as defined in part 50 of 
this chapter. In cases for which a license is issued for operation of 
two or more facilities, facility means all facilities identified in the 
license.
    Facility licensee means an applicant for or holder of a license for 
a facility.
    Licensee means an individual licensed operator or senior operator.
    Operator means any individual licensed under this part to manipulate 
a control of a facility.
    Performance testing means testing conducted to verify a simulation 
facility's performance as compared to actual or predicted reference 
plant performance.
    Physician means an individual licensed by a State or territory of 
the United States, the District of Columbia or the Commonwealth of 
Puerto Rico to dispense drugs in the practice of medicine.
    Plant-referenced simulator means a simulator modeling the systems of 
the reference plant with which the operator interfaces in the control 
room, including operating consoles, and which permits use of the 
reference plant's procedures.
    Reference plant means the specific nuclear power plant from which a 
simulation facility's control room configuration, system control 
arrangement, and design data are derived.
    Senior operator means any individual licensed under this part to 
manipulate the controls of a facility and to direct the licensed 
activities of licensed operators.
    Simulation facility means one or more of the following components, 
alone or in combination: used for either the partial conduct of 
operating tests for operators, senior operators, and license applicants, 
or to establish on-the-job training and experience prerequisites for 
operator license eligibility:
    (1) A plant-referenced simulator;
    (2) A Commission-approved simulator under Sec. 55.46(b); or
    (3) Another simulation device, including part-task and limited scope 
simulation devices, approved under Sec. 55.46(b).
    Systems approach to training means a training program that includes 
the following five elements:
    (1) Systematic analysis of the jobs to be performed.
    (2) Learning objectives derived from the analysis which describe 
desired performance after training.
    (3) Training design and implementation based on the learning 
objectives.
    (4) Evaluation of trainee mastery of the objectives during training.
    (5) Evaluation and revision of the training based on the performance 
of trained personnel in the job setting.
    United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States.

[52 FR 9460, Mar. 25, 1987, as amended at 66 FR 52667, Oct. 17, 2001]



Sec. 55.5  Communications.

    (a) Except as provided under a regional licensing program identified 
in paragraph (b) of this section, an applicant or licensee or facility 
licensee shall submit any communication or report concerning the 
regulations in this part and shall submit any application filed under 
these regulations to the Commission as follows:
    (1) By mail addressed to--Director of Nuclear Reactor Regulation, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, or
    (2) By delivery in person to the Commission's offices at 2120 L 
Street NW., Washington, DC, or at 11555 Rockville Pike, Rockville, MD.
    (b)(1) Except for test and research reactor facilities, the Director 
of Nuclear Reactor Regulation has delegated to

[[Page 104]]

the Regional Administrators of Regions I, II, III, and IV authority and 
responsibility pursuant to the regulations in this part for the issuance 
and renewal of licenses for operators and senior operators of nuclear 
power reactors licensed under 10 CFR part 50 and located in these 
regions.
    (2) Any application for a license or license renewal filed under the 
regulations in this part involving a nuclear power reactor licensed 
under 10 CFR part 50 and any related inquiry, communication, 
information, or report must be submitted by mail or in person to the 
Regional Administrator. The Regional Administrator or the 
Administrator's designee will transmit to the Director of Nuclear 
Reactor Regulation any matter that is not within the scope of the 
Regional Administrator's delegated authority.
    (i) If the nuclear power reactor is located in Region I, submission 
must be made to the Regional Administrator, Region I, U.S. Nuclear 
Regulatory Commission, 475 Allendale Road, King of Prussia, PA 19406.
    (ii) If the nuclear power reactor is located in Region II, 
submission must be made to the Regional Administrator, Region II, U.S. 
Nuclear Regulatory Commission, Sam Nunn Atlanta Federal Center, 61 
Forsyth Street, SW., Suite 23T85, Atlanta, GA 30303-8931.
    (iii) If the nuclear power reactor is located in Region III, 
submission must be made to the Regional Administrator, Region III, U.S. 
Nuclear Regulatory Commission, 801 Warrenville Road, Lisle, IL 60532-
4351.
    (iv) If the nuclear power reactor is located in Region IV, 
submission must be made to the Regional Administrator, Region IV, U.S. 
Nuclear Regulatory Commission, 611 Ryan Plaza Drive, suite 1000, 
Arlington, TX 76011.
    (3)(i) Any application for a license or license renewal filed under 
the regulations in this part involving a test and research reactor 
facility licensed under 10 CFR part 50 and any related inquiry, 
communication, information, or report must be submitted by mail or in 
person to the Division of Licensee Performance and Quality Evaluation at 
the U.S. Nuclear Regulatory Commission Headquarters in Washington, DC.
    (ii) For all test and research reactor facilities located in Regions 
I, II, III, and IV, submissions must be made to the Director, Division 
of Licensee Performance and Quality Evaluation, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555. Attention: Operator Licensing Branch.

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 6139, Mar. 1, 1988; 53 
FR 43421, Oct. 27, 1988; 55 FR 41335, Oct. 11, 1990; 59 FR 17466, Apr. 
13, 1994; 61 FR 9902, Mar. 12, 1996; 67 FR 77653, Dec. 19, 2002]



Sec. 55.6  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. 55.7  Additional requirements.

    The Commission may, by rule, regulation, or order, impose upon any 
licensee such requirements, in addition to those established in the 
regulations in this part, as it deems appropriate or necessary to 
protect health and to minimize danger to life or property.



Sec. 55.8  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0018.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 55.11, 55.25, 55.27, 55.31, 55.35, 55.40, 
55.41, 55.43, 55.45, 55.47, 55.53, 55.57, and 55.59.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this

[[Page 105]]

section. These information collection requirements and the control 
numbers under which they are approved are as follows:
    (1) In Secs. 55.23, 55.25, 55.27, 55.31, NRC Form 396 is approved 
under control number 3150-0024.
    (2) In Secs. 55.31, 55.35, 55.47, and 55.57, NRC Form 398 is 
approved under control number 3150-0090.

[62 FR 52188, Oct. 6, 1997, as amended at 64 FR 19878, Apr. 23, 1999; 66 
FR 52667, Oct. 17, 2001; 67 FR 67100, Nov. 4, 2002]



Sec. 55.9  Completeness and accuracy of information.

    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.

[52 FR 49372, Dec. 31, 1987]



                          Subpart B--Exemptions



Sec. 55.11  Specific exemptions.

    The Commission may, upon application by an 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 and are otherwise in the public 
interest.



Sec. 55.13  General exemptions.

    The regulations in this part do not require a license for an 
individual who--
    (a) Under the direction and in the presence of a licensed operator 
or senior operator, manipulates the controls of--
    (1) A research or training reactor as part of the individual's 
training as a student, or
    (2) A facility as a part of the individual's training in a facility 
licensee's training program as approved by the Commission to qualify for 
an operator license under this part.
    (b) Under the direction and in the presence of a licensed senior 
operator, manipulates the controls of a facility to load or unload the 
fuel into, out of, or within the reactor vessel.



                     Subpart C--Medical Requirements



Sec. 55.21  Medical examination.

    An applicant for a license shall have a medical examination by a 
physician. A licensee shall have a medical examination by a physician 
every two years. The physician shall determine that the applicant or 
licensee meets the requirements of Sec. 55.33(a)(1).



Sec. 55.23  Certification.

    To certify the medical fitness of the applicant, an authorized 
representative of the facility licensee shall complete and sign Form 
NRC-396, ``Certification of Medical Examination by Facility Licensee,'' 
available from Records and Reports Management Branch, Division of 
Information Support Services, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555.
    (a) Form NRC-396 must certify that a physician has conducted the 
medical examination of the applicant as required in Sec. 55.21.
    (b) When the certification requests a conditional license based on 
medical evidence, the medical evidence must be submitted on NRC Form 396 
to the Commission and the Commission then makes a determination in 
accordance with Sec. 55.33.

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988]



Sec. 55.25  Incapacitation because of disability or illness.

    If, during the term of the license, the licensee develops a 
permanent physical or mental condition that causes the licensee to fail 
to meet the requirements of Sec. 55.21 of this part, the facility 
licensee shall notify the Commission, within 30 days of learning of the 
diagnosis, in accordance with Sec. 50.74(c). For conditions for which a 
conditional license (as described in Sec. 55.33(b) of this part) is 
requested, the facility licensee shall provide medical certification on 
Form NRC 396 to the Commission (as described in Sec. 55.23 of this 
part).

[60 FR 13617, Mar. 14, 1995]

[[Page 106]]



Sec. 55.27  Documentation.

    The facility licensee shall document and maintain the results of 
medical qualifications data, test results, and each operator's or senior 
operator's medical history for the current license period and provide 
the documentation to the Commission upon request. The facility licensee 
shall retain this documentation while an individual performs the 
functions of an operator or senior operator.



                         Subpart D--Applications



Sec. 55.31  How to apply.

    (a) The applicant shall:
    (1) Complete Form NRC-398, ``Personal Qualification Statement--
Licensee,'' available from Records and Reports Management Branch, 
Division of Information Support Services, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555;
    (2) File an original and two copies of Form NRC-398, together with 
the information required in paragraphs (a)(3), (4), (5) and (6) of this 
section, with the appropriate Regional Administrator;
    (3) Submit a written request from an authorized representative of 
the facility licensee by which the applicant will be employed that the 
written examination and operating test be administered to the applicant;
    (4) Provide evidence that the applicant has successfully completed 
the facility licensee's requirements to be licensed as an operator or 
senior operator and of the facility licensee's need for an operator or a 
senior operator to perform assigned duties. An authorized representative 
of the facility licensee shall certify this evidence on Form NRC-398. 
This certification must include details of the applicant's 
qualifications, and details on courses of instruction administered by 
the facility licensee, and describe the nature of the training received 
at the facility, and the startup and shutdown experience received. In 
lieu of these details, the Commission may accept certification that the 
applicant has successfully completed a Commission-approved training 
program that is based on a systems approach to training and that uses a 
simulation facility acceptable to the Commission under Sec. 55.45(b) of 
this part;
    (5) Provide evidence that the applicant, as a trainee, has 
successfully manipulated the controls of either the facility for which a 
license is sought or a plant-referenced simulator that meets the 
requirements of Sec. 55.46(c). At a minimum, five significant control 
manipulations must be performed that affect reactivity or power level. 
Control manipulations performed on the plant-referenced simulator may be 
chosen from a representative sampling of the control manipulations and 
plant evolutions described in Sec. 55.59(c)(3)(i)(A-F), (R), (T), (W), 
and (X) of this part, as applicable to the design of the plant for which 
the license application is submitted. For licensed operators applying 
for a senior operator license, certification that the operator has 
successfully operated the controls of the facility as a licensed 
operator shall be accepted; and
    (6) Provide certification by the facility licensee of medical 
condition and general health on Form NRC-396, to comply with 
Secs. 55.21, 55.23 and 55.33(a)(1).
    (b) The Commission may at any time after the application has been 
filed, and before the license has expired, require futher information 
under oath or affirmation in order to enable it to determine whether to 
grant or deny the application or whether to revoke, modify, or suspend 
the license.
    (c) An applicant whose application has been denied because of a 
medical condition or general health may submit a further medical report 
at any time as a supplement to the application.
    (d) Each application and statement must contain complete and 
accurate disclosure as to all matters required to be disclosed. The 
applicant shall sign statements required by paragraphs (a) (1) and (2) 
of this section.

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988; 66 
FR 52667, Oct. 17, 2001]



Sec. 55.33  Disposition of an initial application.

    (a) Requirements for the approval of an initial application. The 
Commission will

[[Page 107]]

approve an initial application for a license pursuant to the regulations 
in this part, if it finds that--
    (1) Health. The applicants medical condition and general health will 
not adversely affect the performance of assigned operator job duties or 
cause operational errors endangering public health and safety. The 
Commission will base its finding upon the certification by the facility 
licensee as detailed in Sec. 55.23.
    (2) Written examination and operating test. The applicant has passed 
the requisite written examination and operating test in accordance with 
Secs. 55.41 and 55.45 or 55.43 and 55.45. These examinations and tests 
determine whether the applicant for an operator's license has learned to 
operate a facility competently and safely, and additionally, in the case 
of a senior operator, whether the applicant has learned to direct the 
licensed activities of licensed operators competently and safely.
    (b) Conditional license. If an applicant's general medical condition 
does not meet the minimum standards under Sec. 55.33(a)(1) of this part, 
the Commission may approve the application and include conditions in the 
license to accommodate the medical defect. The Commission will consider 
the recommendations and supporting evidence of the facility licensee and 
of the examining physician (provided on Form NRC-396) in arriving at its 
decision.



Sec. 55.35  Re-applications.

    (a) An applicant whose application for a license has been denied 
because of failure to pass the written examination or operating test, or 
both, may file a new application two months after the date of denial. 
The application must be submitted on Form NRC-398 and include a 
statement signed by an authorized representative of the facility 
licensee by whom the applicant will be employed that states in detail 
the extent of the applicant's additional training since the denial and 
certifies that the applicant is ready for re-examination. An applicant 
may file a third application six months after the date of denial of the 
second application, and may file further successive applications two 
years after the date of denial of each prior application. The applicant 
shall submit each successive application on Form NRC-398 and include a 
statement of additional training.
    (b) An applicant who has passed either the written examination or 
operating test and failed the other may request in a new application on 
Form NRC-398 to be excused from re-examination on the portions of the 
examination or test which the applicant has passed. The Commission may 
in its discretion grant the request, if it determines that sufficient 
justification is presented.



           Subpart E--Written Examinations and Operating Tests



Sec. 55.40  Implementation.

    (a) The Commission shall use the criteria in NUREG-1021, ``Operator 
Licensing Examination Standards for Power Reactors,'' \1\ in effect six 
months before the examination date to prepare the written examinations 
required by Secs. 55.41 and 55.43 and the operating tests required by 
Sec. 55.45. The Commission shall also use the criteria in NUREG-1021 to 
evaluate the written examinations and operating tests prepared by power 
reactor facility licensees pursuant to paragraph (b) of this section.
---------------------------------------------------------------------------

    \1\ Copies of NUREGs may be purchased from the Superintendent of 
Documents, U.S. Government Printing Office, P.O. Box 38082, Washington, 
DC 20402-9328. Copies are also available from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161. A copy 
is available for inspection and/or copying in the NRC Public Document 
Room, 2120 L Street, NW (Lower Level), Washington, DC.
---------------------------------------------------------------------------

    (b) Power reactor facility licensees may prepare, proctor, and grade 
the written examinations required by Secs. 55.41 and 55.43 and may 
prepare the operating tests required by Sec. 55.45, subject to the 
following conditions:
    (1) Power reactor facility licensees shall prepare the required 
examinations and tests in accordance with the criteria in NUREG-1021 as 
described in paragraph (a) of this section;
    (2) Pursuant to Sec. 55.49, power reactor facility licensees shall 
establish, implement, and maintain procedures to control examination 
security and integrity;

[[Page 108]]

    (3) An authorized representative of the power reactor facility 
licensee shall approve the required examinations and tests before they 
are submitted to the Commission for review and approval; and
    (4) Power reactor facility licensees must receive Commission 
approval of their proposed written examinations and operating tests.
    (c) In lieu of paragraph (b) of this section and upon written 
request from a power reactor facility licensee pursuant to 
Sec. 55.31(a)(3), the Commission shall, for that facility licensee, 
prepare, proctor, and grade, the written examinations required by 
Secs. 55.41 and 55.43 and the operating tests required by Sec. 55.45. In 
addition, the Commission may exercise its discretion and reject a power 
reactor facility licensee's determination to elect paragraph (b) of this 
section, in which case the Commission shall prepare, proctor, and grade 
the required written examinations and operating tests for that facility 
licensee.
    (d) The Commission shall prepare, proctor, and grade the written 
examinations required by Secs. 55.41 and 55.43 and the operating tests 
required by Sec. 55.45 for non-power reactor facility licensees.

[64 FR 19878, Apr. 23, 1999]



Sec. 55.41  Written examination: Operators.

    (a) Content. The written examination for an operator will contain a 
representative selection of questions on the knowledge, skills, and 
abilities needed to perform licensed operator duties. The knowledge, 
skills, and abilities will be identified, in part, from learning 
objectives derived from a systematic analysis of licensed operator 
duties performed by each facility licensee and contained in its training 
program and from information in the Final Safety Analysis Report, system 
description manuals and operating procedures, facility license and 
license amendments, Licensee Event Reports, and other materials 
requested from the facility licensee by the Commission.
    (b) The written examination for an operator for a facility will 
include a representative sample from among the following 14 items, to 
the extent applicable to the facility.
    (1) Fundamentals of reactor theory, including fission process, 
neutron multiplication, source effects, control rod effects, criticality 
indications, reactivity coefficients, and poison effects.
    (2) General design features of the core, including core structure, 
fuel elements, control rods, core instrumentation, and coolant flow.
    (3) Mechanical components and design features of the reactor primary 
system.
    (4) Secondary coolant and auxiliary systems that affect the 
facility.
    (5) Facility operating characteristics during steady state and 
transient conditions, including coolant chemistry, causes and effects of 
temperature, pressure and reactivity changes, effects of load changes, 
and operating limitations and reasons for these operating 
characteristics.
    (6) Design, components, and functions of reactivity control 
mechanisms and instrumentation.
    (7) Design, components, and functions of control and safety systems, 
including instrumentation, signals, interlocks, failure modes, and 
automatic and manual features.
    (8) Components, capacity, and functions of emergency systems.
    (9) Shielding, isolation, and containment design features, including 
access limitations.
    (10) Administrative, normal, abnormal, and emergency operating 
procedures for the facility.
    (11) Purpose and operation of radiation monitoring systems, 
including alarms and survey equipment.
    (12) Radiological safety principles and procedures.
    (13) Procedures and equipment available for handling and disposal of 
radioactive materials and effluents.
    (14) Principles of heat transfer thermodynamics and fluid mechanics.



Sec. 55.43  Written examination: Senior operators.

    (a) Content. The written examination for a senior operator will 
contain a representative selection of questions on the knowledge, 
skills, and abilities needed to perform licensed senior operator duties. 
The knowledge, skills, and abilities will be identified, in part, from 
learning objectives derived from a

[[Page 109]]

systematic analysis of licensed senior operator duties performed by each 
facility licensee and contained in its training program and from 
information in the Final Safety Analysis Report, system description 
manuals and operating procedures, facility license and license 
amendments, Licensee Event Reports, and other materials requested from 
the facility licensee by the Commission.
    (b) The written examination for a senior operator for a facility 
will include a representative sample from among the following seven 
items and the 14 items specified in Sec. 55.41 of this part, to the 
extent applicable to the facility:
    (1) Conditions and limitations in the facility license.
    (2) Facility operating limitations in the technical specifications 
and their bases.
    (3) Facility licensee procedures required to obtain authority for 
design and operating changes in the facility.
    (4) Radiation hazards that may arise during normal and abnormal 
situations, including maintenance activities and various contamination 
conditions.
    (5) Assessment of facility conditions and selection of appropriate 
procedures during normal, abnormal, and emergency situations.
    (6) Procedures and limitations involved in initial core loading, 
alterations in core configuration, control rod programming, and 
determination of various internal and external effects on core 
reactivity.
    (7) Fuel handling facilities and procedures.



Sec. 55.45  Operating tests.

    (a) Content. The operating tests administered to applicants for 
operator and senior operator licenses in accordance with paragraph 
(b)(1) of this section are generally similar in scope. The content will 
be identified, in part, from learning objectives derived from a 
systematic analysis of licensed operator or senior operator duties 
performed by each facility licensee and contained in its training 
program and from information in the Final Safety Analysis Report, system 
description manuals and operating procedures, facility license and 
license amendments, Licensee Event Reports, and other materials 
requested from the facility licensee by the Commission. The operating 
test, to the extent applicable, requires the applicant to demonstrate an 
understanding of and the ability to perform the actions necessary to 
accomplish a representative sample from among the following 13 items.
    (1) Perform pre-startup procedures for the facility, including 
operating of those controls associated with plant equipment that could 
affect reactivity.
    (2) Manipulate the console controls as required to operate the 
facility between shutdown and designated power levels.
    (3) Identify annunciators and condition-indicating signals and 
perform appropriate remedial actions where appropriate.
    (4) Identify the instrumentation systems and the significance of 
facility instrument readings.
    (5) Observe and safely control the operating behavior 
characteristics of the facility.
    (6) Perform control manipulations required to obtain desired 
operating results during normal, abnormal, and emergency situations.
    (7) Safely operate the facility's heat removal systems, including 
primary coolant, emergency coolant, and decay heat removal systems, and 
identify the relations of the proper operation of these systems to the 
operation of the facility.
    (8) Safely operate the facility's auxiliary and emergency systems, 
including operation of those controls associated with plant equipment 
that could affect reactivity or the release of radioactive materials to 
the environment.
    (9) Demonstrate or describe the use and function of the facility's 
radiation monitoring systems, including fixed radiation monitors and 
alarms, portable survey instruments, and personnel monitoring equipment.
    (10) Demonstrate knowledge of significant radiation hazards, 
including permissible levels in excess of those authorized, and ability 
to perform other procedures to reduce excessive levels of radiation and 
to guard against personnel exposure.

[[Page 110]]

    (11) Demonstrate knowledge of the emergency plan for the facility, 
including, as appropriate, the operator's or senior operator's 
responsibility to decide whether the plan should be executed and the 
duties under the plan assigned.
    (12) Demonstrate the knowledge and ability as appropriate to the 
assigned position to assume the responsibilities associated with the 
safe operation of the facility.
    (13) Demonstrate the applicant's ability to function within the 
control room team as appropriate to the assigned position, in such a way 
that the facility licensee's procedures are adhered to and that the 
limitations in its license and amendments are not violated.
    (b) Implementation--Administration. The operating test will be 
administered in a plant walkthrough and in either--
    (1) A simulation facility that the Commission has approved for use 
after application has been made by the facility licensee under 
Sec. 55.46(b);
    (2) A plant-referenced simulator (Sec. 55.46(c)); or
    (3) The plant, if approved for use in the administration of the 
operating test by the Commission under Sec. 55.46(b).

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988; 62 
FR 59276, Nov. 3, 1997; 66 FR 52667, Oct. 17, 2001]



Sec. 55.46  Simulation facilities.

    (a) General. This section addresses the use of a simulation facility 
for the administration of the operating test and plant-referenced 
simulators to meet experience requirements for applicants for operator 
and senior operator licenses.
    (b) Commission-approved simulation facilities and Commission 
approval of use of the plant in the administration of the operating 
test. (1) Facility licensees that propose to use a simulation facility, 
other than a plant-referenced simulator, or the plant in the 
administration of the operating test under Secs. 55.45(b)(1) or 
55.45(b)(3), shall request approval from the Commission. This request 
must include:
    (i) A description of the components of the simulation facility 
intended to be used, or the way the plant would be used for each part of 
the operating test, unless previously approved; and
    (ii) A description of the performance tests for the simulation 
facility as part of the request, and the results of these tests; and
    (iii) A description of the procedures for maintaining examination 
and test integrity consistent with the requirements of Sec. 55.49.
    (2) The Commission will approve a simulation facility or use of the 
plant for administration of operating tests if it finds that the 
simulation facility and its proposed use, or the proposed use of the 
plant, are suitable for the conduct of operating tests for the facility 
licensee's reference plant under Sec. 55.45(a).
    (c) Plant-referenced simulators. (1) A plant-referenced simulator 
used for the administration of the operating test or to meet experience 
requirements in Sec. 55.31(a)(5) must demonstrate expected plant 
response to operator input and to normal, transient, and accident 
conditions to which the simulator has been designed to respond. The 
plant-referenced simulator must be designed and implemented so that it:
    (i) Is sufficient in scope and fidelity to allow conduct of the 
evolutions listed in Secs. 55.45(a)(1) through (13), and 
55.59(c)(3)(i)(A) through (AA), as applicable to the design of the 
reference plant.
    (ii) Allows for the completion of control manipulations for operator 
license applicants.
    (2) Facility licensees that propose to use a plant-referenced 
simulator to meet the control manipulation requirements in 
Sec. 55.31(a)(5) must ensure that:
    (i) The plant-referenced simulator utilizes models relating to 
nuclear and thermal-hydraulic characteristics that replicate the most 
recent core load in the nuclear power reference plant for which a 
license is being sought; and
    (ii) Simulator fidelity has been demonstrated so that significant 
control manipulations are completed without procedural exceptions, 
simulator performance exceptions, or deviation from the approved 
training scenario sequence.
    (3) A simulation facility consisting solely of a plant-referenced 
simulator must meet the requirements of paragraph (c)(1) of this section 
and the criteria in paragraphs (d)(1) and (4) of this

[[Page 111]]

section for the Commission to accept the plant-referenced simulator for 
conducting operating tests as described in Sec. 55.45(a) of this part, 
requalification training as described in Sec. 55.59(c)(3) of this part, 
or for performing control manipulations that affect reactivity to 
establish eligibility for an operator's license as described in 
Sec. 55.31(a)(5).
    (d) Continued assurance of simulator fidelity. Facility licensees 
that maintain a simulation facility shall:
    (1) Conduct performance testing throughout the life of the 
simulation facility in a manner sufficient to ensure that paragraphs 
(c)(2)(ii), as applicable, and (d)(3) of this section are met. The 
results of performance tests must be retained for four years after the 
completion of each performance test or until superseded by updated test 
results;
    (2) Correct modeling and hardware discrepancies and discrepancies 
identified from scenario validation and from performance testing;
    (3) Make results of any uncorrected performance test failures that 
may exist at the time of the operating test or requalification program 
inspection available for NRC review, prior to or concurrent with 
preparations for each operating test or requalification program 
inspection; and
    (4) Maintain the provisions for license application, examination, 
and test integrity consistent with Sec. 55.49.

[66 FR 52667, Oct. 17, 2001]



Sec. 55.47  Waiver of examination and test requirements.

    (a) On application, the Commission may waive any or all of the 
requirements for a written examination and operating test, if it finds 
that the applicant--
    (1) Has had extensive actual operating experience at a comparable 
facility, as determined by the Commission, within two years before the 
date of application;
    (2) Has discharged his or her responsibilities competently and 
safely and is capable of continuing to do so; and
    (3) Has learned the operating procedures for and is qualified to 
operate competently and safely the facility designated in the 
application.
    (b) The Commission may accept as proof of the applicant's past 
performance a certification of an authorized representative of the 
facility licensee or of a holder of an authorization by which the 
applicant was previously employed. The certification must contain a 
description of the applicant's operating experience, including an 
approximate number of hours the applicant operated the controls of the 
facility, the duties performed, and the extent of the applicant's 
responsibility.
    (c) The Commission may accept as proof of the applicant's current 
qualifications a certification of an authorized representative of the 
facility licensee or of a holder of an authorization where the 
applicant's services will be utilized.



Sec. 55.49  Integrity of examinations and tests.

    Applicants, licensees, and facility licensees shall not engage in 
any activity that compromises the integrity of any application, test, or 
examination required by this part. The integrity of a test or 
examination is considered compromised if any activity, regardless of 
intent, affected, or, but for detection, would have affected the 
equitable and consistent administration of the test or examination. This 
includes activities related to the preparation and certification of 
license applications and all activities related to the preparation, 
administration, and grading of the tests and examinations required by 
this part.

[64 FR 19878, Apr. 23, 1999]



                           Subpart F--Licenses



Sec. 55.51  Issuance of licenses.

    Operator and senior operator licenses. If the Commission determines 
that an applicant for an operator license or a senior operator license 
meets the requirements of the Act and its regulations, it will issue a 
license in the form and containing any conditions and limitations it 
considers appropriate and necessary.



Sec. 55.53  Conditions of licenses.

    Each license contains and is subject to the following conditions 
whether stated in the license or not:

[[Page 112]]

    (a) Neither the license nor any right under the license may be 
assigned or otherwise transferred.
    (b) The license is limited to the facility for which it is issued.
    (c) The license is limited to those controls of the facility 
specified in the license.
    (d) The license is subject to, and the licensee shall observe, all 
applicable rules, regulations, and orders of the Commission.
    (e) If a licensee has not been actively performing the functions of 
an operator or senior operator, the licensee may not resume activities 
authorized by a license issued under this part except as permitted by 
paragraph (f) of this section. To maintain active status, the licensee 
shall actively perform the functions of an operator or senior operator 
on a minimum of seven 8-hour or five 12-hour shifts per calendar 
quarter. For test and research reactors, the licensee shall actively 
perform the functions of an operator or senior operator for a minimum of 
four hours per calendar quarter.
    (f) If paragraph (e) of this section is not met, before resumption 
of functions authorized by a license issued under this part, an 
authorized representative of the facility licensee shall certify the 
following:
    (1) That the qualifications and status of the licensee are current 
and valid; and
    (2) That the licensee has completed a minimum of 40 hours of shift 
functions under the direction of an operator or senior operator as 
appropriate and in the position to which the individual will be 
assigned. The 40 hours must have included a complete tour of the plant 
and all required shift turnover procedures. For senior operators limited 
to fuel handling under paragraph (c) of this section, one shift must 
have been completed. For test and research reactors, a minimum of six 
hours must have been completed.
    (g) The licensee shall notify the Commission within 30 days about a 
conviction for a felony.
    (h) The licensee shall complete a requalification program as 
described by Sec. 55.59.
    (i) The licensee shall have a biennial medical examination.
    (j) The licensee shall not consume or ingest alcoholic beverages 
within the protected area of power reactors, or the controlled access 
area of non-power reactors. The licensee shall not use, possess, or sell 
any illegal drugs. The licensee shall not perform activities authorized 
by a license issued under this part while under the influence of alcohol 
or any prescription, over-the-counter, or illegal substance that could 
adversely affect his or her ability to safely and competently perform 
his or her licensed duties. For the purpose of this paragraph, with 
respect to alcoholic beverages and drugs, the term ``under the 
influence'' means the licensee exceeded, as evidenced by a confirmed 
positive test, the lower of the cutoff levels for drugs or alcohol 
contained in 10 CFR part 26, appendix A, of this chapter, or as 
established by the facility licensee. The term ``under the influence'' 
also means the licensee could be mentally or physically impaired as a 
result of substance use including prescription and over-the-counter 
drugs, as determined under the provisions, policies, and procedures 
established by the facility licensee for its fitness-for-duty program, 
in such a manner as to adversely affect his or her ability to safely and 
competently perform licensed duties.
    (k) Each licensee at power reactors shall participate in the drug 
and alcohol testing programs established pursuant to 10 CFR part 26. 
Each licensee at non-power reactors shall participate in any drug and 
alcohol testing program that may be established for that non-power 
facility.
    (l) The licensee shall comply with any other conditions that the 
Commission may impose to protect health or to minimize danger to life or 
property.

[52 FR 9460, Mar. 25, 1987, as amended at 56 FR 32070, July 15, 1991]



Sec. 55.55  Expiration.

    (a) Each operator license and senior operator license expires six 
years after the date of issuance, upon termination of employment with 
the facility licensee, or upon determination by the facility licensee 
that the licensed individual no longer needs to maintain a license.

[[Page 113]]

    (b) If a licensee files an application for renewal or an upgrade of 
an existing license on Form NRC-398 at least 30 days before the 
expiration of the existing license, it does not expire until disposition 
of the application for renewal or for an upgraded license has been 
finally determined by the Commission. Filing by mail or telegram will be 
deemed to be complete at the time the application is deposited in the 
mail or with a telegraph company.



Sec. 55.57  Renewal of licenses.

    (a) The applicant for renewal of a license shall--
    (1) Complete and sign Form NRC-398 and include the number of the 
license for which renewal is sought.
    (2) File an original and two copies of Form NRC-398 with the 
appropriate Regional Administrator specified in Sec. 55.5(b).
    (3) Provide written evidence of the applicant's experience under the 
existing license and the approximate number of hours that the licensee 
has operated the facility.
    (4) Provide a statement by an authorized representative of the 
facility licensee that during the effective term of the current license 
the applicant has satisfactorily completed the requalification program 
for the facility for which operator or senior operator license renewal 
is sought.
    (5) Provide evidence that the applicant has discharged the license 
responsibilities competently and safely. The Commission may accept as 
evidence of the applicant's having met this requirement a certificate of 
an authorized representative of the facility licensee or holder of an 
authorization by which the licensee has been employed.
    (6) Provide certification by the facility licensee of medical 
condition and general health on Form NRC-396, to comply with 
Secs. 55.21, 55.23 and 55.27.
    (b) The license will be renewed if the Commission finds that--
    (1) The medical condition and the general health of the licensee 
continue to be such as not to cause operational errors that endanger 
public health and safety. The Commission will base this finding upon the 
certification by the facility licensee as described in Sec. 55.23.
    (2) The licensee--
    (i) Is capable of continuing to competently and safely assume 
licensed duties;
    (ii) Has successfully completed a requalification program that has 
been approved by the Commission as required by Sec. 55.59; and
    (iii) Has passed the requalification examinations and annual 
operating tests as required by Sec. 55.59.
    (3) There is a continued need for a licensee to operate or for a 
senior operator to direct operators at the facility designated in the 
application.
    (4) The past performance of the licensee has been satisfactory to 
the Commission. In making its finding, the Commission will include in 
its evaluation information such as notices of violations or letters of 
reprimand in the licensee's docket.

[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]



Sec. 55.59  Requalification.

    (a) Requalification requirements. Each licensee shall--
    (1) Successfully complete a requalification program developed by the 
facility licensee that has been approved by the Commission. This program 
shall be conducted for a continuous period not to exceed 24 months in 
duration.
    (2) Pass a comprehensive requalification written examination and an 
annual operating test.
    (i) The written examination will sample the items specified in 
Secs. 55.41 and 55.43 of this part, to the extent applicable to the 
facility, the licensee, and any limitation of the license under 
Sec. 55.53(c) of this part.
    (ii) The operating test will require the operator or senior operator 
to demonstrate an understanding of and the ability to perform the 
actions necessary to accomplish a comprehensive sample of items 
specified in Sec. 55.45(a) (2) through (13) inclusive to the extent 
applicable to the facility.
    (iii) In lieu of the Commission accepting a certification by the 
facility licensee that the licensee has passed written examinations and 
operating tests administered by the facility licensee within its 
Commission-approved program developed by using a systems approach to 
training under paragraph (c) of this section, the Commission may

[[Page 114]]

administer a comprehensive requalification written examination and an 
annual operating test.
    (b) Additional training. If the requirements of paragraphs (a) (1) 
and (2) of this section are not met, the Commission may require the 
licensee to complete additional training and to submit evidence to the 
Commission of successful completion of this training before returning to 
licensed duties.
    (c) Requalification program requirements. A facility licensee shall 
have a requalification program reviewed and approved by the Commission 
and shall, upon request consistent with the Commission's inspection 
program needs, submit to the Commission a copy of its comprehensive 
requalification written examinations or annual operating tests. The 
requalification program must meet the requirements of paragraphs (c) (1) 
through (7) of this section. In lieu of paragraphs (c) (2), (3), and (4) 
of this section, the Commission may approve a program developed by using 
a systems approach to training.
    (1) Schedule. The requalification program must be conducted for a 
continuous period not to exceed two years, and upon conclusion must be 
promptly followed, pursuant to a continuous schedule, by successive 
requalification programs.
    (2) Lectures. The requalification program must include preplanned 
lectures on a regular and continuing basis throughout the license period 
in those areas where operator and senior operator written examinations 
and facility operating experience indicate that emphasis in scope and 
depth of coverage is needed in the following subjects:
    (i)  Theory and principles of operation.
    (ii)  General and specific plant operating characteristics.
    (iii)  Plant instrumentation and control systems.
    (iv)  Plant protection systems.
    (v)  Engineered safety systems.
    (vi)  Normal, abnormal, and emergency operating procedures.
    (vii)  Radiation control and safety.
    (viii)  Technical specifications.
    (ix)  Applicable portions of title 10, chapter I, Code of Federal 
Regulations.
    (3) On-the-job training. The requalification program must include 
on-the-job training so that--
    (i) Each licensed operator of a utilization facility manipulates the 
plant controls and each licensed senior operator either manipulates the 
controls or directs the activities of individuals during plant control 
manipulations during the term of the licensed operator's or senior 
operator's license. For reactor operators and senior operators, these 
manipulations must consist of the following control manipulations and 
plant evolutions if they are applicable to the plant design. Items 
described in paragraphs (c)(3)(i) (A) through (L) of this section must 
be performed annually; all other items must be performed on a two-year 
cycle. However, the requalification programs must contain a commitment 
that each individual shall perform or participate in a combination of 
reactivity control manipulations based on the availability of plant 
equipment and systems. Those control manipulations which are not 
performed at the plant may be performed on a simulator. The use of the 
Technical Specifications should be maximized during the simulator 
control manipulations. Senior operator licensees are credited with these 
activities if they direct control manipulations as they are performed.
    (A) Plant or reactor startups to include a range that reactivity 
feedback from nuclear heat addition is noticeable and heatup rate is 
established.
    (B) Plant shutdown.
    (C) Manual control of steam generators or feedwater or both during 
startup and shutdown.
    (D) Boration or dilution during power operation.
    (E) Significant ([ge]10 percent) power changes in manual rod control 
or recirculation flow.
    (F) Reactor power change of 10 percent or greater where load change 
is performed with load limit control or where flux, temperature, or 
speed control is on manual (for HTGR).
    (G) Loss of coolant, including--
    (1)  Significant PWR steam generator leaks
    (2)  Inside and outside primary containment

[[Page 115]]

    (3)  Large and small, including lead-rate determination
    (4)  Saturated reactor coolant response (PWR).
    (H) Loss of instrument air (if simulated plant specific).
    (I) Loss of electrical power (or degraded power sources).
    (J) Loss of core coolant flow/natural circulation.
    (K) Loss of feedwater (normal and emergency).
    (L) Loss of service water, if required for safety.
    (M) Loss of shutdown cooling.
    (N) Loss of component cooling system or cooling to an individual 
component.
    (O) Loss of normal feedwater or normal feedwater system failure.
    (P) Loss of condenser vacuum.
    (Q) Loss of protective system channel.
    (R) Mispositioned control rod or rods (or rod drops).
    (S) Inability to drive control rods.
    (T) Conditions requiring use of emergency boration or standby liquid 
control system.
    (U) Fuel cladding failure or high activity in reactor coolant or 
offgas.
    (V) Turbine or generator trip.
    (W) Malfunction of an automatic control system that affects 
reactivity.
    (X) Malfunction of reactor coolant pressure/volume control system.
    (Y) Reactor trip.
    (Z) Main steam line break (inside or outside containment).
    (AA) A nuclear instrumentation failure.
    (ii) Each licensed operator and senior operator has demonstrated 
satisfactory understanding of the operation of the apparatus and 
mechanisms associated with the control manipulations in paragraph 
(c)(3)(i) of this section, and knows the operating procedures in each 
area for which the operator or senior operator is licensed.
    (iii) Each licensed operator and senior operator is cognizant of 
facility design changes, procedure changes, and facility license 
changes.
    (iv) Each licensed operator and senior operator reviews the contents 
of all abnormal and emergency procedures on a regularly scheduled basis.
    (v) A simulator may be used in meeting the requirements of 
paragraphs (c) (3)(i) and (3)(ii) of this section, if it reproduces the 
general operating characteristics of the facility involved and the 
arrangement of the instrumentation and controls of the simulator is 
similar to that of the facility involved. If the simulator or simulation 
device is used to administer operating tests for a facility, as provided 
in Sec. 55.45(b)(1), the device approved to meet the requirements of 
Sec. 55.45(b)(1) must be used for credit to be given for meeting the 
requirements of paragraphs (c)(3)(i) (G through AA) of this section.
    (4) Evaluation. The requalification program must include--
    (i) Comprehensive requalification written examinations and annual 
operating tests which determine areas in which retraining is needed to 
upgrade licensed operator and senior operator knowledge.
    (ii) Written examinations which determine licensed operators' and 
senior operators' knowledge of subjects covered in the requalification 
program and provide a basis for evaluating their knowledge of abnormal 
and emergency procedures.
    (iii) Systematic observation and evaluation of the performance and 
competency of licensed operators and senior operators by supervisors 
and/or training staff members, including evaluation of actions taken or 
to be taken during actual or simulated abnormal and emergency 
procedures.
    (iv) Simulation of emergency or abnormal conditions that may be 
accomplished by using the control panel of the facility involved or by 
using a simulator. When the control panel of the facility is used for 
simulation, the actions taken or to be taken for the emergency or 
abnormal condition shall be discussed; actual manipulation of the plant 
controls is not required. If a simulator is used in meeting the 
requirements of paragraph (c)(4)(iii) of this section, it must 
accurately reproduce the operating characteristics of the facility 
involved and the arrangement of the instrumentation and controls of the 
simulator must closely parallel that of the facility involved. After

[[Page 116]]

the provisions of Sec. 55.46 have been implemented at a facility, the 
Commission approved or plant-referenced simulator must be used to comply 
with this paragraph.
    (v) Provisions for each licensed operator and senior operator to 
participate in an accelerated requalification program where performance 
evaluations conducted pursuant to paragraphs (c)(4) (i) through (iv) of 
this section clearly indicated the need.
    (5) Records. The requalification program documentation must include 
the following:
    (i) The facility licensee shall maintain records documenting the 
participation of each licensed operator and senior operator in the 
requalification program. The records must contain copies of written 
examinations administered, the answers given by the licensee, and the 
results of evaluations and documentation of operating tests and of any 
additional training administered in areas in which an operator or senior 
operator has exhibited deficiencies. The facility licensee shall retain 
these records until the operator's or senior operator's license is 
renewed.
    (ii) 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.
    (iii) If there is a conflict between the Commission's regulations in 
this part, and any license condition, or other written Commission 
approval or authorization pertaining to the retention period for the 
same type of record, the retention period specified for these records by 
the regulations in this part apply unless the Commission, pursuant to 
Sec. 55.11, grants a specific exemption from this record retention 
requirement.
    (6) Alternative training programs. The requirements of this section 
may be met by requalification programs conducted by persons other than 
the facility licensee if the requalification programs are similar to the 
program described in paragraphs (c) (1) through (5) of this section and 
the alternative program has been approved by the Commission.
    (7) Applicability to research and test reactor facilities. To 
accommodate specialized modes of operation and differences in control, 
equipment, and operator skills and knowledge, the requalification 
program for each licensed operator and senior operator of a research 
reactor or test reactor facility must conform generally but need not be 
identical to the requalification program outlined in paragraphs (c) (1) 
through (6) of this section. Significant deviations from the 
requirements of paragraphs (c) (1) through (6) of this section will be 
permitted only if supported by written justification and approved by the 
Commission.

[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994; 66 
FR 52668, Oct. 17, 2001]



           Subpart G--Modification and Revocation of Licenses



Sec. 55.61  Modification and revocation of licenses.

    (a) The terms and conditions of all licenses are subject to 
amendment, revision, or modification by reason of rules, regulations, or 
orders issued in accordance with the Act or any amendments thereto.
    (b) Any license may be revoked, suspended, or modified, in whole or 
in part:
    (1) For any material false statement in the application or in any 
statement of fact required under section 182 of the Act,
    (2) Because of conditions revealed by the application or statement 
of fact or any report, record, inspection or other means that would 
warrant the Commission to refuse to grant a license on an original 
application,
    (3) For willful 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, or
    (4) For any conduct determined by the Commission to be a hazard to 
safe operation of the facility.
    (5) For the sale, use or possession of illegal drugs, or refusal to 
participate

[[Page 117]]

in the facility drug and alcohol testing program, or a confirmed 
positive test for drugs, drug metabolites, or alcohol in violation of 
the conditions and cutoff levels established by Sec. 55.53(j) or the 
consumption of alcoholic beverages within the protected area of power 
reactors or the controlled access area of non-power reactors, or a 
determination of unfitness for scheduled work as a result of the 
consumption of alcoholic beverages.

[52 FR 9460, Mar. 25, 1987, as amended at 56 FR 32070, July 15, 1991]



                         Subpart H--Enforcement



Sec. 55.71  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 55076, Nov. 24, 1992]



Sec. 55.73  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 of violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 55 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 55 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 55.1, 55.2, 55.4, 55.5, 55.6, 55.7, 55.8, 55.11. 55.13, 55.31, 
55.33, 55.35, 55.41, 55.43, 55.47, 55.51, 55.55, 55.57, 55.61, 55.71, 
and 55.73.

[57 FR 55076, Nov. 24, 1992]



PART 60--DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN GEOLOGIC REPOSITORIES--Table of Contents




                      Subpart A--General Provisions

Sec.
60.1  Purpose and scope.
60.2  Definitions.
60.3  License required.
60.4  Communications and records.
60.5  Interpretations.
60.6  Exemptions.
60.7  License not required for certain preliminary activities.
60.8  Information collection requirements: Approval.
60.9  Employee protection.
60.10  Completeness and accuracy of information.
60.11  Deliberate misconduct.

                           Subpart B--Licenses

                          Preapplication Review

60.15  Site characterization.
60.16  Site characterization plan required.
60.17  Contents of site characterization plan.
60.18  Review of site characterization activities.

                          License Applications

60.21  Content of application.
60.22  Filing and distribution of application.
60.23  Elimination of repetition.
60.24  Updating of application and environmental impact statement.

                       Construction Authorization

60.31  Construction authorization.
60.32  Conditions of construction authorization.
60.33  Amendment of construction authorization.

                     License Issuance and Amendment

60.41  Standards for issuance of a license.
60.42  Conditions of license.
60.43  License specification.

[[Page 118]]

60.44  Changes, tests, and experiments.
60.45  Amendment of license.
60.46  Particular activities requiring license amendment.

                            Permanent Closure

60.51  License amendment for permanent closure.
60.52  Termination of license.

Subpart C--Participation by State Governments and Affected Indian Tribes

60.61  Provision of information.
60.62  Site review.
60.63  Participation in license reviews.
60.64  Notice to States.
60.65  Representation.

           Subpart D--Records, Reports, Tests, and Inspections

60.71  Records and reports.
60.72  Construction records.
60.73  Reports of deficiencies.
60.74  Tests.
60.75  Inspections.
60.78  Material control and accounting records and reports.

                      Subpart E--Technical Criteria

60.101  Purpose and nature of findings.
60.102  Concepts.

                         Performance Objectives

60.111  Performance of the geologic repository operations area through 
          permanent closure.
60.112  Overall system performance objective for the geologic repository 
          after permanent closure.
60.113  Performance of particular barriers after permanent closure.

                       Land Ownership and Control

60.121  Requirements for ownership and control interests in land.

                             Siting Criteria

60.122  Siting criteria.

       Design Criteria for the Geologic Repository Operations Area

60.130  General considerations.
60.131  General design criteria for the geologic repository operations 
          area.
60.132  Additional design criteria for surface facilities in the 
          geologic repository operations area.
60.133  Additional design criteria for the underground facility.
60.134  Design of seals for shafts and boreholes.

                  Design Criteria for the Waste Package

60.135  Criteria for the waste package and its components.

                       Preclosure Controlled Area

60.136  Preclosure controlled area.

                  Performance Confirmation Requirements

60.137  General requirements for performance confirmation.

               Subpart F--Performance Confirmation Program

60.140  General requirements.
60.141  Confirmation of geotechnical and design parameters.
60.142  Design testing.
60.143  Monitoring and testing waste packages.

                      Subpart G--Quality Assurance

60.150  Scope.
60.151  Applicability.
60.152  Implementation.

           Subpart H--Training and Certification of Personnel

60.160  General requirements.
60.161  Training and certification program.
60.162  Physical requirements.

Subpart I--Emergency Planning Criteria [Reserved]

                          Subpart J--Violations

60.181  Violations.
60.183  Criminal penalties.

    Authority: Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 
929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2071, 
2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 
Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-
601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851); sec. 102, Pub. L. 91-190, 
83 Stat. 853 (42 U.S.C. 4332); secs. 114, 121, Pub. L. 97-425, 96 Stat. 
2213g, 2228, as amended (42 U.S.C. 10134, 10141), and Pub. L. 102-486, 
sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851).

    Source: 46 FR 13980, Feb. 25, 1981, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 60.1  Purpose and scope.

    This part prescribes rules governing the licensing of the U.S. 
Department of Energy to receive and possess source, special nuclear, and 
byproduct material at a geologic repository operations area sited, 
constructed, or operated in

[[Page 119]]

accordance with the Nuclear Waste Policy Act of 1982. This part does not 
apply to any activity licensed under another part of this chapter. This 
part does not apply to the licensing of the U.S. Department of Energy to 
receive and possess source, special nuclear, and byproduct material at a 
geologic repository operations area sited, constructed, or operated at 
Yucca Mountain, Nevada, in accordance with the Nuclear Waste Policy Act 
of 1982, as amended, and the Energy Policy Act of 1992, subject to part 
63 of this chapter. This part also gives notice to all persons who 
knowingly provide to any licensee, applicant, contractor, or 
subcontractor, components, equipment, materials, or other goods or 
services, that relate to a licensee's or applicant's activities subject 
to this part, that they may be individually subject to NRC enforcement 
action for violation of Sec. 60.11.

[66 FR 55791, Nov. 2, 2001]



Sec. 60.2  Definitions.

    As used in this part:
    Accessible environment means:
    (1) The atmosphere;
    (2) The land surface;
    (3) Surface water;
    (4) Oceans; and
    (5) The portion of the lithosphere that is outside the postclosure 
controlled area.
    Affected Indian Tribe means any Indian Tribe (1) within whose 
reservation boundaries a repository for high-level radioactive waste or 
spent fuel is proposed to be located; or (2) whose Federally defined 
possessory or usage rights to other lands outside of the reservation's 
boundaries arising out of Congressionally ratified treaties or other 
Federal law may be substantially and adversely affected by the locating 
of such a facility; Provided, That the Secretary of the Interior finds, 
upon the petition of the appropriate governmental officials of the 
Tribe, that such effects are both substantial and adverse to the Tribe.
    Anticipated processes and events means those natural processes and 
events that are reasonably likely to occur during the period the 
intended performance objective must be achieved. To the extent 
reasonable in the light of the geologic record, it shall be assumed that 
those processes operating in the geologic setting during the Quaternary 
Period continue to operate but with the perturbations caused by the 
presence of emplaced radioactive waste superimposed thereon.
    Barrier means any material or structure that prevents or 
substantially delays movement of water or radionuclides.
    Candidate area means a geologic and hydrologic system within which a 
geologic repository may be located.
    Commencement of construction means clearing of land, surface or 
subsurface excavation, or other substantial action that would adversely 
affect the environment of a site, but does not include changes desirable 
for the temporary use of the land for public recreational uses, site 
characterization activities, other preconstruction monitoring and 
investigation necessary to establish background information related to 
the suitability of a site or to the protection of environmental values, 
or procurement or manufacture of components of the geologic repository 
operations area.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Containment means the confinement of radioactive waste within a 
designated boundary.
    Controlled area means a surface location, to be marked by suitable 
monuments, extending horizontally no more than 10 kilometers in any 
direction from the outer boundary of the underground facility, and the 
underlying subsurface, which area has been committed to use as a 
geologic repository and from which incompatible activities would be 
restricted following permanent closure.
    Design bases means that information that 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 restraints derived from generally accepted ``state-of-the-art'' 
practices for achieving functional goals or requirements derived from 
analysis (based on

[[Page 120]]

calculation or experiments) of the effects of a postulated event under 
which a structure, system, or component must meet its functional goals. 
The values for controlling parameters for external events include:
    (1) Estimates of severe natural events to be used for deriving 
design bases that will be based on consideration of historical data on 
the associated parameters, physical data, or analysis of upper limits of 
the physical processes involved; and
    (2) Estimates of severe external man-induced events, to be used for 
deriving design bases, that will be based on analysis of human activity 
in the region, taking into account the site characteristics and the 
risks associated with the event.
    Design basis events means:
    (1)(i) Those natural and human-induced events that are reasonably 
likely to occur regularly, moderately frequently, or one or more times 
before permanent closure of the geologic repository operations area; and
    (ii) Other natural and man-induced events that are considered 
unlikely, but sufficiently credible to warrant consideration, taking 
into account the potential for significant radiological impacts on 
public health and safety.
    (2) The events described in paragraph (1)(i) of this definition are 
referred to as ``Category 1'' design basis events. The events described 
in paragraph (1)(ii) of this definition are referred to as ``Category 
2'' design basis events.
    Director means the Director of the Nuclear Regulatory Commission's 
Office of Nuclear Material Safety and Safeguards.
    Disposal means the isolation of radioactive wastes from the 
accessible environment.
    Disturbed zone means that portion of the postclosure controlled 
area, the physical or chemical properties of which have changed as a 
result of underground facility construction or as a result of heat 
generated by the emplaced radioactive wastes, such that the resultant 
change of properties may have a significant effect on the performance of 
the geologic repository.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Engineered barrier system means the waste packages and the 
underground facility.
    Geologic repository means a system which is intended to be used for, 
or may be used for, the disposal of radioactive wastes in excavated 
geologic media. A geologic repository includes: (1) The geologic 
repository operations area, and (2) the portion of the geologic setting 
that provides isolation of the radioactive waste.
    Geologic repository operations area means a high-level radioactive 
waste facility that is part of a geologic repository, including both 
surface and subsurface areas, where waste handling activities are 
conducted.
    Geologic setting means the geologic, hydrologic, and geochemical 
systems of the region in which a geologic repository operations area is 
or may be located.
    Groundwater means all water which occurs below the land surface.
    High-level radioactive waste or HLW means: (1) Irradiated reactor 
fuel, (2) liquid 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 fuel, and (3) solids into which such 
liquid wastes have been converted.
    HLW facility means a facility subject to the licensing and related 
regulatory authority of the Commission pursuant to Sections 202(3) and 
202(4) of the Energy Reorganization Act of 1974 (88 Stat. 
1244).1
---------------------------------------------------------------------------

    \1\ These are DOE ``facilities used primarily for the receipt and 
storage of high-level radioactive wastes resulting from activities 
licensed under such Act [the Atomic Energy Act]'' and ``Retrievable 
Surface Storage Facilities and other facilities authorized for the 
express purpose of subsequent long-term storage of high-level 
radioactive wastes generated by [DOE], which are not used for, or are 
part of, research and development activities.''
---------------------------------------------------------------------------

    Host rock means the geologic medium in which the waste is emplaced.
    Important to safety, with reference to structures, systems, and 
components, means those engineered features of the repository whose 
function is:

[[Page 121]]

    (1) To provide reasonable assurance that high-level waste can be 
received, handled, packaged, stored, emplaced, and retrieved without 
exceeding the requirements of Sec. 60.111(a) for Category 1 design basis 
events; or
    (2) To prevent or mitigate Category 2 design basis events that could 
result in doses equal to or greater than the values specified in 
Sec. 60.136 to any individual located on or beyond any point on the 
boundary of the preclosure controlled area.
    Isolation means inhibiting the transport of radioactive material so 
that amounts and concentrations of this material entering the accessible 
environment will be kept within prescribed limits.
    NRC Public Document Room means the facility at 2120 L Street, NW., 
Washington, DC where certain public records of the NRC that were made 
available for public inspection in paper or microfiche prior to the 
implementation of the NRC Agencywide Documents Access and Management 
System, commonly referred to as ADAMS, will remain available for public 
inspection. It is also the place where computer terminals are available 
to access the Electronic Reading Room component of ADAMS on the NRC Web 
site, http://www.nrc.gov, where copies can be made or ordered as set 
forth in Sec. 9.35 of this chapter. The facility is staffed with 
reference librarians to assist the public in identifying and locating 
documents and in using the NRC Web site and ADAMS. The NRC Public 
Document Room is open from 7:45 am to 4:15 pm, Monday through Friday, 
except on Federal holidays. Reference service and access to documents 
may also be requested by telephone (202-634-3273 or 800-397-4209) 
between 8:30 am and 4:15 pm, or by e-mail ([email protected]), fax (202-634-
3343), or letter (NRC Public Document Room, LL-6, Washington, DC 20555-
0001).
    NRC Web site, http://www.nrc.gov is the Internet uniform resource 
locator name for the Internet address of the Web site where NRC will 
ordinarily make available its public records for inspection.
    Permanent closure means final backfilling of the underground 
facility and the sealing of shafts and boreholes.
    Performance confirmation means the program of tests, experiments, 
and analyses which is conducted to evaluate the accuracy and adequacy of 
the information used to determine with reasonable assurance that the 
performance objectives for the period after permanent closure will be 
met.
    Postclosure controlled area means a surface location, to be marked 
by suitable monuments, extending horizontally no more than 10 kilometers 
in any direction from the outer boundary of the underground facility, 
and the underlying subsurface, which area has been committed to use as a 
geologic repository and from which incompatible activities would be 
restricted following permanent closure.
    Preclosure controlled area means that surface area surrounding the 
geologic repository operations area for which the licensee exercises 
authority over its use, in accordance with the provisions of this part, 
until permanent closure has been completed.
    Radioactive waste or waste means HLW and other radioactive materials 
other than HLW that are received for emplacement in a geologic 
repository.
    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 aside as a restricted area.
    Retrieval means the act of intentionally removing radioactive waste 
from the underground location at which the waste had been previously 
emplaced for disposal.
    Saturated zone means that part of the earth's crust beneath the 
regional water table in which all voids, large and small, are ideally 
filled with water under pressure greater than atmospheric.
    Site means the location of the preclosure controlled area, or of the 
postclosure controlled area, or both.
    Site characterization means the program of exploration and research, 
both in the laboratory and in the field, undertaken to establish the 
geologic conditions and the ranges of those parameters of a particular 
site relevant to

[[Page 122]]

the procedures under this part. Site characterization includes borings, 
surface excavations, excavation of exploratory shafts, limited 
subsurface lateral excavations and borings, and in situ testing at depth 
needed to determine the suitability of the site for a geologic 
repository, but does not include preliminary borings and geophysical 
testing needed to decide whether site characterization should be 
undertaken.
    Unanticipated processes and events means those processes and events 
affecting the geologic setting that are judged not to be reasonably 
likely to occur during the period the intended performance objective 
must be achieved, but which are nevertheless sufficiently credible to 
warrant consideration. Unanticipated processes and events may be either 
natural processes or events or processes and events initiated by human 
activities other than those activities licensed under this part. 
Processes and events initiated by human activities may only be found to 
be sufficiently credible to warrant consideration if it is assumed that: 
(1) The monuments provided for by this part are sufficiently permanent 
to serve their intended purpose; (2) the value to future generations of 
potential resources within the site can be assessed adequately under the 
applicable provisions of this part; (3) an understanding of the nature 
of radioactivity, and an appreciation of its hazards, have been retained 
in some functioning institutions; (4) institutions are able to assess 
risk and to take remedial action at a level of social organization and 
technological competence equivalent to, or superior to, that which was 
applied in initiating the processes or events concerned; and (5) 
relevant records are preserved, and remain accessible, for several 
hundred years after permanent closure.
    Underground facility means the underground structure, including 
openings and backfill materials, but excluding shafts, boreholes, and 
their seals.
    Unrestricted area means an area, access to which is neither limited 
nor controlled by the licensee.
    Unsaturated zone means the zone between the land surface and the 
regional water table. Generally, fluid pressure in this zone is less 
than atmospheric pressure, and some of the voids may contain air or 
other gases at atmospheric pressure. Beneath flooded areas or in perched 
water bodies the fluid pressure locally may be greater than atmospheric.
    Waste form means the radioactive waste materials and any 
encapsulating or stabilizing matrix.
    Waste package means the waste form and any containers, shielding, 
packing and other absorbent materials immediately surrounding an 
individual waste container.
    Water table means that surface in a groundwater body at which the 
water pressure is atmospheric.

[48 FR 28217, June 21, 1983, as amended at 50 FR 29647, July 22, 1985; 
51 FR 27162, July 30, 1986; 53 FR 43421, Oct. 27, 1988; 61 FR 64267, 
Dec. 4, 1996; 64 FR 48953, Sept. 9, 1999]



Sec. 60.3  License required.

    (a) DOE shall not receive or possess source, special nuclear, or 
byproduct material at a geologic repository operations area except as 
authorized by a license issued by the Commission pursuant to this part.
    (b) DOE shall not commence construction of a geologic repository 
operations area unless it has filed an application with the Commission 
and has obtained construction authorization as provided in this part. 
Failure to comply with this requirement shall be grounds for denial of a 
license.



Sec. 60.4  Communications and records.

    (a) Except where otherwise specified, all communications and reports 
concerning the regulations in this part and applications filed under 
them should be addressed to the Director of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555. 
Communications reports, and applications may be delivered in person at 
the Commission's offices at 2120 L Street NW., Washington DC, or 11555 
Rockville Pike, Rockville, MD.
    (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

[[Page 123]]

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 19251, May 27, 1988, as amended at 53 FR 43421, Oct. 27, 1988]



Sec. 60.5  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 considered binding upon 
the Commission.



Sec. 60.6  Exemptions.

    The Commission may, upon application by DOE, 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, 
will not endanger life or property or the common defense and security, 
and are otherwise in the public interest.



Sec. 60.7  License not required for certain preliminary activities.

    The requirement for a license set forth in Sec. 60.3(a) of this part 
is not applicable to the extent that DOE receives and possesses source, 
special nuclear, and byproduct material at a geologic repository:
    (a) For purposes of site characterization; or
    (b) For use, during site characterization or construction, as 
components of radiographic, radiation monitoring, or similar equipment 
or instrumentation.



Sec. 60.8  Information collection requirements: 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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0127.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 60.62, 60.63, and 60.65.

[61 FR 64268, Dec. 4, 1996, as amended at 62 FR 52188, Oct. 6, 1997]



Sec. 60.9  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

[[Page 124]]

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 52411, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 
FR 6765, Feb. 22, 1996]



Sec. 60.10  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

[[Page 125]]

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]



Sec. 60.11  Deliberate misconduct.

    (a) Any licensee, applicant for a license, employee of a licensee or 
applicant; or any contractor (including a supplier or consultant), 
subcontractor, employee of a contractor or subcontractor of any licensee 
or applicant for a license who knowingly provides to any licensee, 
applicant, contractor, or subcontractor, any components, equipment, 
materials, or other goods or services that relate to a licensee's or 
applicant's activities in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee or applicant 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, an applicant, or a 
licensee's or applicant'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 the 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 or applicant 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, 
applicant, contractor, or subcontractor.

[63 FR 1898, Jan. 13, 1998]



                           Subpart B--Licenses

                          Preapplication Review



Sec. 60.15  Site characterization.

    (a) Prior to submittal of an application for a license to be issued 
under this part DOE shall conduct a program of site characterization 
with respect to the site to be described in such application.
    (b) Unless the Commission determines with respect to the site 
described in the application that it is not necessary, site 
characterization shall include a program of in situ exploration and 
testing at the depths that wastes would be emplaced.
    (c) The program of site characterization shall be conducted in 
accordance with the following:
    (1) Investigations to obtain the required information shall be 
conducted in such a manner as to limit adverse effects on the long-term 
performance of the geologic repository to the extent practical.
    (2) The number of exploratory boreholes and shafts shall be limited 
to the extent practical consistent with obtaining the information needed 
for site characterization.
    (3) To the extent practical, exploratory boreholes and shafts in the 
geologic repository operations area shall be located where shafts are 
planned for underground facility construction and operation or where 
large unexcavated pillars are planned.
    (4) Subsurface exploratory drilling, excavation, and in situ testing 
before and during construction shall be planned and coordinated with 
geologic

[[Page 126]]

repository operations area design and construction.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28219, June 21, 1983. 
Redesignated and amended at 51 FR 27162, July 30, 1986; 54 FR 27871, 
July 3, 1989]



Sec. 60.16  Site characterization plan required.

    Before proceeding to sink shafts at any area which has been approved 
by the President for site characterization, DOE shall submit to the 
Director, for review and comment, a site characterization plan for such 
area. DOE shall defer the sinking of such shafts until such time as 
there has been an opportunity for Commission comments thereon to have 
been solicited and considered by DOE.

[51 FR 27162, July 30, 1986]



Sec. 60.17  Contents of site characterization plan.

    The site characterization plan shall contain--
    (a) A general plan for site characterization activities to be 
conducted at the area to be characterized, which general plan shall 
include:
    (1) A description of such area, including information on quality 
assurance programs that have been applied to the collection, recording, 
and retention of information used in preparing such description.
    (2) A description of such site characterization activities, 
including the following--
    (i) The extent of planned excavations;
    (ii) Plans for any onsite testing with radioactive material, 
including radioactive tracers, or nonradioactive material;
    (iii) Plans for any investigation activities that may affect the 
capability of such area to isolate high-level radioactive waste;
    (iv) Plans to control any adverse impacts from such site 
characterization activities that are important to safety or that are 
important to waste isolation; and
    (v) Plans to apply quality assurance to data collection, recording, 
and retention.
    (3) Plans for the decontamination and decommissioning of such area, 
and for the mitigation of any significant adverse environmental impacts 
caused by site characterization activities, if such area is determined 
unsuitable for application for a construction authorization for a 
geologic repository operations area;
    (4) Criteria, developed pursuant to section 112(a) of the Nuclear 
Waste Policy Act of 1982, to be used to determine the suitability of 
such area for the location of a geologic repository; and
    (5) Any other information which the Commission, by rule or order, 
requires.
    (b) A description of the possible waste form or waste package for 
the high-level radioactive waste to be emplaced in such geologic 
repository, a description (to the extent practicable) of the 
relationship between such waste form or waste package and the host rock 
at such area, and a description of the activities being conducted by DOE 
with respect to such possible waste form or waste package or their 
relationship; and
    (c) A conceptual design for the geologic repository operations area 
that takes into account likely site-specific requirements.

[51 FR 27163, July 30, 1986]



Sec. 60.18  Review of site characterization activities.\2\
---------------------------------------------------------------------------

    \2\ In addition to the review of site characterization activities 
specified in this section, the Commission contemplates an ongoing review 
of other information on site investigation and site characterization, in 
order to allow early identification of potential licensing issues for 
timely resolution. This activity will include, for example, a review of 
the environmental assessments prepared by DOE at the time of site 
nomination, and review of issues related to long lead time exploratory 
shaft planning and procurement actions by DOE prior to issuance of site 
characterization plans.
---------------------------------------------------------------------------

    (a) The Director shall cause to be published in the Federal Register 
a notice that a site characterization plan has been received from DOE 
and that a staff review of such plan has begun. The notice shall 
identify the area to be characterized and the NRC staff members to be 
consulted for further information.
    (b) The Director shall make a copy of the site characterization plan 
available

[[Page 127]]

at the Public Document Room. The Director shall also transmit copies of 
the published notice of receipt to the Governor and legislature of the 
State in which the area to be characterized is located and to the 
governing body of any affected Indian Tribe. The Director shall provide 
an opportunity, with respect to any area to be characterized, for the 
State in which such area is located and for affected Indian Tribes to 
present their views on the site characterization plan and their 
suggestions with respect to comments thereon which may be made by NRC. 
In addition, the Director shall make NRC staff available to consult with 
States and affected Indian Tribes as provided in Subpart C of this part.
    (c) The Director shall review the site characterization plan and 
prepare a site characterization analysis with respect to such plan. In 
the preparation of such site characterization analysis, the Director may 
invite and consider the views of interested persons on DOE's site 
characterization plan and may review and consider comments made in 
connection with public hearings held by DOE.
    (d) The Director shall provide to DOE the site characterization 
analysis together with such additional comments as may be warranted. 
These comments shall include either a statement that the Director has no 
objection to the DOE's site characterization program, if such a 
statement is appropriate, or specific objections with respect to DOE's 
program for characterization of the area concerned. In addition, the 
Director may make specific recommendations pertinent to DOE's site 
characterization program.
    (e) If DOE's planned site characterization activities include onsite 
testing with radioactive material, including radioactive tracers, the 
Director's comments shall include a determination regarding whether or 
not the Commission concurs that the proposed use of such radioactive 
material is necessary to provide data for the preparation of the 
environmental reports required by law and for an application to be 
submitted under Sec. 60.22 of this part.
    (f) The Director shall publish in the Federal Register a notice of 
availability of the site characterization analysis and a request for 
public comment within a reasonable period, as specified (not less than 
90 days). The notice along with copies of the site characterization 
analysis shall be available at the NRC Web site, http://www.nrc.gov, and 
copies of any comments received will also be made available there.
    (g) During the conduct of site characterization activities, DOE 
shall report not less than once every six months to the Commission on 
the nature and extent of such activities and the information that has 
been developed, and on the progress of waste form and waste package 
research and development. The semiannual reports shall include the 
results of site characterization studies, the identification of new 
issues, plans for additional studies to resolve new issues, elimination 
of planned studies no longer necessary, identification of decision 
points reached and modifications to schedules where appropriate. DOE 
shall also report its progress in developing the design of a geologic 
repository operations area appropriate for the area being characterized, 
noting when key design parameters or features which depend upon the 
results of site characterization will be established. Other topics 
related to site characterization shall also be covered if requested by 
the Director.
    (h) During the conduct of site characterization activities, NRC 
staff shall be permitted to visit and inspect the locations at which 
such activities are carried out and to observe excavations, borings, and 
in situ tests as they are done.
    (i) The Director may comment at any time in writing to DOE, 
expressing current views on any aspect of site characterization. In 
particular, such comments shall be made whenever the Director, upon 
review of comments invited on the site characterization analysis or upon 
review of DOE's semiannual reports, determines that there are 
substantial new grounds for making recommendations or stating objections 
to DOE's site characterization program. The Director shall invite public 
comment on any comments which the Director makes to DOE upon review of 
the DOE semiannual reports or

[[Page 128]]

on any other comments which the Director makes to DOE on site 
characterization.
    (j) The Director shall transmit copies of the site characterization 
analysis and all comments to DOE made by the Director under this section 
to the Governor and legislature of the State in which the area to be 
characterized is located and to the governing body of any affected 
Indian Tribe. When transmitting the site characterization analysis under 
this paragraph, the Director shall invite the addressees to review and 
comment thereon.
    (k) All correspondence between DOE and the NRC under this section, 
including the reports described in paragraph (g), shall be placed in the 
Public Document Room.
    (l) The activities described in paragraphs (a) through (k) of this 
section constitute informal conference between a prospective applicant 
and the staff, as described in Sec. 2.101(a)(1) of this chapter, and are 
not part of a proceeding under the Atomic Energy Act of 1954, as 
amended. Accordingly, neither the issuance of a site characterization 
analysis nor any other comments of the Director made under this section 
constitutes a commitment to issue any authorization or license or in any 
way affect the authority of the Commission, the Atomic Safety and 
Licensing Appeal Board, Atomic Safety and Licensing Boards, other 
presiding officers, or the Director, in any such proceeding.

[51 FR 27163, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]

                          License Applications



Sec. 60.21  Content of application.

    (a) An application shall consist of general information and a Safety 
Analysis Report. An environmental impact statement shall be prepared in 
accordance with the Nuclear Waste Policy Act of 1982, as amended, and 
shall accompany the application. Any Restricted Data or National 
Security Information shall be separated from unclassified information.
    (b) The general information shall include:
    (1) A general description of the proposed geologic repository 
identifying the location of the geologic repository operations area, the 
general character of the proposed activities, and the basis for the 
exercise of licensing authority by the Commission.
    (2) Proposed schedules for construction, receipt of waste, and 
emplacement of wastes at the proposed geologic repository operations 
area.
    (3) A detailed plan to provide physical protection of high-level 
radioactive waste in accordance with Sec. 73.51 of this chapter. This 
plan must include the design for physical protection, the licensee's 
safeguards contingency plan, and security organization personnel 
training and qualification plan. The plan must list tests, inspections, 
audits, and other means to be used to demonstrate compliance with such 
requirements.
    (4) A description of the program to meet the requirements of 
Sec. 60.78.
    (5) A description of site characterization work actually conducted 
by DOE at all sites considered in the application and, as appropriate, 
explanations of why such work differed from the description of the site 
characterization program described in the Site Characterization Report 
for each site.
    (c) The Safety Analysis Report shall include:
    (1) A description and assessment of the site at which the proposed 
geologic repository operations area is to be located with appropriate 
attention to those features of the site that might affect geologic 
repository operations area design and performance. The description of 
the site shall identify the location of the geologic repository 
operations area with respect to the boundary of the accessible 
environment.
    (i) The description of the site shall also include the following 
information regarding subsurface conditions. This description shall, in 
all cases, include this information with respect to the postclosure 
controlled area. In addition, where subsurface conditions outside the 
postclosure controlled area may affect isolation within the postclosure 
controlled area, the description shall include information with respect 
to subsurface conditions outside the postclosure controlled area

[[Page 129]]

to the extent the information is relevant and material. The detailed 
information referred to in this paragraph shall include:
    (A) The orientation, distribution, aperture in-filling and origin of 
fractures, discontinuities, and heterogeneities;
    (B) The presence and characteristics of other potential pathways 
such as solution features, breccia pipes, or other potentially permeable 
features;
    (C) The geomechanical properties and conditions, including pore 
pressure and ambient stress conditions;
    (D) The hydrogeologic properties and conditions;
    (E) The geochemical properties; and
    (F) The anticipated response of the geomechanical, hydrogeologic, 
and geochemical systems to the maximum design thermal loading, given the 
pattern of fractures and other discontinuities and the heat transfer 
properties of the rock mass and groundwater.
    (ii) The assessment shall contain:
    (A) An analysis of the geology, geophysics, hydrogeology, 
geochemistry, climatology, and meteorology of the site,
    (B) Analyses to determine the degree to which each of the favorable 
and potentially adverse conditions, if present, has been characterized, 
and the extent to which it contributes to or detracts from isolation. 
For the purpose of determining the presence of the potentially adverse 
conditions, investigations shall extend from the surface to a depth 
sufficient to determine critical pathways for radionuclide migration 
from the underground facility to the accessible environment. Potentially 
adverse conditions shall be investigated outside of the postclosure 
controlled area if they affect isolation within the postclosure 
controlled area.
    (C) An evaluation of the performance of the proposed geologic 
repository for the period after permanent closure, assuming anticipated 
processes and events, giving the rates and quantities of releases of 
radionuclides to the accessible environment as a function of time; and a 
similar evaluation which assumes the occurrence of unanticipated 
processes and events.
    (D) The effectiveness of engineered and natural barriers, including 
barriers that may not be themselves a part of the geologic repository 
operations area, against the release of radioactive material to the 
environment. The analysis shall also include a comparative evaluation of 
alternatives to the major design features that are important to waste 
isolation, with particular attention to the alternatives that would 
provide longer radionuclide containment and isolation.
    (E) An analysis of the performance of the major design structures, 
systems, and components, both surface and subsurface, to identify those 
that are important to safety. For the purposes of this analysis, it 
shall be assumed that operations at the geologic repository operations 
area will be carried out at the maximum capacity and rate of receipt of 
radioactive waste stated in the application.
    (F) An explanation of measures used to support the models used to 
perform the assessments required in paragraphs (A) through (D). Analyses 
and models that will be used to predict future conditions and changes in 
the geologic setting shall be supported by using an appropriate 
combination of such methods as field tests, in situ tests, laboratory 
tests which are representative of field conditions, monitoring data, and 
natural analog studies.
    (2) A description and discussion of the design, both surface and 
subsurface, of the geologic repository operations area including: (i) 
the principal design criteria and their relationship to any general 
performance objectives promulgated by the Commission, (ii) the design 
bases and the relation of the design bases to the principal design 
criteria, (iii) information relative to materials of construction 
(including geologic media, general arrangement, and approximate 
dimensions), and (iv) codes and standards that DOE proposes to apply to 
the design and construction of the geologic repository operations area.
    (3) A description and analysis of the design and performance 
requirements for structures, systems, and components of the geologic 
repository that are important to safety. The analysis must include a 
demonstration that--
    (i) The requirements of Sec. 60.111(a) will be met, assuming 
occurrence of Category 1 design basis events; and

[[Page 130]]

    (ii) The requirements of Sec. 60.136 will be met, assuming 
occurrence of Category 2 design basis events.
    (4) A description of the quality assurance program to be applied to 
the structures, systems, and components important to safety and to the 
engineered and natural barriers important to waste isolation.
    (5) A description of the kind, amount, and specifications of the 
radioactive material proposed to be received and possessed at the 
geologic repository operations area.
    (6) An identification and justification for the selection of those 
variables, conditions, or other items which are determined to be 
probable subjects of license specifications. Special attention shall be 
given to those items that may significantly influence the final design.
    (7) A description of the program for control and monitoring of 
radioactive effluents and occupational radiation exposures to maintain 
such effluents and exposures in accordance with the requirements of part 
20 of this chapter.
    (8) A description of the controls that the applicant will apply to 
restrict access and to regulate land use at the site and adjacent areas, 
including a conceptual design of monuments which would be used to 
identify the postclosure controlled area after permanent closure.
    (9) Plans for coping with radiological emergencies at any time prior 
to permanent closure and decontamination or dismantlement of surface 
facilities.
    (10) A description of the program to be used to maintain the records 
described in Secs. 60.71 and 60.72.
    (11) A description of design considerations that are intended to 
facilitate permanent closure and decontamination or dismantlement of 
surface facilities.
    (12) A description of plans for retrieval and alternate storage of 
the radioactive wastes should the geologic repository prove to be 
unsuitable for disposal of radioactive wastes.
    (13) An identification and evaluation of the natural resources of 
the geologic setting, including estimates as to undiscovered deposits, 
the exploitation of which could affect the ability of the geologic 
repository to isolate radioactive wastes. Undiscovered deposits of 
resources characteristic of the area shall be estimated by reasonable 
inference based on geological and geophysical evidence. This evaluation 
of resources, including undiscoverd deposits, shall be conducted for the 
site and for areas of similar size that are representative of and are 
within the geologic setting. For natural resources with current markets 
the resources shall be assessed, with estimates provided of both gross 
and net value. The estimate of net value shall take into account current 
development, extraction and marketing costs. For natural resources 
without current markets, but which would be marketable given credible 
projected changes in economic or technological factors, the resources 
shall be described by physical factors such as tonnage or other amount, 
grade, and quality.
    (14) An identification of those structures, systems, and components 
of the geologic repository, both surface and subsurface, which require 
research and development to confirm the adequacy of design. For 
structures, systems, and components important to safety and for the 
engineered and natural barriers important to waste isolation, DOE shall 
provide a detailed description of the programs designed to resolve 
safety questions, including a schedule indicating when these questions 
would be resolved.
    (15) The following information concerning activities at the geologic 
repository operations area:
    (i) The organizational structure of DOE as it pertains to 
construction and operation of the geologic repository operations area 
including a description of any delegations of authority and assignments 
of responsibilities, whether in the form of regulations, administrative 
directives, contract provisions, or otherwise.
    (ii) Identification of key positions which are assigned 
responsibility for safety at and operation of the geologic repository 
operations area.
    (iii) Personnel qualifications and training requirements.
    (iv) Plans for startup activities and startup testing.

[[Page 131]]

    (v) Plans for conduct of normal activities, including maintenance, 
surveillance, and periodic testing of structures, systems, and 
components of the geologic repository operation area.
    (vi) Plans for permanent closure and plans for the decontamination 
or dismantlement of surface facilities.
    (vii) Plans for any uses of the geologic repository operations area 
for purposes other than disposal of radioactive wastes, with an analysis 
of the effects, if any, that such uses may have upon the operation of 
the structures, systems, and components important to safety and the 
engineered and natural barriers important to waste isolation.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28219, June 21, 1983; 
54 FR 27871, July 3, 1989; 61 FR 64268, Dec. 4, 1996; 63 FR 26961, May 
15, 1998]



Sec. 60.22  Filing and distribution of application.

    (a) An application for a license to receive and possess source, 
special nuclear, or byproduct material at a geologic repository 
operations area at a site which has been characterized, and any 
amendments thereto, and an accompanying environmental impact statement 
and any supplements, shall be signed by the Secretary of Energy or the 
Secretary's authorized representative and shall be filed in triplicate 
with the Director.
    (b) Each portion of such application and any amendments, and each 
environmental impact statement and any supplements, shall be accompanied 
by 30 additional copies. Another 120 copies shall be retained by DOE for 
distribution in accordance with written instructions from the Director 
or the Director's designee.
    (c) DOE shall, upon notification of the appointment of an Atomic 
Safety and Licensing Board, update the application, eliminating all 
superseded information, and supplement the environmental impact 
statement if necessary, and serve the updated application and 
environmental impact statement (as it may have been supplemented) as 
directed by the Board. At that time DOE shall also serve one such copy 
of the application and environmental impact statement on the Atomic 
Safety and Licensing Appeal Panel. Any subsequent amendments to the 
application or supplements to the environmental impact statement shall 
be served in the same manner.
    (d) At the time of filing of an application and any amendments 
thereto, one copy shall be made available in an appropriate location 
near the proposed geologic repository operations area (which shall be a 
public document room, if one has been established) for inspection by the 
public and updated as amendments to the application are made. The 
environmental impact statement and any supplements thereto shall be made 
available in the same manner. An updated copy of the application, and 
the environmental impact statement and supplements, shall be produced at 
any public hearing held by the Commission on the application, for use by 
any party to the proceeding.
    (e) The DOE shall certify that the updated copies of the 
application, and the environmental impact statement as it may have been 
supplemented, as referred to in paragraphs (c) and (d) of this section, 
contain the current contents of such documents submitted in accordance 
with the requirements of this part.

[54 FR 27871, July 3, 1989]



Sec. 60.23  Elimination of repetition.

    In its application, environmental report, or Site Characterization 
Report, the DOE may incorporate by reference information contained in 
previous applications, statements, or reports filed with the Commission: 
Provided, That such references are clear and specific and that copies of 
the information so incorporated are available in the public document 
room located near the site of the proposed geologic repository.



Sec. 60.24  Updating of application and environmental impact statement.

    (a) The application shall be as complete as possible in the light of 
information that is reasonably available at the time of docketing.
    (b) The DOE shall update its application in a timely manner so as to 
permit the Commission to review, prior to issuance of a license:
    (1) Additional geologic, geophysical, geochemical, hydrologic, 
meteorologic

[[Page 132]]

and other data obtained during construction.
    (2) Conformance of construction of structures, systems, and 
components with the design.
    (3) Results of research programs carried out to confirm the adequacy 
of designs.
    (4) Other information bearing on the Commission's issuance of a 
license that was not available at the time a construction authorization 
was issued.
    (c) The DOE shall supplement its environmental impact statement in a 
timely manner so as to take into account the environmental impacts of 
any substantial changes in its proposed actions or any significant new 
circumstances or information relevant to environmental concerns and 
bearing on the proposed action or its impacts.

[46 FR 13980, Feb. 25, 1981, as amended at 54 FR 27872, July 3, 1989]

                       Construction Authorization



Sec. 60.31  Construction authorization.

    Upon review and consideration of an application and environmental 
impact statement submitted under this part, the Commission may authorize 
construction if it determines:
    (a) Safety. That there is reasonable assurance that the types and 
amounts of radioactive materials described in the application can be 
received, possessed, and disposed of in a geologic repository operations 
area of the design proposed without unreasonable risk to the health and 
safety of the public. In arriving at this determination, the Commission 
shall consider whether:
    (1) DOE has described the proposed geologic repository including but 
not limited to: (i) The geologic, geophysical, geochemical and 
hydrologic characteristics of the site; (ii) the kinds and quantities of 
radioactive waste to be received, possessed, stored, and disposed of in 
the geologic repository operations area; (iii) the principal 
architectural and engineering criteria for the design of the geologic 
repository operations area; (iv) construction procedures which may 
affect the capability of the geologic repository to serve its intended 
function; and (v) features or components incorporated in the design for 
the protection of the health and safety of the public.
    (2) The site and design comply with the performance objectives and 
criteria contained in Subpart E of this part.
    (3) The DOE's quality assurance program complies with the 
requirements of Subpart G of this part.
    (4) The DOE's personnel training program complies with the criteria 
contained in Subpart H of this part.
    (5) The DOE's emergency plan complies with the criteria contained in 
Subpart I of this part.
    (6) The DOE's proposed operating procedures to protect health and to 
minimize danger to life or property are adequate.
    (b) Common defense and security. That there is reasonable assurance 
that the activities proposed in the application will not be inimical to 
the common defense and security.
    (c) Environmental. That, after weighing the environmental, economic, 
technical and other benefits against environmental costs and considering 
available alternatives, the action called for is issuance of the 
construction authorization, with any appropriate conditions to protect 
environmental values.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28220, June 21, 1983; 
54 FR 27872, July 3, 1989; 63 FR 26961, May 15, 1998]



Sec. 60.32  Conditions of construction authorization.

    (a) A construction authorization shall include such conditions as 
the Commission finds to be necessary to protect the health and safety of 
the public, the common defense and security, or environmental values.
    (b) The Commission will incorporate in the construction 
authorization provisions requiring DOE to furnish periodic or special 
reports regarding: (1) Progress of construction, (2) any data about the 
site obtained during construction which are not within the predicted 
limits upon which the facility design was based, (3) any deficiencies in 
design and construction which, if uncorrected, could adversely affect 
safety at any future time, and (4) results of research and development 
programs being conducted to resolve safety questions.

[[Page 133]]

    (c) The construction authorization will include restrictions on 
subsequent changes to the features of the geologic repository and the 
procedures authorized. The restrictions that may be imposed under this 
paragraph can include measures to prevent adverse effects on the 
geologic setting as well as measures related to the design and 
construction of the geologic repository operations area. These 
restrictions will fall into three categories of descending importance to 
public health and safety as follows: (1) Those features and procedures 
which may not be changed without: (i) 60 days prior notice to the 
Commission (ii) 30 days notice of opportunity for a prior hearing, and 
(iii) prior Commission approval; (2) those features and procedures which 
may not be changed without (i) 60 days prior notice to the Commission, 
and (ii) prior Commission approval; and (3) those features and 
procedures which may not be changed without 60 days notice to the 
Commission. Features and procedures falling in paragraph (c)(3) of this 
section may not be changed without prior Commission approval if the 
Commission, after having received the required notice, so orders.
    (d) A construction authorization shall be subject to the limitation 
that a license to receive and possess source, special nuclear, or 
byproduct material at the geologic repository operations area shall not 
be issued by the Commission until (1) the DOE has updated its 
application as specified in Sec. 60.24, and (2) the Commission has made 
the findings stated in Sec. 60.41.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983]



Sec. 60.33  Amendment of construction authorization.

    (a) An application for amendment of a construction authorization 
shall be filed with the Commission fully describing any changes desired 
and following as far as applicable the format prescribed in Sec. 60.21.
    (b) In determining whether an amendment of a construction 
authorization will be approved, the Commission will be guided by the 
considerations which govern the issuance of the initial construction 
authorization, to the extent applicable.

                     License Issuance and Amendment



Sec. 60.41  Standards for issuance of a license.

    A license to receive and possess source, special nuclear, or 
byproduct material at a geologic repository operations area may be 
issued by the Commission upon finding that:
    (a) Construction of the geologic repository operations area has been 
substantially completed in conformity with the application as amended, 
the provisions of the Atomic Energy Act, and the rules and regulations 
of the Commission. Construction may be deemed to be substantially 
complete for the purposes of this paragraph if the construction of (1) 
surface and interconnecting structures, systems, and components, and (2) 
any underground storage space required for initial operation are 
substantially complete.
    (b) The activities to be conducted at the geologic repository 
operations area will be in conformity with the application as amended, 
the provisions of the Atomic Energy Act and the Energy Reorganization 
Act, and the rules and regulations of the Commission.
    (c) The issuance of the license will not be inimical to the common 
defense and security and will not constitute an unreasonable risk to the 
health and safety of the public.
    (d) All applicable requirements of part 51 have been satisfied.

[46 FR 13980, Feb. 25, 1981, as amended at 63 FR 26961, May 15, 1998]



Sec. 60.42  Conditions of license.

    (a) A license issued pursuant to this part shall include such 
conditions, including license specifications, as the Commission finds to 
be necessary to protect the health and safety of the public, the common 
defense and security, and environmental values.
    (b) Whether stated therein or not, the following shall be deemed 
conditions in every license issued:
    (1) The license shall be subject to revocation, suspension, 
modification, or amendment for cause as provided by the Atomic Energy 
Act and the Commission's regulations.

[[Page 134]]

    (2) The DOE shall at any time while the license is in effect, upon 
written request of the Commission, submit written statements to enable 
the Commission to determine whether or not the license should be 
modified, suspended or revoked.
    (3) The license shall be subject to the provisions of the Atomic 
Energy 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 to or by reason of rules, regulations, and orders issued in 
accordance with the terms of the Atomic Energy Act.
    (c) Each license shall be deemed to contain the provisions set forth 
in Section 183 b-d, inclusive, of the Atomic Energy Act, whether or not 
these provisions are expressly set forth in the license.



Sec. 60.43  License specification.

    (a) A license issued under this part shall include license 
conditions derived from the analyses and evaluations included in the 
application, including amendments made before a license is issued, 
together with such additional conditions as the Commission finds 
appropriate.
    (b) License conditions shall include items in the following 
categories:
    (1) Restrictions as to the physical and chemical form and 
radioisotopic content of radioactive waste.
    (2) Restrictions as to size, shape, and materials and methods of 
construction of radioactive waste packaging.
    (3) Restrictions as to the amount of waste permitted per unit volume 
of storage space considering the physical characteristics of both the 
waste and the host rock.
    (4) Requirements relating to test, calibration, or inspection to 
assure that the foregoing restrictions are observed.
    (5) Controls to be applied to restricted access and to avoid 
disturbance to the postclosure controlled area and to areas outside the 
controlled area where conditions may affect isolation within the 
controlled area.
    (6) Administrative controls, which are the provisions relating to 
organization and management, procedures, recordkeeping, review and 
audit, and reporting necessary to assure that activities at the facility 
are conducted in a safe manner and in conformity with the other license 
specifications.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983; 
61 FR 64268, Dec. 4, 1996]



Sec. 60.44  Changes, tests, and experiments.

    (a)(1) Following authorization to receive and possess source, 
special nuclear, or byproduct material at a geologic repository 
operations area, the DOE may (i) make changes in the geologic repository 
operations area as described in the application, (ii) make changes in 
the procedures as described in the application, and (iii) conduct tests 
or experiments not described in the application, without prior 
Commission approval, provided the change, test, or experiment involves 
neither a change in the license conditions incorporated in the license 
nor an unreviewed safety question.
    (2) A proposed change, test, or experiment shall be deemed to 
involve an unreviewed safety question if (i) the likelihood of 
occurrence or the consequences of an accident or malfunction of 
equipment important to safety previously evaluated in the application is 
increased, (ii) the possibility of an accident or malfunction of a 
different type than any previously evaluated in the application is 
created, or (iii) the margin of safety as defined in the basis for any 
license condition is reduced.
    (b) The DOE shall maintain records of changes in the geologic 
repository operations area and of changes in procedures made pursuant to 
this section, to the extent that such changes constitute changes in the 
geologic repository operations area or procedures as described in the 
application. Records of tests and experiments carried out pursuant to 
paragraph (a) of this section shall also be maintained. These records 
shall include a written safety evaluation which provides the basis for 
the determination that the change, test, or experiment does not involve 
an unreviewed safety question. The DOE shall prepare annually, or at 
such shorter intervals as may be specified in

[[Page 135]]

the license, a report containing a brief description of such changes, 
tests, and experiments, including a summary of the safety evaluation of 
each. The DOE shall furnish the report to the appropriate NRC Regional 
Office shown in Appendix D of part 20 of this chapter with a copy to the 
Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, D.C. 20555. Any report submitted 
pursuant to this paragraph shall be made a part of the public record of 
the licensing proceedings.

[46 FR 13980, Feb. 25, 1981, as amended at 52 FR 31612, Aug. 21, 1987]



Sec. 60.45  Amendment of license.

    (a) An application for amendment of a license may be filed with the 
Commission fully describing the changes desired and following as far as 
applicable the format prescribed for license applications.
    (b) In determining whether an amendment of a license will be 
approved, the Commission will be guided by the considerations that 
govern the issuance of the initial license, to the extent applicable.



Sec. 60.46  Particular activities requiring license amendment.

    (a) Unless expressly authorized in the license, an amendment of the 
license shall be required with respect to any of the following 
activities:
    (1) Any action which would make emplaced high-level radioactive 
waste irretrievable or which would substantially increase the difficulty 
of retrieving such emplaced waste.
    (2) Dismantling of structures.
    (3) Removal or reduction of controls applied to restrict access to 
or avoid disturbance of the controlled area and to areas outside the 
postclosure controlled area where conditions may affect isolation within 
the controlled area.
    (4) Destruction or disposal of records required to be maintained 
under the provisions of this part.
    (5) Any substantial change to the design or operating procedures 
from that specified in the license.
    (6) Permanent closure.
    (7) Any other activity involving an unreviewed safety question.
    (b) An application for such an amendment shall be filed, and shall 
be reviewed, in accordance with the provisions of Sec. 60.45.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983; 
61 FR 64268, Dec. 4, 1996]

                            Permanent Closure



Sec. 60.51  License amendment for permanent closure.

    (a) DOE shall submit an application to amend the license prior to 
permanent closure. The submission shall consist of an update of the 
license application submitted under Secs. 60.21 and 60.22, including:
    (1) A description of the program for post-permanent closure 
monitoring of the geologic repository.
    (2) A detailed description of the measures to be employed--such as 
land use controls, construction of monuments, and preservation of 
records--to regulate or prevent activities that could impair the long-
term isolation of emplaced waste within the geologic repository and to 
assure that relevant information will be preserved for the use of future 
generations. As a minimum, such measures shall include:
    (i) Identification of the postclosure controlled area and geologic 
repository operations area by monuments that have been designed, 
fabricated, and emplaced to be as permanent as is practicable; and
    (ii) Placement of records in the archives and land record systems of 
local State, and Federal government agencies, and archives elsewhere in 
the world, that would be likely to be consulted by potential human 
intruders--such records to identify the location of the geologic 
repository operations area, including the underground facility, 
boreholes and shafts, and the boundaries of the postclosure controlled 
area, and the nature and hazard of the waste.
    (3) Geologic, geophysical, geochemical, hydrologic, and other site 
data that are obtained during the operational period pertinent to the 
long-term isolation of emplaced radioactive wastes.
    (4) The results of tests, experiments, and any other analyses 
relating to

[[Page 136]]

backfill of excavated areas, shaft sealing, waste interaction with the 
host rock, and any other tests, experiments, or analyses pertinent to 
the long-term isolation of emplaced wastes within the geologic 
repository.
    (5) Any substantial revision of plans for permanent closure.
    (6) Other information bearing upon permanent closure that was not 
available at the time a license was issued.
    (b) If necessary, so as to take into account the environmental 
impact of any substantial changes in the permanent closure activities 
proposed to be carried out or any significant new information regarding 
the environmental impacts of such closure, DOE shall also supplement its 
environmental impact statement and submit such statement, as 
supplemented, with the application for license amendment.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983; 
54 FR 27872, July 3, 1989; 61 FR 64268, Dec. 4, 1996]



Sec. 60.52  Termination of license.

    (a) Following permanent closure and the decontamination or 
dismantlement of surface facilities, DOE may apply for an amendment to 
terminate the license.
    (b) Such application shall be filed, and will be reviewed, in 
accordance with the provisions of Sec. 60.45 and this section.
    (c) A license shall be terminated only when the Commission finds 
with respect to the geologic repository:
    (1) That the final disposition of radioactive wastes has been made 
in conformance with the DOE's plan, as amended and approved as part of 
the license.
    (2) That the final state of the geologic repository operations area 
conforms to DOE's plans for permanent closure and DOE's plans for the 
decontamination or dismantlement of surface facilities, as amended and 
approved as part of the license.
    (3) That the termination of the license is authorized by law, 
including sections 57, 62, and 81 of the Atomic Energy Act, as amended.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28222, June 21, 1983]



Subpart C--Participation by State Governments and Affected Indian Tribes

    Source: 51 FR 27164, July 30, 1986, unless otherwise noted.



Sec. 60.61  Provision of information.

    (a) The Director shall provide to the Governor and legislature of 
any State in which a geologic repository operations area is or may be 
located, and to the governing body of any affected Indian Tribe, timely 
and complete information regarding determinations or plans made by the 
Commission with respect to the site characterization, siting, 
development, design, licensing, construction, operation, regulation, 
permanent closure, or decontamination and dismantlement of surface 
facilities, of such geologic repository operations area.
    (b) For purposes of this section, a geologic repository operations 
area shall be considered to be one which ``may be located'' in a State 
if the location thereof in such State has been described in a site 
characterization plan submitted to the Commission under this part.
    (c) Notwithstanding paragraph (a) of this section, the Director is 
not required to distribute any document to any entity if, with respect 
to such document, that entity or its counsel is included on a service 
list prepared pursuant to part 2 of this chapter.
    (d) Copies of all communications by the Director under this section 
are available at the NRC Web site, http://www.nrc.gov, and/or at the NRC 
Public Document Room, and copies are furnished to DOE.

[51 FR 27164, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]



Sec. 60.62  Site review.

    (a) Whenever an area has been approved by the President for site 
characterization, and upon request of a State or an affected Indian 
Tribe, the Director shall make NRC staff available to consult with 
representatives of such States and Tribes.
    (b) Requests for consultation shall be made in writing to the 
Director.

[[Page 137]]

    (c) Consultation under this section may include:
    (1) Keeping the parties informed of the Director's views on the 
progress of site characterization.
    (2) Review of applicable NRC regulations, licensing procedures, 
schedules, and opportunities for State and Tribe participation in the 
Commission's regulatory activities.
    (3) Cooperation in development of proposals for State and Tribe 
participation in license reviews.



Sec. 60.63  Participation in license reviews.

    (a) State and local governments and affected Indian Tribes may 
participate in license reviews as provided in subpart G of part 2 of 
this chapter. A State in which a repository for high-level radioactive 
waste is proposed to be located and any affected Indian Tribe shall have 
an unquestionable legal right to participate as a party in such 
proceedings.
    (b) In addition, whenever an area has been approved by the President 
for site characterization, a State or an affected Indian Tribe may 
submit to the Director a proposal to facilitate its participation in the 
review of a site characterization plan and/or license application. The 
proposal may be submitted at any time and must contain a description and 
schedule of how the State or affected Indian Tribe wishes to participate 
in the review, or what services or activities the State or affected 
Indian Tribe wishes NRC to carry out, and how the services or activities 
proposed to be carried out by NRC would contribute to such 
participation. The proposal may include educational or information 
services (seminars, public meetings) or other actions on the part of 
NRC, such as employment or exchange of State personnel under the 
Intergovernmental Personnel Act.
    (c) The Director shall arrange for a meeting between the 
representatives of the State or affected Indian Tribe and the NRC staff 
to discuss any proposal submitted under paragraph (b) of this section, 
with a view to identifying any modifications that may contribute to the 
effective participation by such State or Tribe.
    (d) Subject to the availability of funds, the Director shall approve 
all or any part of a proposal, as it may be modified through the meeting 
described above, if it is determined that:
    (1) The proposed activities are suitable in light of the type and 
magnitude of impacts which the State or affected Indian Tribe may bear;
    (2) The proposed activities:
    (i) Will enhance communications between NRC and the State or 
affected Indian Tribe;
    (ii) Will make a productive and timely contribution to the review; 
and
    (iii) Are authorized by law.
    (e) The Director will advise the State or affected Indian Tribe 
whether its proposal has been accepted or denied, and if all or any part 
of proposal is denied, the Director shall state the reason for the 
denial.
    (f) Proposals submitted under this section, and responses thereto, 
shall be made available at the NRC Web site, http://www.nrc.gov, and/or 
at the NRC Public Document Room.

[51 FR 27164, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]



Sec. 60.64  Notice to States.

    If the Governor and legislature of a State have jointly designated 
on their behalf a single person or entity to receive notice and 
information from the Commission under this part, the Commission will 
provide such notice and information to the jointly designated person or 
entity instead of the Governor and legislature separately.



Sec. 60.65  Representation.

    Any person who acts under this subpart as a representative for a 
State (or for the Governor or legislature thereof) or for an affected 
Indian Tribe shall include in the request or other submission, or at the 
request of the Commission, a statement of the basis of his or her 
authority to act in such representative capacity.



           Subpart D--Records, Reports, Tests, and Inspections



Sec. 60.71  Records and reports.

    (a) DOE shall maintain such records and make such reports in 
connection

[[Page 138]]

with the licensed activity as may be required by the conditions of the 
license or by rules, regulations, and orders of the Commission as 
authorized by the Atomic Energy Act and the Energy Reorganization Act.
    (b) Records of the receipt, handling, and disposition of radioactive 
waste at a geologic repository operations area shall contain sufficient 
information to provide a complete history of the movement of the waste 
from the shipper through all phases of storage and disposal. DOE shall 
retain these records in a manner that ensures their useability for 
future generations in accordance with Sec. 60.51(a)(2).

[48 FR 28222, June 21, 1983, as amended at 53 FR 19251, May 27, 1988]



Sec. 60.72  Construction records.

    (a) DOE shall maintain records of construction of the geologic 
repository operations area in a manner that ensures their useability for 
future generations in accordance with Sec. 60.51(a)(2).
    (b) The records required under paragraph (a) shall include at least 
the following:
    (1) Surveys of the underground facility excavations, shafts, and 
boreholes referenced to readily identifiable surface features or 
monuments;
    (2) A description of the materials encountered;
    (3) Geologic maps and geologic cross sections;
    (4) Locations and amount of seepage;
    (5) Details of equipment, methods, progress, and sequence of work;
    (6) Construction problems;
    (7) Anomalous conditions encountered;
    (8) Instrument locations, readings, and analysis;
    (9) Location and description of structural support systems;
    (10) Location and description of dewatering systems; and
    (11) Details, methods of emplacement, and location of seals used.

[48 FR 28222, June 21, 1983, as amended at 53 FR 19251, May 27, 1988]



Sec. 60.73  Reports of deficiencies.

    DOE shall promptly notify the Commission of each deficiency found in 
the characteristics of the site, and design and construction of the 
geologic repository operations area which, were it to remain 
uncorrected, could: (a) Be a substantial safety hazard, (b) represent a 
significant deviation from the design criteria and design bases stated 
in the application, or (c) represent a deviation from the conditions 
stated in the terms of a construction authorization or the license, 
including license specifications. The notification shall be in the form 
of a written report, copies of which shall be sent to the Director and 
to the appropriate Nuclear Regulatory Commission Regional Office listed 
in appendix D of part 20 of this chapter.

[48 FR 28222, June 21, 1983]



Sec. 60.74  Tests.

    (a) DOE 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. These may include tests 
of:
    (1) Radioactive waste,
    (2) The geologic repository including its structures, systems, and 
components,
    (3) Radiation detection and monitoring instruments, and
    (4) Other equipment and devices used in connection with the receipt, 
handling, or storage of radioactive waste.
    (b) The tests required under this section shall include a 
performance confirmation program carried out in accordance with subpart 
F of this part.

[48 FR 28222, June 21, 1983]



Sec. 60.75  Inspections.

    (a) DOE shall allow the Commission to inspect the premises of the 
geologic repository operations area and adjacent areas to which DOE has 
rights of access.
    (b) DOE shall make available to the Commission for inspection, upon 
reasonable notice, records kept by DOE pertaining to activities under 
this part.
    (c)(1) DOE shall upon requests by the Director, Office of Nuclear 
Material Safety and Safeguards, 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 DOE. The office shall be

[[Page 139]]

convenient to and have full access to the facility and shall provide the 
inspector both visual and acoustic privacy.
    (2) 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 geologic 
repository operations area. A space of 250 square feet either within the 
geologic repository operations area's office complex or in an office 
trailer or other onsite space at the geologic repository operations area 
is suggested as a guide. For locations at which activities are carried 
out under licenses issued under other parts of this chapter, additional 
space may be requested to accomodate additional full-time inspectors. 
The Office space that is provided shall be subject to the approval of 
the Director, Office of Nuclear Material Safety and Safeguards. All 
furniture, supplies and communication equipment will be furnished by the 
Commission.
    (3) DOE shall afford any NRC resident inspector assigned to that 
location, or other NRC inspectors identified by the Regional 
Administrator as likely to inspect the facility, immediate unfettered 
access, equivalent to access provided regular employees, following 
proper identification and compliance with applicable access control 
measures for security, radiological protection and personal safety.

[48 FR 28222, June 21, 1983, as amended at 52 FR 31612, Aug. 21, 1987]



Sec. 60.78  Material control and accounting records and reports.

    DOE shall implement a program of material control and accounting 
(and accidental criticality reporting) that is the same as that 
specified in Secs. 72.72, 72.74, 72.76, and 72.78 of this chapter.

[63 FR 26961, May 15, 1998]



                      Subpart E--Technical Criteria

    Source: 48 FR 28222, June 21, 1983, unless otherwise noted.



Sec. 60.101  Purpose and nature of findings.

    (a)(1) Subpart B of this part prescribes the standards for issuance 
of a license to receive and possess source, special nuclear, or 
byproduct material at a geologic repository operations area. In 
particular, Sec. 60.41(c) requires a finding that the issuance of a 
license will not constitute an unreasonable risk to the health and 
safety of the public. The purpose of this subpart is to set out 
performance objectives and site and design criteria which, if satisfied, 
will support such a finding of no unreasonable risk.
    (2) While these performance objectives and criteria are generally 
stated in unqualified terms, it is not expected that complete assurance 
that they will be met can be presented. A reasonable assurance, on the 
basis of the record before the Commission, that the objectives and 
criteria will be met is the general standard that is required. For 
Sec. 60.112, and other portions of this subpart that impose objectives 
and criteria for repository performance over long times into the future, 
there will inevitably be greater uncertainties. Proof of the future 
performance of engineered barrier systems and the geologic setting over 
time periods of many hundreds or many thousands of years is not to be 
had in the ordinary sense of the word. For such long-term objectives and 
criteria, what is required is reasonable assurance, making allowance for 
the time period, hazards, and uncertainties involved, that the outcome 
will be in conformance with those objectives and criteria. Demonstration 
of compliance with such objectives and criteria will involve the use of 
data from accelerated tests and predictive models that are supported by 
such measures as field and laboratory tests, monitoring data and natural 
analog studies.
    (b) Subpart B of this part also lists findings that must be made in 
support of an authorization to construct a geologic repository 
operations area. In particular, Sec. 60.31(a) requires a finding that 
there is reasonable assurance that the types and amounts of radioactive 
materials described in the application can be received, possessed, and 
disposed

[[Page 140]]

of in a geologic repository operations area of the design proposed 
without unreasonable risk to the health and safety of the public. As 
stated in that paragraph, in arriving at this determination, the 
Commission will consider whether the site and design comply with the 
criteria contained in this subpart. Once again, while the criteria may 
be written in unqualified terms, the demonstration of compliance may 
take uncertainties and gaps in knowledge into account, provided that the 
Commission can make the specified finding of reasonable assurance as 
specified in paragraph (a) of this section.



Sec. 60.102  Concepts.

    This section provides a functional overview of subpart E. In the 
event of any inconsistency with definitions found in Sec. 60.2, those 
definitions shall prevail.
    (a) The HLW facility. NRC exercises licensing and related regulatory 
authority over those facilities described in section 202 (3) and (4) of 
the Energy Reorganization Act of 1974. Any of these facilities is 
designated a HLW facility.
    (b) The geologic repository operations area. (1) This part deals 
with the exercise of authority with respect to a particular class of HLW 
facility--namely a geologic repository operations area.
    (2) A geologic repository operations area consists of those surface 
and subsurface areas that are part of a geologic repository where 
radioactive waste handling activities are conducted. The underground 
structure, including openings and backfill materials, but excluding 
shafts, boreholes, and their seals, is designated the underground 
facility.
    (3) The exercise of Commission authority requires that the geologic 
repository operations area be used for storage (which includes disposal) 
of high-level radioactive wastes (HLW).
    (4) HLW includes irradiated reactor fuel as well as reprocessing 
wastes. However, if DOE proposes to use the geologic repository 
operations area for storage of radioactive waste other than HLW, the 
storage of this radioactive waste is subject to the requirements of this 
part.
    (c) Areas related to isolation. Although the activities subject to 
regulation under this part are those to be carried out at the geologic 
repository operations area, the licensing process also considers 
characteristics of adjacent areas that are defined in other ways. There 
is to be an area surrounding the underground facility referred to above, 
which is designated the postclosure controlled area, within which DOE is 
to exercise specified controls to prevent adverse human actions 
following permanent closure. The location of the controlled area is the 
site. The accessible environment is the atmosphere, land surface, 
surface water, oceans, and the portion of the lithosphere that is 
outside the controlled area. There is an area, designated the geologic 
setting, which includes the geologic, hydrologic, and geochemical 
systems of the region in which a geologic repository operations area is 
or may be located. The geologic repository operations area plus the 
portion of the geologic setting that provides isolation of the 
radioactive waste make up the geologic repository.
    (d) Stages in the licensing process. There are several stages in the 
licensing process. The site characterization stage, though begun before 
submission of a license application, may result in consequences 
requiring evaluation in the license review. The construction stage would 
follow, after issuance of a construction authorization. A period of 
operations follows the issuance of a license by the Commission. The 
period of operations includes the time during which emplacement of 
wastes occurs; any subsequent period before permanent closure during 
which the emplaced wastes are retrievable; and permanent closure, which 
includes sealing of shafts. Permanent closure represents the end of 
active human intervention with respect to the engineered barrier system.
    (e) Isolation of waste. (1) During the first several hundred years 
following permanent closure of a geologic repository, when radiation and 
thermal levels are high and the uncertainties in assessing repository 
performance are large, special emphasis is placed upon the ability to 
contain the wastes by waste packages within an engineered

[[Page 141]]

barrier system. This is known as the containment period. The engineered 
barrier system includes the waste packages and the underground facility. 
A waste package is composed of the waste form and any containers, 
shielding, packing, and absorbent materials immediately surrounding an 
individual waste container. The underground facility means the 
underground structure, including openings and backfill materials, but 
excluding, shafts, boreholes, and their seals.
    (2) Following the containment period special emphasis is placed upon 
the ability to achieve isolation of the wastes by virtue of the 
characteristics of the geologic repository. The engineered barrier 
system works to control the release of radioactive material to the 
geologic setting and the geologic setting works to control the release 
of radioactive material to the accessible environment. Isolation means 
inhibiting the transport of radioactive material so that amounts and 
concentrations of the materials entering the accessible environment will 
be kept within prescribed limits.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64268, Dec. 4, 1996]

                         Performance Objectives



Sec. 60.111  Performance of the geologic repository operations area through permanent closure.

    (a) Protection against radiation exposures and releases of 
radioactive material. The geologic repository operations area shall be 
designed so that until permanent closure has been completed, radiation 
exposures and radiation levels, and releases of radioactive materials to 
unrestricted areas, will be maintained within the limits specified in 
part 20 of this chapter and such generally applicable environmental 
standards for radioactivity as may have been established by the 
Environmental Protection Agency.
    (b) Retrievability of waste. (1) The geologic repository operations 
area shall be designed to preserve the option of waste retrieval 
throughout the period during which wastes are being emplaced and, 
thereafter, until the completion of a preformance confirmation program 
and Commission review of the information obtained from such a program. 
To satisfy this objective, the geologic repository operations area shall 
be designed so that any or all of the emplaced waste could be retrieved 
on a reasonable schedule starting at any time up to 50 years after waste 
emplacement operations are initiated, unless a different time period is 
approved or specified by the Commission. This different time period may 
be established on a case-by-case basis consistent with the emplacement 
schedule and the planned performance confirmation program.
    (2) This requirement shall not preclude decisions by the Commission 
to allow backfilling part or all of, or permanent closure of, the 
geologic repository operations area prior to the end of the period of 
design for retrievability.
    (3) For purposes of this paragraph, a reasonable schedule for 
retrieval is one that would permit retrieval in about the same time as 
that devoted to construction of the geologic repository operations area 
and the emplacement of wastes.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64268, Dec. 4, 1996; 62 
FR 59276, Nov. 3, 1997]



Sec. 60.112  Overall system performance objective for the geologic repository after permanent closure.

    The geologic setting shall be selected and the engineered barrier 
system and the shafts, boreholes and their seals shall be designed to 
assure that releases of radioactive materials to the accessible 
environment following permanent closure conform to such generally 
applicable environmental standards for radioactivity as may have been 
established by the Environmental Protection Agency with respect to both 
anticipated processes and events and unanticipated processes and events.



Sec. 60.113  Performance of particular barriers after permanent closure.

    (a) General provisions--(1) Engineered barrier system. (i) The 
engineered barrier system shall be designed so that assuming anticipated 
processes and events: (A) Containment of HLW will be substantially 
complete during the

[[Page 142]]

period when radiation and thermal conditions in the engineered barrier 
system are dominated by fission product decay; and (B) any release of 
radionuclides from the engineered barrier system shall be a gradual 
process which results in small fractional releases to the geologic 
setting over long times. For disposal in the saturated zone, both the 
partial and complete filling with groundwater of available void spaces 
in the underground facility shall be appropriately considered and 
analysed among the anticipated processes and events in designing the 
engineered barrier system.
    (ii) In satisfying the preceding requirement, the engineered barrier 
system shall be designed, assuming anticipated processes and events, so 
that:
    (A) Containment of HLW within the waste packages will be 
substantially complete for a period to be determined by the Commission 
taking into account the factors specified in Sec. 60.113(b) provided, 
that such period shall be not less than 300 years nor more than 1,000 
years after permanent closure of the geologic repository; and
    (B) The release rate of any radionuclide from the engineered barrier 
system following the containment period shall not exceed one part in 
100,000 per year of the inventory of that radionuclide calculated to be 
present at 1,000 years following permanent closure, or such other 
fraction of the inventory as may be approved or specified by the 
Commission; provided, that this requirement does not apply to any 
radionuclide which is released at a rate less than 0.1% of the 
calculated total release rate limit. The calculated total release rate 
limit shall be taken to be one part in 100,000 per year of the inventory 
of radioactive waste, originally emplaced in the underground facility, 
that remains after 1,000 years of radioactive decay.
    (2) Geologic setting. The geologic repository shall be located so 
that pre-waste-emplacement groundwater travel time along the fastest 
path of likely radionuclide travel from the disturbed zone to the 
accessible environment shall be at least 1,000 years or such other 
travel time as may be approved or specified by the Commission.
    (b) On a case-by-case basis, the Commission may approve or specify 
some other radionuclide release rate, designed containment period or 
pre-waste-emplacement groundwater travel time, provided that the overall 
system performance objective, as it relates to anticipated processes and 
events, is satisfied. Among the factors that the Commission may take 
into account are:
    (1) Any generally applicable environmental standard for 
radioactivity established by the Environmental Protection Agency;
    (2) The age and nature of the waste, and the design of the 
underground facility, particularly as these factors bear upon the time 
during which the thermal pulse is dominated by the decay heat from the 
fission products;
    (3) The geochemical characteristics of the host rock, surrounding 
strata and groundwater; and
    (4) Particular sources of uncertainty in predicting the performance 
of the geologic repository.
    (c) Additional requirements may be found to be necessary to satisfy 
the overall system performance objective as it relates to unanticipated 
processes and events.

                       Land Ownership and Control



Sec. 60.121  Requirements for ownership and control of interests in land.

    (a) Ownership of land. (1) Both the geologic repository operations 
area and the postclosure controlled area shall be located in and on 
lands that are either acquired lands under the jurisdiction and control 
of DOE, or lands permanently withdrawn and reserved for its use.
    (2) These lands shall be held free and clear of all encumbrances, if 
significant, such as: (i) Rights arising under the general mining laws; 
(ii) easements for right-of-way; and (iii) all other rights arising 
under lease, rights of entry, deed, patent, mortgage, appropriation, 
prescription, or otherwise.
    (b) Additional controls. Appropriate controls shall be established 
outside of the postclosure controlled area. DOE shall exercise any 
jurisdiction and control over surface and subsurface estates necessary 
to prevent adverse human

[[Page 143]]

actions that could significantly reduce the geologic repository's 
ability to achieve isolation. The rights of DOE may take the form of 
appropriate possessory interests, servitudes, or withdrawals from 
location or patent under the general mining laws.
    (c) Water rights. (1) DOE shall also have obtained such water rights 
as may be needed to accomplish the purpose of the geologic repository 
operations area.
    (2) Water rights are included in the additional controls to be 
established under paragraph (b) of this section.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64268, Dec. 4, 1996]

                             Siting Criteria



Sec. 60.122  Siting criteria.

    (a)(1) A geologic setting shall exhibit an appropriate combination 
of the conditions specified in paragraph (b) of this section so that, 
together with the engineered barriers system, the favorable conditions 
present are sufficient to provide reasonable assurance that the 
performance objectives relating to isolation of the waste will be met.
    (2) If any of the potentially adverse conditions specified in 
paragraph (c) of this section is present, it may compromise the ability 
of the geologic repository to meet the performance objectives relating 
to isolation of the waste. In order to show that a potentially adverse 
condition does not so compromise the performance of the geologic 
repository the following must be demonstrated:
    (i) The potentially adverse human activity or natural condition has 
been adequately investigated, including the extent to which the 
condition may be present and still be undetected taking into account the 
degree of resolution achieved by the investigations; and
    (ii) The effect of the potentially adverse human activity or natural 
condition on the site has been adequately evaluated using analyses which 
are sensitive to the potentially adverse human activity or natural 
condition and assumptions which are not likely to underestimate its 
effect; and
    (iii)(A) The potentially adverse human activity or natural condition 
is shown by analysis pursuant to paragraph (a)(2)(ii) of this section 
not to affect significantly the ability of the geologic repository to 
meet the performance objectives relating to isolation of the waste, or
    (B) The effect of the potentially adverse human activity or natural 
condition is compensated by the presence of a combination of the 
favorable characteristics so that the performance objectives relating to 
isolation of the waste are met, or
    (C) The potentially adverse human activity or natural condition can 
be remedied.
    (b) Favorable conditions. (1) The nature and rates of tectonic, 
hydrogeologic, geochemical, and geomorphic processes (or any of such 
processes) operating within the geologic setting during the Quaternary 
Period, when projected, would not affect or would favorably affect the 
ability of the geologic repository to isolate the waste.
    (2) For disposal in the saturated zone, hydrogeologic conditions 
that provide:
    (i) A host rock with low horizontal and vertical permeability;
    (ii) Downward or dominantly horizontal hydraulic gradient in the 
host rock and immediately surrounding hydrogeologic units; and
    (iii) Low vertical permeability and low hydraulic gradient between 
the host rock and the surrounding hydrogeologic units.
    (3) Geochemical conditions that:
    (i) Promote precipitation or sorption of radionuclides;
    (ii) Inhibit the formation of particulates, colloids, and inorganic 
and organic complexes that increase the mobility of radionuclides; or
    (iii) Inhibit the transport of radionuclides by particulates, 
colloids, and complexes.
    (4) Mineral assemblages that, when subjected to anticipated thermal 
loading, will remain unaltered or alter to mineral assemblages having 
equal or increased capacity to inhibit radionuclide migration.
    (5) Conditions that permit the emplacement of waste at a minimum 
depth of 300 meters from the ground surface. (The ground surface shall 
be

[[Page 144]]

deemed to be the elevation of the lowest point on the surface above the 
disturbed zone.)
    (6) A low population density within the geologic setting and a 
postclosure controlled area that is remote from population centers.
    (7) Pre-waste-emplacement groundwater travel time along the fastest 
path of likely radionuclide travel from the disturbed zone to the 
accessible environment that substantially exceeds 1,000 years.
    (8) For disposal in the unsaturated zone, hydrogeologic conditions 
that provide--
    (i) Low moisture flux in the host rock and in the overlying and 
underlying hydrogeologic units;
    (ii) A water table sufficiently below the underground facility such 
that fully saturated voids contiguous with the water table do not 
encounter the underground facility;
    (iii) A laterally extensive low-permeability hydrogeologic unit 
above the host rock that would inhibit the downward movement of water or 
divert downward moving water to a location beyond the limits of the 
underground facility;
    (iv) A host rock that provides for free drainage; or
    (v) A climatic regime in which the average annual historic 
precipitation is a small percentage of the average annual potential 
evapotranspiration.
    (c) Potentially adverse conditions. The following conditions are 
potentially adverse conditions if they are characteristic of the 
postclosure controlled area or may affect isolation within the 
controlled area.
    (1) Potential for flooding of the underground facility, whether 
resulting from the occupancy and modification of floodplains or from the 
failure of existing or planned man-made surface water impoundments.
    (2) Potential for foreseeable human activity to adversely affect the 
groundwater flow system, such as groundwater withdrawal, extensive 
irrigation, subsurface injection of fluids, underground pumped storage, 
military activity or construction of large scale surface water 
impoundments.
    (3) Potential for natural phenomena such as landslides, subsidence, 
or volcanic activity of such a magnitude that large-scale surface water 
impoundments could be created that could change the regional groundwater 
flow system and thereby adversely affect the performance of the geologic 
repository.
    (4) Structural deformation, such as uplift, subsidence, folding, or 
faulting that may adversely affect the regional groundwater flow system.
    (5) Potential for changes in hydrologic conditions that would affect 
the migration of radionuclides to the accessible environment, such as 
changes in hydraulic gradient, average interstitial velocity, storage 
coefficient, hydraulic conductivity, natural recharge, potentiometric 
levels, and discharge points.
    (6) Potential for changes in hydrologic conditions resulting from 
reasonably foreseeable climatic changes.
    (7) Groundwater conditions in the host rock, including chemical 
composition, high ionic strength or ranges of Eh-pH, that could increase 
the solubility or chemical reactivity of the engineered barrier system.
    (8) Geochemical processes that would reduce sorption of 
radionuclides, result in degradation of the rock strength, or adversely 
affect the performance of the engineered barrier system.
    (9) Groundwater conditions in the host rock that are not reducing.
    (10) Evidence of dissolutioning such as breccia pipes, dissolution 
cavities, or brine pockets.
    (11) Structural deformation such as uplift, subsidence, folding, and 
faulting during the Quaternary Period.
    (12) Earthquakes which have occurred historically that if they were 
to be repeated could affect the site significantly.
    (13) Indications, based on correlations of earthquakes with tectonic 
processes and features, that either the frequency of occurrence or 
magnitude of earthquakes may increase.
    (14) More frequent occurrence of earthquakes or earthquakes of 
higher magnitude than is typical of the area in which the geologic 
setting is located.
    (15) Evidence of igneous activity since the start of the Quaternary 
Period.

[[Page 145]]

    (16) Evidence of extreme erosion during the Quaternary Period.
    (17) The presence of naturally occurring materials, whether 
identified or undiscovered, within the site, in such form that:
    (i) Economic extraction is currently feasible or potentially 
feasible during the foreseeable future; or
    (ii) Such materials have greater gross value or net value than the 
average for other areas of similar size that are representative of and 
located within the geologic setting.
    (18) Evidence of subsurface mining for resources within the site.
    (19) Evidence of drilling for any purpose within the site.
    (20) Rock or groundwater conditions that would require complex 
engineering measures in the design and construction of the underground 
facility or in the sealing of boreholes and shafts.
    (21) Geomechanical properties that do not permit design of 
underground opening that will remain stable through permanent closure.
    (22) Potential for the water table to rise sufficiently so as to 
cause saturation of an underground facility located in the unsaturated 
zone.
    (23) Potential for existing or future perched water bodies that may 
saturate portions of the underground facility or provide a faster flow 
path from an underground facility located in the unsaturated zone to the 
accessible environment.
    (24) Potential for the movement of radionuclides in a gaseous state 
through air-filled pore spaces of an unsaturated geologic medium to the 
accessible environment.

[48 FR 28222, June 21, 1983, as amended at 50 FR 29647, July 22, 1985; 
61 FR 64269, Dec. 4, 1996]

       Design Criteria for the Geologic Repository Operations Area



Sec. 60.130  General considerations.

    Pursuant to the provisions of Sec. 60.21(c)(2)(i), an application to 
receive, possess, store, and dispose of high-level radioactive waste in 
the geologic repository operations area must include the principal 
design criteria for a proposed facility. The principal design criteria 
establish the necessary design, fabrication, construction, testing, 
maintenance, and performance requirements for structures, systems, and 
components important to safety and/or important to waste isolation. 
Sections 60.131 through 60.134 specify minimum requirements for the 
principal design criteria for the geologic repository operations area.
    These design criteria are not intended to be exhaustive. However, 
omissions in Secs. 60.131 through 60.134 do not relieve DOE from any 
obligation to provide such features in a specific facility needed to 
achieve the performance objectives.

[61 FR 64269, Dec. 4, 1996]



Sec. 60.131  General design criteria for the geologic repository operations area.

    (a) Radiological protection. The geologic repository operations area 
shall be designed to maintain radiation doses, levels, and 
concentrations of radioactive material in air in restricted areas within 
the limits specified in part 20 of this chapter. Design shall include:
    (1) Means to limit concentrations of radioactive material in air;
    (2) Means to limit the time required to perform work in the vicinity 
of radioactive materials, including, as appropriate, designing equipment 
for ease of repair and replacement and providing adequate space for ease 
of operation;
    (3) Suitable shielding;
    (4) Means to monitor and control the dispersal of radioactive 
contamination;
    (5) Means to control access to high radiation areas or airborne 
radioactivity areas; and
    (6) A radiation alarm system to warn of significant increases in 
radiation levels, concentrations of radioactive material in air, and of 
increased radioactivity released in effluents. The alarm system shall be 
designed with provisions for calibration and for testing its 
operability.
    (b) Protection against design basis events. The structures, systems, 
and components important to safety shall be designed so that they will 
perform their necessary safety functions, assuming occurrence of design 
basis events.

[[Page 146]]

    (c) Protection against dynamic effects of equipment failure and 
similar events. The structures, systems, and components important to 
safety shall be designed to withstand dynamic effects such as missile 
impacts, that could result from equipment failure, and similar events 
and conditions that could lead to loss of their safety functions.
    (d) Protection against fires and explosions. (1) The structures, 
systems, and components important to safety shall be designed to perform 
their safety functions during and after credible fires or explosions in 
the geologic repository operations area.
    (2) To the extent practicable, the geologic repository operations 
area shall be designed to incorporate the use of noncombustible and heat 
resistant materials.
    (3) The geologic repository operations area shall be designed to 
include explosion and fire detection alarm systems and appropriate 
suppression systems with sufficient capacity and capability to reduce 
the adverse effects of fires and explosions on structures, systems, and 
components important to safety.
    (4) The geologic repository operations area shall be designed to 
include means to protect systems, structures, and components important 
to safety against the adverse effects of either the operation or failure 
of the fire suppression systems.
    (e) Emergency capability. (1) The structures, systems, and 
components important to safety shall be designed to maintain control of 
radioactive waste and radioactive effluents, and permit prompt 
termination of operations and evacuation of personnel during an 
emergency.
    (2) The geologic repository operations area shall be designed to 
include onsite facilities and services that ensure a safe and timely 
response to emergency conditions and that facilitate the use of 
available offsite services (such as fire, police, medical, and ambulance 
service) that may aid in recovery from emergencies.
    (f) Utility services. (1) Each utility service system that is 
important to safety shall be designed so that essential safety functions 
can be performed, assuming occurrence of the design basis events.
    (2) The utility services important to safety shall include redundant 
systems to the extent necessary to maintain, with adequate capacity, the 
ability to perform their safety functions.
    (3) Provisions shall be made so that, if there is a loss of the 
primary electric power source or circuit, reliable and timely emergency 
power can be provided to instruments, utility service systems, and 
operating systems, including alarm systems, important to safety.
    (g) Inspection, testing, and maintenance. The structures, systems, 
and components important to safety shall be designed to permit periodic 
inspection, testing, and maintenance, as necessary, to ensure their 
continued functioning and readiness.
    (h) Criticality control. All systems for processing, transporting, 
handling, storage, retrieval, emplacement, and isolation of radioactive 
waste shall be designed to ensure that nuclear criticality is not 
possible unless at least two unlikely, independent, and concurrent or 
sequential changes have occurred in the conditions essential to nuclear 
criticality safety. Each system must be designed for criticality safety 
assuming occurrence of design basis events. The calculated effective 
multiplication factor (keff) must be sufficiently below unity 
to show at least a 5 percent margin, after allowance for the bias in the 
method of calculation and the uncertainty in the experiments used to 
validate the method of calculation.
    (i) Instrumentation and control systems. The design shall include 
provisions for instrumentation and control systems to monitor and 
control the behavior of systems important to safety, assuming occurrence 
of design basis events.
    (j) Compliance with mining regulations. To the extent that DOE is 
not subject to the Federal Mine Safety and Health Act of 1977, as to the 
construction and operation of the geologic repository operations area, 
the design of the geologic repository operations area shall nevertheless 
include provisions for worker protection necessary to provide

[[Page 147]]

reasonable assurance that all structures, systems, and components 
important to safety can perform their intended functions. Any deviation 
from relevant design requirements in 30 CFR, chapter I, subchapters D, 
E, and N will give rise to a rebuttable presumption that this 
requirement has not been met.
    (k) Shaft conveyances used in radioactive waste handling. (1) Hoists 
important to safety shall be designed to preclude cage free fall.
    (2) Hoists important to safety shall be designed with a reliable 
cage location system.
    (3) Loading and unloading systems for hoists important to safety 
shall be designed with a reliable system of interlocks that will fail 
safely upon malfunction.
    (4) Hoists important to safety shall be designed to include two 
independent indicators to indicate when waste packages are in place and 
ready for transfer.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64269, Dec. 4, 1996]



Sec. 60.132  Additional design criteria for surface facilities in the geologic repository operations area.

    (a) Facilities for receipt and retrieval of waste. Surface 
facilities in the geologic repository operations area shall be designed 
to allow safe handling and storage of wastes at the geologic repository 
operations area, whether these wastes are on the surface before 
emplacement or as a result of retrieval from the underground facility.
    (b) Surface facility ventilation. Surface facility ventilation 
systems supporting waste transfer, inspection, decontamination, 
processing, or packaging shall be designed to provide protection against 
radiation exposures and offsite releases as provided in Sec. 60.111(a).
    (c) Radiation control and monitoring--(1) Effluent control. The 
surface facilities shall be designed to control the release of 
radioactive materials in effluents during Category 1 design basis events 
so as to meet the performance objectives of Sec. 60.111(a).
    (2) Effluent monitoring. The effluent monitoring systems shall be 
designed to measure the amount and concentration of radionuclides in any 
effluent with sufficient precision to determine whether releases conform 
to the design requirement for effluent control. The monitoring systems 
shall be designed to include alarms that can be periodically tested.
    (d) Waste treatment. Radioactive waste treatment facilities shall be 
designed to process any radioactive wastes generated at the geologic 
repository operations area into a form suitable to permit safe disposal 
at the geologic repository operations area or to permit safe 
transportation and conversion to a form suitable for disposal at an 
alternative site in accordance with any regulations that are applicable.
    (e) Consideration of decommissioning. The surface facility shall be 
designed to facilitate decontamination or dismantlement to the same 
extent as would be required, under other parts of this chapter, with 
respect to equivalent activities licensed thereunder.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64270, Dec. 4, 1996]



Sec. 60.133  Additional design criteria for the underground facility.

    (a) General criteria for the underground facility. (1) The 
orientation, geometry, layout, and depth of the underground facility, 
and the design of any engineered barriers that are part of the 
underground facility shall contribute to the containment and isolation 
of radionuclides.
    (2) The underground facility shall be designed so that the effects 
of credible disruptive events during the period of operations, such as 
flooding, fires and explosions, will not spread through the facility.
    (b) Flexibility of design. The underground facility shall be 
designed with sufficient flexibility to allow adjustments where 
necessary to accommodate specific site conditions identified through in 
situ monitoring, testing, or excavation.
    (c) Retrieval of waste. The underground facility shall be designed 
to permit retrieval of waste in accordance with the performance 
objectives of Sec. 60.111.
    (d) Control of water and gas. The design of the underground facility 
shall provide for control of water or gas intrusion.

[[Page 148]]

    (e) Underground openings. (1) Openings in the underground facility 
shall be designed so that operations can be carried out safely and the 
retrievability option maintained.
    (2) Openings in the underground facility shall be designed to reduce 
the potential for deleterious rock movement or fracturing of overlying 
or surrounding rock.
    (f) Rock excavation. The design of the underground facility shall 
incorporate excavation methods that will limit the potential for 
creating a preferential pathway for groundwater to contact the waste 
packages or radionuclide migration to the accessible environment.
    (g) Underground facility ventilation. The ventilation system shall 
be designed to:
    (1) Control the transport of radioactive particulates and gases 
within and releases from the underground facility in accordance with the 
performance objectives of Sec. 60.111(a),
    (2) Assure the ability to perform essential safety functions 
assuming occurrence of design basis events.
    (3) Separate the ventilation of excavation and waste emplacement 
areas.
    (h) Engineered barriers. Engineered barriers shall be designed to 
assist the geologic setting in meeting the performance objectives for 
the period following permanent closure.
    (i) Thermal loads. The underground facility shall be designed so 
that the performance objectives will be met taking into account the 
predicted thermal and thermomechanical response of the host rock, and 
surrounding strata, groundwater system.

[48 FR 28222, June 21, 1983, as amended at 50 FR 29648, July 22, 1985; 
61 FR 64270, Dec. 4, 1996]



Sec. 60.134  Design of seals for shafts and boreholes.

    (a) General design criterion. Seals for shafts and boreholes shall 
be designed so that following permanent closure they do not become 
pathways that compromise the geologic repository's ability to meet the 
performance objectives or the period following permanent closure.
    (b) Selection of materials and placement methods. Materials and 
placement methods for seals shall be selected to reduce, to the extent 
practicable:
    (1) The potential for creating a preferential pathway for 
groundwater to contact the waste packages or
    (2) For radionuclide migration through existing pathways.

[48 FR 28222, June 21, 1983, as amended at 50 FR 29648, July 22, 1985]

                  Design Criteria for the Waste Package



Sec. 60.135  Criteria for the waste package and its components.

    (a) High-level-waste package design in general. (1) Packages for HLW 
shall be designed so that the in situ chemical, physical, and nuclear 
properties of the waste package and its interactions with the 
emplacement environment do not compromise the function of the waste 
packages or the performance of the underground facility or the geologic 
setting.
    (2) The design shall include but not be limited to consideration of 
the following factors: solubility, oxidation/reduction reactions, 
corrosion, hydriding, gas generation, thermal effects, mechanical 
strength, mechanical stress, radiolysis, radiation damage, radionuclide 
retardation, leaching, fire and explosion hazards, thermal loads, and 
synergistic interactions.
    (b) Specific criteria for HLW package design--(1) Explosive, 
pyrophoric, and chemically reactive materials. The waste package shall 
not contain explosive or pyrophoric materials or chemically reactive 
materials in an amount that could compromise the ability of the 
underground facility to contribute to waste isolation or the ability of 
the geologic repository to satisfy the performance objectives.
    (2) Free liquids. The waste package shall not contain free liquids 
in an amount that could compromise the ability of the waste packages to 
achieve the performance objectives relating to containment of HLW 
(because of chemical interactions or formation of pressurized vapor) or 
result in spillage and spread of contamination in the event of waste 
package perforation during the period through permanent closure.

[[Page 149]]

    (3) Handling. Waste packages shall be designed to maintain waste 
containment during transportation, emplacement, and retrieval.
    (4) Unique identification. A label or other means of identification 
shall be provided for each waste package. The identification shall not 
impair the integrity of the waste package and shall be applied in such a 
way that the information shall be legible at least to the end of the 
period of retrievability. Each waste package identification shall be 
consistent with the waste package's permanent written records.
    (c) Waste form criteria for HLW. High-level radioactive waste that 
is emplaced in the underground facility shall be designed to meet the 
following criteria:
    (1) Solidification. All such radioactive wastes shall be in solid 
form and placed in sealed containers.
    (2) Consolidation. Particulate waste forms shall be consolidated 
(for example, by incorporation into an encapsulating matrix) to limit 
the availability and generation of particulates.
    (3) Combustibles. All combustible radioactive wastes shall be 
reduced to a noncombustible form unless it can be demonstrated that a 
fire involving the waste packages containing combustibles will not 
compromise the integrity of other waste packages, adversely affect any 
structures, systems, or components important to safety, or compromise 
the ability of the underground facility to contribute to waste 
isolation.
    (d) Design criteria for other radioactive wastes. Design criteria 
for waste types other than HLW will be addressed on an individual basis 
if and when they are proposed for disposal in a geologic repository.

                       Preclosure Controlled Area



Sec. 60.136  Preclosure controlled area.

    (a) A preclosure controlled area must be established for the 
geologic repository operations area.
    (b) The geologic repository operations area shall be designed so 
that, for Category 2 design basis events, no individual located on or 
beyond any point on the boundary of the preclosure controlled area will 
receive the more limiting of a total effective dose equivalent of 0.05 
Sv (5 rem), or 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) of 0.5 Sv (50 rem). The eye dose equivalent shall not exceed 
0.15 Sv (15 rem), and the shallow dose equivalent to skin shall not 
exceed 0.5 Sv (50 rem). The minimum distance from the surface facilities 
in the geologic repository operations area to the boundary of the 
preclosure controlled area must be at least 100 meters.
    (c) The preclosure controlled area may be traversed by a highway, 
railroad, or waterway, so long as appropriate and effective arrangements 
are made to control traffic and to protect public health and safety.

[61 FR 64270, Dec. 4, 1996]

                  Performance Confirmation Requirements



Sec. 60.137  General requirements for performance confirmation.

    The geologic repository operations area shall be designed so as to 
permit implementation of a performance confirmation program that meets 
the requirements of subpart F of this part.



               Subpart F--Performance Confirmation Program

    Source: 48 FR 28228, June 21, 1983, unless otherwise noted.



Sec. 60.140  General requirements.

    (a) The performance confirmation program shall provide data which 
indicates, where practicable, whether:
    (1) Actual subsurface conditions encountered and changes in those 
conditions during construction and waste emplacement operations are 
within the limits assumed in the licensing review; and
    (2) Natural and engineered systems and components required for 
repository operation, or which are designed or assumed to operate as 
barriers after permanent closure, are functioning as intended and 
anticipated.
    (b) The program shall have been started during site characterization

[[Page 150]]

and it will continue until permanent closure.
    (c) The program shall include in situ monitoring, laboratory and 
field testing, and in situ experiments, as may be appropriate to 
accomplish the objective as stated above.
    (d) The program shall be implemented so that:
    (1) It does not adversely affect the ability of the natural and 
engineered elements of the geologic repository to meet the performance 
objectives.
    (2) It provides baseline information and analysis of that 
information on those parameters and natural processes pertaining to the 
geologic setting that may be changed by site characterization, 
construction, and operational activities.
    (3) It monitors and analyzes changes from the baseline condition of 
parameters that could affect the performance of a geologic repository.
    (4) It provides an established plan for feedback and analysis of 
data, and implementation of appropriate action.



Sec. 60.141  Confirmation of geotechnical and design parameters.

    (a) During repository construction and operation, a continuing 
program of surveillance, measurement, testing, and geologic mapping 
shall be conducted to ensure that geotechnical and design parameters are 
confirmed and to ensure that appropriate action is taken to inform the 
Commission of changes needed in design to accommodate actual field 
conditions encountered.
    (b) Subsurface conditions shall be monitored and evaluated against 
design assumptions.
    (c) As a minimum, measurements shall be made of rock deformations 
and displacement, changes in rock stress and strain, rate and location 
of water inflow into subsurface areas, changes in groundwater 
conditions, rock pore water pressures including those along fractures 
and joints, and the thermal and thermomechanical response of the rock 
mass as a result of development and operations of the geologic 
repository.
    (d) These measurements and observations shall be compared with the 
original design bases and assumptions. If significant differences exist 
between the measurements and observations and the original design bases 
and assumptions, the need for modifications to the design or in 
construction methods shall be determined and these differences and the 
recommended changes reported to the Commission.
    (e) In situ monitoring of the thermomechanical response of the 
underground facility shall be conducted until permanent closure to 
ensure that the performance of the natural and engineering features are 
within design limits.



Sec. 60.142  Design testing.

    (a) During the early or developmental stages of construction, a 
program for in situ testing of such features as borehole and shaft 
seals, backfill, and the thermal interaction effects of the waste 
packages, backfill, rock, and groundwater shall be conducted.
    (b) The testing shall be initiated as early as is practicable.
    (c) A backfill test section shall be constructed to test the 
effectiveness of backfill placement and compaction procedures against 
design requirements before permanent backfill placement is begun.
    (d) Test sections shall be established to test the effectiveness of 
borehole and shaft seals before full-scale operation proceeds to seal 
boreholes and shafts.



Sec. 60.143  Monitoring and testing waste packages.

    (a) A program shall be established at the geologic repository 
operations area for monitoring the condition of the waste packages. 
Waste packages chosen for the program shall be representative of those 
to be emplaced in the underground facility.
    (b) Consistent with safe operation at the geologic repository 
operations area, the environment of the waste packages selected for the 
waste package monitoring program shall be representative of the 
environment in which the wastes are to be emplaced.
    (c) The waste package monitoring program shall include laboratory 
experiments which focus on the internal condition of the waste packages. 
To the extent practical, the environment experienced by the emplaced 
waste

[[Page 151]]

packages within the underground facility during the waste package 
monitoring program shall be duplicated in the laboratory experiments.
    (d) The waste package monitoring program shall continue as long as 
practical up to the time of permanent closure.



                      Subpart G--Quality Assurance

    Source: 48 FR 28228, June 21, 1983, unless otherwise noted.



Sec. 60.150  Scope.

    As used in this part, quality assurance comprises all those planned 
and systematic actions necessary to provide adequate confidence that the 
geologic repository and its subsystems or components 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.



Sec. 60.151  Applicability.

    The quality assurance program applies to all systems, structures and 
components important to safety, to design and characterization of 
barriers important to waste isolation and to activities related thereto. 
These activities include: site characterization, facility and equipment 
construction, facility operation, performance confirmation, permanent 
closure, and decontamination and dismantling of surface facilities.



Sec. 60.152  Implementation.

    DOE shall implement a quality assurance program based on the 
criteria of appendix B of 10 CFR part 50 as applicable, and 
appropriately supplemented by additional criteria as required by 
Sec. 60.151.



           Subpart H--Training and Certification of Personnel

    Source: 48 FR 28229, June 21, 1983, unless otherwise noted.



Sec. 60.160  General requirements.

    Operations of systems and components that have been identified as 
important to safety in the Safety Analysis Report and in the license 
shall be performed only by trained and certified personnel or by 
personnel under the direct visual supervision of an individual with 
training and certification in such operation. Supervisory personnel who 
direct operations that are important to safety must also be certified in 
such operations.



Sec. 60.161  Training and certification program.

    DOE shall establish a program for training, proficiency testing, 
certification and requalification of operating and supervisory 
personnel.



Sec. 60.162  Physical requirements.

    The physical condition and the general health of personnel certified 
for operations that are important to safety shall not be such as might 
cause operational errors that could endanger the public health and 
safety. Any condition which might cause impaired judgment or motor 
coordination must be considered in the selection of personnel for 
activities that are important to safety. These conditions need not 
categorically disqualify a person, so long as appropriate provisions are 
made to accommodate such conditions.

Subpart I--Emergency Planning Criteria [Reserved]



                          Subpart J--Violations



Sec. 60.181  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--

[[Page 152]]

    (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 55076, Nov. 24, 1992]



Sec. 60.183  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 60 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 60 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 60.1, 60.2, 60.3, 60.5, 60.6, 60.7, 60.8, 60.15, 60.16, 60.17, 
60.18, 60.21, 60.22, 60.23, 60.24, 60.31, 60.32, 60.33, 60.41, 60.42, 
60.43, 60.44, 60.45, 60.46, 60.51, 60.52, 60.61, 60.62, 60.63, 60.64, 
60.65, 60.101, 60.102, 60.111, 60.112, 60.113, 60.121, 60.122, 60.130, 
60.131, 60.132, 60.133, 60.134, 60.135, 60.137, 60.140, 60.141, 60.142, 
60.143, 60.150, 60.151, 60.152, 60.162, 60.181, and 60.183.

[57 FR 55076, Nov. 24, 1992]



PART 61--LICENSING REQUIREMENTS FOR LAND DISPOSAL OF RADIOACTIVE WASTE--Table of Contents




                      Subpart A--General Provisions

Sec.
61.1  Purpose and scope.
61.2  Definitions.
61.3  License required.
61.4  Communications.
61.5  Interpretations.
61.6  Exemptions.
61.7  Concepts.
61.8  Information collection requirements: OMB approval.
61.9  Employee protection.
61.9a  Completeness and accuracy of information.
61.9b  Deliberate misconduct.

                           Subpart B--Licenses

61.10  Content of application.
61.11  General information.
61.12  Specific technical information.
61.13  Technical analyses.
61.14  Institutional information.
61.15  Financial information.
61.16  Other information.
61.20  Filing and distribution of application.
61.21  Elimination of repetition.
61.22  Updating of application.
61.23  Standards for issuance of a license.
61.24  Conditions of licenses.
61.25  Changes.
61.26  Amendment of license.
61.27  Application for renewal or closure.
61.28  Contents of application for closure.
61.29  Post-closure observation and maintenance.
61.30  Transfer of license.
61.31  Termination of license.

                    Subpart C--Performance Objectives

61.40  General requirement.
61.41  Protection of the general population from releases of 
          radioactivity.
61.42  Protection of individuals from inadvertent intrusion.
61.43  Protection of individuals during operations.
61.44  Stability of the disposal site after closure.

     Subpart D--Technical Requirements for Land Disposal Facilities

61.50  Disposal site suitability requirements for land disposal.
61.51  Disposal site design for land disposal.
61.52  Land disposal facility operation and disposal site closure.
61.53  Environmental monitoring.
61.54  Alternative requirements for design and operations.
61.55  Waste classification.
61.56  Waste characteristics.
61.57  Labeling.
61.58  Alternative requirements for waste classification and 
          characteristics.
61.59  Institutional requirements.

                     Subpart E--Financial Assurances

61.61  Applicant qualifications and assurances.
61.62  Funding for disposal site closure and stabilization.

[[Page 153]]

61.63  Financial assurances for institutional controls.

     Subpart F--Participation by State Governments and Indian Tribes

61.70  Scope.
61.71  State and Tribal government consultation.
61.72  Filing of proposals for State and Tribal participation.
61.73  Commission approval of proposals.

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

61.80  Maintenance of records, reports, and transfers.
61.81  Tests at land disposal facilities.
61.82  Commission inspections of land disposal facilities.
61.83  Violations.
61.84  Criminal penalties.

    Authority: Secs. 53, 57, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 
930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2073, 2077, 
2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 Stat. 
1244, 1246, (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-601, 92 
Stat. 2951 (42 U.S.C. 2021a and 5851) and Pub. L. 102-486, sec. 2902, 
106 Stat. 3123, (42 U.S.C. 5851).

    Source: 47 FR 57463, Dec. 27, 1982, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 61.1  Purpose and scope.

    (a) The regulations in this part establish, for land disposal of 
radioactive waste, the procedures, criteria, and terms and conditions 
upon which the Commission issues licenses for the disposal of 
radioactive wastes containing byproduct, source and special nuclear 
material received from other persons. Disposal of waste by an individual 
licensee is set forth in part 20 of this chapter. Applicability of the 
requirements in this part to Commission licenses for waste disposal 
facilities in effect on the effective date of this rule will be 
determined on a case-by-case basis and implemented through terms and 
conditions of the license or by orders issued by the Commission.
    (b) Except as provided in part 150 of this chapter, which addresses 
assumption of certain regulatory authority by Agreement States, and 
Sec. 61.6 ``Exemptions,'' the regulations in this part apply to all 
persons in the United States. The regulations in this part do not apply 
to--
    (1) Disposal of high-level waste as provided for in part 60 or 63 of 
this chapter;
    (2) Disposal of uranium or thorium tailings or wastes (byproduct 
material as defined in Sec. 40.4 (a-1) as provided for in part 40 of 
this chapter in quantities greater than 10,000 kilograms and containing 
more than 5 millicuries of radium-226; or
    (3) Disposal of licensed material as provided for in part 20 of this 
chapter.
    (c) This part also gives notice to all persons who knowingly provide 
to any licensee, applicant, contractor, or subcontractor, components, 
equipment, materials, or other goods or services, that relate to a 
licensee's or applicant's activities subject to this part, that they may 
be individually subject to NRC enforcement action for violation of 
Sec. 61.9b.

[47 FR 57463, Dec. 27, 1982, as amended at 56 FR 40690, Aug. 15, 1991; 
63 FR 1898, Jan. 13, 1998; 66 FR 55791, Nov. 2, 2001]



Sec. 61.2  Definitions.

    As used in this part:
    Active maintenance means any significant remedial activity needed 
during the period of institutional control to maintain a reasonable 
assurance that the performance objectives in Secs. 61.41 and 61.42 are 
met. Such active maintenance includes ongoing activities such as the 
pumping and treatment of water from a disposal unit or one-time measures 
such as replacement of a disposal unit cover. Active maintenance does 
not include custodial activities such as repair of fencing, repair or 
replacement of monitoring equipment, revegetation, minor additions to 
soil cover, minor repair of disposal unit covers, and general disposal 
site upkeep such as mowing grass.
    Buffer zone is a portion of the disposal site that is controlled by 
the licensee and that lies under the disposal units and between the 
disposal units and the boundary of the site.
    Chelating agent means amine polycarboxylic acids (e.g., EDTA, DTPA), 
hydroxy-carboxylic acids, and polycarboxylic acids (e.g., citric acid, 
carbolic acid, and glucinic acid).

[[Page 154]]

    Commencement of construction means any clearing of land, excavation, 
or other substantial action that would adversely affect the environment 
of a land disposal facility. The term does not mean disposal site 
exploration, necessary roads for disposal site exploration, borings to 
determine foundation conditions, or other preconstruction monitoring or 
testing to establish background information related to the suitability 
of the disposal site or the protection of environmental values.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Custodial Agency means an agency of the government designated to act 
on behalf of the government owner of the disposal site.
    Director means the Director, Office of Nuclear Material Safety and 
Safeguards, U. S. Nuclear Regulatory Commission.
    Disposal means the isolation of radioactive wastes from the 
biosphere inhabited by man and containing his food chains by emplacement 
in a land disposal facility.
    Disposal site means that portion of a land disposal facility which 
is used for disposal of waste. It consists of disposal units and a 
buffer zone.
    Disposal unit means a discrete portion of the disposal site into 
which waste is placed for disposal. For near-surface disposal the unit 
is usually a trench.
    Engineered barrier means a man-made structure or device that is 
intended to improve the land disposal facility's ability to meet the 
performance objectives in subpart C.
    Explosive material means any chemical compound, mixture, or device, 
which produces a substantial instantaneous release of gas and heat 
spontaneously or by contact with sparks or flame.
    Government agency means any executive department, commission, 
independent establishment, or 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.
    Hazardous waste means those wastes designated as hazardous by 
Environmental Protection Agency regulations in 40 CFR part 261.
    Hydrogeologic unit means any soil or rock unit or zone which by 
virtue of its porosity or permeability, or lack thereof, has a distinct 
influence on the storage or movement of groundwater.
    Inadvertent intruder means a person who might occupy the disposal 
site after closure and engage in normal activities, such as agriculture, 
dwelling construction, or other pursuits in which the person might be 
unknowingly exposed to radiation from the waste.
    Indian Tribe means an Indian tribe as defined in the Indian Self-
Determination and Education Assistance Act (25 U.S.C. 450).
    Intruder barrier means a sufficient depth of cover over the waste 
that inhibits contact with waste and helps to ensure that radiation 
exposures to an inadvertent intruder will meet the performance 
objectives set forth in this part, or engineered structures that provide 
equivalent protection to the inadvertent intruder.
    Land disposal facility means the land, building, and structures, and 
equipment which are intended to be used for the disposal of radioactive 
wastes. For purposes of this chapter, a ``geologic repository'' as 
defined in part 60 or 63 is not considered a land disposal facility.
    License means a license issued under the regulations in part 61 of 
this chapter. Licensee means the holder of such a license.
    Monitoring means observing and making measurements to provide data 
to evaluate the performance and characteristics of the disposal site.
    Near-surface disposal facility means a land disposal facility in 
which radioactive waste is disposed of in or within the upper 30 meters 
of the earth's surface.
    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 
(except that the Department of Energy is considered a

[[Page 155]]

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 law), 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.
    Pyrophoric liquid means any liquid that ignites spontaneously in dry 
or moist air at or below 130 deg.F (54.5 deg.C). A pyrophoric solid is 
any solid material, other than one classed as an explosive, which under 
normal conditions is liable to cause fires through friction, retained 
heat from manufacturing or processing, or which can be ignited readily 
and when ignited burns so vigorously and persistently as to create a 
serious transportation, handling, or disposal hazard. Included are 
spontaneously combustible and water-reactive materials.
    Site closure and stablization means those actions that are taken 
upon completion of operations that prepare the disposal site for 
custodial care and that assure that the disposal site will remain stable 
and will not need ongoing active maintenance.
    State means any State, Territory, or possession of the United 
States, Puerto Rico, and the District of Columbia.
    Stability means structural stabillity.
    Surveillance means observation of the disposal site for purposes of 
visual detection of need for maintenance, custodial care, evidence of 
intrusion, and compliance with other license and regulatory 
requirements.
    Tribal Governing Body means a Tribal organization as defined in the 
Indian Self-Determination and Education Assistance Act (25 U.S.C. 450).
    Waste means those low-level radioactive wastes containing source, 
special nuclear, or byproduct material that are acceptable for disposal 
in a land disposal facility. For the purposes of this definition, low-
level waste has the same meaning as in the Low-Level Waste Policy Act, 
that is, radioactive waste not classified as high-level radioactive 
waste, transuranic waste, spent nuclear fuel, or byproduct material as 
defined in section 11e.(2) of the Atomic Energy Act (uranium or thorium 
tailings and waste).

[47 FR 57463, Dec. 27, 1982, as amended at 54 FR 22583, May 25, 1989; 58 
FR 33891, June 22, 1993; 66 FR 55792, Nov. 2, 2001]



Sec. 61.3  License required.

    (a) No person may receive, possess, and dispose of radioactive waste 
containing source, special nuclear, or byproduct material at a land 
disposal facility unless authorized by a license issued by the 
Commission pursuant to this part, or unless exemption has been granted 
by the Commission under Sec. 61.6 of this part.
    (b) Each person shall file an application with the Commission and 
obtain a license as provided in this part before commencing construction 
of a land disposal facility. Failure to comply with this requirement may 
be grounds for denial of a license.



Sec. 61.4  Communications.

    Except where otherwise specified, all communications and reports 
concerning the regulations in this part and applications filed under 
them should be addressed to the Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555. Communications, reports, and applications may be delivered in 
person at the Commission's Offices at 2120 L Street NW, Washington, DC, 
or 11555 Rockville Pike, Rockville, MD.

[53 FR 4111, Feb. 12, 1988, as amended at 53 FR 43421, Oct. 27, 1988]



Sec. 61.5  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 considered binding upon 
the Commission.



Sec. 61.6  Exemptions.

    The Commission may, upon application by any interested person, or 
upon its own initiative, grant any exemption

[[Page 156]]

from the requirements of the regulations in this part as it determines 
is authorized by law, will not endanger life or property or the common 
defense and security, and is otherwise in the public interest.



Sec. 61.7  Concepts.

    (a) The disposal facility. (1) Part 61 is intended to apply to land 
disposal of radioactive waste and not to other methods such as sea or 
extraterrestrial disposal. Part 61 contains procedural requirements and 
performance objectives applicable to any method of land disposal. It 
contains specific technical requirements for near-surface disposal of 
radioactive waste, a subset of land disposal, which involves disposal in 
the uppermost portion of the earth, approximately 30 meters. Near-
surface disposal includes disposal in engineered facilities which may be 
built totally or partially above-grade provided that such facilities 
have protective earthen covers. Near-surface disposal does not include 
disposal facilities which are partially or fully above-grade with no 
protective earthen cover, which are referred to as ``above-ground 
disposal.'' Burial deeper than 30 meters may also be satisfactory. 
Technical requirements for alternative methods may be added in the 
future.
    (2) Near-surface disposal of radioactive waste takes place at a 
near-surface disposal facility, which includes all of the land and 
buildings necessary to carry out the disposal. The disposal site is that 
portion of the facility which is used for disposal of waste and consists 
of disposal units and a buffer zone. A disposal unit is a discrete 
portion of the disposal site into which waste is placed for disposal. 
For near-surface disposal, the disposal unit is usually a trench. A 
buffer zone is a portion of the disposal site that is controlled by the 
licensee and that lies under the site and between the boundary of the 
disposal site and any disposal unit. It provides controlled space to 
establish monitoring locations which are intended to provide an early 
warning of radionuclide movement, and to take mitigative measures if 
needed. In choosing a disposal site, site characteristics should be 
considered in terms of the indefinite future and evaluated for at least 
a 500-year timeframe.
    (b) Waste classification and near-surface disposal. (1) Disposal of 
radioactive waste in near-surface disposal facilities has the following 
safety objectives: protection of the general population from releases of 
radioactivity, protection of individuals from inadvertent intrusion, and 
protection of individuals during operations. A fourth objective is to 
ensure stability of the site after closure.
    (2) A cornerstone of the system is stability--stability of the waste 
and the disposal site so that once emplaced and covered, the access of 
water to the waste can be minimized. Migration of radionuclides is thus 
minimized, long-term active maintenance can be avoided, and potential 
exposures to intruders reduced. While stability is a desirable 
characteristic for all waste much radioactive waste does not contain 
sufficient amounts of radionuclides to be of great concern from these 
standpoints; this waste, however, tends to be unstable, such as ordinary 
trash type wastes. If mixed with the higher activity waste, their 
deterioration could lead to failure of the system and permit water to 
penetrate the disposal unit and cause problems with the higher activity 
waste. Therefore, in order to avoid placing requirements for a stable 
waste form on relatively innocuous waste, these wastes have been classed 
as Class A waste. The Class A waste will be disposed of in separate 
disposal units at the disposal site. However, Class A waste that is 
stable may be mixed with other classes of waste. Those higher activity 
wastes that should be stable for proper disposal are classed as Class B 
and C waste. To the extent that it is practicable, Class B and C waste 
forms or containers should be designed to be stable, i.e., maintain 
gross physical properties and identity, over 300 years. For certain 
radionuclides prone to migration, a maximum disposal site inventory 
based on the characteristics of the disposal site may be established to 
limit potential exposure.
    (3) It is possible but unlikely that persons might occupy the site 
in the future and engage in normal pursuits

[[Page 157]]

without knowing that they were receiving radiation exposure. These 
persons are referred to as inadvertent intruders. Protection of such 
intruders can involve two principal controls: institutional control over 
the site after operations by the site owner to ensure that no such 
occupation or improper use of the site occurs; or, designating which 
waste could present an unacceptable risk to an intruder, and disposing 
of this waste in a manner that provides some form of intruder barrier 
that is intended to prevent contact with the waste. This regulation 
incorporates both types of protective controls.
    (4) Institutional control of access to the site is required for up 
to 100 years. This permits the disposal of Class A and Class B waste 
without special provisions for intrusion protection, since these classes 
of waste contain types and quantities of radioisotopes that will decay 
during the 100-year period and will present an acceptable hazard to an 
intruder. The government landowner administering the active 
institutional control program has flexibility in controlling site access 
which may include allowing productive uses of the land provided the 
integrity and long-term performance of the site are not affected.
    (5) Waste that will not decay to levels which present an acceptable 
hazard to an intruder within 100 years is designated as Class C waste. 
This waste is disposed of at a greater depth than the other classes of 
waste so that subsequent surface activities by an intruder will not 
disturb the waste. Where site conditions prevent deeper disposal, 
intruder barriers such as concrete covers may be used. The effective 
life of these intruder barriers should be 500 years. A maximum 
concentration of radionuclides is specified for all wastes so that at 
the end of the 500 year period, remaining radioactivity will be at a 
level that does not pose an unacceptable hazard to an intruder or public 
health and safety. Waste with concentrations above these limits is 
generally unacceptable for near-surface disposal. There may be some 
instances where waste with concentrations greater than permitted for 
Class C would be acceptable for near-surface disposal with special 
processing or design. These will be evaluated on a case-by-case basis. 
Class C waste must also be stable.
    (c) The licensing process. (1) During the preoperational phase, the 
potential applicant goes through a process of disposal site selection by 
selecting a region of interest, examining a number of possible disposal 
sites within the area of interest and narrowing the choice to the 
proposed site. Through a detailed investigation of the disposal site 
characteristics the potential applicant obtains data on which to base an 
analysis of the disposal site's suitability. Along with these data and 
analyses, the applicant submits other more general information to the 
Commission in the form of an application for a license for land 
disposal. The Commission's review of the application is in accordance 
with administrative procedures established by rule and may involve 
participation by affected State governments or Indian tribes. While the 
proposed disposal site must be owned by a State or the Federal 
government before the Commission will issue a license, it may be 
privately owned during the preoperational phase if suitable arrangements 
have been made with a State or the Federal government to take ownership 
in fee of the land before the license is issued.
    (2) During the operational phase, the licensee carries out disposal 
activities in accordance with the requirements of this regulation and 
any conditions on the license. Periodically, the authority to conduct 
the above ground operations and dispose of waste will be subject to a 
license renewal, at which time the operating history will be reviewed 
and a decision made to permit or deny continued operation. When disposal 
operations are to cease, the licensee applies for an amendment to his 
license to permit site closure. After final review of the licensee's 
site closure and stabilization plan, the Commission may approve the 
final activities necessary to prepare the disposal site so that ongoing 
active maintenance of the site is not required during the period of 
institutional control.
    (3) During the period when the final site closure and stabilization 
activities are being carried out, the licensee is in a disposal site 
closure phase. Following

[[Page 158]]

that, for a period of 5 years, the licensee must remain at the disposal 
site for a period of post-closure observation and maintenance to assure 
that the disposal site is stable and ready for institutional control. 
The Commission may approve shorter or require longer periods if 
conditions warrant. At the end of this period, the licensee applies for 
a license transfer to the disposal site owner.
    (4) After a finding of satisfactory disposal site closure, the 
Commission will transfer the license to the State or Federal government 
that owns the disposal site. If the Department of Energy is the Federal 
agency administering the land on bahalf of the Federal government the 
license will be terminated because the Commission lacks regulatory 
authority over the Department for this activity. Under the conditions of 
the transferred license, the owner will carry out a program of 
monitoring to assure continued satisfactory disposal site performance, 
physical surveillance to restrict access to the site and carry out minor 
custodial activities. During this period, productive uses of the land 
might be permitted if those uses do not affect the stability of the site 
and its ability to meet the performance objectives. At the end of the 
prescribed period of institutional control, the license will be 
terminated by the Commission.

[47 FR 57463, Dec. 27, 1982, as amended at 58 FR 33891, June 22, 1993]



Sec. 61.8  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0135.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 61.3, 61.6, 61.9, 61.10, 61.11, 61.12, 61.13, 
61.14, 61.15, 61.16, 61.20, 61.22, 61.24, 61.26, 61.27, 61.28, 61.30, 
61.31, 61.53, 61.55, 61.57, 61.58, 61.61, 61.62, 61.63, 61.72, and 
61.80.

[58 FR 33891, June 22, 1993, as amended at 62 FR 52188, Oct. 6, 1997]



Sec. 61.9  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 the 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

[[Page 159]]

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 52412, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 
FR 6765, Feb. 22, 1996]



Sec. 61.9a  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

[[Page 160]]

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]



Sec. 61.9b  Deliberate misconduct.

    (a) Any licensee, applicant for a license, employee of a licensee or 
applicant; or any contractor (including a supplier or consultant), 
subcontractor, employee of a contractor or subcontractor of any licensee 
or applicant for a license, who knowingly provides to any licensee, 
applicant, contractor, or subcontractor, any components, equipment, 
materials, or other goods or services that relate to a licensee's or 
applicant's activities in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee or applicant 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, an applicant, or a 
licensee's or applicant'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 the 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 or applicant 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, 
applicant, contractor, or subcontractor.

[63 FR 1898, Jan. 13, 1998]



                           Subpart B--Licenses



Sec. 61.10  Content of application.

    An application to receive from others, possess and dispose of wastes 
containing or contaminated with source, byproduct or special nuclear 
material by land disposal must consist of general information, specific 
technical information, institutional information, and financial 
information as set forth in Secs. 61.11 through 61.16. An environmental 
report prepared in accordance with subpart A of part 51 of this chapter 
must accompany the application.

[49 FR 9405, Mar. 12, 1984]



Sec. 61.11  General information.

    The general information must include each of the following:
    (a) Identity of the applicant including:
    (1) The full name, address, telephone number and description of the 
business or occupation of the applicant;
    (2) If the applicant is a partnership, the name, and address of each 
partner and the principal location where the partnership does business;
    (3) If the applicant is a corporation or an unincorporated 
association, (i) the state where it is incorporated or organized and the 
principal location where it does business, and (ii) the names and 
addresses of its directors and principal officers; and
    (4) If the applicant is acting as an agent or representative of 
another person in filing the application, all information required under 
this paragraph must be supplied with respect to the other person.
    (b) Qualifications of the applicant:
    (1) The organizational structure of the applicant, both offsite and 
onsite, including a description of lines of authority and assignments of 
responsibilities, whether in the form of administrative directives, 
contract provisions, or otherwise;
    (2) The technical qualifications, including training and experience, 
of the applicant and members of the applicant's staff to engage in the 
proposed

[[Page 161]]

activities. Minimum training and experience requirements for personnel 
filling key positions described in paragraph (b)(1) of this section must 
be provided;
    (3) A description of the applicant's personnel training program; and
    (4) The plan to maintain an adequate complement of trained personnel 
to carry out waste receipt, handling, and disposal operations in a safe 
manner.
    (c) A description of:
    (1) The location of the proposed disposal site;
    (2) The general character of the proposed activities;
    (3) The types and quantities of radioactive waste to be received, 
possessed, and disposed of;
    (4) Plans for use of the land disposal facility for purposes other 
than disposal of radioactive wastes; and
    (5) The proposed facilities and equipment.
    (d) Proposed schedules for construction, receipt of waste, and first 
emplacement of waste at the proposed land disposal facility.



Sec. 61.12  Specific technical information.

    The specific technical information must include the following 
information needed for demonstration that the performance objectives of 
subpart C of this part and the applicable technical requirements of 
subpart D of this part will be met:
    (a) A description of the natural and demographic disposal site 
characteristics as determined by disposal site selection and 
characterization activities. The description must include geologic, 
geotechnical, hydrologic, meteorologic, climatologic, and biotic 
features of the disposal site and vicinity.
    (b) A description of the design features of the land disposal 
facility and the disposal units. For near-surface disposal, the 
description must include those design features related to infiltration 
of water; integrity of covers for disposal units; structural stability 
of backfill, wastes, and covers; contact of wastes with standing water; 
disposal site drainage; disposal site closure and stabilization; 
elimination to the extent practicable of long-term disposal site 
maintenance; inadvertent intrusion; occupational exposures; disposal 
site monitoring; and adequacy of the size of the buffer zone for 
monitoring and potential mitigative measures.
    (c) A description of the principal design criteria and their 
relationship to the performance objectives.
    (d) A description of the design basis natural events or phenomena 
and their relationship to the principal design criteria.
    (e) A description of codes and standards which the applicant has 
applied to the design and which will apply to construction of the land 
disposal facilities.
    (f) A description of the construction and operation of the land 
disposal facility. The description must include as a minimum the methods 
of construction of disposal units; waste emplacement; the procedures for 
and areas of waste segregation; types of intruder barriers; onsite 
traffic and drainage systems; survey control program; methods and areas 
of waste storage; and methods to control surface water and groundwater 
access to the wastes. The description must also include a description of 
the methods to be employed in the handling and disposal of wastes 
containing chelating agents or other non-radiological substances that 
might affect meeting the performance objectives in subpart C of this 
part.
    (g) A description of the disposal site closure plan, including those 
design features which are intended to facilitate disposal site closure 
and to eliminate the need for ongoing active maintenance.
    (h) An identification of the known natural resources at the disposal 
site, the exploitation of which could result in inadvertent intrusion 
into the low-level wastes after removal of active institutional control.
    (i) A description of the kind, amount, classification and 
specifications of the radioactive material proposed to be received, 
possessed, and disposed of at the land disposal facility.
    (j) A description of the quality assurance program, tailored to LLW 
disposal, developed and applied by the applicant for the determination 
of natural disposal site characteristics and for quality assurance 
during the design, construction, operation, and closure of the land 
disposal facility and

[[Page 162]]

the receipt, handling, and emplacement of waste.
    (k) A description of the radiation safety program for control and 
monitoring of radioactive effluents to ensure compliance with the 
performance objective in Sec. 61.41 of this part and occupational 
radiation exposure to ensure compliance with the requirements of part 20 
of this chapter and to control contamination of personnel, vehicles, 
equipment, buildings, and the disposal site. Both routine operations and 
accidents must be addressed. The program description must include 
procedures, instrumentation, facilities, and equipment.
    (l) A description of the environmental monitoring program to provide 
data to evaluate potential health and environmental impacts and the plan 
for taking corrective measures if migration of radionuclides is 
indicated.
    (m) A description of the administrative procedures that the 
applicant will apply to control activities at the land disposal 
facility.
    (n) A description of the facility electronic recordkeeping system as 
required in Sec. 61.80.

[47 FR 57463, Dec. 27, 1982, as amended at 58 FR 33891, June 22, 1993; 
60 FR 15666, Mar. 27, 1995]



Sec. 61.13  Technical analyses.

    The specific technical information must also include the following 
analyses needed to demonstrate that the performance objectives of 
subpart C of this part will be met:
    (a) Pathways analyzed in demonstrating protection of the general 
population from releases of radioactivity must include air, soil, 
groundwater, surface water, plant uptake, and exhumation by burrowing 
animals. The analyses must clearly identify and differentiate between 
the roles performed by the natural disposal site characteristics and 
design features in isolating and segregating the wastes. The analyses 
must clearly demonstrate that there is reasonable assurance that the 
exposure to humans from the release of radioactivity will not exceed the 
limits set forth in Sec. 61.41.
    (b) Analyses of the protection of individuals from inadvertent 
intrusion must include demonstration that there is reasonable assurance 
the waste classification and segregation requirements will be met and 
that adequate barriers to inadvertent intrusion will be provided.
    (c) Analyses of the protection of individuals during operations must 
include assessments of expected exposures due to routine operations and 
likely accidents during handling, storage, and disposal of waste. The 
analyses must provide reasonable assurance that exposures will be 
controlled to meet the requirements of part 20 of this chapter.
    (d) Analyses of the long-term stability of the disposal site and the 
need for ongoing active maintenance after closure must be based upon 
analyses of active natural processes such as erosion, mass wasting, 
slope failure, settlement of wastes and backfill, infiltration through 
covers over disposal areas and adjacent soils, and surface drainage of 
the disposal site. The analyses must provide reasonable assurance that 
there will not be a need for ongoing active maintenance of the disposal 
site following closure.



Sec. 61.14  Institutional information.

    The institutional information must include:
    (a) A certification by the Federal or State government which owns 
the disposal site that the Federal or State government is prepared to 
accept transfer of the license when the provisions of Sec. 61.30 are 
met, and will assume responsibility for custodial care after site 
closure and postclosure observation and maintenance.
    (b) Where the proposed disposal site is on land not owned by the 
Federal or a State government, the applicant must submit evidence that 
arrangements have been made for assumption of ownership in fee by the 
Federal or a State government before the Commission issues a license.



Sec. 61.15  Financial information.

    The financial information must be sufficient to demonstrate that the 
financial qualifications of the applicant are adequate to carry out the 
activities for which the license is sought and meet other financial 
assurance requirements as specified in subpart E of this part.

[[Page 163]]



Sec. 61.16  Other information.

    Depending upon the nature of the wastes to be disposed of, and the 
design and proposed operation of the land disposal facility, additional 
information may be requested by the Commission including the following:
    (a) Physical security measures, if appropriate. Any application to 
receive and possess special nuclear material in quantities subject to 
the requirements of part 73 of this chapter shall demonstrate how the 
physical security requirements of part 73 will be met. In determining 
whether receipt and possession will be subject to the requirements of 
part 73, the applicant shall not consider the quantity of special 
nuclear material that has been disposed of.
    (b) Safety information concerning criticality, if appropriate. (1) 
Any application to receive and possess special nuclear material in 
quantities that would be subject to the requirements of Sec. 70.24, 
``Criticality accident requirements'' of part 70 of this chapter shall 
demonstrate how the requirements of that section will be met, unless the 
applicant requests an exemption pursuant to Sec. 70.24(d). In 
determining whether receipt and possession would be subject to the 
requirements of Sec. 70.24, the applicant shall not consider the 
quantity of special nuclear material that has been disposed of.
    (2) Any application to receive and possess special nuclear material 
shall describe proposed procedures for avoiding accidental criticality, 
which address both storage of special nuclear material prior to disposal 
and waste emplacement for disposal.



Sec. 61.20  Filing and distribution of application.

    (a) An application for a license under this part, and any amendments 
thereto, shall be filed with the Director, must be signed by the 
applicant or the applicant's authorized representative under oath, and 
must consist of 1 signed original and 2 copies.
    (b) Another 85 copies of the application must be retained by the 
applicant for distribution in accordance with written instructions from 
the Director or designee.
    (c) Fees. Application, amendment, and inspection fees applicable to 
a license covering the receipt and disposal of radioactive wastes in a 
land disposal facility are required by part 170 of this chapter.

[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9405, Mar. 12, 1984]



Sec. 61.21  Elimination of repetition.

    In its application, the applicant may incorporate by reference 
information contained in previous applications, statements, or reports 
filed with the Commission if these references are clear and specific.

[49 FR 9405, Mar. 12, 1984]



Sec. 61.22  Updating of application.

    (a) The application must be as complete as possible in the light of 
information that is available at the time of submittal.
    (b) The applicant shall supplement its application in a timely 
manner, as necessary, to permit the Commission to review, prior to 
issuance of a license, any changes in the activities proposed to be 
carried out or new information regarding the proposed activities.

[49 FR 9405, Mar. 12, 1984]



Sec. 61.23  Standards for issuance of a license.

    A license for the receipt, possession, and disposal of waste 
containing or contaminated with source, special nuclear, or byproduct 
material will be issued by the Commission upon finding that the issuance 
of the license will not be inimical to the common defense and security 
and will not constitute an unreasonable risk to the health and safety of 
the public, and:
    (a) The applicant is qualified by reason of training and experience 
to carry out the disposal operations requested in a manner that protects 
health and minimizes danger to life or property.
    (b) The applicant's proposed disposal site, disposal design, land 
disposal facility operations (including equipment, facilities, and 
procedures), disposal site closure, and postclosure institutional 
control are adequate to protect the public health and safety in that 
they provide reasonable assurance that the

[[Page 164]]

general population will be protected from releases of radioactivity as 
specified in the performance objective in Sec. 61.41, Protection of the 
general population from releases of radioactivity.
    (c) The applicant's proposed disposal site, disposal site design, 
land disposal facility operations (including equipment, facilities, and 
procedures), disposal site closure, and postclosure institutional 
control are adequate to protect the public health and safety in that 
they will provide reasonable assurance that individual inadvertent 
intruders are protected in accordance with the performance objective in 
Sec. 61.42, Protection of individuals from inadvertent intrusion.
    (d) The applicant's proposed land disposal facility operations, 
including equipment, facilities, and procedures, are adequate to protect 
the public health and safety in that they will provide reasonable 
assurance that the standards for radiation protection set out in part 20 
of this chapter will be met.
    (e) The applicant's proposed disposal site, disposal site design, 
land disposal facility operations, disposal site closure, and 
postclosure institutional control are adequate to protect the public 
health and safety in that they will provide reasonable assurance that 
long-term stability of the disposed waste and the disposal site will be 
achieved and will eliminate to the extent practicable the need for 
ongoing active maintenance of the disposal site following closure.
    (f) The applicant's demonstration provides reasonable assurance that 
the applicable technical requirements of subpart D of this part will be 
met.
    (g) The applicant's proposal for institutional control provides 
reasonable assurance that institutional control will be provided for the 
length of time found necessary to ensure the findings in paragraphs (b) 
through (e) of this section and that the institutional control meets the 
requirements of Sec. 61.59, Institutional requirements.
    (h) The information on financial assurances meets the requirements 
of subpart E of this part.
    (i) The applicant's physical security information provides 
reasonable assurance that the requirements of part 73 of this chapter 
will be met, insofar as they are applicable to special nuclear material 
to be possessed before disposal under the license.
    (j) The applicant's criticality safety procedures are adequate to 
protect the public health and safety and provide reasonable assurance 
that the requirements of Sec. 70.24, Criticality accident requirements, 
of part 70 of this chapter will be met, insofar as they are applicable 
to special nuclear material to be possessed before disposal under the 
license.
    (k) Any additional information submitted as requested by the 
Commission pursuant to Sec. 61.16, Other information, is adequate.
    (l) The requirements of subpart A of part 51 of this chapter have 
been met.

[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9405, Mar. 12, 1984]



Sec. 61.24  Conditions of licenses.

    (a) A license issued under this part, or any right thereunder, may 
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, only if the Commission finds, 
after securing full information, that the transfer is in accordance with 
the provisions of the Atomic Energy Act and gives its consent in writing 
in the form of a license amendment.
    (b) The licensee shall submit written statements under oath upon 
request of the Commission, at any time before termination of the 
license, to enable the Commission to determine whether or not the 
license should be modified, suspended, or revoked.
    (c) The license will be transferred to the site owner only on the 
full implementation of the final closure plan as approved by the 
Commission, including post-closure observation and maintenance.
    (d) The licensee shall be subject to the provisions of the Atomic 
Energy Act now or hereafter in effect, and to all rules, regulations, 
and orders of the Commission. The terms and conditions of the license 
are subject to amendment, revision, or modification, by reason of 
amendments to, or by reason of rules, regulations, and orders issued in

[[Page 165]]

accordance with the terms of the Atomic Energy Act.
    (e) 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 any 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 to the original application, or 
for failure to operate the facility in accordance with the terms of the 
license, or for any violation of, or failure to observe any of the terms 
and conditions of the Act, or any rule, regulation, license or order of 
the Commission.
    (f) Each person licensed by the Commission pursuant to the 
regulations in this part shall confine possession and use of materials 
to the locations and purposes authorized in the license.
    (g) No radioactive waste may be disposed of until the Commission has 
inspected the land disposal facility and has found it to be in 
conformance with the description, design, and construction described in 
the application for a license.
    (h) The Commission may incorporate in any license at the time of 
issuance, or thereafter, by appropriate rule, regulation or order, 
additional requirements and conditions with respect to the licensee's 
receipt, possession, and disposal of source, special nuclear 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 to life or property;
    (3) Require reports and the keeping of records, and to provide for 
inspections of activities under the license that may be necessary or 
appropriate to effectuate the purposes of the Act and regulations 
thereunder.
    (i) Any licensee who receives and possesses special nuclear material 
under this part in quantities that would be subject to the requirements 
of Sec. 70.24 of part 70 of this chapter shall comply with the 
requirements of that section. The licensee shall not consider the 
quantity of special nuclear material that has been disposed of.
    (j) The authority to dispose of wastes expires on the date stated in 
the license except as provided in Sec. 61.27(a) of this part.
    (k)(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.

[47 FR 57463, Dec. 27, 1982, as amended at 52 FR 1295, Jan. 12, 1987]



Sec. 61.25  Changes.

    (a) Except as provided for in specific license conditions, the 
licensee shall not make changes in the land disposal facility or 
procedures described in the license application. The license will 
include conditions restricting subsequent changes to the facility and 
the procedures authorized which are important to public health and 
safety. These license restrictions will fall into three categories of 
descending importance to public health and safety as follows: (1) those 
features and procedures which may not be changed without (i) 60 days 
prior notice to the Commission, (ii) 30 days notice of opportunity for a 
prior hearing, and (iii) prior Commission approval; (2) those features 
and procedures which may not be changed without (i) 60 days prior notice 
to the Commisson, and (ii) prior Commission approval; and (3) those 
features and procedures which may not be changed without 60 days prior 
notice to the Commission. Features and procedures falling in paragraph 
(a)(3) of this section may not be changed without prior Commission 
approval if the Commission, after having received the required notice, 
so orders.

[[Page 166]]

    (b) Amendments authorizing site closure, license transfer, or 
license termination shall be included in paragraph (a)(1) of this 
section.
    (c) The Commission shall provide a copy of the notice for 
opportunity for hearings provided in paragraph (a)(1) of this section to 
State and local officials or tribal governing bodies specified in 
Sec. 2.104(e) of part 2 of this chapter.



Sec. 61.26  Amendment of license.

    (a) An application for amendment of a license must be filed in 
accordance with Sec. 61.20 and shall fully describe the changes desired.
    (b) In determining whether an amendment to a license will be 
approved, the Commission will apply the criteria set forth in 
Sec. 61.23.



Sec. 61.27  Application for renewal or closure.

    (a) Any expiration date on a license applies only to the above 
ground activities and to the authority to dispose of waste. Failure to 
renew the license shall not relieve the licensee of responsibility for 
carrying out site closure, postclosure observation and transfer of the 
license to the site owner. An application for renewal or an application 
for closure under Sec. 61.28 must be filed at least 30 days prior to 
license expiration.
    (b) Applications for renewal of a license must be filed in 
accordance with Secs. 61.10 through 61.16 and Sec. 61.20. Applications 
for closure must be filed in accordance with Secs. 61.20 and 61.28. 
Information contained in previous applications, statements or reports 
filed with the Commission under the license may be incorporated by 
reference if the references are clear and specific.
    (c) In any case in which a licensee has timely filed an application 
for renewal of a license, the license for continued receipt and disposal 
of licensed materials does not expire until the Commission has taken 
final action on the application for renewal.
    (d) In determining whether a license will be renewed, the Commission 
will apply the criteria set forth in Sec. 61.23.



Sec. 61.28  Contents of application for closure.

    (a) Prior to final closure of the disposal site, or as otherwise 
directed by the Commission, the applicant shall submit an application to 
amend the license for closure. This closure application must include a 
final revision and specific details of the disposal site closure plan 
included as part of the license application submitted under 
Sec. 61.12(g) that includes each of the following:
    (1) Any additional geologic, hydrologic, or other disposal site data 
pertinent to the long-term containment of emplaced radioactive wastes 
obtained during the operational period.
    (2) The results of tests, experiments, or any other analyses 
relating to backfill of excavated areas, closure and sealing, waste 
migration and interaction with emplacement media, or any other tests, 
experiments, or analysis pertinent to the long-term containment of 
emplaced waste within the disposal site.
    (3) Any proposed revision of plans for:
    (i) Decontamination and/or dismantlement of surface facilities;
    (ii) Backfilling of excavated areas; or
    (iii) Stabilization of the disposal site for post-closure care.
    (b) An environmental report or a supplement to an environmental 
report prepared in accordance with subpart A of part 51 of this chapter 
must accompany the application.
    (c) Upon review and consideration of an application to amend the 
license for closure submitted in accordance with paragraph (a) of this 
section, the Commission shall issue an amendment authorizing closure if 
there is reasonable assurance that the long-term performance objectives 
of subpart C of this part will be met.

[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9406, Mar. 12, 1984]



Sec. 61.29  Post-closure observation and maintenance.

    Following completion of closure authorized in Sec. 61.28, the 
licensee shall observe, monitor, and carry out necessary maintenance and 
repairs at the

[[Page 167]]

disposal site until the license is transferred by the Commission in 
accordance with Sec. 61.30. Responsibility for the disposal site must be 
maintained by the licensee for 5 years. A shorter or longer time period 
for post-closure observation and maintenance may be established and 
approved as part of the site closure plan, based on site-specific 
conditions.



Sec. 61.30  Transfer of license.

    (a) Following closure and the period of post-closure observation and 
maintenance, the licensee may apply for an amendment to transfer the 
license to the disposal site owner. The license shall be transferred 
when the Commission finds:
    (1) That the closure of the disposal site has been made in 
conformance with the licensee's disposal site closure plan, as amended 
and approved as part of the license;
    (2) That reasonable assurance has been provided by the licensee that 
the performance objectives of subpart C of this part are met;
    (3) That any funds for care and records required by Sec. 61.80 (e) 
and (f) have been transferred to the disposal site owner;
    (4) That the post-closure monitoring program is operational for 
implementation by the disposal site owner; and
    (5) That the Federal or State government agency which will assume 
responsibility for institutional control of the disposal site is 
prepared to assume responsibility and ensure that the institutional 
requirements found necessary under Sec. 61.23(g) will be met.

[47 FR 57463, Dec. 27, 1982, as amended at 61 FR 24674, May 16, 1996]



Sec. 61.31  Termination of license.

    (a) Following any period of institutional control needed to meet the 
requirements found necessary under Sec. 61.23, the licensee may apply 
for an amendment to terminate the license.
    (b) This application must be filed, and will be reviewed, in 
accordance with the provision of Sec. 61.20 and of this section.
    (c) A license is terminated only when the Commission finds:
    (1) That the institutional control requirements found necessary 
under Sec. 61.23(g) have been met; and
    (2) That any additional requirements resulting from new information 
developed during the institutional control period have been met, and 
that permanent monuments or markers warning against intrusion have been 
installed.
    (3) That the records required by Sec. 61.80 (e) and (f) have been 
sent to the party responsible for institutional control of the disposal 
site and a copy has been sent to the Commission immediately prior to 
license termination.

[47 FR 57463, Dec. 27, 1982, as amended at 61 FR 24674, May 16, 1996]



                    Subpart C--Performance Objectives



Sec. 61.40  General requirement.

    Land disposal facilities must be sited, designed, operated, closed, 
and controlled after closure so that reasonable assurance exists that 
exposures to humans are within the limits established in the performance 
objectives in Secs. 61.41 through 61.44.



Sec. 61.41  Protection of the general population from releases of radioactivity.

    Concentrations of radioactive material which may be released to the 
general environment in ground water, surface water, air, soil, plants, 
or animals must not result in an annual dose exceeding an equivalent of 
25 millirems to the whole body, 75 millirems to the thyroid, and 25 
millirems to any other organ of any member of the public. Reasonable 
effort should be made to maintain releases of radioactivity in effluents 
to the general environment as low as is reasonably achievable.



Sec. 61.42  Protection of individuals from inadvertent intrusion.

    Design, operation, and closure of the land disposal facility must 
ensure protection of any individual inadvertently intruding into the 
disposal site and occupying the site or contacting the waste at any time 
after active institutional controls over the disposal site are removed.

[[Page 168]]



Sec. 61.43  Protection of individuals during operations.

    Operations at the land disposal facility must be conducted in 
compliance with the standards for radiation protection set out in part 
20 of this chapter, except for releases of radioactivity in effluents 
from the land disposal facility, which shall be governed by Sec. 61.41 
of this part. Every reasonable effort shall be made to maintain 
radiation exposures as low as is reasonably achievable.



Sec. 61.44  Stability of the disposal site after closure.

    The disposal facility must be sited, designed, used, operated, and 
closed to achieve long-term stability of the disposal site and to 
eliminate to the extent practicable the need for ongoing active 
maintenance of the disposal site following closure so that only 
surveillance, monitoring, or minor custodial care are required.



     Subpart D--Technical Requirements for Land Disposal Facilities



Sec. 61.50  Disposal site suitability requirements for land disposal.

    (a) Disposal site suitability for near-surface disposal. (1) The 
purpose of this section is to specify the minimum characteristics a 
disposal site must have to be acceptable for use as a near-surface 
disposal facility. The primary emphasis in disposal site suitability is 
given to isolation of wastes, a matter having long-term impacts, and to 
disposal site features that ensure that the long-term performance 
objectives of subpart C of this part are met, as opposed to short-term 
convenience or benefits.
    (2) The disposal site shall be capable of being characterized, 
modeled, analyzed and monitored.
    (3) Within the region or state where the facility is to be located, 
a disposal site should be selected so that projected population growth 
and future developments are not likely to affect the ability of the 
disposal facility to meet the performance objectives of subpart C of 
this part.
    (4) Areas must be avoided having known natural resources which, if 
exploited, would result in failure to meet the performance objectives of 
subpart C of this part.
    (5) The disposal site must be generally well drained and free of 
areas of flooding or frequent ponding. Waste disposal shall not take 
place in a 100-year flood plain, coastal high-hazard area or wetland, as 
defined in Executive Order 11988, ``Floodplain Management Guidelines.''
    (6) Upstream drainage areas must be minimized to decrease the amount 
of runoff which could erode or inundate waste disposal units.
    (7) The disposal site must provide sufficient depth to the water 
table that ground water intrusion, perennial or otherwise, into the 
waste will not occur. The Commission will consider an exception to this 
requirement to allow disposal below the water table if it can be 
conclusively shown that disposal site characteristics will result in 
molecular diffusion being the predominant means of radionuclide movement 
and the rate of movement will result in the performance objectives of 
subpart C of this part being met. In no case will waste disposal be 
permitted in the zone of fluctuation of the water table.
    (8) The hydrogeologic unit used for disposal shall not discharge 
ground water to the surface within the disposal site.
    (9) Areas must be avoided where tectonic processes such as faulting, 
folding, seismic activity, or vulcanism may occur with such frequency 
and extent to significantly affect the ability of the disposal site to 
meet the performance objectives of subpart C of this part, or may 
preclude defensible modeling and prediction of long-term impacts.
    (10) Areas must be avoided where surface geologic processes such as 
mass wasting, erosion, slumping, landsliding, or weathering occur with 
such frequency and extent to significantly affect the ability of the 
disposal site to meet the performance objectives of subpart C of this 
part, or may preclude defensible modeling and prediction of long-term 
impacts.

[[Page 169]]

    (11) The disposal site must not be located where nearby facilities 
or activities could adversely impact the ability of the site to meet the 
performance objectives of subpart C of this part or significantly mask 
the environmental monitoring program.
    (b) Disposal site suitability requirements for land disposal other 
than near-surface (reserved).



Sec. 61.51  Disposal site design for land disposal.

    (a) Disposal site design for near-surface disposal. (1) Site design 
features must be directed toward long-term isolation and avoidance of 
the need for continuing active maintenance after site closure.
    (2) The disposal site design and operation must be compatible with 
the disposal site closure and stabilization plan and lead to disposal 
site closure that provides reasonable assurance that the performance 
objectives of subpart C of this part will be met.
    (3) The disposal site must be designed to complement and improve, 
where appropriate, the ability of the disposal site's natural 
characteristics to assure that the performance objectives of subpart C 
of this part will be met.
    (4) Covers must be designed to minimize to the extent practicable 
water infiltration, to direct percolating or surface water away from the 
disposed waste, and to resist degradation by surface geologic processes 
and biotic activity.
    (5) Surface features must direct surface water drainage away from 
disposal units at velocities and gradients which will not result in 
erosion that will require ongoing active maintenance in the future.
    (6) The disposal site must be designed to minimize to the extent 
practicable the contact of water with waste during storage, the contact 
of standing water with waste during disposal, and the contact of 
percolating or standing water with wastes after disposal.
    (b) Disposal site design for other than near-surface disposal 
(reserved).



Sec. 61.52  Land disposal facility operation and disposal site closure.

    (a) Near-surface disposal facility operation and disposal site 
closure. (1) Wastes designated as Class A pursuant to Sec. 61.55, must 
be segregated from other wastes by placing in disposal units which are 
sufficiently separated from disposal units for the other waste classes 
so that any interaction between Class A wastes and other wastes will not 
result in the failure to meet the performance objectives in subpart C of 
this Part. This segregation is not necessary for Class A wastes if they 
meet the stability requirements in Sec. 61.56(b) of this part.
    (2) Wastes designated as Class C pursuant to Sec. 61.55, must be 
disposed of so that the top of the waste is a minimum of 5 meters below 
the top surface of the cover or must be disposed of with intruder 
barriers that are designed to protect against an inadvertent intrusion 
for a least 500 years.
    (3) All wastes shall be disposed of in accordance with the 
requirements of paragraphs (a) (4) through (11) of this section.
    (4) Wastes must be emplaced in a manner that maintains the package 
integrity during emplacement, minimizes the void spaces between 
packages, and permits the void spaces to be filled.
    (5) Void spaces between waste packages must be filled with earth or 
other material to reduce future subsidence within the fill.
    (6) Waste must be placed and covered in a manner that limits the 
radiation dose rate at the surface of the cover to levels that at a 
minimum will permit the licensee to comply with all provisions of 
Secs. 20.1301 and 20.1302 of this chapter at the time the license is 
transferred pursuant to Sec. 61.30 of this part.
    (7) The boundaries and locations of each disposal unit (e.g., 
trenches) must be accurately located and mapped by means of a land 
survey. Near-surface disposal units must be marked in such a way that 
the boundaries of each unit can be easily defined. Three permanent 
survey marker control points, referenced to United States Geological 
Survey (USGS) or National Geodetic Survey (NGS) survey control stations, 
must be established on the site to facilitate surveys. The USGS or NGS

[[Page 170]]

control stations must provide horizontal and vertical controls as 
checked against USGS or NGS record files.
    (8) A buffer zone of land must be maintained between any buried 
waste and the disposal site boundary and beneath the disposed waste. The 
buffer zone shall be of adequate dimensions to carry out environmental 
monitoring activities specified in Sec. 61.53(d) of this part and take 
mitigative measures if needed.
    (9) Closure and stabilization measures as set forth in the approved 
site closure plan must be carried out as each disposal unit (e.g., each 
trench) is filled and covered.
    (10) Active waste disposal operations must not have an adverse 
effect on completed closure and stabilization measures.
    (11) Only wastes containing or contaminated with radioactive 
materials shall be disposed of at the disposal site.
    (b) Facility operation and disposal site closure for land disposal 
facilities other than near-surface (reserved).

[47 FR 57463, Dec. 27, 1982, as amended at 56 FR 23474, May 21, 1991; 56 
FR 61352, Dec. 3, 1991; 58 FR 67662, Dec. 22, 1993]



Sec. 61.53  Environmental monitoring.

    (a) At the time a license application is submitted, the applicant 
shall have conducted a preoperational monitoring program to provide 
basic environmental data on the disposal site characteristics. The 
applicant shall obtain information about the ecology, meteorology, 
climate, hydrology, geology, geochemistry, and seismology of the 
disposal site. For those characteristics that are subject to seasonal 
variation, data must cover at least a twelve month period.
    (b) The licensee must have plans for taking corrective measures if 
migration of radionuclides would indicate that the performance 
objectives of subpart C may not be met.
    (c) During the land disposal facility site construction and 
operation, the licensee shall maintain a monitoring program. 
Measurements and observations must be made and recorded to provide data 
to evaluate the potential health and environmental impacts during both 
the construction and the operation of the facility and to enable the 
evaluation of long-term effects and the need for mitigative measures. 
The monitoring system must be capable of providing early warning of 
releases of radionuclides from the disposal site before they leave the 
site boundary.
    (d) After the disposal site is closed, the licensee responsible for 
post-operational surveillance of the disposal site shall maintain a 
monitoring system based on the operating history and the closure and 
stabilization of the disposal site. The monitoring system must be 
capable of providing early warning of releases of radionuclides from the 
disposal site before they leave the site boundary.



Sec. 61.54  Alternative requirements for design and operations.

    The Commission may, upon request or on its own initiative, authorize 
provisions other than those set forth in Secs. 61.51 through 61.53 for 
the segregation and disposal of waste and for the design and operation 
of a land disposal facility on a specific basis, if it finds reasonable 
assurance of compliance with the performance objectives of subpart C of 
this part.



Sec. 61.55  Waste classification.

    (a) Classification of waste for near surface disposal. (1) 
Considerations. Determination of the classification of radioactive waste 
involves two considerations. First, consideration must be given to the 
concentration of long-lived radionuclides (and their shorter-lived 
precursors) whose potential hazard will persist long after such 
precautions as institutional controls, improved waste form, and deeper 
disposal have ceased to be effective. These precautions delay the time 
when long-lived radionuclides could cause exposures. In addition, the 
magnitude of the potential dose is limited by the concentration and 
availability of the radionuclide at the time of exposure. Second, 
consideration must be given to the concentration of shorter-lived 
radionuclides for which requirements on institutional controls, waste 
form, and disposal methods are effective.
    (2) Classes of waste. (i) Class A waste is waste that is usually 
segregated

[[Page 171]]

from other waste classes at the disposal site. The physical form and 
characteristics of Class A waste must meet the minimum requirements set 
forth in Sec. 61.56(a). If Class A waste also meets the stability 
requirements set forth in Sec. 61.56(b), it is not necessary to 
segregate the waste for disposal.
    (ii) Class B waste is waste that must meet more rigorous 
requirements on waste form to ensure stability after disposal. The 
physical form and characteristics of Class B waste must meet both the 
minimum and stability requirements set forth in Sec. 61.56.
    (iii) Class C waste is waste that not only must meet more rigorous 
requirements on waste form to ensure stability but also requires 
additional measures at the disposal facility to protect against 
inadvertent intrusion. The physical form and characteristics of Class C 
waste must meet both the minimum and stability requirements set forth in 
Sec. 61.56.
    (iv) Waste that is not generally acceptable for near-surface 
disposal is waste for which form and disposal methods must be different, 
and in general more stringent, than those specified for Class C waste. 
In the absence of specific requirements in this part, such waste must be 
disposed of in a geologic repository as defined in part 60 or 63 of this 
chapter unless proposals for disposal of such waste in a disposal site 
licensed pursuant to this part are approved by the Commission.
    (3) Classification determined by long-lived radionuclides. If 
radioactive waste contains only radionuclides listed in Table 1, 
classification shall be determined as follows:
    (i) If the concentration does not exceed 0.1 times the value in 
Table 1, the waste is Class A.
    (ii) If the concentration exceeds 0.1 times the value in Table 1 but 
does not exceed the value in Table 1, the waste is Class C.
    (iii) If the concentration exceeds the value in Table 1, the waste 
is not generally acceptable for near-surface disposal.
    (iv) For wastes containing mixtures of radionuclides listed in Table 
1, the total concentration shall be determined by the sum of fractions 
rule described in paragraph (a)(7) of this section.

                                 Table 1
------------------------------------------------------------------------
                                                           Concentration
                       Radionuclide                          curies per
                                                            cubic meter
------------------------------------------------------------------------
C-14.....................................................           8
C-14 in activated metal..................................          80
Ni-59 in activated metal.................................         220
Nb-94 in activated metal.................................           0.2
Tc-99....................................................           3
I-129....................................................           0.08
Alpha emitting transuranic nuclides with half-life            \1\ 100
 greater than 5 years....................................
Pu-241...................................................   \1\ 3,500
Cm-242...................................................  \1\ 20,000
------------------------------------------------------------------------
\1\ Units are nanocuries per gram.

    (4) Classification determined by short-lived radionuclides. If 
radioactive waste does not contain any of the radionuclides listed in 
Table 1, classification shall be determined based on the concentrations 
shown in Table 2. However, as specified in paragraph (a)(6) of this 
section, if radioactive waste does not contain any nuclides listed in 
either Table 1 or 2, it is Class A.
    (i) If the concentration does not exceed the value in Column 1, the 
waste is Class A.
    (ii) If the concentration exceeds the value in Column 1, but does 
not exceed the value in Column 2, the waste is Class B.
    (iii) If the concentration exceeds the value in Column 2, but does 
not exceed the value in Column 3, the waste is Class C.
    (iv) If the concentration exceeds the value in Column 3, the waste 
is not generally acceptable for near-surface disposal.
    (v) For wastes containing mixtures of the nuclides listed in Table 
2, the total concentration shall be determined by the sum of fractions 
rule described in paragraph (a)(7) of this section.

                                 Table 2
------------------------------------------------------------------------
                                                   Concentration, curies
                                                      per cubic meter
                   Radionuclide                   ----------------------
                                                             Col.   Col.
                                                    Col. 1    2      3
------------------------------------------------------------------------
Total of all nuclides with less than 5 year half-   700     (\1\)  (\1\)
 life............................................
H-3..............................................    40     (\1\)  (\1\)
Co-60............................................   700     (\1\)  (\1\)
Ni-63............................................     3.5      70    700

[[Page 172]]

 
Ni-63 in activated metal.........................    35       700   7000
Sr-90............................................     0.04    150   7000
Cs-137...........................................     1        44   4600
------------------------------------------------------------------------
\1\ There are no limits established for these radionuclides in Class B
  or C wastes. Practical considerations such as the effects of external
  radiation and internal heat generation on transportation, handling,
  and disposal will limit the concentrations for these wastes. These
  wastes shall be Class B unless the concentrations of other nuclides in
  Table 2 determine the waste to be Class C independent of these
  nuclides.

    (5) Classification determined by both long- and short-lived 
radionuclides. If radioactive waste contains a mixture of radionuclides, 
some of which are listed in Table 1, and some of which are listed in 
Table 2, classification shall be determined as follows:
    (i) If the concentration of a nuclide listed in Table 1 does not 
exceed 0.1 times the value listed in Table 1, the class shall be that 
determined by the concentration of nuclides listed in Table 2.
    (ii) If the concentration of a nuclide listed in Table 1 exceeds 0.1 
times the value listed in Table 1 but does not exceed the value in Table 
1, the waste shall be Class C, provided the concentration of nuclides 
listed in Table 2 does not exceed the value shown in Column 3 of Table 
2.
    (6) Classification of wastes with radionuclides other than those 
listed in Tables 1 and 2. If radioactive waste does not contain any 
nuclides listed in either Table 1 or 2, it is Class A.
    (7) The sum of the fractions rule for mixtures of radionuclides. For 
determining classification for waste that contains a mixture of 
radionuclides, it is necessary to determine the sum of fractions by 
dividing each nuclide's concentration by the appropriate limit and 
adding the resulting values. The appropriate limits must all be taken 
from the same column of the same table. The sum of the fractions for the 
column must be less than 1.0 if the waste class is to be determined by 
that column. Example: A waste contains Sr-90 in a concentration of 50 
Ci/m\3\ and Cs-137 in a concentration of 22 Ci/m\3\. Since the 
concentrations both exceed the values in Column 1, Table 2, they must be 
compared to Column 2 values. For Sr-90 fraction 50/150=0.33; for Cs-137 
fraction, 22/44=0.5; the sum of the fractions=0.83. Since the sum is 
less than 1.0, the waste is Class B.
    (8) Determination of concentrations in wastes. The concentration of 
a radionuclide may be determined by indirect methods such as use of 
scaling factors which relate the inferred concentration of one 
radionuclide to another that is measured, or radionuclide material 
accountability, if there is reasonable assurance that the indirect 
methods can be correlated with actual measurements. The concentration of 
a radionuclide may be averaged over the volume of the waste, or weight 
of the waste if the units are expressed as nanocuries per gram.

[47 FR 57463, Dec. 27, 1982, as amended at 54 FR 22583, May 25, 1989; 66 
FR 55792, Nov. 2, 2001]



Sec. 61.56  Waste characteristics.

    (a) The following requirements are minimum requirements for all 
classes of waste and are intended to facilitate handling at the disposal 
site and provide protection of health and safety of personnel at the 
disposal site.
    (1) Waste must not be packaged for disposal in cardboard or 
fiberboard boxes.
    (2) Liquid waste must be solidified or packaged in sufficient 
absorbent material to absorb twice the volume of the liquid.
    (3) Solid waste containing liquid shall contain as little free 
standing and noncorrosive liquid as is reasonably achievable, but in no 
case shall the liquid exceed 1% of the volume.
    (4) Waste must not be readily capable of detonation or of explosive 
decomposition or reaction at normal pressures and temperatures, or of 
explosive reaction with water.
    (5) Waste must not contain, or be capable of generating, quantities 
of toxic gases, vapors, or fumes harmful to persons transporting, 
handling, or disposing of the waste. This does not apply to radioactive 
gaseous waste packaged in accordance with paragraph (a)(7) of this 
section.
    (6) Waste must not be pyrophoric. Pyrophoric materials contained in 
waste shall be treated, prepared, and packaged to be nonflammable.

[[Page 173]]

    (7) Waste in a gaseous form must be packaged at a pressure that does 
not exceed 1.5 atmospheres at 20 deg.C. Total activity must not exceed 
100 curies per container.
    (8) Waste containing hazardous, biological, pathogenic, or 
infectious material must be treated to reduce to the maximum extent 
practicable the potential hazard from the non-radiological materials.
    (b) The requirements in this section are intended to provide 
stability of the waste. Stability is intended to ensure that the waste 
does not structurally degrade and affect overall stability of the site 
through slumping, collapse, or other failure of the disposal unit and 
thereby lead to water infiltration. Stability is also a factor in 
limiting exposure to an inadvertent intruder, since it provides a 
recognizable and nondispersible waste.
    (1) Waste must have structural stability. A structurally stable 
waste form will generally maintain its physical dimensions and its form, 
under the expected disposal conditions such as weight of overburden and 
compaction equipment, the presence of moisture, and microbial activity, 
and internal factors such as radiation effects and chemical changes. 
Structural stability can be provided by the waste form itself, 
processing the waste to a stable form, or placing the waste in a 
disposal container or structure that provides stability after disposal.
    (2) Notwithstanding the provisions in Sec. 61.56(a) (2) and (3), 
liquid wastes, or wastes containing liquid, must be converted into a 
form that contains as little free standing and noncorrosive liquid as is 
reasonably achievable, but in no case shall the liquid exceed 1% of the 
volume of the waste when the waste is in a disposal container designed 
to ensure stability, or 0.5% of the volume of the waste for waste 
processed to a stable form.
    (3) Void spaces within the waste and between the waste and its 
package must be reduced to the extent practicable.



Sec. 61.57  Labeling.

    Each package of waste must be clearly labeled to identify whether it 
is Class A waste, Class B waste, or Class C waste, in accordance with 
Sec. 61.55.



Sec. 61.58  Alternative requirements for waste classification and characteristics.

    The Commission may, upon request or on its own initiative, authorize 
other provisions for the classification and characteristics of waste on 
a specific basis, if, after evaluation, of the specific characteristics 
of the waste, disposal site, and method of disposal, it finds reasonable 
assurance of compliance with the performance objectives in subpart C of 
this part.



Sec. 61.59  Institutional requirements.

    (a) Land ownership. Disposal of radioactive waste received from 
other persons may be permitted only on land owned in fee by the Federal 
or a State government.
    (b) Institutional control. The land owner or custodial agency shall 
carry out an institutional control program to physically control access 
to the disposal site following transfer of control of the disposal site 
from the disposal site operator. The institutional control program must 
also include, but not be limited to, carrying out an environmental 
monitoring program at the disposal site, periodic surveillance, minor 
custodial care, and other requirements as determined by the Commission; 
and administration of funds to cover the costs for these activities. The 
period of institutional controls will be determined by the Commission, 
but institutional controls may not be relied upon for more than 100 
years following transfer of control of the disposal site to the owner.



                     Subpart E--Financial Assurances



Sec. 61.61  Applicant qualifications and assurances.

    Each applicant shall show that it either possesses the necessary 
funds or has reasonable assurance of obtaining the necessary funds, or 
by a combination of the two, to cover the estimated costs of conducting 
all licensed activities over the planned operating life of the project, 
including costs of construction and disposal.

[[Page 174]]



Sec. 61.62  Funding for disposal site closure and stabilization.

    (a) The applicant shall provide assurance that sufficient funds will 
be available to carry out disposal site closure and stabilization, 
including: (1) Decontamination or dismantlement of land disposal 
facility structures; and (2) closure and stabilization of the disposal 
site so that following transfer of the disposal site to the site owner, 
the need for ongoing active maintenance is eliminated to the extent 
practicable and only minor custodial care, surveillance, and monitoring 
are required. These assurances shall be based on Commission-approved 
cost estimates reflecting the Commission-approved plan for disposal site 
closure and stabilization. The applicant's cost estimates must take into 
account total capital costs that would be incurred if an independent 
contractor were hired to perform the closure and stabilization work.
    (b) In order to avoid unnecessary duplication and expense, the 
Commission will accept financial sureties that have been consolidated 
with earmarked financial or surety arrangements established to meet 
requirements of other Federal or State agencies and/or local governing 
bodies for such decontamination, closure and stabilization. The 
Commission will accept this arrangement only if they are considered 
adequate to satisfy these requirements and that the portion of the 
surety which covers the closure of the disposal site is clearly 
identified and committed for use in accomplishing these activities.
    (c) The licensee's surety mechanism will be annually reviewed by the 
Commission to assure that sufficient funds are available for completion 
of the closure plan, assuming that the work has to be performed by an 
independent contractor.
    (d) The amount of surety liability should change in accordance with 
the predicted cost of future closure and stabilization. Factors 
affecting closure and stabilization cost estimates include: inflation; 
increases in the amount of disturbed land; changes in engineering plans; 
closure and stabilization that has already been accomplished and any 
other conditions affecting costs. This will yield a surety that is at 
least sufficient at all times to cover the costs of closure of the 
disposal units that are expected to be used before the next license 
renewal.
    (e) 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 could be provided with a surety 
mechanism which is written for a specified period of time (e.g., five 
years) yet which must be automatically renewed unless the party who 
issues the surety notifies the Commission and the beneficiary (the site 
owner) and the principal (the licensee) not less than 90 days prior to 
the renewal date of its intention not to renew. In such a situation the 
licensee must submit a replacement surety within 30 days after 
notification of cancellation. If the licensee fails to provide a 
replacement surety acceptable to the Commission, the site owner may 
collect on the original surety.
    (f) 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. Liability 
under the surety mechanism must remain in effect until the closure and 
stabilization program has been completed and approved by the Commission 
and the license has been transferred to the site owner.
    (g) Financial surety arrangements generally acceptable to the 
Commission include: surety bonds, cash deposits, certificates of 
deposits, deposits of government securities, escrow accounts, 
irrevocable letters or lines of credit, trust funds, and 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 pledging the assets of the licensee, will not 
satisfy the surety requirement for private sector applicants

[[Page 175]]

since this provides no additional assurance other than that which 
already exists through license requirements.



Sec. 61.63  Financial assurances for institutional controls.

    (a) Prior to the issuance of the license, the applicant shall 
provide for Commission review and approval a copy of a binding 
arrangement, such as a lease, between the applicant and the disposal 
site owner that ensures that sufficient funds will be available to cover 
the costs of monitoring and any required maintenance during the 
institutional control period. The binding arrangement will be reviewed 
periodically by the Commission to ensure that changes in inflation, 
technology and disposal facility operations are reflected in the 
arrangements.
    (b) Subsequent changes to the binding arrangement specified in 
paragraph (a) of this section relevant to institutional control shall be 
submitted to the Commission for approval.



     Subpart F--Participation by State Governments and Indian Tribes



Sec. 61.70  Scope.

    This subpart describes mechanisms through which the Commission will 
implement a formal request from a State or tribal government to 
participate in the review of a license application for a land disposal 
facility. Nothing in this subpart may be construed to bar the State or 
tribal governing body from participating in subsequent Commission 
proceedings concerning the license application as provided under Federal 
law and regulations.



Sec. 61.71  State and Tribal government consultation.

    Upon request of a State or tribal governing body, the Director shall 
make available Commission staff to discuss with representatives of the 
State or tribal governing body information submitted by the applicant, 
applicable Commission regulations, licensing procedures, potential 
schedules, and the type and scope of State activities in the license 
review permitted by law. In addition, staff shall be made available to 
consult and cooperate with the State or tribal governing body in 
developing proposals for participation in the license review.



Sec. 61.72  Filing of proposals for State and Tribal participation.

    (a) A State or tribal governing body whose interest is affected by a 
near-surface disposal facility at the proposed site may submit to the 
Director a proposal for participation in the review of a license 
application. Proposals must be submitted within the following time 
periods:
    (1) For the State in which the disposal facility will be located, or 
any State that is member of an interstate compact that includes the 
State in which the disposal facility is located, no later than 45 days 
following publication in the Federal Register of the notice of tendering 
of an application submitted under Sec. 61.20.
    (2) For any other State, or for a tribal governing body, no later 
than 120 days following publication in the Federal Register of the 
notice of tendering of an application submitted under Sec. 61.20.
    (b) Proposals for participation in the licensing process must be 
made in writing and must be signed by the Governor of the State or the 
official otherwise provided for by State or tribal law.
    (c) At a minimum, proposals must contain each of the following items 
of information:
    (1) A general description of how the State or tribe wishes to 
participate in the licensing process specifically identifying those 
issues it wishes to review.
    (2) A description of material and information which the State or 
tribe plans to submit to the Commission for consideration in the 
licensing process. A tentative schedule referencing steps in the review 
and calendar dates for planned submittals should be included.
    (3) A description of any work that the State or tribe proposes to 
perform for the Commission in support of the licensing process.
    (4) A description of State or tribal plans to facilitate local 
government and citizen participation.
    (5) A preliminary estimate of the types and extent of impacts which 
the State expects, should a disposal facility be located as proposed.

[[Page 176]]

    (6) If desired, any requests for educational or information services 
(seminars, public meetings) or other actions from the Commission such as 
establishment of additional Public Document Rooms or exchange of State 
personnel under the Intergovernmental Personnel Act.



Sec. 61.73  Commission approval of proposals.

    (a) Upon receipt of a proposal submitted in accordance with 
Sec. 61.72, the Director shall arrange for a meeting between the 
representatives of the State or tribal governing body and the Commission 
staff to discuss the proposal and to ensure full and effective 
participation by the State or tribe in the Commission's license review.
    (b) If requested by a State or tribal governing body, the Director 
may approve all or any part of a proposal if the Director determines 
that:
    (1) The proposed activities are within the scope of Commission 
statutory responsibility and the type and magnitude of impacts which the 
State or tribe may bear are sufficient to justify their participation; 
and
    (2) The proposed activities will contribute productively to the 
licensing review.
    (c) The decision of the Director will be transmitted in writing to 
the governor or the designated official of the tribal governing body.
    (d) Participation by a State or Indian tribe shall not affect their 
rights to participate in an adjudicatory hearing as provided by part 2 
of this chapter.



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



Sec. 61.80  Maintenance of records, reports, and transfers.

    (a) Each licensee shall maintain any records and make any reports in 
connection with the licensed activities as may be required by the 
conditions of the license or by the rules, regulations, and orders of 
the Commission.
    (b) Records which are required by the regulations in this part or by 
license conditions must be maintained for a period specified by the 
appropriate regulations in this chapter or by license condition. If a 
retention period is not otherwise specified, these records must be 
maintained and transferred to the officials specified in paragraph (e) 
of this section as a condition of license termination unless the 
Commission otherwise authorizes their disposition.
    (c) Records which must be maintained pursuant to this part may be 
the original or a reproduced copy or a microform if this reproduced copy 
or microform is capable of producing copy that is clear and legible at 
the end of 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.
    (d) 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 longest retention period specified takes precedence.
    (e) Notwithstanding paragraphs (a) through (d) of this section, the 
licensee shall record the location and the quantity of radioactive 
wastes contained in the disposal site and transfer these records upon 
license termination to the chief executive of the nearest municipality, 
the chief executive of the county in which the facility is located, the 
county zoning board or land development and planning agency, the State 
governor and other State, local, and Federal governmental agencies as 
designated by the Commission at the time of license termination.
    (f) Following receipt and acceptance of a shipment of radioactive 
waste, the licensee shall record the date that the shipment is received 
at the disposal facility, the date of disposal of the waste, a traceable 
shipment manifest number, a description of any engineered barrier or 
structural overpack provided for disposal of the waste, the location of 
disposal at the disposal site, the containment integrity of the waste 
disposal

[[Page 177]]

containers as received, any discrepancies between materials listed on 
the manifest and those received, the volume of any pallets, bracing, or 
other shipping or onsite generated materials that are contaminated, and 
are disposed of as contaminated or suspect materials, and any evidence 
of leaking or damaged disposal containers or radiation or contamination 
levels in excess of limits specified in Department of Transportation and 
Commission regulations. The licensee shall briefly describe any 
repackaging operations of any of the disposal containers included in the 
shipment, plus any other information required by the Commission as a 
license condition. The licensee shall retain these records until the 
Commission transfers or terminates the license that authorizes the 
activities described in this section.
    (g) Each licensee shall comply with the safeguards reporting 
requirements of Secs. 30.55, 40.64, 70.53 and 70.54 of this chapter if 
the quantities or activities of materials received or transferred exceed 
the limits of these sections. Inventory reports required by these 
sections are not required for materials after disposal.
    (h) Each licensee authorized to dispose of radioactive waste 
received from other persons shall file a copy of its financial report or 
a certified financial statement annually with the Commission in order to 
update the information base for determining financial qualifications.
    (i)(1) Each licensee authorized to dispose of waste materials 
received from other persons, pursuant to this part, shall submit annual 
reports to the appropriate Commission regional office shown in Appendix 
D to 10 CFR part 20, with copies to the Director, Division of Waste 
Management, Office of Nuclear Material Safety and Safeguards, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555. Reports must be 
submitted by the end of the first calendar quarter of each year for the 
preceding year.
    (2) The reports shall include (i) specification of the quantity of 
each of the principal radionuclides released to unrestricted areas in 
liquid and in airborne effluents during the preceding year, (ii) the 
results of the environmental monitoring program, (iii) a summary of 
licensee disposal unit survey and maintenance activities, (iv) a 
summary, by waste class, of activities and quantities of radionuclides 
disposed of, (v) any instances in which observed site characteristics 
were significantly different from those described in the application for 
a license; and (vi) any other information the Commission may require. If 
the quantities of radioactive materials released during the reporting 
period, monitoring results, or maintenance performed are significantly 
different from those expected in the materials previously reviewed as 
part of the licensing action, the report must cover this specifically.
    (j) Each licensee shall report in accordance with the requirements 
of Sec. 70.52 of this chapter.
    (k) Any transfer of byproduct, source, and special nuclear materials 
by the licensee is subject to the requirements in Secs. 30.41, 40.51, 
and 70.42 of this chapter. Byproduct, source and special nuclear 
material means materials as defined in these parts, respectively.
    (l) In addition to the other requirements of this section, the 
licensee shall store, or have stored, manifest and other information 
pertaining to receipt and disposal of radioactive waste in an electronic 
recordkeeping system.
    (1) The manifest information that must be electronically stored is--
    (i) That required in 10 CFR part 20, appendix G, with the exception 
of shipper and carrier telephone numbers and shipper and consignee 
certifications; and
    (ii) That information required in paragraph (f) of this section.
    (2) As specified in facility license conditions, the licensee shall 
report the stored information, or subsets of this information, on a 
computer-readable medium.

[47 FR 57463, Dec. 27, 1982, as amended at 52 FR 31612, Aug. 21, 1987; 
53 FR 19251, May 27, 1988; 58 FR 33891, June 22, 1993; 60 FR 15666, Mar. 
27, 1995]]

    Effective Date Note: At 67 FR 78141, Dec. 23, 2002, Sec. 61.80 was 
amended by revising paragraph (g), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

[[Page 178]]

Sec. 61.80  Maintenance of records, reports, and transfers.

                                * * * * *

    (g) Each licensee shall comply with the safeguards reporting 
requirements of Secs. 30.55, 40.64, 74.13, and 74.15 of this chapter if 
the quantities or activities of materials received or transferred exceed 
the limits of these sections. Inventory reports required by these 
sections are not required for materials after disposal.

                                * * * * *



Sec. 61.81  Tests at land disposal facilities.

    (a) Each licensee shall perform, or permit the Commission to 
perform, any tests as the Commission deems appropriate or necessary for 
the administration of the regulations in this part, including tests of:
    (1) Radioactive wastes and facilities used for the receipt, storage, 
treatment, handling and disposal of radioactive wastes.
    (2) Radiation detection and monitoring instruments; and
    (3) Other equipment and devices used in connection with the receipt, 
possession, handling, treatment, storage, or disposal of radioactive 
waste.



Sec. 61.82  Commission inspections of land disposal facilities.

    (a) Each licensee shall afford to the Commission at all reasonable 
times opportunity to inspect radioactive waste not yet disposed of, and 
the premises, equipment, operations, and facilities in which radioactive 
wastes are received, possessed, handled, treated, stored, or disposed 
of.
    (b) Each licensee shall make available to the Commission for 
inspection, upon reasonable notice, records kept by it pursuant to the 
regulations in this chapter. Authorized representatives of the 
Commission may copy and take away copies of, for the Commission's use, 
any record required to be kept pursuant to this part.



Sec. 61.83  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 55077, Nov. 24, 1992]



Sec. 61.84  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 61 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 61 that are not issued under sections 
161b, 161i, or 161o for the purposes of Section 223 are as follows: 
Secs. 61.1, 61.2, 61.4, 61.5, 61.6, 61.7, 61.8, 61.10, 61.11, 61.12, 
61.13, 61.14, 61.15, 61.16, 61.20, 61.21, 61.22, 61.23, 61.26, 61.30, 
61.31, 61.50, 61.51, 61.54, 61.55, 61.58, 61.59, 61.61, 61.63, 61.70, 
61.71, 61.72, 61.73, 61.83, and 61.84.

[57 FR 55077, Nov. 24, 1992]

[[Page 179]]



PART 62--CRITERIA AND PROCEDURES FOR EMERGENCY ACCESS TO NON-FEDERAL AND REGIONAL LOW-LEVEL WASTE DISPOSAL FACILITIES--Table of Contents




                      Subpart A--General Provisions

Sec.
62.1  Purpose and scope.
62.2  Definitions.
62.3  Communications.
62.4  Interpretations.
62.5  Specific exemptions.
62.8  Information collection requirements: OMB approval.

            Subpart B--Request for a Commission Determination

62.11  Filing and distribution of a determination request.
62.12  Contents of a request for emergency access: General information.
62.13  Contents of a request for emergency access: Alternatives.
62.14  Contents of a request for an extension of emergency access.
62.15  Additional information.
62.16  Withdrawal of a determination request.
62.17  Elimination of repetition.
62.18  Denial of request.

            Subpart C--Issuance of a Commission Determination

62.21  Determination for granting emergency access.
62.22  Notice of issuance of a determination.
62.23  Determination for granting temporary emergency access.
62.24  Extension of emergency access.
62.25  Criteria for a Commission determination.
62.26  Criteria for designating a disposal facility.

               Subpart D--Termination of Emergency Access

62.31  Termination of emergency access.

    Authority: Secs. 81, 161, as amended, 68 Stat. 935, 948, 949, 950, 
951, as amended. (42 U.S.C. 2111, 2201); secs. 201, 209, as amended, 88 
Stat. 1242, 1248, as amended (42 U.S.C. 5841, 5849); secs. 3, 4, 5, 6, 
99 Stat. 1843, 1844, 1845, 1846, 1847, 1848, 1849, 1850, 1851, 1852, 
1853, 1854, 1855, 1856, 1857. (42 U.S.C. 2021c, 2021d, 2021e, 2021f).

    Source: 54 FR 5420, Feb. 3, 1989, unless other noted.



                      Subpart A--General Provisions



Sec. 62.1  Purpose and scope.

    (a) The regulations in this part establish for specific low-level 
radioactive waste:
    (1) Criteria and procedures for granting emergency access under 
section 6 of the Low-Level Radioactive Waste Policy Amendments Act of 
1985 (42 U.S.C. 2021) to any non-Federal or regional low-level 
radioactive waste (LLW) disposal facility or to any non-Federal disposal 
facility within a State that is not a member of a Compact, and
    (2) The terms and conditions upon which the Commission will grant 
this emergency access.
    (b) The regulations in this part apply to all persons as defined by 
this regulation, who have been denied access to existing regional or 
non-Federal low-level radioactive waste disposal facilities and who 
submit a request to the Commission for a determination pursuant to this 
part.
    (c) The regulations in this part apply only to the LLW that the 
States have the responsibility to dispose of pursuant to section 3(1)(a) 
of the Act.



Sec. 62.2  Definitions.

    As used in this part:
    Act means the Low-Level Radioactive Waste Policy Amendments Act of 
1985 (Pub. L. 99-240).
    Agreement State means a State that--
    (1) Has entered into an agreement with the Nuclear Regulatory 
Commission under section 274 of the Atomic Energy Act of 1954 (42 U.S.C. 
2021); and
    (2) Has authority to regulate the disposal of low-level radioactive 
waste under such agreement.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Compact means a Compact entered into by two or more States pursuant 
to the Low-Level Radioactive Waste Policy Amendments Act of 1985.
    Compact Commission means the regional commission, committee, or 
board established in a Compact to administer such Compact.
    Disposal means the permanent isolation of low-level radioactive 
waste pursuant to the requirements established by the Nuclear Regulatory 
Commission

[[Page 180]]

under applicable laws, or by an Agreement State if such isolation occurs 
in this Agreement State.
    Emergency access means access to an operating non-Federal or 
regional low-level radioactive waste disposal facility or facilities for 
a period not to exceed 180 days, which is granted by NRC to a generator 
of low-level radioactive waste who has been denied the use of those 
facilities.
    Extension of emergency access means an extension of the access that 
had been previously granted by NRC to an operating non-Federal or 
regional low-level radioactive waste disposal facility or facilities for 
a period not to exceed 180 days.
    Low-level radioactive waste (LLW) means radioactive material that--
    (1) Is not high-level radioactive waste, spent nuclear fuel, or 
byproduct material (as defined in section IIe(2) of the Atomic Energy 
Act of 1954, (42 U.S.C. 2014(e)(2))); and (2) the NRC, consistent with 
existing law and in accordance with paragraph (a), classifies as low-
level radioactive waste.
    Non-Federal disposal facility means a low-level radioactive waste 
disposal facility that is commercially operated or is operated by a 
State.
    Person means any individual, corporation, partnership, firm, 
association, trust, State, public or private institution, group or 
agency who is an NRC or NRC Agreement State licensed generator of low-
level radioactive waste within the scope of Sec. 62.1(c) of this part; 
any Governor (or for any State without a Governor, the chief executive 
officer of the State) on behalf of any NRC or NRC Agreement State 
licensed generator or generators of low-level radioactive waste within 
the scope of Sec. 62.1(c) of this part located in his or her State; or 
their duly authorized representative, legal successor, or agent.
    Regional disposal facility means a non-Federal low-level radioactive 
waste disposal facility in operation on January 1, 1985, or subsequently 
established and operated under a compact.
    State means any State of the United States, the District of 
Columbia, and the Commonwealth of Puerto Rico.
    Temporary emergency access means access that is granted at NRC's 
discretion under Sec. 62.23 of this part upon determining that access is 
necessary to eliminate an immediate and serious threat to the public 
health and safety or the common defense and security. Such access 
expires 45 days after the granting and cannot be extended.



Sec. 62.3  Communications.

    Except where otherwise specified, each communication and report 
concerning the regulations in this part should be addressed to the 
Director, Office of Nuclear Materials Safety and Safeguards, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555, or may be delivered 
in person to the Commission's offices at 2120 L Street NW., Washington, 
DC, or 11555 Rockville Pike, Rockville, MD.



Sec. 62.4  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 considered binding on the 
Commission.



Sec. 62.5  Specific exemptions.

    The Commission may, upon application of any interested person or 
upon its own initiative, grant an exemption from the requirements of the 
regulations in this part that 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.



Sec. 62.8  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0143.

[[Page 181]]

    (b) The approved information collection requirements contained in 
this part appear in Secs. 62.11, 62.12, 62.13, 62.14, and 62.15.

[54 FR 5420, Feb. 3, 1989, as amended at 62 FR 52188, Oct. 6, 1997]



            Subpart B--Request for a Commission Determination



Sec. 62.11  Filing and distribution of a determination request.

    (a) The person submitting a request for a Commission determination 
shall file a signed original and nine copies of the request with the 
Commission at the address specified in Sec. 62.3 of this part, with a 
copy also provided to the appropriate Regional Administrator at the 
address specified in appendix D to part 20 of this chapter. The request 
must be signed by the person requesting the determination or the 
person's authorized representative under oath or affirmation.
    (b) Upon receipt of a request for a determination, the Secretary of 
the Commission shall publish a notice acknowledging receipt of the 
request in the Federal Register. The notice must require that public 
comment on the request be submitted within 10 days of the publication 
date of the notice. A copy of the request will be made available for 
inspection or copying at the NRC Web site, http://www.nrc.gov, and/or at 
the NRC Public Document Room. The Secretary of the Commission shall also 
transmit a copy of the request to the U.S. Department of Energy, to the 
Governors of the States of the Compact region where the waste is 
generated, to the Governors of the States with operating non-Federal 
low-level radioactive waste disposal facilities, to the Compact 
Commissions with operating regional low-level radioactive waste disposal 
facilities, and to the Governors of the States in the Compact 
Commissions with operating disposal facilities.
    (c) Upon receipt of a request for a determination based on a serious 
and immediate threat to the common defense and security, the Commission 
will notify DOD and/or DOE and provide a copy of the request as needed 
for their consideration.
    (d) Fees applicable to a request for a Commission determination 
under this part will be determined in accordance with the procedures set 
forth for special projects under category 12 of Sec. 170.31 of this 
chapter.
    (e) In the event that the allocations or limitations established in 
section 5(b) or 6(h) of the Act are met at all operating non-Federal or 
regional LLW disposal facilities, the Commission may suspend the 
processing or acceptance of requests for emergency access determinations 
until additional LLW disposal capacity is authorized by Congress.

[54 FR 5420, Feb. 3, 1989, as amended at 64 FR 48954, Sept. 9, 1999]



Sec. 62.12  Contents of a request for emergency access: General information.

    A request for a Commission determination under this part must 
include the following information for each generator to which the 
request applies:
    (a) Name and address of the person making the request;
    (b) Name and address of the person(s) or company(ies) generating the 
low-level radioactive waste for which the determination is sought;
    (c) A statement indicating whether the generator is basing the 
request on the grounds of a serious and immediate threat to the public 
health and safety or the common defense and security;
    (d) Certification that the radioactive waste for which emergency 
access is requested is low-level radioactive waste within Sec. 62.1(c) 
of this part;
    (e) The low-level waste generation facility(ies) producing the waste 
for which the request is being made;
    (f) A description of the activity that generated the waste;
    (g) Name of the disposal facility or facilities which had been 
receiving the waste stream of concern before the generator was denied 
access;
    (h) A description of the low-level radioactive waste for which 
emergency access is requested, including--
    (1) The characteristics and composition of the waste, including, but 
not limited to--
    (i) Type of waste (e.g. solidified oil, scintillation fluid, failed 
equipment);
    (ii) Principal chemical composition;
    (iii) Physical state (solid, liquid, gas);
    (iv) Type of solidification media; and

[[Page 182]]

    (v) Concentrations and percentages of any hazardous or toxic 
chemicals, chelating agents, or infectious or biological agents 
associated with the waste;
    (2) The radiological characteristics of the waste such as--
    (i) The classification of the waste in accordance with 61.55;
    (ii) A list of the radionuclides present or potentially present in 
the waste, their concentration or contamination levels, and total 
quantity;
    (iii) Distribution of the radionuclides within the waste (surface or 
volume distribution);
    (iv) Amount of transuranics (nanocuries/gram);
    (3) The minimum volume of the waste requiring emergency access to 
eliminate the threat to the public health and safety or the common 
defense and security;
    (4) The time duration for which emergency access is requested (not 
to exceed 180 days);
    (5) Type of disposal container or packaging (55 gallon drum, box, 
liner, etc.); and
    (6) Description of the volume reduction and waste minimization 
techniques applied to the waste which assure that it is reduced to the 
maximum extent practicable, and the actual reduction in volume that 
occurred;
    (i) Basis for requesting the determination set out in this part, 
including--
    (1) The circumstances that led to the denial of access to existing 
low-level radioactive waste disposal facilities;
    (2) A description of the situation that is responsible for creating 
the serious and immediate threat to the public health and safety or the 
common defense and security, including the date when the need for 
emergency access was identified;
    (3) A chronology and description of the actions taken by the person 
requesting emergency access to prevent the need for making such a 
request, including consideration of all alternatives set forth in 
Sec. 62.13 of this part, and any supporting documentation as 
appropriate;
    (4) An explanation of the impacts of the waste on the public health 
and safety or the common defense and security if emergency access is not 
granted, and the basis for concluding that these impacts constitute a 
serious and immediate threat to the public health and safety or the 
common defense and security. The impacts to the public health and safety 
or the common defense and security should also be addressed if the 
generator's services, including research activities, were to be 
curtailed, either for a limited period of time or indefinitely;
    (5) Other consequences if emergency access is not granted;
    (j) Steps taken by the person requesting emergency access to correct 
the situation requiring emergency access and the person's plans to 
eliminate the need for additional or future emergency access requests;
    (k) Documentation certifying that access has been denied;
    (l) Documentation that the waste for which emergency access is 
requested could not otherwise qualify for disposal pursuant to the 
Unusual Volumes provision (Section 5(c)(5) of the Act) or is not 
simultaneously under consideration by the Department of Energy (DOE) for 
access through the Unusual Volumes allocation;
    (m) Date by which access is required;
    (n) Any other information which the Commission should consider in 
making its determination.



Sec. 62.13  Contents of a request for emergency access: Alternatives.

    (a) A request for emergency access under this part must include 
information on alternatives to emergency access. The request shall 
include a discussion of the consideration given to any alternatives, 
including, but not limited to, the following:
    (1) Storage of low-level radioactive waste at the site of 
generation;
    (2) Storage of low-level radioactive waste in a licensed storage 
facility;
    (3) Obtaining access to a disposal facility by voluntary agreement;
    (4) Purchasing disposal capacity available for assignment pursuant 
to the Act;
    (5) Requesting disposal at a Federal low-level radioactive waste 
disposal facility in the case of a Federal or defense related generator 
of LLW;
    (6) Reducing the volume of the waste;

[[Page 183]]

    (7) Ceasing activities that generate low-level radioactive waste; 
and
    (8) Other alternatives identified under paragraph (b) of this 
section.
    (b) The request must identify all of the alternatives to emergency 
access considered, including any that would require State or Compact 
action, or any others that are not specified in paragraph (a) of this 
section. The request should also include a description of the process 
used to identify the alternatives, a description of the factors that 
were considered in identifying and evaluating them, a chronology of 
actions taken to identify and implement alternatives during the process, 
and a discussion of any actions that were considered, but not 
implemented.
    (c) The evaluation of each alternative must consider:
    (1) Its potential for mitigating the serious and immediate threat to 
public health and safety or the common defense and security posed by 
lack of access to disposal;
    (2) The adverse effects on public health and safety and the common 
defense and security, if any, of implementing each alternative, 
including the curtailment or cessation of any essential services 
affecting the public health and safety or the common defense and 
security;
    (3) The technical and economic feasibility of each alternative 
including the person's financial capability to implement the 
alternatives;
    (4) Any other pertinent societal costs and benefits;
    (5) Impacts to the environment;
    (6) Any legal impediments to implementation of each alternative, 
including whether the alternatives will comply with applicable NRC and 
NRC Agreement States regulatory requirements; and
    (7) The time required to develop and implement each alternative.
    (d) The request must include the basis for:
    (1) Rejecting each alternative; and
    (2) Concluding that no alternative is available.



Sec. 62.14  Contents of a request for an extension of emergency access.

    A request for an extension of emergency access must include:
    (a) Updates of the information required in Secs. 62.12 and 62.13; 
and
    (b) Documentation that the generator of the low-level radioactive 
waste granted emergency access and the State in which the low-level 
radioactive waste was generated have diligently, though unsuccessfully, 
acted during the period of the initial grant to eliminate the need for 
emergency access. Documentation must include:
    (1) An identification of additional alternatives that have been 
evaluated during the period of the initial grant, and
    (2) A discussion of any reevaluation of previously considered 
alternatives, including verification of continued attempts to gain 
access to a disposal facility by voluntary agreement.



Sec. 62.15  Additional information.

    (a) The Commission may require additional information from a person 
making a request for a Commission determination under this part 
concerning any portion of the request.
    (b) The Commission shall deny a request for a Commission 
determination under this part if the person making the request fails to 
respond to a request for additional information under paragraph (a) of 
this section within ten (10) days from the date of the request for 
additional information, or any other time that the Commission may 
specify. This denial will not prejudice the right of the person making 
the request to file another request for a Commission determination under 
this part.



Sec. 62.16  Withdrawal of a determination request.

    (a) A person may withdraw a request for a Commission determination 
under this part without prejudice at any time prior to the issuance of 
an initial determination under Sec. 62.21 of this part.
    (b) The Secretary of the Commission will cause to be published in 
the Federal Register a notice of the withdrawal of a request for a 
Commission determination under this part.

[[Page 184]]



Sec. 62.17  Elimination of repetition.

    In any request under this part, the person making the request may 
incorporate by reference information contained in a previous 
application, Statement, or report filed with the Commission provided 
that these references are updated, clear, and specific.



Sec. 62.18  Denial of request.

    If a request for a determination is based on circumstances that are 
too remote and speculative to allow an informed determination, the 
Commission may deny the request.



            Subpart C--Issuance of a Commission Determination



Sec. 62.21  Determination for granting emergency access.

    (a) Not later than (45) days after the receipt of a request for a 
Commission determination under this part from any generator of low-level 
radioactive waste, or any Governor on behalf of any generator or 
generators located in his or her State, the Commission shall determine 
whether--
    (1) Emergency access to a regional disposal facility or a non-
Federal disposal facility within a State that is not a member of a 
Compact for specific low-level radioactive waste is necessary because of 
an immediate and serious threat--
    (i) To the public health and safety or
    (ii) The common defense and security; and
    (2) The threat cannot be mitigated by any alternative consistent 
with the public health and safety, including those identified in 
Sec. 62.13.
    (b) In making a determination under this section, the Commission 
shall be guided by the criteria set forth in Sec. 62.25 of this part.
    (c) A determination under this section must be in writing and 
contain a full explanation of the facts upon which the determination is 
based and the reasons for granting or denying the request. An 
affirmative determination must designate an appropriate non-Federal or 
regional LLW disposal facility or facilities for the disposal of wastes, 
specifically describe the low-level radioactive waste as to source, 
physical and radiological characteristics, and the minimum volume and 
duration (not to exceed 180 days) necessary to eliminate the immediate 
threat to public health and safety or the common defense and security. 
It may also contain conditions upon which the determination is 
dependent.



Sec. 62.22  Notice of issuance of a determination.

    (a) Upon the issuance of a Commission determination the Secretary of 
the Commission will notify in writing the following persons of the final 
determination: The person making the request, the Governor of the State 
in which the low-level radioactive waste requiring emergency access was 
generated, the Governor of the State in which the designated disposal 
facility is located, and if pertinent, the appropriate Compact 
Commission for such approval as is specified as necessary in section 
6(g) of the Act. For the Governor of the State in which the designated 
disposal facility is located and for the appropriate Compact Commission, 
the notification must set forth the reasons that emergency access was 
granted and specifically describe the low-level radioactive waste as to 
source, physical and radiological characteristics, and the minimum 
volume and duration (not to exceed 180 days) necessary to alleviate the 
immediate and serious threat to public health and safety or the common 
defense and security. For the Governor of the State in which the low-
level waste was generated, the notification must indicate that no 
extension of emergency access will be granted under Sec. 62.24 of this 
part absent diligent State and generator action during the period of the 
initial grant.
    (b) The Secretary of the Commission will cause to be published in 
the Federal Register a notice of the issuance of the determination.
    (c) The Secretary of the Commission shall make a copy of the final 
determination available for inspection at the NRC Web site, http://
www.nrc.gov.

[54 FR 5420, Feb. 3, 1989, as amended at 64 FR 48954, Sept. 9, 1999]

[[Page 185]]



Sec. 62.23  Determination for granting temporary emergency access.

    (a) The Commission may grant temporary emergency access to an 
appropriate non-Federal or regional disposal facility or facilities 
provided that the determination required under Sec. 62.21(a)(1) of this 
part is made;
    (b) The notification procedures under Sec. 62.22 of this part are 
complied with; and
    (c) The temporary emergency access duration will not exceed forty-
five (45) days.



Sec. 62.24  Extension of emergency access.

    (a) After the receipt of a request from any generator of low-level 
waste, or any Governor on behalf of any generator or generators in his 
or her State, for an extension of emergency access that was initially 
granted under Sec. 62.21, the Commission shall make an initial 
determination of whether--
    (1) Emergency access continues to be necessary because of an 
immediate and serious threat to the public health and safety or the 
common defense and security;
    (2) The threat cannot be mitigated by any alternative that is 
consistent with public health and safety; and
    (3) The generator of low-level waste and the State have diligently 
though unsuccessfully acted during the period of the initial grant to 
eliminate the need for emergency access.
    (b) After making a determination pursuant to paragraph (a) of this 
section, the requirements specified in Secs. 62.21(c) and 62.22 of this 
part, must be followed.



Sec. 62.25  Criteria for a Commission determination.

    (a) In making the determination required by Sec. 62.21(a) of this 
part, the Commission will determine whether the circumstances described 
in the request for emergency access create a serious and immediate 
threat to the public health and safety or the common defense and 
security.
    (b) In making the determination that a serious and immediate threat 
exists to the public health and safety, the Commission will consider, 
notwithstanding the availability of any alternative identified in 
Sec. 62.13 of this part:
    (1) The nature and extent of the radiation hazard that would result 
from the denial of emergency access, including consideration of--
    (i) The standards for radiation protection contained in part 20 of 
this chapter;
    (ii) Any standards governing the release of radioactive materials to 
the general environment that are applicable to the facility that 
generated the low level waste; and
    (iii) Any other Commission requirements specifically applicable to 
the facility or activity that is the subject of the emergency access 
request; and
    (2) The extent to which essential services affecting the public 
health and safety (such as medical, therapeutic, diagnostic, or research 
activities) will be disrupted by the denial of emergency access.
    (c) For purposes of granting temporary emergency access under 
Sec. 62.23 of this part, the Commission will consider the criteria 
contained in the Commission's Policy Statement (45 FR 10950, February 
24, 1977) for determining whether an event at a facility or activity 
licensed or otherwise regulated by the Commission is an abnormal 
occurrence within the purview of section 208 of the Energy 
Reorganization Act of 1974.
    (d) In making the determination that a serious and immediate threat 
to the common defense and security exists, the Commission will consider, 
notwithstanding the availability of any alternative identified in 
Sec. 62.13 of this part:
    (1) Whether the activity generating the wastes is necessary to the 
protection of the common defense and security, and
    (2) Whether the lack of access to a disposal site would result in a 
significant disruption in that activity that would seriously threaten 
the common defense and security.

The Commission will consider the views of the Department of Defense 
(DOD) and or the Department of Energy (DOE) regarding the importance of 
the activities responsible for generating the LLW to the common defense 
and security, when evaluating requests based all, or in part, on a 
serious and immediate threat to the common defense and security.

[[Page 186]]

    (e) In making the determination required by Sec. 62.21(a)(2) of this 
part, the Commission will consider whether the person submitting the 
request--
    (1) Has identified and evaluated any alternative that could mitigate 
the need for emergency access; and
    (2) Has considered all pertinent factors in its evaluation of 
alternatives including state-of-the-art technology and impacts on public 
health and safety.
    (f) In making the determination required by Sec. 62.21(a)(2) of this 
part, the Commission will consider implementation of an alternative to 
be unreasonable if:
    (1) It adversely affects public health and safety, the environment, 
or the common defense and security; or
    (2) It results in a significant curtailment or cessation of 
essential services, affecting public health and safety or the common 
defense and security; or
    (3) It is beyond the technical and economic capabilities of the 
person requesting emergency access; or
    (4) Implementation of the alternative would conflict with applicable 
State or local or Federal laws and regulations; or
    (5) It cannot be implemented in a timely manner.
    (g) The Commission shall make an affirmative determination under 
Sec. 62.21(a) of this part only if all of the alternatives that were 
considered are found to be unreasonable.
    (h) As part of its mandated evaluation of the alternatives that were 
considered by the generator, the Commission shall consider the 
characteristics of the wastes (including: physical properties, chemical 
properties, radioactivity, pathogenicity, infectiousness, and toxicity, 
pyrophoricity, and explosive potential); condition of current container; 
potential for contaminating the disposal site; the technologies or 
combination of technologies available for treatment of the waste 
(including incinerators; evaporators-crystallizers; fluidized bed 
dryers; thin film evaporators; extruders, evaporators; and Compactors); 
the suitability of volume reduction equipment to the circumstances 
(specific activity considerations, actual volume reduction factors, 
generation of secondary wastes, equipment contamination, effluent 
releases, worker exposure, and equipment availability); and the 
administrative controls which could be applied, in making a 
determination whether waste to be delivered for disposal under this part 
has been reduced in volume to the maximum extent practicable using 
available technology.



Sec. 62.26  Criteria for designating a disposal facility.

    (a) The Commission shall designate an appropriate non-Federal or 
regional disposal facility if an affirmative determination is made 
pursuant to Secs. 62.21, 62.23, or 62.24 of this part.
    (b) The Commission will exclude a disposal facility from 
consideration if:
    (1) The low-level radioactive wastes of the generator do not meet 
the criteria established by the license agreement or the license 
agreement of the facility; or
    (2) The disposal facility is in excess of its approved capacity; or
    (3) Granting emergency access would delay the closing of the 
disposal facility pursuant to plans established before the receipt of 
the request for emergency access; or
    (4) The volume of waste requiring emergency access exceeds 20 
percent of the total volume of low-level radioactive waste accepted for 
disposal at the facility during the previous calendar year.
    (c) If, after applying the exclusionary criteria in paragraph (b) of 
this section, more than one disposal facility is identified as 
appropriate for designation, the Commission will then consider 
additional factors in designating a facility or facilities including--
    (1) Type of waste and its characteristics,
    (2) Previous disposal practices,
    (3) Transportation
    (4) Radiological effects,
    (5) Site capability for handling waste,
    (6) The volume of emergency access waste previously accepted by each 
site both for the particular year and overall, and
    (7) Any other considerations deemed appropriate by the Commission.
    (d) The Commission, in making its designation, will also consider 
any information submitted by the operating

[[Page 187]]

non-Federal or regional LLW disposal sites, or any information submitted 
by the public in response to a Federal Register notice requesting 
comment, as provided in paragraph (b) of Sec. 62.11 of this part.



               Subpart D--Termination of Emergency Access



Sec. 62.31  Termination of emergency access.

    (a) The Commission may terminate a grant of emergency access when 
emergency access is no longer necessary to eliminate an immediate threat 
to public health and safety or the common defense and security.
    (b) The Commission may terminate a grant of emergency access if an 
applicant has provided inaccurate information in its application for 
emergency access or if the applicant has failed to comply with this part 
or any conditions set by the Commission pursuant to this part.



PART 63--DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN A GEOLOGIC REPOSITORY AT YUCCA MOUNTAIN, NEVADA--Table of Contents




                      Subpart A--General Provisions

Sec.
63.1  Purpose and scope.
63.2  Definitions.
63.3  License required.
63.4  Communications and records.
63.5  Interpretations.
63.6  Exemptions.
63.7  License not required for certain preliminary activities.
63.8  Information collection requirements: OMB approval.
63.9  Employee protection.
63.10  Completeness and accuracy of information.
63.11  Deliberate misconduct.

                           Subpart B--Licenses

                          Preapplication Review

63.15  Site characterization.
63.16  Review of site characterization activities.

                           License Application

63.21  Content of application.
63.22  Filing and distribution of application.
63.23  Elimination of repetition.
63.24  Updating of application and environmental impact statement.

                       Construction Authorization

63.31  Construction authorization.
63.32  Conditions of construction authorization.
63.33  Amendment of construction authorization.

                     License Issuance and Amendment

63.41  Standards for issuance of a license.
63.42  Conditions of license.
63.43  License specification.
63.44  Changes, tests, and experiments.
63.45  Amendment of license.
63.46  Particular activities requiring license amendment.

                            Permanent Closure

63.51  License amendment for permanent closure.
63.52  Termination of license.

 Subpart C--Participation by State Government, Affected Units of Local 
                 Government, and Affected Indian Tribes

63.61  Provision of information.
63.62  Site review.
63.63  Participation in license reviews.
63.64  Notice to State.
63.65  Representation.

           Subpart D--Records, Reports, Tests, and Inspections

63.71  Records and reports.
63.72  Construction records.
63.73  Reports of deficiencies.
63.74  Tests.
63.75  Inspections.
63.78  Material control and accounting records and reports.

                      Subpart E--Technical Criteria

63.101  Purpose and nature of findings.
63.102  Concepts.

                    Preclosure Performance Objectives

63.111  Performance objectives for the geologic repository operations 
          area through permanent closure.

                       Preclosure Safety Analysis

63.112  Requirements for preclosure safety analysis of the geologic 
          repository operations area.

                   Postclosure Performance Objectives

63.113  Performance objectives for the geologic repository after 
          permanent closure.

[[Page 188]]

                   Postclosure Performance Assessment

63.114  Requirements for performance assessment.
63.115  Requirements for multiple barriers.

                       Land Ownership and Control

63.121  Requirements for ownership and control of interests in land.

               Subpart F--Performance Confirmation Program

63.131  General requirements.
63.132  Confirmation of geotechnical and design parameters.
63.133  Design testing.
63.134  Monitoring and testing waste packages.

                      Subpart G--Quality Assurance

63.141  Scope.
63.142  Quality assurance criteria.
63.143  Implementation.
63.144  Quality assurance program change.

           Subpart H--Training and Certification of Personnel

63.151  General requirements.
63.152  Training and certification program.
63.153  Physical requirements.

                 Subpart I--Emergency Planning Criteria

63.161  Emergency plan for the geologic repository operations area 
          through permanent closure.

                          Subpart J--Violations

63.171  Violations.
63.172  Criminal penalties.

     Subpart K--Preclosure Public Health and Environmental Standards

63.201  Purpose and scope.
63.202  Definitions for Subpart K.
63.203  Implementation of Subpart K.
63.204  Preclosure standard.

    Subpart L--Postclosure Public Health and Environmental Standards

63.301  Purpose and scope.
63.302  Definitions for Subpart L.
63.303  Implementation of Subpart L.
63.304  Reasonable expectation.
63.305  Required characteristics of the reference biosphere.

               Postclosure Individual Protection Standard

63.311  Individual protection standard after permanent closure.
63.312  Required characteristics of the reasonably maximally exposed 
          individual.

                        Human Intrusion Standard

63.321  Individual protection standard for human intrusion.
63.322  Human intrusion scenario.

                    Ground-Water Protection Standards

63.331  Separate standards for protection of ground water.
63.332  Representative volume.

                          Additional Provisions

63.341  Projections of peak dose.
63.342  Limits on performance assessments.
63.343  Severability of individual protection and ground-water 
          protection standards.

    Authority: Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 
929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2071, 
2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 
Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-
601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851); sec. 102, Pub. L. 91-190, 
83 Stat. 853 (42 U.S.C. 4332); secs. 114, 121, Pub. L. 97-425, 96 Stat. 
2213g, 2238, as amended (42 U.S.C. 10134, 10141), and Pub. L. 102-486, 
sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851).

    Source: 66 FR 55792, Nov. 2, 2001, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 63.1  Purpose and scope.

    This part prescribes rules governing the licensing of the U.S. 
Department of Energy to receive and possess source, special nuclear, and 
byproduct material at a geologic repository operations area sited, 
constructed, or operated at Yucca Mountain, Nevada, in accordance with 
the Nuclear Waste Policy Act of 1982, as amended, and the Energy Policy 
Act of 1992. As provided in 10 CFR 60.1, the regulations in part 60 of 
this chapter do not apply to any activity that is subject to licensing 
under this part. This part does not apply to any activity licensed under 
another part of this chapter. This part also gives notice to all persons 
who knowingly provide, to any licensee, applicant, contractor, or 
subcontractor, components, equipment, materials, or other goods or 
services, that relate to a licensee's or applicant's activities subject 
to this part, that they may be individually subject to NRC enforcement 
action for violation of Sec. 63.11.

[[Page 189]]



Sec. 63.2  Definitions.

    As used in this part:
    Affected Indian Tribe means any Indian Tribe within whose 
reservation boundaries a repository for high-level radioactive waste or 
spent fuel is proposed to be located; or whose Federally-defined 
possessory or usage rights to other lands outside of the reservation's 
boundaries arising out of Congressionally-ratified treaties or other 
Federal law may be substantially and adversely affected by the location 
of the facility if the Secretary of the Interior finds, on the petition 
of the appropriate governmental officials of the Tribe, that the effects 
are both substantial and adverse to the Tribe.
    Barrier means any material, structure, or feature that, for a period 
to be determined by NRC, prevents or substantially reduces the rate of 
movement of water or radionuclides from the Yucca Mountain repository to 
the accessible environment, or prevents the release or substantially 
reduces the release rate of radionuclides from the waste. For example, a 
barrier may be a geologic feature, an engineered structure, a canister, 
a waste form with physical and chemical characteristics that 
significantly decrease the mobility of radionuclides, or a material 
placed over and around the waste, provided that the material 
substantially delays movement of water or radionuclides.
    Commencement of construction means clearing of land, surface or 
subsurface excavation, or other substantial action that would adversely 
affect the environment of a site. It does not include changes desirable 
for the temporary use of the land for public recreational uses, site 
characterization activities, other preconstruction monitoring and 
investigation necessary to establish background information related to 
the suitability of the Yucca Mountain site or to the protection of 
environmental values, or procurement or manufacture of components of the 
geologic repository operations area.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Containment means the confinement of radioactive waste within a 
designated boundary.
    Design bases means that information that 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 constraints derived from generally accepted ``state-of-the-art'' 
practices for achieving functional goals or requirements derived from 
analysis (based on calculation or experiments) of the effects of a 
postulated event under which a structure, system, or component must meet 
its functional goals. The values for controlling parameters for external 
events include:
    (1) Estimates of severe natural events to be used for deriving 
design bases that will be based on consideration of historical data on 
the associated parameters, physical data, or analysis of upper limits of 
the physical processes involved; and
    (2) Estimates of severe external human-induced events to be used for 
deriving design bases, that will be based on analysis of human activity 
in the region, taking into account the site characteristics and the 
risks associated with the event.
    Director means the Director of the Nuclear Regulatory Commission's 
Office of Nuclear Material Safety and Safeguards.
    Disposal means the emplacement of radioactive waste in a geologic 
repository with the intent of leaving it there permanently.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Engineered barrier system means the waste packages, including 
engineered components and systems other than the waste package (e.g., 
drip shields), and the underground facility.
    Event sequence means a series of actions and/or occurrences within 
the natural and engineered components of a geologic repository 
operations area that could potentially lead to exposure of individuals 
to radiation. An event sequence includes one or more initiating events 
and associated combinations of repository system component failures, 
including those produced by the action or inaction of operating 
personnel. Those event sequences that are

[[Page 190]]

expected to occur one or more times before permanent closure of the 
geologic repository operations area are referred to as Category 1 event 
sequences. Other event sequences that have at least one chance in 10,000 
of occurring before permanent closure are referred to as Category 2 
event sequences.
    Geologic repository means a system that is intended to be used for, 
or may be used for, the disposal of radioactive wastes in excavated 
geologic media. A geologic repository includes the engineered barrier 
system and the portion of the geologic setting that provides isolation 
of the radioactive waste.
    Geologic repository operations area means a high-level radioactive 
waste facility that is part of a geologic repository, including both 
surface and subsurface areas, where waste handling activities are 
conducted.
    Geologic setting means the geologic, hydrologic, and geochemical 
systems of the region in which a geologic repository is or may be 
located.
    High-level radioactive waste or HLW means:
    (1) The highly radioactive material resulting from the reprocessing 
of spent nuclear fuel, including liquid waste produced directly in 
reprocessing and any solid material derived from such liquid waste that 
contains fission products in sufficient concentrations;
    (2) Irradiated reactor fuel; and
    (3) Other highly radioactive material that the Commission, 
consistent with existing law, determines by rule requires permanent 
isolation.
    HLW facility means a facility subject to the licensing and related 
regulatory authority of the Commission pursuant to sections 202(3) and 
202(4) of the Energy Reorganization Act of 1974 (88 Stat. 1244).\1\
---------------------------------------------------------------------------

    \1\ These are DOE ``facilities used primarily for the receipt and 
storage of high-level radioactive wastes resulting from activities 
licensed under such Act (the Atomic Energy Act)'' and ``Retrievable 
Surface Storage Facilities and other facilities authorized for the 
express purpose of subsequent long-term storage of high-level 
radioactive wastes generated by (DOE), which are not used for, or are 
part of, research and development activities.''
---------------------------------------------------------------------------

    Host rock means the geologic medium in which the waste is emplaced.
    Important to safety, with reference to structures, systems, and 
components, means those engineered features of the geologic repository 
operations area whose function is:
    (1) To provide reasonable assurance that high-level waste can be 
received, handled, packaged, stored, emplaced, and retrieved without 
exceeding the requirements of Sec. 63.111(b)(1) for Category 1 event 
sequences; or
    (2) To prevent or mitigate Category 2 event sequences that could 
result in radiological exposures exceeding the values specified at 
Sec. 63.111(b)(2) to any individual located on or beyond any point on 
the boundary of the site.
    Important to waste isolation, with reference to design of the 
engineered barrier system and characterization of natural barriers, 
means those engineered and natural barriers whose function is to provide 
a reasonable expectation that high-level waste can be disposed of 
without exceeding the requirements of Sec. 63.113(b) and (c).
    Initiating event means a natural or human induced event that causes 
an event sequence.
    Isolation means inhibiting the transport of radioactive material to:
    (1) The location of the reasonably maximally exposed individual so 
that radiological exposures will not exceed the requirements of 
Sec. 63.113(b); and
    (2) The accessible environment so that releases of radionuclides 
into the accessible environment will not exceed the requirements of 
Sec. 63.113(c).
    Performance assessment means an analysis that:
    (1) Identifies the features, events, processes (except human 
intrusion), and sequences of events and processes (except human 
intrusion) that might affect the Yucca Mountain disposal system and 
their probabilities of occurring during 10,000 years after disposal;
    (2) Examines the effects of those features, events, processes, and 
sequences of events and processes upon the performance of the Yucca 
Mountain disposal system; and
    (3) Estimates the dose incurred by the reasonably maximally exposed 
individual, including the associated uncertainties, as a result of 
releases

[[Page 191]]

caused by all significant features, events, processes, and sequences of 
events and processes, weighted by their probability of occurrence.
    Performance confirmation means the program of tests, experiments, 
and analyses that is conducted to evaluate the adequacy of the 
information used to demonstrate compliance with the performance 
objectives in subpart E of this part.
    Permanent closure means final backfilling of the underground 
facility, if appropriate, and the sealing of shafts, ramps, and 
boreholes.
    Preclosure safety analysis means a systematic examination of the 
site; the design; and the potential hazards, initiating events and event 
sequences and their consequences (e.g., radiological exposures to 
workers and the public). The analysis identifies structures, systems, 
and components important to safety.
    Public Document Room means the place at One White Flint North, 11555 
Rockville Pike, Room O-1F13, Rockville, MD, at which records of the 
Commission will ordinarily be made available for public inspection and 
any other place, the location of which has been published in the Federal 
Register, at which public records of the Commission pertaining to a 
geologic repository at the Yucca Mountain site are made available for 
public inspection.
    Radioactive waste or waste means HLW and radioactive materials other 
than HLW that are received for emplacement in a geologic repository.
    Reasonably maximally exposed individual means the hypothetical 
person meeting the criteria specified at Sec. 63.312.
    Reference biosphere means the description of the environment 
inhabited by the reasonably maximally exposed individual. The reference 
biosphere comprises the set of specific biotic and abiotic 
characteristics of the environment, including, but not necessarily 
limited to, climate, topography, soils, flora, fauna, and human 
activities.
    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 aside as a restricted area.
    Retrieval means the act of permanently removing radioactive waste 
from the underground location at which the waste had been previously 
emplaced for disposal.
    Saturated zone means that part of the earth's crust beneath the 
regional water table in which statistically all voids, large and small, 
are filled with water under pressure greater than atmospheric.
    Site means that area surrounding the geologic repository operations 
area for which DOE exercises authority over its use in accordance with 
the provisions of this part.
    Site characterization means the program of exploration and research, 
both in the laboratory and in the field, undertaken to establish the 
geologic conditions and the ranges of those parameters of the Yucca 
Mountain site, and the surrounding region to the extent necessary, 
relevant to the procedures under this part. Site characterization 
includes borings, surface excavations, excavation of exploratory shafts 
and/or ramps, limited subsurface lateral excavations and borings, and in 
situ testing at depth needed to determine the suitability of the site 
for a geologic repository.
    Total effective dose equivalent (TEDE) means, for purposes of 
assessing doses to workers, the sum of the deep-dose equivalent (for 
external exposures) and the committed effective dose equivalent (for 
internal exposures). For purposes of assessing doses to members of the 
public (including the RMEI), TEDE means the sum of the effective dose 
equivalent (for external exposures) and the committed effective dose 
equivalent (for internal exposures).
    Underground facility means the underground structure, backfill 
materials, if any, and openings that penetrate the underground structure 
(e.g., ramps, shafts, and boreholes, including their seals).
    Unrestricted area means an area, access to which is neither limited 
nor controlled by the licensee.
    Unsaturated zone means the zone between the land surface and the 
regional

[[Page 192]]

water table. Generally, fluid pressure in this zone is less than 
atmospheric pressure, and some of the voids may contain air or other 
gases at atmospheric pressure. Beneath flooded areas or in perched water 
bodies, the fluid pressure locally may be greater than atmospheric.
    Waste form means the radioactive waste materials and any 
encapsulating or stabilizing matrix.
    Waste package means the waste form and any containers, shielding, 
packing, and other absorbent materials immediately surrounding an 
individual waste container.
    Water table means that surface in a ground-water body, separating 
the unsaturated zone from the saturated zone, at which the water 
pressure is atmospheric.



Sec. 63.3  License required.

    (a) DOE may not receive nor possess source, special nuclear, or 
byproduct material at a geologic repository operations area at the Yucca 
Mountain site except as authorized by a license issued by the Commission 
under this part.
    (b) DOE may not begin construction of a geologic repository 
operations area at the Yucca Mountain site unless it has filed an 
application with the Commission and has obtained construction 
authorization as provided in this part. Failure to comply with this 
requirement is grounds for denial of a license.



Sec. 63.4  Communications and records.

    (a) Except where otherwise specified, all communications and reports 
concerning the regulations in this part and applications filed under 
them should be addressed to the Director of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001. Communications, reports, and applications may be delivered in 
person at the Commission's offices at 11555 Rockville Pike, Rockville, 
MD.
    (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 if the copy or 
microform is authenticated by authorized personnel and 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.



Sec. 63.5  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 is binding on the Commission.



Sec. 63.6  Exemptions.

    The Commission may, upon application by DOE, any interested person, 
or upon its own initiative, grant an exemption from the requirements of 
this part if it determines that the exemption is authorized by law, does 
not endanger life nor property nor the common defense and security, and 
is otherwise in the public interest.



Sec. 63.7  License not required for certain preliminary activities.

    The requirement for a license set forth in Sec. 63.3(a) is not 
applicable to the extent that DOE receives and possesses source, special 
nuclear, and byproduct material at a geologic repository at the Yucca 
Mountain site:
    (a) For purposes of site characterization; or
    (b) For use, during site characterization or construction, as 
components of radiographic, radiation monitoring, or similar equipment 
or instrumentation.



Sec. 63.8  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 (44 U.S.C. 3501, et seq.). The NRC

[[Page 193]]

may not conduct or sponsor, and a person is not required to respond to, 
a collection of information unless it displays a currently valid OMB 
control number. OMB has approved the information collection requirements 
contained in this part under control number 3150-0199.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 63.62, 63.63, and 63.65.



Sec. 63.9  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) of this section or possible violations of requirements imposed under 
either of those aforementioned statutes;
    (ii) Refusing to engage in any practice made unlawful under either 
of the statutes named in paragraph (a) of this section, 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) of this 
section;
    (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 does not apply 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; or
    (3) Other enforcement action.
    (d) Actions taken by an employer, or others, that adversely affect 
an employee, may be predicated on 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

[[Page 194]]

post the revision of NRC Form 3, ``Notice to Employees,'' referenced in 
Sec. 19.11(c) of this chapter. 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 
accessing the NRC Web site www.nrc.gov/NRC/FORMS/forms3.html.
    (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 that would prohibit, restrict, or otherwise discourage an 
employee from participating in a protected activity as defined in 
paragraph (a)(1) of this section, including, but not limited to, 
providing information to NRC or to his or her employer on potential 
violations or other matters within NRC's regulatory responsibilities.



Sec. 63.10  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 
required by the Commission's regulations, orders, or license conditions 
to be maintained by the applicant or the licensee must be complete and 
accurate in all material respects.
    (b) The 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 must be provided to the 
Director of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, within 2 working days of identifying the 
information. This requirement is not applicable to information that is 
already required to be provided to the Commission by other reporting or 
updating requirements.



Sec. 63.11  Deliberate misconduct.

    (a) Any licensee, applicant for a license, employee of a licensee or 
applicant; or any contractor (including a supplier or consultant), 
subcontractor, employee of a contractor or subcontractor of any licensee 
or applicant for a license, who knowingly provides to any licensee, 
applicant, contractor, or subcontractor, any components, equipment, 
materials, or other goods or services that relate to a licensee's or 
applicant's activities in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee or applicant 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 NRC, a licensee, an applicant, or a 
licensee's or applicant's contractor or subcontractor, information that 
the person submitting the information knows to be incomplete or 
inaccurate in some respect material to 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 or applicant to be in violation of any 
rule, regulation, or order; or any term, condition, or limitation, of 
any license issued by the Commission; or

[[Page 195]]

    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order, or policy of a licensee, 
applicant, contractor, or subcontractor.



                           Subpart B--Licenses

                          Preapplication Review



Sec. 63.15  Site characterization.

    (a) DOE shall conduct a program of site characterization with 
respect to the Yucca Mountain site before it submits an application for 
a license to be issued under this part.
    (b) DOE shall conduct the investigations to obtain the required 
information in a manner that limits adverse effects on the long-term 
performance of the geologic repository at Yucca Mountain to the extent 
practical.



Sec. 63.16  Review of site characterization activities.\2\

    (a) If DOE's planned site characterization activities include onsite 
testing with radioactive material, including radioactive tracers, the 
Commission shall determine whether the proposed use of such radioactive 
material is necessary to provide data for the preparation of the 
environmental reports required by law and for an application to be 
submitted under Sec. 63.22.
---------------------------------------------------------------------------

    \2\ In addition to the review of site characterization activities 
specified in this section, the Commission contemplates an ongoing review 
of other information on site investigation and site characterization, to 
allow early identification of potential licensing issues for timely 
resolution at the staff level.
---------------------------------------------------------------------------

    (b) During the conduct of site characterization activities at the 
Yucca Mountain site, DOE shall report the nature and extent of the 
activities, the information that has been developed, and the progress of 
waste form and waste package research and development to the Commission 
not less than once every 6 months. The semiannual reports must include 
the results of site characterization studies, the identification of new 
issues, plans for additional studies to resolve new issues, elimination 
of planned studies no longer necessary, identification of decision 
points reached, and modifications to schedules, where appropriate. DOE 
shall also report its progress in developing the design of a geologic 
repository operations area appropriate for the area being characterized, 
noting when key design parameters or features that depend on the results 
of site characterization will be established. Other topics related to 
site characterization must also be covered if requested by the Director.
    (c) During the conduct of site characterization activities at the 
Yucca Mountain site, NRC staff shall be permitted to visit and inspect 
the locations at which such activities are carried out and to observe 
excavations, borings, and in situ tests, as they are done.
    (d) The Director may comment at any time in writing to DOE, 
expressing current views on any aspect of site characterization or 
performance assessment at the Yucca Mountain site. In particular, the 
Director shall comment whenever he or she determines that there are 
substantial grounds for making recommendations or stating objections to 
DOE's site characterization program. The Director shall invite public 
comment on any comments that the Director makes to DOE on review of the 
DOE semiannual reports or on any other comments that the Director makes 
to DOE on site characterization and performance assessment by placing 
the comments in a public forum to allow the public to comment on them 
after the Director's comments are sent to DOE.
    (e) The Director shall transmit copies of all comments to DOE made 
by the Director under this section to the Governor and legislature of 
the State of Nevada and to the governing body of any affected Indian 
Tribe.
    (f) All correspondence between DOE and NRC resulting from the 
requirements of this section, including the reports described in 
paragraph (b) of this section, must be placed in the Public Document 
Room.
    (g) The activities described in paragraphs (a) through (f) of this 
section constitute informal conference between a prospective applicant 
and the NRC staff, as described in Sec. 2.101(a)(1) of this chapter, and 
are not part of a proceeding under the Atomic Energy Act of 1954, as 
amended. Accordingly, the

[[Page 196]]

issuance of the Director's comments made under this section does not 
constitute a commitment to issue any authorization or license, or in any 
way affect the authority of the Commission, Atomic Safety and Licensing 
Board, other presiding officers, or the Director, in any such 
proceeding.

                           License Application



Sec. 63.21  Content of application.

    (a) An application consists of general information and a Safety 
Analysis Report. An environmental impact statement must be prepared in 
accordance with the Nuclear Waste Policy Act of 1982, as amended, and 
must accompany the application. Any Restricted Data or National Security 
Information must be separated from unclassified information. The 
application must be as complete as possible in the light of information 
that is reasonably available at the time of docketing.
    (b) The general information must include:
    (1) A general description of the proposed geologic repository at the 
Yucca Mountain site, identifying the location of the geologic repository 
operations area, the general character of the proposed activities, and 
the basis for the exercise of the Commission's licensing authority.
    (2) Proposed schedules for construction, receipt of waste, and 
emplacement of wastes at the proposed geologic repository operations 
area.
    (3) A description of the detailed security measures for physical 
protection of high-level radioactive waste in accordance with Sec. 73.51 
of this chapter. This plan must include the design for physical 
protection, the licensee's safeguards contingency plan, and security 
organization personnel training and qualification plan. The plan must 
list tests, inspections, audits, and other means to be used to 
demonstrate compliance with such requirements.
    (4) A description of the material control and accounting program to 
meet the requirements of Sec. 63.78.
    (5) A description of work conducted to characterize the Yucca 
Mountain site.
    (c) The Safety Analysis Report must include:
    (1) A description of the Yucca Mountain site, with appropriate 
attention to those features, events, and processes of the site that 
might affect design of the geologic repository operations area and 
performance of the geologic repository. The description of the site must 
include information regarding features, events, and processes outside of 
the site to the extent the information is relevant and material to 
safety or performance of the geologic repository. The information 
referred to in this paragraph must include:
    (i) The location of the geologic repository operations area with 
respect to the boundary of the site;
    (ii) Information regarding the geology, hydrology, and geochemistry 
of the site, including geomechanical properties and conditions of the 
host rock;
    (iii) Information regarding surface water hydrology, climatology, 
and meteorology of the site; and
    (iv) Information regarding the location of the reasonably maximally 
exposed individual, and regarding local human behaviors and 
characteristics, as needed to support selection of conceptual models and 
parameters used for the reference biosphere and reasonably maximally 
exposed individual.
    (2) Information relative to materials of construction of the 
geologic repository operations area (including geologic media, general 
arrangement, and approximate dimensions), and codes and standards that 
DOE proposes to apply to the design and construction of the geologic 
repository operations area.
    (3) A description and discussion of the design of the various 
components of the geologic repository operations area and the engineered 
barrier system including:
    (i) Dimensions, material properties, specifications, analytical and 
design methods used along with any applicable codes and standards;
    (ii) The design criteria used and their relationships to the 
preclosure and postclosure performance objectives specified at 
Sec. 63.111(b), Sec. 63.113(b), and Sec. 63.113(c); and
    (iii) The design bases and their relation to the design criteria.
    (4) A description of the kind, amount, and specifications of the 
radioactive

[[Page 197]]

material proposed to be received and possessed at the geologic 
repository operations area at the Yucca Mountain site.
    (5) A preclosure safety analysis of the geologic repository 
operations area, for the period before permanent closure, to ensure 
compliance with Sec. 63.111(a), as required by Sec. 63.111(c). For the 
purposes of this analysis, it is assumed that operations at the geologic 
repository operations area will be carried out at the maximum capacity 
and rate of receipt of radioactive waste stated in the application.
    (6) A description of the program for control and monitoring of 
radioactive effluents and occupational radiological exposures to 
maintain such effluents and exposures in accordance with the 
requirements of Sec. 63.111.
    (7) A description of plans for retrieval and alternate storage of 
the radioactive wastes, should retrieval be necessary.
    (8) A description of design considerations that are intended to 
facilitate permanent closure and decontamination or decontamination and 
dismantlement of surface facilities.
    (9) An assessment to determine the degree to which those features, 
events, and processes of the site that are expected to materially affect 
compliance with Sec. 63.113--whether beneficial or potentially adverse 
to performance of the geologic repository--have been characterized, and 
the extent to which they affect waste isolation. Investigations must 
extend from the surface to a depth sufficient to determine principal 
pathways for radionuclide migration from the underground facility. 
Specific features, events, and processes of the geologic setting must be 
investigated outside of the site if they affect performance of the 
geologic repository.
    (10) An assessment of the anticipated response of the geomechanical, 
hydrogeologic, and geochemical systems to the range of design thermal 
loadings under consideration, given the pattern of fractures and other 
discontinuities and the heat transfer properties of the rock mass and 
water.
    (11) An assessment of the ability of the proposed geologic 
repository to limit radiological exposures to the reasonably maximally 
exposed individual for the period after permanent closure, as required 
by Sec. 63.113(b).
    (12) An assessment of the ability of the proposed geologic 
repository to limit releases of radionuclides into the accessible 
environment as required by Sec. 63.113(c).
    (13) An assessment of the ability of the proposed geologic 
repository to limit radiological exposures to the reasonably maximally 
exposed individual for the period after permanent closure in the event 
of human intrusion into the engineered barrier system as required by 
Sec. 63.113(d).
    (14) An evaluation of the natural features of the geologic setting 
and design features of the engineered barrier system that are considered 
barriers important to waste isolation as required by Sec. 63.115.
    (15) An explanation of measures used to support the models used to 
provide the information required in paragraphs (c)(9) through (c)(14) of 
this section. Analyses and models that will be used to assess 
performance of the geologic repository must be supported by using an 
appropriate combination of such methods as field tests, in situ tests, 
laboratory tests that are representative of field conditions, monitoring 
data, and natural analog studies.
    (16) An identification of those structures, systems, and components 
of the geologic repository, both surface and subsurface, that require 
research and development to confirm the adequacy of design. For 
structures, systems, and components important to safety and for the 
engineered and natural barriers important to waste isolation, DOE shall 
provide a detailed description of the programs designed to resolve 
safety questions, including a schedule indicating when these questions 
would be resolved.
    (17) A description of the performance confirmation program that 
meets the requirements of subpart F of this part.
    (18) An identification and justification for the selection of those 
variables, conditions, or other items that are determined to be probable 
subjects of license specifications. Special attention must be given to 
those items that may significantly influence the final design.

[[Page 198]]

    (19) An explanation of how expert elicitation was used.
    (20) A description of the quality assurance program to be applied to 
the structures, systems, and components important to safety and to the 
engineered and natural barriers important to waste isolation. The 
description of the quality assurance program must include a discussion 
of how the applicable requirements of Sec. 63.142 will be satisfied.
    (21) A description of the plan for responding to, and recovering 
from, radiological emergencies that may occur at any time before 
permanent closure and decontamination or decontamination and 
dismantlement of surface facilities, as required by Sec. 63.161.
    (22) The following information concerning activities at the geologic 
repository operations area:
    (i) The organizational structure of DOE as it pertains to 
construction and operation of the geologic repository operations area, 
including a description of any delegations of authority and assignments 
of responsibilities, whether in the form of regulations, administrative 
directives, contract provisions, or otherwise.
    (ii) Identification of key positions that are assigned 
responsibility for safety at and operation of the geologic repository 
operations area.
    (iii) Personnel qualifications and training requirements.
    (iv) Plans for startup activities and startup testing.
    (v) Plans for conduct of normal activities, including maintenance, 
surveillance, and periodic testing of structures, systems, and 
components of the geologic repository operations area.
    (vi) Plans for permanent closure and plans for the decontamination 
or decontamination and dismantlement of surface facilities.
    (vii) Plans for any uses of the geologic repository operations area 
at the Yucca Mountain site for purposes other than disposal of 
radioactive wastes, with an analysis of the effects, if any, that such 
uses may have on the operation of the structures, systems, and 
components important to safety and the engineered and natural barriers 
important to waste isolation.
    (23) A description of the program to be used to maintain the records 
described in Secs. 63.71 and 63.72.
    (24) A description of the controls that DOE will apply to restrict 
access and to regulate land use at the Yucca Mountain site and adjacent 
areas, including a conceptual design of monuments that would be used to 
identify the site after permanent closure.



Sec. 63.22  Filing and distribution of application.

    (a) An application for a license to receive and possess source, 
special nuclear, or byproduct material at a geologic repository 
operations area at the Yucca Mountain site that has been characterized, 
any amendments to the application, and an accompanying environmental 
impact statement and any supplements, must be signed by the Secretary of 
Energy or the Secretary's authorized representative and must be filed in 
triplicate with the Director.
    (b) DOE shall submit 30 additional copies of each portion of the 
application and any amendments, and each environmental impact statement 
and any supplements. DOE shall retain another 120 copies for 
distribution in accordance with written instructions from the Director 
or the Director's designee.
    (c) On notification of the appointment of an Atomic Safety and 
Licensing Board, DOE shall update the application, eliminating all 
superseded information, and supplement the environmental impact 
statement if necessary, and serve the updated application and 
environmental impact statement (as it may have been supplemented) as 
directed by the Board. Any subsequent amendments to the application or 
supplements to the environmental impact statement must be served in the 
same manner.
    (d) When an application, and any amendment to it is filed, copies 
must be made available in appropriate locations near the proposed 
geologic repository operations area at the Yucca Mountain site for 
inspection by the public. These copies must be updated as amendments to 
the application are made. The environmental impact statement and any 
supplements to it must be made available in the same

[[Page 199]]

manner. An updated copy of the application, and the environmental impact 
statement and supplements, must be produced at any public hearing held 
by the Commission on the application for use by any party to the 
proceeding.
    (e) DOE shall certify that the updated copies of the application, 
and the environmental impact statement as it may have been supplemented, 
as referred to in paragraphs (c) and (d) of this section, contain the 
current contents of these documents submitted as required by this part.



Sec. 63.23  Elimination of repetition.

    In its application or environmental impact statement, DOE may 
incorporate, by reference, information contained in previous 
applications, statements, or reports filed with the Commission, if the 
references are clear and specific and copies of the information 
incorporated are made available to the public locations near the site of 
the proposed geologic repository, as specified in Sec. 63.22(d).



Sec. 63.24  Updating of application and environmental impact statement.

    (a) The application must be as complete as possible in light of the 
information that is reasonably available at the time of docketing.
    (b) DOE shall update its application in a timely manner so as to 
permit the Commission to review, before issuance of a license--
    (1) Additional geologic, geophysical, geochemical, hydrologic, 
meteorologic, materials, design, and other data obtained during 
construction;
    (2) Conformance of construction of structures, systems, and 
components with the design;
    (3) Results of research programs carried out to confirm the adequacy 
of designs, conceptual models, parameter values, and estimates of 
performance of the geologic repository.
    (4) Other information bearing on the Commission's issuance of a 
license that was not available at the time a construction authorization 
was issued.
    (c) DOE shall supplement its environmental impact statement in a 
timely manner so as to take into account the environmental impacts of 
any substantial changes in its proposed actions or any significant new 
circumstances or information relevant to environmental concerns bearing 
on the proposed action or its impacts.

                       Construction Authorization



Sec. 63.31  Construction authorization.

    On review and consideration of an application and environmental 
impact statement submitted under this part, the Commission may authorize 
construction of a geologic repository operations area at the Yucca 
Mountain site if it determines:
    (a) Safety.
    (1) That there is reasonable assurance that the types and amounts of 
radioactive materials described in the application can be received and 
possessed in a geologic repository operations area of the design 
proposed without unreasonable risk to the health and safety of the 
public; and
    (2) That there is reasonable expectation that the materials can be 
disposed of without unreasonable risk to the health and safety of the 
public.
    (3) In arriving at these determinations, the Commission shall 
consider whether--
    (i) DOE has described the proposed geologic repository as specified 
at Sec. 63.21;
    (ii) The site and design comply with the performance objectives and 
requirements contained in subpart E of this part;
    (iii) DOE's quality assurance program complies with the requirements 
of subpart G of this part;
    (iv) DOE's personnel training program complies with the criteria 
contained in subpart H of this part;
    (v) DOE's emergency plan complies with the criteria contained in 
subpart I of this part; and
    (vi) DOE's proposed operating procedures to protect health and to 
minimize danger to life or property are adequate.
    (b) Common defense and security. That there is reasonable assurance 
that the activities proposed in the application will not be inimical to 
the common defense and security.

[[Page 200]]

    (c) Environmental. That, after weighing the environmental, economic, 
technical, and other benefits against environmental costs, and 
considering available alternatives, the action called for is the 
issuance of the construction authorization, with any appropriate 
conditions to protect environmental values.



Sec. 63.32  Conditions of construction authorization.

    (a) In a construction authorization for a geologic repository 
operations area at the Yucca Mountain site, the Commission shall include 
any conditions it considers necessary to protect the health and safety 
of the public, the common defense and security, or environmental values.
    (b) The Commission shall incorporate provisions in the construction 
authorization requiring DOE to furnish periodic or special reports 
regarding:
    (1) Progress of construction;
    (2) Any data about the site, obtained during construction, that are 
not within the predicted limits on which the facility design was based;
    (3) Any deficiencies, in design and construction, that, if 
uncorrected, could adversely affect safety at any future time; and
    (4) Results of research and development programs being conducted to 
resolve safety questions.
    (c) The construction authorization for a geologic repository 
operations area at the Yucca Mountain site will include restrictions on 
subsequent changes to the features of the geologic repository and the 
procedures authorized. The restrictions that may be imposed under this 
paragraph can include measures to prevent adverse effects on the 
geologic setting as well as measures related to the design and 
construction of the geologic repository operations area. These 
restrictions will fall into three categories of descending importance to 
public health and safety, as follows:
    (1) Those features and procedures that may not be changed without--
    (i) 60 days prior notice to the Commission;
    (ii) 30 days notice of opportunity for a prior hearing; and
    (iii) Prior Commission approval;
    (2) Those features and procedures that may not be changed without--
    (i) 60 days prior notice to the Commission; and
    (ii) Prior Commission approval; and
    (3) Those features and procedures that may not be changed without 60 
days notice to the Commission. Features and procedures falling in this 
paragraph section may not be changed without prior Commission approval 
if the Commission, after having received the required notice, so orders.
    (d) A construction authorization must be subject to the limitation 
that a license to receive and possess source, special nuclear, or 
byproduct material at the Yucca Mountain site geologic repository 
operations area may not be issued by the Commission until;
    (1) DOE has updated its application, as specified at Sec. 63.24; and
    (2) The Commission has made the findings stated in Sec. 63.41.



Sec. 63.33  Amendment of construction authorization.

    (a) An application for amendment of a construction authorization 
must be filed with the Commission that fully describes any desired 
changes and follows, as far as applicable, the content requirements 
prescribed in Sec. 63.21.
    (b) In determining whether an amendment of a construction 
authorization will be approved, the Commission will be guided by the 
considerations that govern the issuance of the initial construction 
authorization, to the extent applicable.

                     License Issuance and Amendment



Sec. 63.41  Standards for issuance of a license.

    A license to receive and possess source, special nuclear, or 
byproduct material at a geologic repository operations area at the Yucca 
Mountain site may be issued by the Commission on finding that--
    (a) Construction of the geologic repository operations area has been 
substantially completed in conformity with the application as amended, 
the provisions of the Atomic Energy Act, and the rules and regulations 
of the Commission. Construction may be considered substantially complete 
for the

[[Page 201]]

purposes of this paragraph if the construction of--
    (1) Surface and interconnecting structures, systems, and components; 
and
    (2) Any underground storage space required for initial operation, 
are substantially complete.
    (b) The activities to be conducted at the geologic repository 
operations area will be in conformity with the application as amended, 
the provisions of the Atomic Energy Act and the Energy Reorganization 
Act, and the rules and regulations of the Commission.
    (c) The issuance of the license will not be inimical to the common 
defense and security and will not constitute an unreasonable risk to the 
health and safety of the public.
    (d) Adequate protective measures can and will be taken in the event 
of a radiological emergency at any time before permanent closure and 
decontamination or decontamination and dismantlement of surface 
facilities.
    (e) All applicable requirements of part 51 of this chapter have been 
satisfied.



Sec. 63.42  Conditions of license.

    (a) The Commission shall include any conditions, including license 
specifications, it considers necessary to protect the health and safety 
of the public, the common defense and security, and environmental values 
in a license issued under this part.
    (b) Whether stated in the license or not, the following are 
considered to be conditions in every license issued:
    (1) The license is subject to revocation, suspension, modification, 
or amendment for cause, as provided by the Atomic Energy Act and the 
Commission's regulations.
    (2) DOE shall, at any time while the license is in effect, on 
written request of the Commission, submit written statements to enable 
the Commission to determine whether or not the license should be 
modified, suspended, or revoked.
    (3) The license is subject to the provisions of the Atomic Energy 
Act now or hereafter in effect and to all rules, regulations, and orders 
of the Commission. The terms and conditions of the license are subject 
to amendment, revision, or modification, by reason of amendments to or 
by reason of rules, regulations, and orders issued in accordance with 
the terms of the Atomic Energy Act.
    (c) Each license includes the provisions set forth in section 183 b-
d, inclusive, of the Atomic Energy Act, whether or not these provisions 
are expressly set forth in the license.
    (d) A license issued under this part includes the provisions set 
forth in section 114(d) of the Nuclear Waste Policy Act, as amended, 
defining the quantity of solidified high-level radioactive waste and 
spent nuclear fuel, until such time as a second repository is in 
operation, whether or not these provisions are expressly set forth in 
the license.



Sec. 63.43  License specification.

    (a) A license issued under this part includes license conditions 
derived from the analyses and evaluations included in the application, 
including amendments made before a license is issued, together with any 
additional conditions the Commission finds appropriate.
    (b) License conditions include items in the following categories:
    (1) Restrictions as to the physical and chemical form and 
radioisotopic content of radioactive waste.
    (2) Restrictions as to size, shape, and materials and methods of 
construction of radioactive waste packaging.
    (3) Restrictions as to the amount of waste permitted per unit volume 
of storage space, considering the physical characteristics of both the 
waste and the host rock.
    (4) Requirements relating to test, calibration, or inspection, to 
assure that the foregoing restrictions are observed.
    (5) Controls to be applied to restrict access and to avoid 
disturbance to the site and to areas outside the site where conditions 
may affect compliance with Secs. 63.111 and 63.113.
    (6) Administrative controls, which are the provisions relating to 
organization and management, procedures, recordkeeping, review and 
audit, and reporting necessary to assure that activities at the facility 
are conducted in a

[[Page 202]]

safe manner and in conformity with the other license specifications.



Sec. 63.44  Changes, tests, and experiments.

    (a) Definitions for the purposes of this section:
    (1) Change means a modification or addition to, or removal from, the 
geologic repository operations area design or procedures that affects a 
design function, event sequence, method of performing or controlling the 
function, or an evaluation that demonstrates that intended functions 
will be accomplished.
    (2) Departure from a method of evaluation described in the Safety 
Analysis Report (SAR) (as updated) used in establishing the preclosure 
safety analyses or performance assessment means:
    (i) Changing any of the elements of the method described in the SAR 
(as updated) unless the results of the analysis are conservative or 
essentially the same; or
    (ii) Changing from a method described in the SAR to another method 
unless that method has been approved by NRC for the intended 
application, addition or removal.
    (3) Safety Analysis Report (SAR) (as updated) means the Safety 
Analysis Report for the geologic repository, submitted in accordance 
with Sec. 63.21, as updated in accordance with Sec. 63.24.
    (4) Geologic repository operations area as described in the SAR (as 
updated) means:
    (i) The structures, systems, and components important to safety or 
barriers important to waste isolation that are described in the SAR (as 
updated); and
    (ii) The design and performance requirements for such structures, 
systems, and components described in the SAR (as updated).
    (5) Procedures as described in the SAR (as updated) means those 
procedures that contain information described in the SAR (as updated) 
such as how structures, systems, and components important to safety, or 
important to waste isolation, are operated or controlled.
    (6) Tests or experiments not described in the SAR (as updated) means 
any condition where the geologic repository operations area or any of 
its structures, systems, and components important to safety, or 
important to waste isolation, are utilized, controlled, or altered in a 
manner which is either:
    (i) Outside the reference bounds of the design bases as described in 
the SAR (as updated); or
    (ii) Inconsistent with the analyses or descriptions in the SAR (as 
updated).
    (b)(1) DOE may make changes in the geologic repository operations 
area as described in the SAR (as updated), make changes in the 
procedures as described in the SAR (as updated), and conduct tests or 
experiments not described in the SAR (as updated), without obtaining 
either an amendment of construction authorization under Sec. 63.33 or a 
license amendment under Sec. 63.45, if:
    (i) A change in the conditions incorporated in the construction 
authorization or license is not required; and
    (ii) The change, test, or experiment does not meet any of the 
criteria in paragraph (b)(2) of this section.
    (2) DOE shall obtain an amendment of construction authorization 
under Sec. 63.33 or a license amendment under Sec. 63.45, before 
implementing a change, test, or experiment if it would:
    (i) Result in more than a minimal increase in the frequency of 
occurrence of an event sequence previously evaluated in the SAR (as 
updated);
    (ii) Result in more than a minimal increase in the likelihood of 
occurrence of a malfunction of structures, systems, components important 
to safety, or important to waste isolation, which were previously 
evaluated in the SAR (as updated);
    (iii) Result in more than a minimal increase in the consequences of 
an event sequence previously evaluated in the SAR (as updated);
    (iv) Result in more than a minimal increase in the consequences of 
malfunction of structures, systems, components important to safety, or 
important to waste isolation, which were previously evaluated in the SAR 
(as updated);
    (v) Create the possibility for an event sequence, or of a pathway 
for release of radionuclides, of a different type than any evaluated 
previously in the SAR (as updated);
    (vi) Create the possibility for a malfunction of structures, 
systems, and

[[Page 203]]

components important to safety, or important to waste isolation, with a 
different result than any evaluated previously in the SAR (as updated);
    (vii) Result in a departure from a method of evaluation described in 
the SAR (as updated) used in establishing the preclosure safety analysis 
or the performance assessment.
    (3) In implementing this paragraph, the SAR (as updated) is 
considered to include SAR changes resulting from evaluations performed 
pursuant to this section and from safety analyses performed under 
Sec. 63.33 or Sec. 63.45, as applicable, after the last Safety Analysis 
Report was updated under Sec. 63.24.
    (4) The provisions in this section do not apply to changes to the 
geologic repository operations area or procedures when the applicable 
regulations establish more specific criteria for accomplishing such 
changes.
    (c)(1) DOE shall maintain records of changes in the geologic 
repository operations area at the Yucca Mountain site, of changes in 
procedures, and of tests and experiments made under paragraph (b) of 
this section. These records must include a written evaluation that 
provides the bases for the determination that the change, test, or 
experiment does not require an amendment of construction authorization 
or license amendment under paragraph (b) of this section.
    (2) No less frequently than every 24 months, DOE shall prepare a 
report containing a brief description of such changes, tests, and 
experiments, including a summary of the evaluation of each. DOE shall 
furnish the report to the appropriate NRC Regional Office shown in 
appendix D to part 20 of this chapter, with a copy to the Director, 
Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555. Any report submitted under 
this paragraph must be made a part of the public record of the licensing 
proceedings.
    (d) Changes to the quality assurance program description required by 
Sec. 63.21(c)(20) must be processed in accordance with Sec. 63.144.



Sec. 63.45  Amendment of license.

    (a) An application for amendment of a license may be filed with the 
Commission fully describing the changes desired and following as far as 
applicable the format prescribed for license applications.
    (b) In determining whether an amendment of a license will be 
approved, the Commission will be guided by the considerations that 
govern the issuance of the initial license, to the extent applicable.



Sec. 63.46  Particular activities requiring license amendment.

    (a) Unless expressly authorized in the license, a license amendment 
is required for any of the following activities:
    (1) Any action that would make emplaced high-level radioactive waste 
irretrievable or that would substantially increase the difficulty of 
retrieving the emplaced waste;
    (2) Dismantling of structures;
    (3) Removal or reduction of controls applied to restrict access to 
or avoid disturbance of the site and to areas outside the site where 
conditions may affect compliance with Secs. 63.111 and 63.113;
    (4) Destruction or disposal of records required to be maintained 
under the provisions of this part;
    (5) Any substantial change to the design or operating procedures 
from that specified in the license, except as authorized in Sec. 63.44; 
and
    (6) Permanent closure.
    (b) An application for an amendment must be filed, and will be 
reviewed, as specified in Sec. 63.45.

                            Permanent Closure



Sec. 63.51  License amendment for permanent closure.

    (a) DOE shall submit an application to amend the license before 
permanent closure of a geologic repository at the Yucca Mountain site. 
The submission must consist of an update of the license application 
submitted under Secs. 63.21 and 63.22, including:
    (1) An update of the assessment of the performance of the geologic 
repository for the period after permanent closure. The updated 
assessment must include any performance confirmation data collected 
under the program required by subpart F, and pertinent to compliance 
with Sec. 63.113.

[[Page 204]]

    (2) A description of the program for post-permanent closure 
monitoring of the geologic repository.
    (3) A detailed description of the measures to be employed--such as 
land use controls, construction of monuments, and preservation of 
records--to regulate or prevent activities that could impair the long-
term isolation of emplaced waste within the geologic repository and to 
assure that relevant information will be preserved for the use of future 
generations. As a minimum, these measures must include:
    (i) Identification of the site and geologic repository operations 
area by monuments that have been designed, fabricated, and emplaced to 
be as permanent as is practicable;
    (ii) Placement of records in the archives and land record systems of 
local, State, and Federal government agencies, and archives elsewhere in 
the world, that would be likely to be consulted by potential human 
intruders--such records to identify the location of the geologic 
repository operations area, including the underground facility, 
boreholes, shafts and ramps, and the boundaries of the site, and the 
nature and hazard of the waste; and
    (iii) A program for continued oversight, to prevent any activity at 
the site that poses an unreasonable risk of breaching the geologic 
repository's engineered barriers; or increasing the exposure of 
individual members of the public to radiation beyond allowable limits.
    (4) Geologic, geophysical, geochemical, hydrologic, and other site 
data that are obtained during the operational period, pertinent to 
compliance with Sec. 63.113.
    (5) The results of tests, experiments, and any other analyses 
relating to backfill of excavated areas, shaft, borehole, or ramp 
sealing, drip shields, waste packages, interactions between natural and 
engineered systems, and any other tests, experiments, or analyses 
pertinent to compliance with Sec. 63.113.
    (6) Any substantial revision of plans for permanent closure.
    (7) Other information bearing on permanent closure that was not 
available at the time a license was issued.
    (b) If necessary, to take into account the environmental impact of 
any substantial changes in the permanent closure activities proposed to 
be carried out or any significant new information regarding the 
environmental impacts of permanent closure, DOE shall also supplement 
its environmental impact statement and submit this statement, as 
supplemented, with the application for license amendment.



Sec. 63.52  Termination of license.

    (a) Following permanent closure and the decontamination or 
decontamination and dismantlement of surface facilities at the Yucca 
Mountain site, DOE may apply for an amendment to terminate the license.
    (b) The application must be filed and will be reviewed in accordance 
with the provisions of Sec. 63.45 and this section.
    (c) A license may be terminated only when the Commission finds with 
respect to the geologic repository:
    (1) That the final disposition of radioactive wastes has been made 
in conformance with DOE's plan, as amended and approved as part of the 
license.
    (2) That the final state of the geologic repository operations area 
conforms to DOE's plans for permanent closure and DOE's plans for the 
decontamination or decontamination and dismantlement of surface 
facilities, as amended and approved as part of the license.
    (3) That the termination of the license is authorized by law, 
including sections 57, 62, and 81 of the Atomic Energy Act, as amended.



 Subpart C--Participation by State Government, Affected Units of Local 
                 Government, and Affected Indian Tribes



Sec. 63.61  Provision of information.

    (a) The Director shall provide the Governor and the Nevada State 
legislature, affected units of local government, and the governing body 
of any affected Indian Tribe, with timely and complete information 
regarding determinations or plans made by the Commission with respect to 
the Yucca Mountain site. Information must be

[[Page 205]]

provided concerning the site characterization, siting, development, 
design, licensing, construction, operation, regulation, permanent 
closure, or decontamination and dismantlement of surface facilities of 
the geologic repository operations area at the site.
    (b) Notwithstanding paragraph (a) of this section, the Director is 
not required to distribute any document to any entity if, with respect 
to the document, that entity or its counsel is included on a service 
list prepared under part 2 of this chapter.
    (c) Copies of all communications by the Director under this section 
must be placed in the Public Document Room and furnished to DOE.



Sec. 63.62  Site review.

    (a) The Director shall make the NRC staff available to consult with 
representatives of the State of Nevada, affected units of local 
government, and affected Indian Tribes regarding the status of site 
characterization at the Yucca Mountain site.
    (b) Requests for consultation must be made in writing to the 
Director.
    (c) Consultation under this section may include:
    (1) Keeping the parties informed of the Director's views on the 
progress of site characterization.
    (2) Review of applicable NRC regulations, licensing procedures, 
schedules, and opportunities for State, affected units of local 
government, and Tribe participation in the Commission's regulatory 
activities.
    (3) Cooperation in development of proposals for State, affected 
units of local government, and Tribal participation in license reviews.



Sec. 63.63  Participation in license reviews.

    (a) The State, affected units of local government, and affected 
Indian Tribes may participate in license reviews as provided in subpart 
J of part 2 of this chapter.
    (b) In addition, a State, or an affected unit of local government, 
or an affected Indian Tribe may submit a proposal to the Director to 
facilitate its participation in the review of the license application. 
The proposal may be submitted at any time and must contain a description 
and schedule of how the State, or affected unit of local government, or 
affected Indian Tribe wishes to participate in the review, or what 
services or activities the State, or affected unit of local government, 
or affected Indian Tribe wishes the NRC to carry out, and how the 
services or activities proposed to be carried out by the NRC would 
contribute to this participation. The proposal may include educational 
or information services (seminars, public meetings) or other actions on 
the part of NRC, such as establishing additional public document rooms 
or employment or exchange of State personnel under the Intergovernmental 
Personnel Act.
    (c) The Director shall arrange for a meeting between the 
representatives of the State, or affected unit of local government, or 
affected Indian Tribe and the NRC staff, to discuss any proposal 
submitted under paragraph (b) of this section, with a view to 
identifying any modifications that may contribute to the effective 
participation by such State, or affected unit of local government, or 
Tribe.
    (d) Subject to the availability of funds, the Director shall approve 
all or any part of a proposal, as it may be modified through the meeting 
described in paragraph (c) of this section, if it is determined that:
    (1) The proposed activities are suitable in light of the type and 
magnitude of impacts that the State, or affected unit of local 
government, or affected Indian Tribe may bear;
    (2) The proposed activities--
    (i) Will enhance communications between NRC and the State, or 
affected unit of local government, or affected Indian Tribe;
    (ii) Will make a productive and timely contribution to the review; 
and
    (iii) Are authorized by law.
    (e) The Director shall advise the State, or affected unit of local 
government, or affected Indian Tribe whether its proposal has been 
accepted or denied. If all or any part of a proposal is denied, the 
Director shall state the reason for the denial.
    (f) Proposals submitted under this section, and responses to them, 
must be made available at the Public Document Room.

[[Page 206]]



Sec. 63.64  Notice to State.

    If the Governor and legislature of the State of Nevada have jointly 
designated, on their behalf, a single person or entity to receive notice 
and information from the Commission under this part, the Commission will 
provide the notice and information to the jointly designated person or 
entity instead of the Governor and legislature separately.



Sec. 63.65  Representation.

    Any person who acts under this subpart as a representative for the 
State of Nevada (or for the Governor or legislature of Nevada), for an 
affected unit of local government, or for an affected Indian Tribe shall 
include in the request or other submission, or at the request of the 
Commission, a statement of the basis of his or her authority to act in 
this capacity.



           Subpart D--Records, Reports, Tests, and Inspections



Sec. 63.71  Records and reports.

    (a) DOE shall maintain records and make reports in connection with 
the licensed activity that are required by the conditions of the license 
or by rules, regulations, and orders of the Commission, as authorized by 
the Atomic Energy Act and the Energy Reorganization Act.
    (b) Records of the receipt, handling, and disposition of radioactive 
waste at a geologic repository operations area at the Yucca Mountain 
site must contain sufficient information to provide a complete history 
of the movement of the waste from the shipper through all phases of 
storage and disposal. DOE shall retain these records in a manner that 
ensures their usability for future generations in accordance with 
Sec. 63.51(a)(3).



Sec. 63.72  Construction records.

    (a) DOE shall maintain records of construction of the geologic 
repository operations area at the Yucca Mountain site in a manner that 
ensures their usability for future generations in accordance with 
Sec. 63.51(a)(3).
    (b) The records required under paragraph (a) of this section must 
include at least the following--
    (1) Surveys of the underground facility excavations, shafts, ramps, 
and boreholes referenced to readily identifiable surface features or 
monuments;
    (2) A description of the materials encountered;
    (3) Geologic maps and geologic cross-sections;
    (4) Locations and amount of seepage;
    (5) Details of equipment, methods, progress, and sequence of work;
    (6) Construction problems;
    (7) Anomalous conditions encountered;
    (8) Instrument locations, readings, and analysis;
    (9) Location and description of structural support systems;
    (10) Location and description of dewatering systems;
    (11) Details, methods of emplacement, and location of seals used; 
and
    (12) Facility design records (e.g, design specifications and ``as 
built'' drawings).



Sec. 63.73  Reports of deficiencies.

    (a) DOE shall promptly notify the Commission of each deficiency 
found in the characteristics of the Yucca Mountain site, and design, and 
construction of the geologic repository operations area that, were it to 
remain uncorrected, could--
    (1) Adversely affect safety at any future time;
    (2) Represent a significant deviation from the design criteria and 
design basis stated in the design application; or
    (3) Represent a deviation from the conditions stated in the terms of 
a construction authorization or the license, including license 
specifications.
    (b) DOE shall implement a program for evaluating and reporting 
deviations and failures to comply, to identify defects and failures to 
comply associated with substantial safety hazards, based on the 
applicable requirements in 10 CFR 50.55(e) as it applies to the 
construction authorization and design of the geologic repository 
operations area at the Yucca Mountain site.

[[Page 207]]

    (c) DOE shall implement a program of reporting specific events and 
conditions that is the same as that specified in 10 CFR 72.75.
    (d) The requisite notification must be as specified in the 
applicable regulation. Copies of the written report must be sent to the 
NRC Operations Center, Document Control Desk, U.S. NRC, to the Director 
of NMSS, U.S. NRC, and to the NRC onsite representative.



Sec. 63.74  Tests.

    (a) DOE shall perform, or permit the Commission to perform, those 
tests the Commission considers appropriate or necessary for the 
administration of the regulations in this part. This may include tests 
of--
    (1) Radioactive waste,
    (2) The geologic repository, including portions of the geologic 
setting and the structures, systems, and components constructed or 
placed therein,
    (3) Radiation detection and monitoring instruments, and
    (4) Other equipment and devices used in connection with the receipt, 
handling, or storage of radioactive waste.
    (b) The tests required under this section must include a performance 
confirmation program carried out in accordance with subpart F of this 
part.



Sec. 63.75  Inspections.

    (a) DOE shall allow the Commission to inspect the premises of the 
geologic repository operations area at the Yucca Mountain site and 
adjacent areas to which DOE has rights of access.
    (b) DOE shall make available to the Commission for inspection, on 
reasonable notice, records kept by DOE pertaining to activities under 
this part.
    (c)(1) DOE shall, on requests by the Director, Office of Nuclear 
Material Safety and Safeguards, provide rent-free office space for the 
exclusive use of the Commission inspection personnel. Heat, air-
conditioning, light, electrical outlets, and janitorial services must be 
furnished by DOE. The office must be convenient to and have full access 
to the facility and must provide the inspector both visual and acoustic 
privacy.
    (2) The space provided must be adequate to accommodate two full-time 
inspectors, and other transient NRC personnel and will be generally 
commensurate with other office facilities at the Yucca Mountain site 
geologic repository operations area. A space of 250 square feet either 
within the geologic repository operations area's office complex or in an 
office trailer or other onsite space at the geologic repository 
operations area is suggested as a guide. For locations at which 
activities are carried out under licenses issued under other parts of 
this chapter, additional space may be requested to accommodate 
additional full-time inspectors. The office space provided is subject to 
the approval of the Director, Office of Nuclear Material Safety and 
Safeguards. All furniture, supplies, and communication equipment will be 
furnished by the Commission.
    (3) DOE shall afford any NRC resident inspector assigned to the 
Yucca Mountain site or other NRC inspectors identified by the Regional 
Administrator as likely to inspect the Yucca Mountain facility, 
immediate unfettered access, equivalent to access provided regular 
employees, after proper identification and compliance with applicable 
access control measures for security, radiological protection, and 
personal safety.



Sec. 63.78  Material control and accounting records and reports.

    DOE shall implement a program of material control and accounting 
(and accidental criticality reporting) that is the same as that 
specified in Secs. 72.72, 72.74, 72.76, and 72.78 of this chapter.



                      Subpart E--Technical Criteria



Sec. 63.101  Purpose and nature of findings.

    (a)(1) Subpart B prescribes the standards for issuance of a license 
to receive and possess source, special nuclear, or byproduct material at 
a geologic repository operations area at the Yucca Mountain site. In 
particular, Sec. 63.41(c) requires a finding that the issuance of a 
license will not constitute an unreasonable risk to the health and 
safety of the public. The purpose of this subpart is to set out the 
performance objectives for postclosure performance of the geologic 
repository and other criteria

[[Page 208]]

that, if satisfied, support a finding of no unreasonable risk. 
Postclosure performance objectives for the geologic repository include a 
requirement to limit radiological exposures to the reasonably maximally 
exposed individual, a requirement to limit releases of radionuclides to 
the accessible environment to protect ground water, and a requirement to 
limit radiological exposures to the reasonably maximally exposed 
individual in the event of human intrusion (see Sec. 63.113(b), (c), and 
(d), respectively).
    (2) Although the postclosure performance objectives specified at 
Sec. 63.113 are generally stated in unqualified terms, it is not 
expected that complete assurance that the requirements will be met can 
be presented. A reasonable expectation, on the basis of the record 
before the Commission, that the postclosure performance objectives will 
be met, is the general standard required. Proof that the geologic 
repository will conform with the objectives for postclosure performance 
is not to be had in the ordinary sense of the word because of the 
uncertainties inherent in the understanding of the evolution of the 
geologic setting, biosphere, and engineered barrier system. For such 
long-term performance, what is required is reasonable expectation, 
making allowance for the time period, hazards, and uncertainties 
involved, that the outcome will conform with the objectives for 
postclosure performance for the geologic repository. Demonstrating 
compliance will involve the use of complex predictive models that are 
supported by limited data from field and laboratory tests, site-specific 
monitoring, and natural analog studies that may be supplemented with 
prevalent expert judgment. Compliance demonstrations should not exclude 
important parameters from assessments and analyses simply because they 
are difficult to precisely quantify to a high degree of confidence. The 
performance assessments and analyses should focus upon the full range of 
defensible and reasonable parameter distributions rather than only upon 
extreme physical situations and parameter values. Further, in reaching a 
determination of reasonable expectation, the Commission may supplement 
numerical analyses with qualitative judgments including, for example, 
consideration of the degree of diversity among the multiple barriers as 
a measure of the resiliency of the geologic repository.
    (b) Subpart B lists findings that must be made in support of an 
authorization to construct a geologic repository operations area at the 
Yucca Mountain site. Prior to closure, Sec. 63.31(a)(1) requires a 
finding that there is reasonable assurance that the types and amounts of 
radioactive materials described in the application can be received, 
possessed, and stored in a geologic repository operations area of the 
design proposed without unreasonable risk to the health and safety of 
the public. After permanent closure, Sec. 63.31(a)(2) requires the 
Commission to consider whether there is a reasonable expectation the 
site and design comply with the postclosure performance objectives. Once 
again, although the criteria may be written in unqualified terms, the 
demonstration of compliance must take uncertainties and gaps in 
knowledge into account so that the Commission can make the specified 
finding with respect to paragraph (a)(2) of Sec. 63.31.



Sec. 63.102  Concepts.

    This section provides a functional overview of this Subpart E. In 
the event of any inconsistency, the definitions in Sec. 63.2 prevail.
    (a) The HLW facility at the Yucca Mountain site. NRC exercises 
licensing and related regulatory authority over those facilities 
described in section 202 (3) and (4) of the Energy Reorganization Act of 
1974, including the site at Yucca Mountain, as designated by the Energy 
Policy Act of 1992.
    (b) The geologic repository operations area. (1) These regulations 
deal with the exercise of authority with respect to a particular class 
of HLW facility--namely, a geologic repository operations area at Yucca 
Mountain.
    (2) A geologic repository operations area consists of those surface 
and subsurface areas of the site that are part of a geologic repository 
where radioactive waste handling activities are conducted. The 
underground structure, backfill materials, if any, and openings

[[Page 209]]

that penetrate the underground structure (e.g., ramps, shafts and 
boreholes, including their seals), are designated the underground 
facility.
    (3) The exercise of Commission authority requires that the geologic 
repository operations area be used for storage (which includes disposal) 
of high-level radioactive wastes (HLW).
    (4) HLW includes irradiated reactor fuel as well as reprocessing 
wastes. However, if DOE proposes to use the geologic repository 
operations area for storage of radioactive waste other than HLW, the 
storage of this radioactive waste is subject to the requirements of this 
part.
    (c) Stages in the licensing process. There are several stages in the 
licensing process. The site characterization stage, when the performance 
confirmation program is started, begins before submission of a license 
application, and may result in consequences requiring evaluation in the 
license review. The construction stage would follow after the issuance 
of a construction authorization. A period of operations follows the 
Commission's issuance of a license. The period of operations includes 
the time during which emplacement of wastes occurs; any subsequent 
period before permanent closure during which the emplaced wastes are 
retrievable; and permanent closure, which includes sealing openings to 
the repository. Permanent closure represents the end of the performance 
confirmation program; final backfilling of the underground facility, if 
appropriate; and the sealing of shafts, ramps, and boreholes.
    (d) Areas related to isolation. Although the activities subject to 
regulation under this part are those to be carried out at the geologic 
repository operations area, the licensing process also considers 
characteristics of adjacent areas that are defined in other ways. There 
must be an area surrounding the geologic repository operations area, 
that could include either a portion or all of the site, within which DOE 
shall exercise specified controls to prevent adverse human actions after 
permanent closure. There is an area, designated the geologic setting, 
which includes the geologic, hydrologic, and geochemical systems of the 
region in which the site and geologic repository operations area are 
located. The geologic repository operations area, plus the portion of 
the geologic setting that provides isolation of the radioactive waste, 
make up the geologic repository.
    (e) Performance objectives through permanent closure. Before 
permanent closure, the geologic repository operations area is required 
to limit radiation levels and radiological exposures, in both restricted 
and unrestricted areas, and releases of radioactive materials to 
unrestricted areas, as specified at Sec. 63.111(a).
    (f) Preclosure safety analysis. Section 63.111 includes performance 
objectives for the geologic repository operations area for the period 
before permanent closure and decontamination or permanent closure, 
decontamination, and dismantlement of surface facilities. The preclosure 
safety analysis is a systematic examination of the site; the design; and 
the potential hazards, initiating events and their resulting event 
sequences and potential radiological exposures to workers and the 
public. Initiating events are to be considered for inclusion in the 
preclosure safety analysis for determining event sequences only if they 
are reasonable (i.e., based on the characteristics of the geologic 
setting and the human environment, and consistent with precedents 
adopted for nuclear facilities with comparable or higher risks to 
workers and the public). The analysis identifies structures, systems, 
and components important to safety.
    (g) Performance objectives after permanent closure. After permanent 
closure, the geologic repository is required to:
    (1) Limit radiological exposures to the reasonably maximally exposed 
individual, as specified at Sec. 63.113(b);
    (2) Limit releases of radionuclides to the accessible environment to 
protect ground water, as specified at Sec. 63.113(c); and
    (3) Limit radiological exposures to the reasonably maximally exposed 
individual in the event of human intrusion, as specified at 
Sec. 63.113(d).
    (h) Multiple barriers. Section 63.113(a) requires that the geologic 
repository include multiple barriers, both natural and engineered. 
Geologic disposal of HLW is predicated on the expectation

[[Page 210]]

that one or more aspects of the geologic setting will be capable of 
contributing to the isolation of radioactive waste and thus be a barrier 
important to waste isolation. Although there is an extensive geologic 
record ranging from thousands to millions of years, this record is 
subject to interpretation and includes many uncertainties. In addition, 
there are uncertainties in the isolation capability and performance of 
engineered barriers. Although the composition and configuration of 
engineered structures (barriers) can be defined with a degree of 
precision not possible for natural barriers, it is recognized that 
except for a few archaeologic and natural analogs, there is a limited 
experience base for the performance of complex, engineered structures 
over periods longer than a few hundred years, considering the 
uncertainty in characterizing and modeling individual barriers. These 
uncertainties are addressed by requiring the use of a multiple barrier 
approach; specifically, an engineered barrier system is required in 
addition to the natural barriers provided by the geologic setting. The 
performance assessment provides an evaluation of the repository 
performance based on credible models and parameters including the 
consideration of uncertainty in the behavior of the repository system. 
Thus the performance assessment results reflect the capability of each 
of the barriers to cope with a variety of challenges (e.g., combinations 
of parameters leading to less favorable performance for individual 
barriers and combinations of barriers). A description of each barrier's 
capability (e.g., retardation of radionuclides in the saturated zone, 
waste package lifetime, matrix diffusion in the unsaturated zone), as 
reflected in the performance assessment, provides an understanding of 
how the natural barriers and the engineered barrier system work in 
combination to enhance the resiliency of the geologic repository. The 
Commission believes that this understanding can increase confidence that 
the postclosure performance objectives specified at Sec. 63.113(b) and 
(c) will be achieved and that DOE's design includes a system of multiple 
barriers.
    (i) Reference biosphere and reasonably maximally exposed individual. 
The performance assessment will estimate the amount of radioactive 
material released to water or air at various locations and times in the 
future. To estimate the potential for future human exposures resulting 
from release of radioactive material from a geologic repository at Yucca 
Mountain, it is necessary to make certain assumptions about the location 
and characteristics of the reasonably maximally exposed individual. The 
environment inhabited by the reasonably maximally exposed individual, 
along with associated human exposure pathways and parameters, make up 
the reference biosphere, as described in Sec. 63.305. The reasonably 
maximally exposed individual, as a hypothetical person living in a 
community with characteristics of the Town of Amargosa Valley, is a 
representative person using water with average concentrations of 
radionuclides as described at Sec. 63.312. The reasonably maximally 
exposed individual is selected to represent those persons in the 
vicinity of Yucca Mountain who are reasonably expected to receive the 
greatest exposure to radioactive material released from a geologic 
repository at Yucca Mountain. Characteristics of the reference biosphere 
and the reasonably maximally exposed individual are to be based on 
current human behavior and biospheric conditions in the region, as 
described in Sec. 63.305 and Sec. 63.312.
    (j) Performance assessment. Demonstrating compliance with the 
postclosure performance objective specified at Sec. 63.113(b) requires a 
performance assessment to quantitatively estimate radiological exposures 
to the reasonably maximally exposed individual at any time during the 
compliance period. The performance assessment is a systematic analysis 
that identifies the features, events, and processes (i.e., specific 
conditions or attributes of the geologic setting, degradation, 
deterioration, or alteration processes of engineered barriers, and 
interactions between the natural and engineered barriers) that might 
affect performance of the geologic repository; examines their effects on 
performance;

[[Page 211]]

and estimates the radiological exposures to the reasonably maximally 
exposed individual. The features, events, and processes considered in 
the performance assessment should represent a wide range of both 
beneficial and potentially adverse effects on performance (e.g., 
beneficial effects of radionuclide sorption; potentially adverse effects 
of fracture flow or a criticality event). Those features, events, and 
processes expected to materially affect compliance with Sec. 63.113(b) 
or be potentially adverse to performance are included, while events 
(event classes or scenario classes) that are very unlikely (less than 
one chance in 10,000 over 10,000 years) can be excluded from the 
analysis. An event class consists of all possible specific initiating 
events that are caused by a common natural process (e.g., the event 
class for seismicity includes the range of credible earthquakes for the 
Yucca Mountain site). Radiological exposures to the reasonably maximally 
exposed individual are estimated using the selected features, events, 
and processes, and incorporating the probability that the estimated 
exposures will occur. Additionally, performance assessment methods are 
appropriate for use in demonstrating compliance with the postclosure 
performance objectives for ground-water protection and human intrusion, 
and are subject to the requirements for performance assessments 
specified at Sec. 63.114 and applicable criteria in Subpart L (e.g., 
criteria for evaluating compliance with ground-water protection and 
individual protection standards).
    (k) Institutional controls. Active and passive institutional 
controls will be maintained over the Yucca Mountain site, and are 
expected to reduce significantly, but not eliminate, the potential for 
human activity that could inadvertently cause or accelerate the release 
of radioactive material. However, because it is not possible to make 
scientifically sound forecasts of the long-term reliability of 
institutional controls, it is not appropriate to include consideration 
of human intrusion into a fully risk-based performance assessment for 
purposes of evaluating the ability of the geologic repository to achieve 
the performance objective at Sec. 63.113(b). Hence, human intrusion is 
addressed in a stylized manner as described in paragraph (l) of this 
section.
    (l) Human intrusion. In contrast to events unrelated to human 
activity, the probability and characteristics of human intrusion 
occurring many hundreds or thousands of years into the future cannot be 
estimated by examining either the historic or geologic record. Rather 
than speculating on the nature and probability of future intrusion, it 
is more useful to assess how resilient the geologic repository would be 
against a human intrusion event. Although the consequences of an assumed 
intrusion event would be a separate analysis, the analysis is similar to 
the performance assessment required by Sec. 63.113(b) but subject to 
specific requirements for evaluation of human intrusion specified at 
Secs. 63.321, 63.322 and 63.342 of subpart L of this part.
    (m) Performance confirmation. A performance confirmation program 
will be conducted to evaluate the adequacy of assumptions, data, and 
analyses that led to the findings that permitted construction of the 
repository and subsequent emplacement of the wastes. Key geotechnical 
and design parameters, including any interactions between natural and 
engineered systems and components, will be monitored throughout site 
characterization, construction, emplacement, and operation to identify 
any significant changes in the conditions assumed in the license 
application that may affect compliance with the performance objectives 
specified at Sec. 63.113(b) and (c).
    (n) Ground-Water Protection. Separate ground-water protection 
standards are designed to protect the ground water resources in the 
vicinity of Yucca Mountain. These standards, specified at Sec. 63.331, 
require the estimation of ground water concentrations in the 
representative volume of water. Depending on the radionuclide, the 
estimated concentrations must either be below a specified concentration 
or result in an annual, drinking water dose to the whole body or any 
organ of no greater than 0.04 mSv (4 mrem). Although the estimation of 
radionuclide concentrations in the representative volume would be a 
separate analysis,

[[Page 212]]

the analysis is similar to the performance assessment required by 
Sec. 63.113(b) but subject to specific requirements for evaluation of 
ground-water protection specified at Secs. 63.331, 63.332 and 63.342 of 
subpart L of this part.

                    Preclosure Performance Objectives



Sec. 63.111  Performance objectives for the geologic repository operations area through permanent closure.

    (a) Protection against radiation exposures and releases of 
radioactive material. (1) The geologic repository operations area must 
meet the requirements of part 20 of this chapter.
    (2) During normal operations, and for Category 1 event sequences, 
the annual TEDE (hereafter referred to as ``dose'') to any real member 
of the public located beyond the boundary of the site may not exceed the 
preclosure standard specified at Sec. 63.204.
    (b) Numerical guides for design objectives. (1) The geologic 
repository operations area must be designed so that, taking into 
consideration Category 1 event sequences and until permanent closure has 
been completed, the aggregate radiation exposures and the aggregate 
radiation levels in both restricted and unrestricted areas, and the 
aggregate releases of radioactive materials to unrestricted areas, will 
be maintained within the limits specified in paragraph (a) of this 
section.
    (2) The geologic repository operations area must be designed so 
that, taking into consideration any single Category 2 event sequence and 
until permanent closure has been completed, no individual located on, or 
beyond, any point on the boundary of the site will receive, as a result 
of the single Category 2 event sequence, the more limiting of a TEDE of 
0.05 Sv (5 rem), or 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) of 0.5 Sv (50 rem). The lens dose equivalent may 
not exceed 0.15 Sv (15 rem), and the shallow dose equivalent to skin may 
not exceed 0.5 Sv (50 rem).
    (c) Preclosure safety analysis. A preclosure safety analysis of the 
geologic repository operations area that meets the requirements 
specified at Sec. 63.112 must be performed. This analysis must 
demonstrate that:
    (1) The requirements of Sec. 63.111(a) will be met; and
    (2) The design meets the requirements of Sec. 63.111(b).
    (d) Performance confirmation. The geologic repository operations 
area must be designed so as to permit implementation of a performance 
confirmation program that meets the requirements of subpart F of this 
part.
    (e) Retrievability of waste. (1) The geologic repository operations 
area must be designed to preserve the option of waste retrieval 
throughout the period during which wastes are being emplaced and 
thereafter, until the completion of a performance confirmation program 
and Commission review of the information obtained from such a program. 
To satisfy this objective, the geologic repository operations area must 
be designed so that any or all of the emplaced waste could be retrieved 
on a reasonable schedule starting at any time up to 50 years after waste 
emplacement operations are initiated, unless a different time period is 
approved or specified by the Commission. This different time period may 
be established on a case-by-case basis consistent with the emplacement 
schedule and the planned performance confirmation program.
    (2) This requirement may not preclude decisions by the Commission to 
allow backfilling part, or all of, or permanent closure of the geologic 
repository operations area, before the end of the period of design for 
retrievability.
    (3) For purposes of paragraph (e) of this section, a reasonable 
schedule for retrieval is one that would permit retrieval in about the 
same time as that required to construct the geologic repository 
operations area and emplace waste.

                       Preclosure Safety Analysis



Sec. 63.112  Requirements for preclosure safety analysis of the geologic repository operations area.

    The preclosure safety analysis of the geologic repository operations 
area must include:

[[Page 213]]

    (a) A general description of the structures, systems, components, 
equipment, and process activities at the geologic repository operations 
area;
    (b) An identification and systematic analysis of naturally occurring 
and human-induced hazards at the geologic repository operations area, 
including a comprehensive identification of potential event sequences;
    (c) Data pertaining to the Yucca Mountain site, and the surrounding 
region to the extent necessary, used to identify naturally occurring and 
human-induced hazards at the geologic repository operations area;
    (d) The technical basis for either inclusion or exclusion of 
specific, naturally occurring and human-induced hazards in the safety 
analysis;
    (e) An analysis of the performance of the structures, systems, and 
components to identify those that are important to safety. This analysis 
identifies and describes the controls that are relied on to limit or 
prevent potential event sequences or mitigate their consequences. This 
analysis also identifies measures taken to ensure the availability of 
safety systems. The analysis required in this paragraph must include, 
but not necessarily be limited to, consideration of--
    (1) Means to limit concentration of radioactive material in air;
    (2) Means to limit the time required to perform work in the vicinity 
of radioactive materials;
    (3) Suitable shielding;
    (4) Means to monitor and control the dispersal of radioactive 
contamination;
    (5) Means to control access to high radiation areas or airborne 
radioactivity areas;
    (6) Means to prevent and control criticality;
    (7) Radiation alarm system to warn of significant increases of 
radiation levels, concentrations of radioactive material in air, and 
increased radioactivity in effluents;
    (8) Ability of structures, systems, and components to perform their 
intended safety functions, assuming the occurrence of event sequences;
    (9) Explosion and fire detection systems and appropriate suppression 
systems;
    (10) Means to control radioactive waste and radioactive effluents, 
and permit prompt termination of operations and evacuation of personnel 
during an emergency;
    (11) Means to provide reliable and timely emergency power to 
instruments, utility service systems, and operating systems important to 
safety if there is a loss of primary electric power;
    (12) Means to provide redundant systems necessary to maintain, with 
adequate capacity, the ability of utility services important to safety; 
and
    (13) Means to inspect, test, and maintain structures, systems, and 
components important to safety, as necessary, to ensure their continued 
functioning and readiness.
    (f) A description and discussion of the design, both surface and 
subsurface, of the geologic repository operations area, including--
    (1) The relationship between design criteria and the requirements 
specified at Sec. 63.111(a) and (b); and
    (2) The design bases and their relation to the design criteria.

                   Postclosure Performance Objectives



Sec. 63.113  Performance objectives for the geologic repository after permanent closure.

    (a) The geologic repository must include multiple barriers, 
consisting of both natural barriers and an engineered barrier system.
    (b) The engineered barrier system must be designed so that, working 
in combination with natural barriers, radiological exposures to the 
reasonably maximally exposed individual are within the limits specified 
at Sec. 63.311 of subpart L of this part. Compliance with this paragraph 
must be demonstrated through a performance assessment that meets the 
requirements specified at Sec. 63.114 of this subpart, and Secs. 63.303, 
63.305, 63.312 and 63.342 of Subpart L of this part.
    (c) The engineered barrier system must be designed so that, working 
in combination with natural barriers, releases of radionuclides into the 
accessible environment are within the limits specified at Sec. 63.331 of 
subpart L of this part. Compliance with this paragraph

[[Page 214]]

must be demonstrated through a performance assessment that meets the 
requirements specified at Sec. 63.114 of this subpart and Secs. 63.303, 
63.332 and 63.342 of subpart L of this part.
    (d) The ability of the geologic repository to limit radiological 
exposures to the reasonably maximally exposed individual, in the event 
of human intrusion into the engineered barrier system, must be 
demonstrated through an analysis that meets the requirements at 
Secs. 63.321 and 63.322 of subpart L of this part. Estimating 
radiological exposures to the reasonably maximally exposed individual 
requires a performance assessment that meets the requirements specified 
at Sec. 63.114 of this subpart, and Secs. 63.303, 63.305, 63.312 and 
63.342 of subpart L of this part.

                   Postclosure Performance Assessment



Sec. 63.114  Requirements for performance assessment.

    Any performance assessment used to demonstrate compliance with 
Sec. 63.113 must:
    (a) Include data related to the geology, hydrology, and geochemistry 
(including disruptive processes and events) of the Yucca Mountain site, 
and the surrounding region to the extent necessary, and information on 
the design of the engineered barrier system used to define parameters 
and conceptual models used in the assessment.
    (b) Account for uncertainties and variabilities in parameter values 
and provide for the technical basis for parameter ranges, probability 
distributions, or bounding values used in the performance assessment.
    (c) Consider alternative conceptual models of features and processes 
that are consistent with available data and current scientific 
understanding and evaluate the effects that alternative conceptual 
models have on the performance of the geologic repository.
    (d) Consider only events that have at least one chance in 10,000 of 
occurring over 10,000 years.
    (e) Provide the technical basis for either inclusion or exclusion of 
specific features, events, and processes in the performance assessment. 
Specific features, events, and processes must be evaluated in detail if 
the magnitude and time of the resulting radiological exposures to the 
reasonably maximally exposed individual, or radionuclide releases to the 
accessible environment, would be significantly changed by their 
omission.
    (f) Provide the technical basis for either inclusion or exclusion of 
degradation, deterioration, or alteration processes of engineered 
barriers in the performance assessment, including those processes that 
would adversely affect the performance of natural barriers. Degradation, 
deterioration, or alteration processes of engineered barriers must be 
evaluated in detail if the magnitude and time of the resulting 
radiological exposures to the reasonably maximally exposed individual, 
or radionuclide releases to the accessible environment, would be 
significantly changed by their omission.
    (g) Provide the technical basis for models used in the performance 
assessment such as comparisons made with outputs of detailed process-
level models and/or empirical observations (e.g., laboratory testing, 
field investigations, and natural analogs).



Sec. 63.115  Requirements for multiple barriers.

    Demonstration of compliance with Sec. 63.113(a) must:
    (a) Identify those design features of the engineered barrier system, 
and natural features of the geologic setting, that are considered 
barriers important to waste isolation.
    (b) Describe the capability of barriers, identified as important to 
waste isolation, to isolate waste, taking into account uncertainties in 
characterizing and modeling the behavior of the barriers.
    (c) Provide the technical basis for the description of the 
capability of barriers, identified as important to waste isolation, to 
isolate waste. The technical basis for each barrier's capability shall 
be based on and consistent with the technical basis for the performance 
assessments used to demonstrate compliance with Sec. 63.113(b) and (c).

[[Page 215]]

                       Land Ownership and Control



Sec. 63.121  Requirements for ownership and control of interests in land.

    (a) Ownership of land.(1) The geologic repository operations area 
must be located in and on lands that are either acquired lands under the 
jurisdiction and control of DOE, or lands permanently withdrawn and 
reserved for its use.
    (2) These lands must be held free and clear of all encumbrances, if 
significant, such as:
    (i) Rights arising under the general mining laws;
    (ii) Easements for right-of-way; and
    (iii) All other rights arising under lease, rights of entry, deed, 
patent, mortgage, appropriation, prescription, or otherwise.
    (b) Additional controls for permanent closure. Appropriate controls 
must be established outside of the geologic repository operations area. 
DOE shall exercise any jurisdiction and control over surface and 
subsurface estates necessary to prevent adverse human actions that could 
significantly reduce the geologic repository's ability to achieve 
isolation. The rights of DOE may take the form of appropriate possessory 
interests, servitudes, or withdrawals from location or patent under the 
general mining laws.
    (c) Additional controls through permanent closure. Appropriate 
controls must be established outside the geologic repository operations 
area. DOE shall exercise any jurisdiction or control of activities 
necessary to ensure the requirements at Sec. 63.111(a) and (b) are met. 
Control includes the authority to exclude members of the public, if 
necessary.
    (d) Water rights. (1) DOE shall also have obtained such water rights 
as may be needed to accomplish the purpose of the geologic repository 
operations area.
    (2) Water rights are included in the additional controls to be 
established under paragraph (b) of this section.



               Subpart F--Performance Confirmation Program



Sec. 63.131  General requirements.

    (a) The performance confirmation program must provide data that 
indicate, where practicable, whether:
    (1) Actual subsurface conditions encountered and changes in those 
conditions during construction and waste emplacement operations are 
within the limits assumed in the licensing review; and
    (2) Natural and engineered systems and components required for 
repository operation, and that are designed or assumed to operate as 
barriers after permanent closure, are functioning as intended and 
anticipated.
    (b) The program must have been started during site characterization, 
and it will continue until permanent closure.
    (c) The program must include in situ monitoring, laboratory and 
field testing, and in situ experiments, as may be appropriate to provide 
the data required by paragraph (a) of this section.
    (d) The program must be implemented so that:
    (1) It does not adversely affect the ability of the geologic and 
engineered elements of the geologic repository to meet the performance 
objectives.
    (2) It provides baseline information and analysis of that 
information on those parameters and natural processes pertaining to the 
geologic setting that may be changed by site characterization, 
construction, and operational activities.
    (3) It monitors and analyzes changes from the baseline condition of 
parameters that could affect the performance of a geologic repository.



Sec. 63.132  Confirmation of geotechnical and design parameters.

    (a) During repository construction and operation, a continuing 
program of surveillance, measurement, testing, and geologic mapping must 
be conducted to ensure that geotechnical and design parameters are 
confirmed and to ensure that appropriate action is taken

[[Page 216]]

to inform the Commission of design changes needed to accommodate actual 
field conditions encountered.
    (b) Subsurface conditions must be monitored and evaluated against 
design assumptions.
    (c) Specific geotechnical and design parameters to be measured or 
observed, including any interactions between natural and engineered 
systems and components, must be identified in the performance 
confirmation plan.
    (d) These measurements and observations must be compared with the 
original design bases and assumptions. If significant differences exist 
between the measurements and observations and the original design bases 
and assumptions, the need for modifications to the design or in 
construction methods must be determined and these differences, their 
significance to repository performance, and the recommended changes 
reported to the Commission.
    (e) In situ monitoring of the thermomechanical response of the 
underground facility must be conducted until permanent closure, to 
ensure that the performance of the geologic and engineering features is 
within design limits.



Sec. 63.133  Design testing.

    (a) During the early or developmental stages of construction, a 
program for testing of engineered systems and components used in the 
design, such as, for example, borehole and shaft seals, backfill, and 
drip shields, as well as the thermal interaction effects of the waste 
packages, backfill, drip shields, rock, and unsaturated zone and 
saturated zone water, must be conducted.
    (b) The testing must be initiated as early as practicable.
    (c) If backfill is included in the repository design, a test must be 
conducted to evaluate the effectiveness of backfill placement and 
compaction procedures against design requirements before permanent 
backfill placement is begun.
    (d) Tests must be conducted to evaluate the effectiveness of 
borehole, shaft, and ramp seals before full-scale operation proceeds to 
seal boreholes, shafts, and ramps.



Sec. 63.134  Monitoring and testing waste packages.

    (a) A program must be established at the geologic repository 
operations area for monitoring the condition of the waste packages. 
Waste packages chosen for the program must be representative of those to 
be emplaced in the underground facility.
    (b) Consistent with safe operation at the geologic repository 
operations area, the environment of the waste packages selected for the 
waste package monitoring program must be representative of the 
environment in which the wastes are to be emplaced.
    (c) The waste package monitoring program must include laboratory 
experiments that focus on the internal condition of the waste packages. 
To the extent practical, the environment experienced by the emplaced 
waste packages within the underground facility during the waste package 
monitoring program must be duplicated in the laboratory experiments.
    (d) The waste package monitoring program must continue as long as 
practical up to the time of permanent closure.



                      Subpart G--Quality Assurance



Sec. 63.141  Scope.

    As used in this part, quality assurance comprises all those planned 
and systematic actions necessary to provide adequate confidence that the 
geologic repository and its structures, systems, or components 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 
that provide a means to control the quality of the material, structure, 
component, or system to predetermined requirements.



Sec. 63.142  Quality assurance criteria.

    (a) Introduction and Applicability. DOE is required by 
Sec. 63.21(c)(20) to include in its safety analysis report a description 
of the quality assurance program to be applied to all structures, 
systems, and components important to safety, to design and 
characterization of barriers

[[Page 217]]

important to waste isolation, and to related activities. These 
activities include: site characterization; acquisition, control, and 
analyses of samples and data; tests and experiments; scientific studies; 
facility and equipment design and construction; facility operation; 
performance confirmation; permanent closure; and decontamination and 
dismantling of surface facilities. The description must indicate how the 
applicable quality assurance requirements will be satisfied. DOE shall 
include information pertaining to the managerial and administrative 
controls to be used to ensure safe operation in its safety analysis 
report. High-level waste repositories include structures, systems, and 
components that prevent or mitigate the consequences of postulated event 
sequences or that are important to waste isolation capabilities that 
could cause undue risk to the health and safety of the public. The 
pertinent requirements of this subpart apply to all activities that are 
important to waste isolation and important to safety functions of those 
structures, systems, and components. These activities include designing, 
purchasing, fabricating, handling, shipping, storing, cleaning, 
erecting, installing, inspecting, testing, operating, maintaining, 
repairing, modifying, site characterization, performance confirmation, 
permanent closure, decontamination, and dismantling of surface 
facilities.
    (b) Organization. DOE shall establish and execute a quality 
assurance program. DOE may delegate to others, such as contractors, 
agents, or consultants, the work of establishing and executing the 
quality assurance program, or any part of it, but DOE retains 
responsibility for it.
    (1) The authority and duties of persons and organizations performing 
activities affecting the functions of structures, systems, and 
components that are important to waste isolation and important to safety 
must 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:
    (i) Assuring that an appropriate quality assurance program is 
established and effectively executed; and
    (ii) Verifying that activities important to waste isolation and 
important to safety functions have been correctly performed by checking, 
auditing, and inspection of structures, systems, and components.
    (2) 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. The persons and organizations 
performing quality assurance functions shall report to a management 
level so that the required authority and organizational freedom, 
including sufficient independence from cost and schedule when opposed to 
safety considerations, are provided.
    (3) 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 10 CFR part 63 are being performed must have 
direct access to the levels of management as may be necessary to perform 
this function.
    (c) Quality assurance program. DOE shall establish a quality 
assurance program that complies with the requirements of this subpart at 
the earliest practicable time, consistent with the schedule for 
accomplishing the activities. This program must be documented by written 
policies, procedures, or instructions and must be carried out throughout 
facility life in accordance with those policies, procedures, or 
instructions.
    (1) DOE shall identify the structures, systems, and components to be 
covered by the quality assurance program and

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the major organizations participating in the program, together with the 
designated functions of these organizations. The quality assurance 
program must control activities affecting the quality of the identified 
structures, systems, and components, to an extent consistent with their 
importance to safety.
    (2) Activities affecting quality must 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.
    (3) The program must 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 must provide for indoctrination and training of 
personnel performing activities affecting quality as necessary to assure 
that suitable proficiency is achieved and maintained.
    (4) DOE 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.
    (d) Design control. (1) DOE shall establish measures to assure that 
applicable regulatory requirements and the design basis, as defined in 
Sec. 63.2 and as specified in the license application, for those 
structures, systems, and components to which this subpart applies, are 
correctly translated into specifications, drawings, procedures, and 
instructions. These measures must assure that appropriate quality 
standards are specified and included in design documents and that 
deviations from such standards are controlled. Measures must also be 
established for the selection and review for suitability of application 
of materials, parts, equipment, and processes that are important to 
waste isolation and important to safety functions of the structures, 
systems and components.
    (2) DOE shall establish measures to identify and control design 
interfaces and for coordination among participating design 
organizations. These measures must include the establishment of 
procedures among participating design organizations for the review, 
approval, release, distribution, and revision of documents involving 
design interfaces.
    (i) The design control measures must 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 must be performed by individuals or groups other than 
those who performed the original design. These individuals may be from 
the same organization. If a test program is used to verify the adequacy 
of a specific design feature in lieu of other verifying or checking 
processes, it must include suitable qualifications testing of a 
prototype unit under the most adverse design conditions. Design control 
measures must be applied to items such as: criticality physics, stress, 
thermal, hydraulic, and preclosure and postclosure analyses; 
compatibility of materials; accessibility for inservice inspection, 
maintenance and repair; and delineation of acceptance criteria for 
inspections and tests.
    (ii) Design changes, including field changes, must 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.
    (e) Procurement document control. DOE shall establish measures to 
assure that applicable regulatory requirements, design bases, and other 
requirements necessary to assure adequate quality are suitably included 
or referenced in the documents for procurement of material, equipment, 
and services, whether purchased by the licensee or applicant or by its 
contractors or subcontractors. To the extent necessary, procurement 
documents must require contractors or

[[Page 219]]

subcontractors to provide a quality assurance program consistent with 
the pertinent provisions of this section.
    (f) Instructions, procedures, and drawings. Activities affecting 
quality must be prescribed by documented instructions, procedures, or 
drawings of a type appropriate to the circumstances and must be 
accomplished in accordance with these instructions, procedures, or 
drawings. Instructions, procedures, or drawings must include appropriate 
quantitative or qualitative acceptance criteria for determining that 
important activities have been satisfactorily accomplished.
    (g) Document control. DOE shall establish measures to control the 
issuance of documents, such as instructions, procedures, and drawings, 
including changes to them that prescribe all activities affecting 
quality. These measures must 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 must be reviewed 
and approved by the same organizations that performed the original 
review and approval unless the applicant designates another responsible 
organization.
    (h) Control of purchased material, equipment, and services. DOE 
shall establish measures to assure that purchased material, equipment, 
and services, whether purchased directly or through contractors and 
subcontractors, conform to the procurement documents.
    (1) These measures must include appropriate provisions 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.
    (2) Documentary evidence that material and equipment conform to the 
procurement requirements must be available at the high-level waste 
repository site before the material and equipment are installed or used. 
This documentary evidence must be retained at the high-level waste 
repository site and be sufficient to identify the specific requirements, 
such as codes, standards, or specifications, met by the purchased 
material and equipment.
    (3) The effectiveness of the control of quality by contractors and 
subcontractors must be assessed by the licensee or applicant or designee 
at intervals consistent with the importance, complexity, and quantity of 
the product or services.
    (i) Identification and control of materials, parts, and components. 
Measures must be established for the identification and control of 
materials, parts, and components, including partially fabricated 
assemblies. These measures must 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 must be 
designed to prevent the use of incorrect or defective material, parts, 
and components.
    (j) Control of special processes. DOE shall establish measures 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.
    (k) Inspection. DOE shall establish and execute a program for 
inspection of activities affecting quality to verify conformance with 
the documented instructions, procedures, and drawings for accomplishing 
the activity. The inspection must be performed by individuals other than 
those who performed the activity being inspected.
    (1) Examinations, measurements, or tests of material or products 
processed must 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 must be provided. Both inspection and 
process monitoring must be provided when control is inadequate without 
both.

[[Page 220]]

    (2) If mandatory inspection hold points that require witnessing or 
inspecting by the applicant's designated representative and beyond which 
work may not proceed without the consent of its designated 
representative are required, the specific hold points must be indicated 
in appropriate documents.
    (l) Test control. DOE shall establish a test program to assure that 
all testing required to demonstrate that structures, systems, and 
components important to safety 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.
    (1) The test program must include, as appropriate, proof tests prior 
to installation, preoperational tests, and operational tests during 
repository operation, of structures, systems, and components.
    (2) Test procedures must 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.
    (3) Test results must be documented and evaluated to assure that 
test requirements have been satisfied.
    (m) Control of measuring and test equipment. DOE shall establish 
measures 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.
    (n) Handling, storage, and shipping. DOE shall establish measures 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, special protective environments, such as inert gas 
atmosphere, specific moisture content levels, and temperature levels, 
must be specified and provided.
    (o) Inspection, test, and operating status. DOE shall establish 
measures to indicate the status of inspections and tests performed on 
individual items of the high-level waste repository by markings such as 
stamps, tags, labels, routing cards, or other suitable means. These 
measures must provide for the identification of items that have 
satisfactorily passed required inspections and tests, where necessary to 
preclude inadvertent bypassing of such inspections and tests. Measures 
must also be established for indicating the operating status of 
structures, systems, and components of the high-level waste repository, 
such as by tagging valves and switches, to prevent inadvertent 
operation.
    (p) Nonconforming materials, parts, or components. DOE shall 
establish measures to control materials, parts, or components which do 
not conform to requirements in order to prevent their inadvertent use or 
installation. These measures must include, as appropriate, procedures 
for identification, documentation, segregation, disposition, and 
notification to affected organizations. Nonconforming items must be 
reviewed and accepted, rejected, repaired or reworked in accordance with 
documented procedures.
    (q) Corrective action. DOE shall establish measures to assure that 
conditions adverse to quality, such as failures, malfunctions, 
deficiencies, deviations, defective material and equipment, and 
nonconformances are promptly identified and corrected. If significant 
conditions are adverse to quality, the measures must 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 must be documented and reported to appropriate levels of 
management.
    (r) Quality assurance records. DOE shall maintain sufficient records 
to furnish evidence of activities affecting quality.
    (1) The records must include at least the following: Operating logs 
and the results of reviews, inspections, tests, audits, monitoring of 
work performance, and materials analyses.
    (2) The records must also include closely-related data such as 
qualifications of personnel, procedures, and equipment.

[[Page 221]]

    (3) Inspection and test records must, at 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.
    (4) Records must be identifiable and retrievable. Consistent with 
applicable regulatory requirements, the applicant shall establish 
requirements concerning record retention, such as duration, location, 
and assigned responsibility.
    (s) Audits. DOE shall carry out a comprehensive system of planned 
and periodic audits to verify compliance with all aspects of the quality 
assurance program and to determine the effectiveness of the program. The 
audits must 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 must be 
documented and reviewed by management having responsibility in the area 
audited. Followup action, including reaudit of deficient areas, must be 
taken where indicated.



Sec. 63.143  Implementation.

    DOE shall implement a quality assurance program based on the 
criteria required by Sec. 63.142.



Sec. 63.144  Quality assurance program change.

    Changes to DOE's NRC-approved Safety Analysis Report quality 
assurance program description are processed as follows:
    (a) DOE may change a previously accepted quality assurance program 
description included or referenced in the Safety Analysis Report without 
prior NRC approval, if 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 every 24 months, in accordance with paragraph (b)(1) 
of this section. In addition to quality assurance program changes 
involving administrative improvements and clarifications, spelling 
corrections, punctuation, or editorial items, the following changes are 
not considered reductions in commitment:
    (1) The use of a quality assurance standard approved by the NRC 
which is more recent than the quality assurance standard in DOE's 
current quality assurance program at the time of the change;
    (2) The use of generic organizational position titles that clearly 
denote the position function, supplemented as necessary by descriptive 
text, rather than specific titles;
    (3) The use of generic organizational charts to indicate functional 
relationships, authorities, and responsibilities, or alternatively, the 
use of descriptive text;
    (4) The elimination of quality assurance program information that 
duplicates language in quality assurance regulatory guides and quality 
assurance standards to which the licensee is committed; and
    (5) Organizational revisions that ensure that persons and 
organizations performing quality assurance functions continue to have 
the requisite authority and organizational freedom, including sufficient 
independence from cost and schedule when opposed to safety 
considerations.
    (b) DOE shall submit changes made to the NRC-accepted Safety 
Analysis Report quality assurance program description that do reduce the 
commitments to the NRC and receive NRC approval prior to implementation, 
as follows:
    (1) The signed original must be submitted to the Nuclear Regulatory 
Commission, Document Control Desk, Washington, DC 20555, one copy to the 
Director, Office of Nuclear Material and Safeguards, U. S. Nuclear 
Regulatory Commission, Washington, DC 20555, and one copy to the 
appropriate NRC Resident Inspector if one has been assigned to the site 
or facility.
    (2) 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 describe how the 
requirements of

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Sec. 63.142 will be satisfied and continues to satisfy the criteria of 
Sec. 63.142 and the Safety Analysis Report quality assurance program 
description previously accepted by the NRC (the letter need not provide 
the basis for changes that correct spelling, punctuation, or editorial 
items).
    (3) DOE shall maintain records of quality assurance program changes 
that do reduce commitments.



           Subpart H--Training and Certification of Personnel



Sec. 63.151  General requirements.

    Operations of systems and components that have been identified as 
important to safety in the Safety Analysis Report and in the license 
must be performed only by trained and certified personnel or by 
personnel under the direct visual supervision of an individual with 
training and certification in such operation. Supervisory personnel who 
direct operations that are important to safety must also be certified in 
such operations.



Sec. 63.152  Training and certification program.

    DOE shall establish a program for training, proficiency testing, 
certification, and requalification of operating and supervisory 
personnel.



Sec. 63.153  Physical requirements.

    The physical condition and the general health of personnel certified 
for operations that are important to safety may not be such as might 
cause operational errors that could endanger the public health and 
safety. Any condition that might cause impaired judgment or motor 
coordination must be considered in the selection of personnel for 
activities that are important to safety. These conditions need not 
categorically disqualify a person, so long as appropriate provisions are 
made to accommodate the conditions.



                 Subpart I--Emergency Planning Criteria



Sec. 63.161  Emergency plan for the geologic repository operations area through permanent closure.

    DOE shall develop and be prepared to implement a plan to cope with 
radiological accidents that may occur at the geologic repository 
operations area, at any time before permanent closure and 
decontamination or decontamination and dismantlement of surface 
facilities. The emergency plan must be based on the criteria of 
Sec. 72.32(b) of this chapter.



                          Subpart J--Violations



Sec. 63.171  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 under 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 under 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. 63.172  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for

[[Page 223]]

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 
this part 63 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 this part 63 that are not issued under 
sections 161b, 161i, or 161o for the purposes of Section 223 are as 
follows: Secs. 63.1, 63.2, 63.5, 63.6, 63.7, 63.8, 63.15, 63.16, 63.21, 
63.22, 63.23, 63.24, 63.31, 63.32, 63.33, 63.41, 63.42, 63.43, 63.45, 
63.46, 63.51, 63.52, 63.61, 63.62, 63.63, 63.64, 63.65, 63.101, 63.102, 
63.111, 63.112, 63.113, 63.114, 63.115, 63.121, 63.131, 63.132, 63.133, 
63.134, 63.141, 63.142, 63.143, 63.153, 63.161, 63.171, 63.172, 63.201, 
63.202, 63.203, 63.204, 63.301, 63.302, 63.303, 63.304, 63.305, 63.311, 
63.312, 63.321, 63.322, 63.331, 63.332, 63.341, and 63.342.



     Subpart K--Preclosure Public Health and Environmental Standards



Sec. 63.201  Purpose and scope.

    This subpart covers the storage of radioactive material by DOE in 
the Yucca Mountain repository and on the Yucca Mountain site. For the 
purposes of demonstrating compliance with this subpart, to the extent 
there may be any conflict with the requirements specified in this 
subpart and the requirements contained in Subparts A-J of this 
regulation, including definitions, the requirements in this subpart 
shall take precedence.



Sec. 63.202  Definitions for Subpart K.

    General environment means everywhere outside the Yucca Mountain 
site, the Nellis Air Force Range, and the Nevada Test Site.
    Member of the public means anyone who is not a radiation worker for 
purposes of worker protection.
    Radioactive material means matter composed of or containing 
radionuclides subject to the Atomic Energy Act of 1954, as amended (42 
U.S.C. sec. 2014 et seq.). Radioactive material includes, but is not 
limited to, high-level radioactive waste and spent nuclear fuel.
    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.
    Storage means retention (and any associated activity, operation, or 
process necessary to carry out successful retention) of radioactive 
material with the intent or capability to readily access or retrieve 
such material.
    Yucca Mountain repository means the excavated portion of the 
facility constructed underground within the Yucca Mountain site.
    Yucca Mountain site means:
    (1) The site recommended by the Secretary of DOE to the President 
under section 112(b)(1)(B) of the Nuclear Waste Policy Act of 1982 (42 
U.S.C. 10132(b)(1)(B)) on May 27, 1986; or
    (2) The area under the control of DOE for the use of Yucca Mountain 
activities at the time of licensing, if the site designated under the 
Nuclear Waste Policy Act is amended by Congress prior to the time of 
licensing.



Sec. 63.203  Implementation of Subpart K.

    DOE must demonstrate that normal operations at the Yucca Mountain 
site will and do occur in compliance with this subpart before the 
Commission grants or continues a license for DOE to receive and possess 
radioactive material within the Yucca Mountain site.



Sec. 63.204  Preclosure standard.

    DOE must ensure that no member of the public in the general 
environment receives more than an annual dose of 0.15 mSv (15 mrem) from 
the combination of:
    (a) Management and storage (as defined in 40 CFR 191.2) of 
radioactive material that:
    (1) Is subject to 40 CFR 191.3(a); and
    (2) Occurs outside of the Yucca Mountain repository but within the 
Yucca Mountain site; and
    (b) Storage (as defined in Sec. 63.202) of radioactive material 
inside the Yucca Mountain repository.

[[Page 224]]



    Subpart L--Postclosure Public Health and Environmental Standards



Sec. 63.301  Purpose and scope.

    This subpart covers the disposal of radioactive material in the 
Yucca Mountain repository by DOE. For the purposes of demonstrating 
compliance with this subpart, to the extent that there may be any 
conflict with the requirements specified in this subpart and the 
requirements contained in Subparts A-J of this part, including 
definitions, the requirements in this subpart shall take precedence.



Sec. 63.302  Definitions for Subpart L.

    All definitions in subpart K of this part, and the following:
    Accessible environment means any point outside of the controlled 
area, including:
    (1) The atmosphere (including the atmosphere above the surface area 
of the controlled area);
    (2) Land surfaces;
    (3) Surface waters;
    (4) Oceans; and
    (5) The lithosphere.
    Aquifer means a water-bearing underground geological formation, 
group of formations, or part of a formation (excluding perched water 
bodies) that can yield a significant amount of ground water to a well or 
spring.
    Controlled area means:
    (1) The surface area, identified by passive institutional controls, 
that encompasses no more than 300 square kilometers. It must not extend 
farther:
    (i) South than 36 deg.40'13.6661' North latitude, in the predominant 
direction of ground-water flow; and
    (ii) Than five kilometers from the repository footprint in any other 
direction; and
    (2) The subsurface underlying the surface area.
    Disposal means the emplacement of radioactive material into the 
Yucca Mountain disposal system with the intent of isolating it for as 
long as reasonably possible and with no intent of recovery, whether or 
not the design of the disposal system permits the ready recovery of the 
material. Disposal of radioactive material in the Yucca Mountain 
disposal system begins when all of the ramps and other openings into the 
Yucca Mountain repository are sealed.
    Ground water means water that is below the land surface and in a 
saturated zone.
    Human intrusion means breaching of any portion of the Yucca Mountain 
disposal system, within the repository footprint, by any human activity.
    Passive institutional controls means:
    (1) Markers, as permanent as practicable, placed on the Earth's 
surface;
    (2) Public records and archives;
    (3) Government ownership and regulations regarding land or resource 
use; and
    (4) Other reasonable methods of preserving knowledge about the 
location, design, and contents of the Yucca Mountain disposal system.
    Peak dose means the highest annual dose projected to be received by 
the reasonably maximally exposed individual.
    Period of geologic stability means the time during which the 
variability of geologic characteristics and their future behavior in and 
around the Yucca Mountain site can be bounded, that is, they can be 
projected within a reasonable range of possibilities.
    Plume of contamination means that volume of ground water in the 
predominant direction of ground-water flow that contains radioactive 
contamination from releases from the Yucca Mountain repository. It does 
not include releases from any other potential sources on or near the 
Nevada Test Site.
    Repository footprint means the outline of the outermost locations of 
where the waste is emplaced in the Yucca Mountain repository.
    Slice of the plume means a cross-section of the plume of 
contamination with sufficient thickness parallel to the prevalent 
direction of flow of the plume that it contains the representative 
volume.
    Total dissolved solids means the total dissolved (filterable) solids 
in water as determined by use of the method specified in 40 CFR part 
136.
    Undisturbed performance means that human intrusion or the occurrence 
of unlikely natural features, events, and

[[Page 225]]

processes do not disturb the disposal system.
    Undisturbed Yucca Mountain disposal system means that the Yucca 
Mountain disposal system is not affected by human intrusion.
    Waste means any radioactive material emplaced for disposal into the 
Yucca Mountain repository.
    Well-capture zone means the volume from which a well pumping at a 
defined rate is withdrawing water from an aquifer. The dimensions of the 
well-capture zone are determined by the pumping rate in combination with 
aquifer characteristics assumed for calculations, such as hydraulic 
conductivity, gradient, and the screened interval.
    Yucca Mountain disposal system means the combination of underground 
engineered and natural barriers within the controlled area that prevents 
or substantially reduces releases from the waste.



Sec. 63.303  Implementation of Subpart L.

    DOE must demonstrate that there is a reasonable expectation of 
compliance with this subpart before a license may be issued. In the case 
of the specific numerical requirements in Sec. 63.311 of this subpart, 
and if performance assessment is used to demonstrate compliance with the 
specific numerical requirements in Secs. 63.321 and 63.331 of this 
subpart, compliance is based upon the mean of the distribution of 
projected doses of DOE's performance assessments which project the 
performance of the Yucca Mountain disposal system for 10,000 years after 
disposal.



Sec. 63.304  Reasonable expectation.

    Reasonable expectation means that the Commission is satisfied that 
compliance will be achieved based upon the full record before it. 
Characteristics of reasonable expectation include that it:
    (1) Requires less than absolute proof because absolute proof is 
impossible to attain for disposal due to the uncertainty of projecting 
long-term performance;
    (2) Accounts for the inherently greater uncertainties in making 
long-term projections of the performance of the Yucca Mountain disposal 
system;
    (3) Does not exclude important parameters from assessments and 
analyses simply because they are difficult to precisely quantify to a 
high degree of confidence; and
    (4) Focuses performance assessments and analyses on the full range 
of defensible and reasonable parameter distributions rather than only 
upon extreme physical situations and parameter values.



Sec. 63.305  Required characteristics of the reference biosphere.

    (a) Features, events, and processes that describe the reference 
biosphere must be consistent with present knowledge of the conditions in 
the region surrounding the Yucca Mountain site.
    (b) DOE should not project changes in society, the biosphere (other 
than climate), human biology, or increases or decreases of human 
knowledge or technology. In all analyses done to demonstrate compliance 
with this part, DOE must assume that all of those factors remain 
constant as they are at the time of submission of the license 
application.
    (c) DOE must vary factors related to the geology, hydrology, and 
climate based upon cautious, but reasonable assumptions consistent with 
present knowledge of factors that could affect the Yucca Mountain 
disposal system over the next 10,000 years.
    (d) Biosphere pathways must be consistent with arid or semi-arid 
conditions.

               Postclosure Individual Protection Standard



Sec. 63.311  Individual protection standard after permanent closure.

    DOE must demonstrate, using performance assessment, that there is a 
reasonable expectation that, for 10,000 years following disposal, the 
reasonably maximally exposed individual receives no more than an annual 
dose of 0.15 mSv (15 mrem) from releases from the undisturbed Yucca 
Mountain disposal system. DOE's analysis must include all potential 
pathways of radionuclide transport and exposure.

[[Page 226]]



Sec. 63.312  Required characteristics of the reasonably maximally exposed individual.

    The reasonably maximally exposed individual is a hypothetical person 
who meets the following criteria:
    (a) Lives in the accessible environment above the highest 
concentration of radionuclides in the plume of contamination;
    (b) Has a diet and living style representative of the people who now 
reside in the Town of Amargosa Valley, Nevada. DOE must use projections 
based upon surveys of the people residing in the Town of Amargosa 
Valley, Nevada, to determine their current diets and living styles and 
use the mean values of these factors in the assessments conducted for 
Secs. 63.311 and 63.321;
    (c) Uses well water with average concentrations of radionuclides 
based on an annual water demand of 3000 acre-feet;
    (d) Drinks 2 liters of water per day from wells drilled into the 
ground water at the location specified in paragraph (a) of this section; 
and
    (e) Is an adult with metabolic and physiological considerations 
consistent with present knowledge of adults.

                        Human Intrusion Standard



Sec. 63.321  Individual protection standard for human intrusion.

    DOE must determine the earliest time after disposal that the waste 
package would degrade sufficiently that a human intrusion could occur 
without recognition by the drillers. DOE must:
    (a) Provide the analyses and its technical bases used to determine 
the time of occurrence of human intrusion (see Sec. 63.322) without 
recognition by the drillers.
    (b) If complete waste package penetration is projected to occur at 
or before 10,000 years after disposal:
    (1) Demonstrate that there is a reasonable expectation that the 
reasonably maximally exposed individual receives no more than an annual 
dose of 0.15 mSv (15 mrem) as a result of a human intrusion, at or 
before 10,000 years after disposal. The analysis must include all 
potential environmental pathways of radionuclide transport and exposure 
subject to the requirements at Sec. 63.322; and
    (2) If exposures to the reasonably maximally exposed individual 
occur more than 10,000 years after disposal, include the results of the 
analysis and its bases in the environmental impact statement for Yucca 
Mountain as an indicator of long-term disposal system performance.
    (c) Include the results of the analysis and its bases in the 
environmental impact statement for Yucca Mountain as an indicator of 
long-term disposal system performance, if the intrusion is not projected 
to occur before 10,000 years after disposal.



Sec. 63.322  Human intrusion scenario.

    For the purposes of the analysis of human intrusion, DOE must make 
the following assumptions:
    (a) There is a single human intrusion as a result of exploratory 
drilling for ground water;
    (b) The intruders drill a borehole directly through a degraded waste 
package into the uppermost aquifer underlying the Yucca Mountain 
repository;
    (c) The drillers use the common techniques and practices that are 
currently employed in exploratory drilling for ground water in the 
region surrounding Yucca Mountain;
    (d) Careful sealing of the borehole does not occur, instead natural 
degradation processes gradually modify the borehole;
    (e) No particulate waste material falls into the borehole;
    (f) The exposure scenario includes only those radionuclides 
transported to the saturated zone by water (e.g., water enters the waste 
package, releases radionuclides, and transports radionuclides by way of 
the borehole to the saturated zone); and
    (g) No releases are included which are caused by unlikely natural 
processes and events.

                    Ground-Water Protection Standards



Sec. 63.331  Separate standards for protection of ground water.

    DOE must demonstrate that there is a reasonable expectation that, 
for 10,000 years of undisturbed performance

[[Page 227]]

after disposal, releases of radionuclides from waste in the Yucca 
Mountain disposal system into the accessible environment will not cause 
the level of radioactivity in the representative volume of ground water 
to exceed the limits in the following Table 1:

     Table 1.--Limits on Radionuclides in the Representative Volume
------------------------------------------------------------------------
                                                           Is natural
    Radionuclide or type of              Limit             background
       radiation emitted                                    included?
------------------------------------------------------------------------
Combined radium-226 and radium- 5 picocuries per liter  Yes.
 228.
Gross alpha activity            15 picocuries per       Yes.
 (including radium-226 but       liter.
 excluding radon and uranium).
Combined beta and photon        0.04 mSv (4 mrem) per   No.
 emitting radionuclides.         year to the whole
                                 body or any organ,
                                 based on drinking 2
                                 liters of water per
                                 day from the
                                 representative volume.
------------------------------------------------------------------------



Sec. 63.332  Representative volume.

    (a) The representative volume is the volume of ground water that 
would be withdrawn annually from an aquifer containing less than 10,000 
milligrams of total dissolved solids per liter of water to supply a 
given water demand. DOE must project the concentration of radionuclides 
released from the Yucca Mountain disposal system that will be in the 
representative volume. DOE must use the projected concentrations to 
demonstrate a reasonable expectation that the Yucca Mountain disposal 
system complies with Sec. 63.331. The DOE must make the following 
assumptions concerning the representative volume:
    (1) It includes the highest concentration level in the plume of 
contamination in the accessible environment;
    (2) Its position and dimensions in the aquifer are determined using 
average hydrologic characteristics which have cautious, but reasonable, 
values representative of the aquifers along the radionuclide migration 
path from the Yucca Mountain repository to the accessible environment as 
determined by site characterization; and
    (3) It contains 3,000 acre-feet of water (about 3,714,450,000 liters 
or 977,486,000 gallons).
    (b) DOE must use one of two alternative methods for determining the 
dimensions of the representative volume. The DOE must propose its chosen 
method, and any underlying assumptions, to NRC for approval.
    (1) DOE may calculate the dimensions as a well-capture zone. If DOE 
uses this approach, it must assume that the:
    (i) Water supply well(s) has (have) characteristics consistent with 
public water supply wells in the Town of Amargosa Valley, Nevada, for 
example, well-bore size and length of the screened intervals;
    (ii) Screened interval(s) include(s) the highest concentration in 
the plume of contamination in the accessible environment; and
    (iii) Pumping rates and the placement of the well(s) must be set to 
produce an annual withdrawal equal to the representative volume and to 
tap the highest concentration within the plume of contamination.
    (2) DOE may calculate the dimensions as a slice of the plume. If DOE 
uses this approach, it must:
    (i) Propose, for approval, where the location of the edge of the 
plume of contamination occurs. For example, the place where the 
concentration of radionuclides reaches 0.1% of the level of the highest 
concentration in the accessible environment;
    (ii) Assume that the slice of the plume is perpendicular to the 
prevalent direction of flow of the aquifer; and
    (iii) Assume that the volume of ground water contained within the 
slice of the plume equals the representative volume.

                          Additional Provisions



Sec. 63.341  Projections of peak dose.

    To complement the results of Sec. 63.311, DOE must calculate the 
peak dose of the reasonably maximally exposed individual that would 
occur after 10,000 years following disposal but within the period of 
geologic stability. No regulatory standard applies to the results

[[Page 228]]

of this analysis; however, DOE must include the results and their bases 
in the environmental impact statement for Yucca Mountain as an indicator 
of long-term disposal system performance.



Sec. 63.342  Limits on performance assessments.

    DOE's performance assessments shall not include consideration of 
very unlikely features, events, or processes, i.e., those that are 
estimated to have less than one chance in 10,000 of occurring within 
10,000 years of disposal. DOE's assessments for the human-intrusion and 
ground-water protection standards shall not include consideration of 
unlikely features, events, and processes, or sequences of events and 
processes, i.e., those that are estimated to have less than one chance 
in 10 and at least one chance in 10,000 of occurring within 10,000 years 
of disposal. In addition, DOE's performance assessments need not 
evaluate the impacts resulting from any features, events, and processes 
or sequences of events and processes with a higher chance of occurrence 
if the results of the performance assessments would not be changed 
significantly.

[67 FR 62634, Oct. 8, 2002]



Sec. 63.343  Severability of individual protection and ground-water protection standards.

    The individual protection and ground-water protection standards are 
severable.



PART 70--DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL--Table of Contents




                      Subpart A--General Provisions

Sec.
70.1  Purpose.
70.2  Scope.
70.3  License requirements.
70.4  Definitions.
70.5  Communications.
70.6  Interpretations.
70.7  Employee protection.
70.8  Information collection requirements: OMB approval.
70.9  Completeness and accuracy of information.
70.10  Deliberate misconduct.

                          Subpart B--Exemptions

70.11  Persons using special nuclear material under certain Department 
          of Energy and Nuclear Regulatory Commission contracts.
70.12  Carriers.
70.13  Department of Defense.
70.14  Foreign military aircraft.
70.17  Specific exemptions.

                       Subpart C--General Licenses

70.18  Types of licenses.
70.19  General license for calibration or reference sources.
70.20  General license to own special nuclear material.
70.20a  General license to possess special nuclear material for 
          transport.
70.20b  General license for carriers of transient shipments of formula 
          quantities of strategic special nuclear material, special 
          nuclear material of moderate strategic significance, special 
          nuclear material of low strategic significance, and irradiated 
          reactor fuel.

                     Subpart D--License Applications

70.21  Filing.
70.22  Contents of applications.
70.23  Requirements for the approval of applications.
70.23a  Hearing required for uranium enrichment facility.
70.24  Criticality accident requirements.
70.25  Financial assurance and recordkeeping for decommissioning.

                           Subpart E--Licenses

70.31  Issuance of licenses.
70.32  Conditions of licenses.
70.33  Renewal of licenses.
70.34  Amendment of licenses.
70.35  Commission action on applications to renew or amend.
70.36  Inalienability of licenses.
70.37  Disclaimer of warranties.
70.38  Expiration and termination of licenses and decommissioning of 
          sites and separate buildings or outdoor areas.
70.39  Specific licenses for the manufacture or initial transfer of 
          calibration or reference sources.
70.40  Ineligibility of certain applicants.

 Subpart F--Acquisition, Use and Transfer of Special Nuclear Material, 
                            Creditors' Rights

70.41  Authorized use of special nuclear material.
70.42  Transfer of special nuclear material.
70.44  Creditor regulations.

[[Page 229]]

   Subpart G--Special Nuclear Material Control, Records, Reports and 
                               Inspections

70.50  Reporting requirements.
70.51  Material balance, inventory, and records requirements.
70.52  Reports of accidental criticality or loss or theft or attempted 
          theft of special nuclear material.
70.53  Material status reports.
70.54  Nuclear material transfer reports.
70.55  Inspections.
70.56  Tests.
70.57  Measurement control program for special nuclear materials control 
          and accounting.
70.58  Fundamental nuclear material controls.
70.59  Effluent monitoring reporting requirements.

 Subpart H--Additional Requirements for Certain Licensees Authorized to 
           Possess a Critical Mass of Special Nuclear Material

70.60  Applicability.
70.61  Performance requirements.
70.62  Safety program and integrated safety analysis.
70.64  Requirements for new facilities or new processes at existing 
          facilities.
70.65  Additional content of applications.
70.66  Additional requirements for approval of license application.
70.72  Facility changes and change process.
70.73  Renewal of licenses.
70.74  Additional reporting requirements.
70.76  Backfitting.

           Subpart I--Modification and Revocation of Licenses

70.81  Modification and revocation of licenses.
70.82  Suspension and operation in war or national emergency.

                         Subpart J--Enforcement

70.91  Violations.
70.92  Criminal penalties.

Appendix A to Part 70--Reportable Safety Events

    Authority: Secs. 51, 53, 161, 182, 183, 68 Stat. 929, 930, 948, 953, 
954, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2071, 
2073, 2201, 2232, 2233, 2282, 2297f); secs. 201, as amended, 202, 204, 
206, 88 Stat. 1242, as amended, 1244, 1245, 1246 (42 U.S.C. 5841, 5842, 
5845, 5846). Sec. 193, 104 Stat. 2835, as amended by Pub. L. 104-134, 
110 Stat. 1321, 1321-349 (42 U.S.C. 2243).
    Sections 70.1(c) and 70.20a(b) also issued under secs. 135, 141, 
Pub. L. 97-425, 96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section 
70.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 (42 U.S.C. 
5851). Section 70.21(g) also issued under sec. 122, 68 Stat. 939 (42 
U.S.C. 2152). Section 70.31 also issued under sec. 57d, Pub. L. 93-377, 
88 Stat. 475 (42 U.S.C. 2077). Sections 70.36 and 70.44 also issued 
under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 70.81 
also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237). 
Section 70.82 also issued under sec. 108, 68 Stat. 939, as amended (42 
U.S.C. 2138).

    Source: 21 FR 764, Feb. 3, 1956, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 70.1  Purpose.

    (a) Except as provided in paragraphs (c) and (d) of this section, 
the regulations of this part establish procedures and criteria for the 
issuance of licenses to receive title to, own, acquire, deliver, 
receive, possess, use, and transfer special nuclear material; and 
establish and provide for the terms and conditions upon which the 
Commission will issue such licenses.
    (b) The regulations contained in this part are issued 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).
    (c) The regulations in part 72 of this chapter establish 
requirements, procedures, and criteria for the issuance of licenses to 
possess:
    (1) Spent fuel, power reactor-related Greater than Class C (GTCC) 
waste, and other radioactive materials associated with spent fuel 
storage in an independent spent fuel storage installation (ISFSI), or
    (2) Spent fuel, high-level radioactive waste, power reactor-related 
GTCC waste, and other radioactive materials associated with the storage 
in a monitored retrievable storage installation (MRS), and the terms and 
conditions under which the Commission will issue such licenses.
    (d) As provided in part 76 of this chapter, the regulations of this 
part establish procedures and criteria for physical security and 
material control and accounting for the issuance of a certificate of 
compliance or the approval of a compliance plan.

[[Page 230]]

    (e) As provided in the Atomic Energy Act of 1954, as amended, the 
regulations in this part establish requirements, procedures, and 
criteria for the issuance of licenses to uranium enrichment facilities.

[21 FR 764, Feb. 3, 1956, as amended at 32 FR 4056, Mar. 15, 1967; 40 FR 
8791, Mar. 3, 1975; 43 FR 6924, Feb. 17, 1978; 45 FR 74712, Nov. 12, 
1980; 53 FR 31682, Aug. 19, 1988; 59 FR 48960, Sept. 23, 1994; 62 FR 
6669, Feb. 12, 1997; 66 FR 51838, Oct. 11, 2001]



Sec. 70.2  Scope.

    Except as provided in Secs. 70.11 to 70.13, 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, applicant, contractor, or subcontractor, components, 
equipment, materials, or other goods or services, that relate to a 
licensee's or applicant's activities subject to this part, that they may 
be individually subject to NRC enforcement action for violation of 
Sec. 70.10.

[63 FR 1898, Jan. 13, 1998]



Sec. 70.3  License requirements.

    No person subject to the regulations in this part shall receive 
title to, own, acquire, deliver, receive, possess, use, or transfer 
special nuclear material except as authorized in a license issued by the 
Commission pursuant to these regulations.

[32 FR 2562, Feb. 7, 1967, as amended at 43 FR 6924, Feb. 17, 1978]



Sec. 70.4  Definitions.

    Act means the Atomic Energy Act of 1954 (68 Stat 919), including any 
amendments thereto;
    Acute, as used in this part, means a single radiation dose or 
chemical exposure event or multiple radiation dose or chemical exposure 
events occurring within a short time (24 hours or less).
    Agreement State as designated in part 150 of this chapter means any 
State with which the 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[s] but that the release 
is not expected to require a response by an offsite response 
organization to protect persons offsite.
    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 principal purpose of 
which is for use as, or for development of, a weapon, a weapon 
prototype, or a weapon test device;
    Available and reliable to perform their function when needed, as 
used in subpart H of this part, means that, based on the analyzed, 
credible conditions in the integrated safety analysis, items relied on 
for safety will perform their intended safety function when needed, and 
management measures will be implemented that ensure compliance with the 
performance requirements of Sec. 70.61 of this part, considering factors 
such as necessary maintenance, operating limits, common-cause failures, 
and the likelihood and consequences of failure or degradation of the 
items and measures.
    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;
    Common defense and security means the common defense and security of 
the United States;
    Configuration management (CM) means a management measure that 
provides oversight and control of design information, safety 
information, and records of modifications (both temporary and permanent) 
that might impact the ability of items relied on for

[[Page 231]]

safety to perform their functions when needed.
    Contiguous sites means licensee controlled locations, deemed by the 
Commission to be in close enough proximity to each other, that the 
special nuclear material must be considered in the aggregate for the 
purpose of physical protection.
    Corporation means the United States Enrichment Corporation (USEC), 
or its successor, a Corporation that is authorized by statute to lease 
the gaseous diffusion enrichment plants in Paducah, Kentucky, and 
Piketon, Ohio, from the Department of Energy, or any person authorized 
to operate one or both of the gaseous diffusion plants, or other 
facilities, pursuant to a plan for the privatization of USEC that is 
approved by the President.
    Critical mass of special nuclear material (SNM), as used in Subpart 
H, means special nuclear material in a quantity exceeding 700 grams of 
contained uranium-235; 520 grams of uranium-233; 450 grams of plutonium; 
1500 grams of contained uranium-235, if no uranium enriched to more than 
4 percent by weight of uranium-235 is present; 450 grams of any 
combination thereof; or one-half such quantities if massive moderators 
or reflectors made of graphite, heavy water, or beryllium may be 
present.
    Decommission means to remove a facility or site safely from service 
and reduce residual radioactivity to a level that permits--
    (1) Release of the property for unrestricted use and termination of 
the license; or
    (2) Release of the property under restricted conditions and 
termination of the license.
    Department and Department of Energy means 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).
    Double contingency principle means that process designs should 
incorporate sufficient factors of safety to require at least two 
unlikely, independent, and concurrent changes in process conditions 
before a criticality accident is possible.
    Effective dose equivalent means the sum of the products of the dose 
equivalent to the body 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.
    Effective kilograms of special nuclear material means: (1) For 
plutonium and uranium-233 their weight in kilograms; (2) For uranium 
with an enrichment in the isotope U-235 of 0.01 (1%) and above, its 
element weight in kilograms multiplied by the square of its enrichment 
expressed as a decimal weight fraction; and (3) For uranium with an 
enrichment in the isotope U-235 below 0.01 (1%), by its element weight 
in kilograms multiplied by 0.0001.
    Formula quantity means strategic special nuclear material in any 
combination in a quantity of 5000 grams or more computed by the formula, 
grams=(grams contained U-235)+2.5 (grams U-233+grams plutonium). This 
class of material is sometimes referred to as a Category I quantity of 
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;
    Hazardous chemicals produced from licensed materials means 
substances having licensed material as precursor compound(s) or 
substances that physically or chemically interact with licensed

[[Page 232]]

materials; and that are toxic, explosive, flammable, corrosive, or 
reactive to the extent that they can endanger life or health if not 
adequately controlled. These include substances commingled with licensed 
material, and include substances such as hydrogen fluoride that is 
produced by the reaction of uranium hexafluoride and water, but do not 
include substances prior to process addition to licensed material or 
after process separation from licensed material.
    Integrated safety analysis (ISA) means a systematic analysis to 
identify facility and external hazards and their potential for 
initiating accident sequences, the potential accident sequences, their 
likelihood and consequences, and the items relied on for safety. As used 
here, integrated means joint consideration of, and protection from, all 
relevant hazards, including radiological, nuclear criticality, fire, and 
chemical. However, with respect to compliance with the regulations of 
this part, the NRC requirement is limited to consideration of the 
effects of all relevant hazards on radiological safety, prevention of 
nuclear criticality accidents, or chemical hazards directly associated 
with NRC licensed radioactive material. An ISA can be performed process 
by process, but all processes must be integrated, and process 
interactions considered.
    Integrated safety analysis summary means a document or documents 
submitted with the license application, license amendment application, 
license renewal application, or pursuant to Sec. 70.62(c)(3)(ii) that 
provides a synopsis of the results of the integrated safety analysis and 
contains the information specified in Sec. 70.65(b). The ISA Summary can 
be submitted as one document for the entire facility, or as multiple 
documents that cover all portions and processes of the facility.
    Items relied on for safety mean structures, systems, equipment, 
components, and activities of personnel that are relied on to prevent 
potential accidents at a facility that could exceed the performance 
requirements in Sec. 70.61 or to mitigate their potential consequences. 
This does not limit the licensee from identifying additional structures, 
systems, equipment, components, or activities of personnel (i.e., beyond 
those in the minimum set necessary for compliance with the performance 
requirements) as items relied on for safety.
    License, except where otherwise specified, means a license issued 
pursuant to the regulations in this part;
    Management measures mean the functions performed by the licensee, 
generally on a continuing basis, that are applied to items relied on for 
safety, to ensure the items are available and reliable to perform their 
functions when needed. Management measures include configuration 
management, maintenance, training and qualifications, procedures, audits 
and assessments, incident investigations, records management, and other 
quality assurance elements.
    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), 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;
    Plutonium processing and fuel fabrication plant means a plant in 
which the following operations or activities are conducted: (1) 
Operations for manufacture of reactor fuel containing plutonium 
including any of the following: (i) Preparation of fuel material; (ii) 
formation of fuel material into desired shapes; (iii) application of 
protective cladding; (iv) recovery of scrap material; and (v) storage 
associated with such operations; or (2) Research and development 
activities involving any of the operations described in paragraph (1) of 
this definition except for research and development activities utilizing 
unsubstantial amounts of plutonium.

[[Page 233]]

    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.
    Produce, when used in relation to special nuclear material, means 
(1) to 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;
    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;
    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;
    Sealed source means any special nuclear material that is encased in 
a capsule designed to prevent leakage or escape of the special nuclear 
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 section 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;
    Special nuclear material of low strategic significance means:
    (1) Less than an amount of special nuclear material of moderate 
strategic significance as defined in paragraph (1) of the definition of 
strategic nuclear material of moderate strategic significance in this 
section, but more than 15 grams of uranium-235 (contained in uranium 
enriched to 20 percent or more in U-235 isotope) or 15 grams of uranium-
233 or 15 grams of plutonium or the combination of 15 grams when 
computed by the equation, grams = (grams contained U-235) + (grams 
plutonium) + (grams U-233); or
    (2) Less than 10,000 grams but more than 1,000 grams of uranium-235 
(contained in uranium enriched to 10 percent or more but less than 20 
percent in the U-235 isotope); or
    (3) 10,000 grams or more of uranium-235 (contained in uranium 
enriched above natural but less than 10 percent in the U-235 isotope).

This class of material is sometimes referred to as a Category III 
quantity of material.
    Special nuclear material of moderate strategic significance means:
    (1) Less than a formula quantity of strategic special nuclear 
material but more than 1,000 grams of uranium-235 (contained in uranium 
enriched to 20 percent or more in the U-235 isotope) or more than 500 
grams of uranium-233 or plutonium, or in a combined quantity of more 
than 1,000 grams when computed by the equation, grams = (grams contained 
U-235) + 2 (grams U-233 + grams plutonium); or
    (2) 10,000 grams or more of uranium-235 (contained in uranium 
enriched to 10 percent or more but less than 20 percent in the U-235 
isotope).

This class of material is sometimes referred to as a Category II 
quantity of material.
    Special nuclear material scrap means the various forms of special 
nuclear material generated during chemical and mechanical processing, 
other than recycle material and normal process

[[Page 234]]

intermediates, which are unsuitable for use in their present form, but 
all or part of which will be used after further processing.
    Strategic special nuclear material means uranium-235 (contained in 
uranium enriched to 20 percent or more in the U235 isotope), 
uranium-233, or plutonium.
    Transient shipment means a shipment of nuclear material, originating 
and terminating in foreign countries, on a vessel or aircraft which 
stops at a United States port.
    Unacceptable performance deficiencies mean deficiencies in the items 
relied on for safety or the management measures that need to be 
corrected to ensure an adequate level of protection as defined in 10 CFR 
70.61(b), (c), or (d).
    United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States.
    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.
    Worker, when used in Subpart H of this Part, means an individual who 
receives an occupational dose as defined in 10 CFR 20.1003.

[21 FR 764, Feb. 3, 1956]

    Editorial Note: For Federal Register citations affecting Sec. 70.4, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



Sec. 70.5  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 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) Reviews pursuant to Sec. 70.32(c).
    (vii) Uranium enrichment facilities.
    (2) Submissions--(i) Region I. The regional licensing program 
involves all Federal facilities in the region and

[[Page 235]]

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, Nuclear Material 
Section B, 475 Allendale Road, King of Prussia, PA 19406.
    (ii) Region II. The regional licensing program involves all Federal 
facilties 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 Licensing/
Inspection Branch, Atlanta Federal Center, 61 Forsyth Street, SW., Suite 
23T85, Atlanta, Georgia 30303.
    (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 16032, 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 38392, Oct. 16, 1987; 52 FR 48093, Dec. 18, 1987; 53 FR 
3862, Feb. 10, 1988; 53 FR 4111, Feb. 12, 1988; 53 FR 43421, Oct. 27, 
1988; 54 FR 6877, Feb. 15, 1989; 57 FR 18392, Apr. 30, 1992; 58 FR 7737, 
Feb. 9, 1993; 58 FR 64112, Dec. 6, 1993; 59 FR 17466, Apr. 13, 1994; 60 
FR 24552, May 9, 1995; 62 FR 22880, Apr. 28, 1997]



Sec. 70.6  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. 70.7  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;

[[Page 236]]

    (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, 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 52413, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 
FR 6765, Feb. 22, 1996]



Sec. 70.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information

[[Page 237]]

collection requirements contained in this part to the office of 
Management and Budget (OMB) for approval as required by the Paperwork 
reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0009.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 70.9, 70.17, 70.19, 70.20a, 70.20b, 70.21, 
70.22, 70.24, 70.25, 70.32, 70.33, 70.34, 70.38, 70.39, 70.42, 70.50, 
70.51, 70.52, 70.53, 70.57, 70.58, 70.59, 70.61, 70.62, 70.64, 70.65, 
70.72, 70.73, 70.74, 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 Sec. 70.21, Form N-71 is approved under control number 3150-
0056.
    (2) In Sec. 70.38, NRC Form 314 is approved under control number 
3150-0028.
    (3) In Sec. 70.53, DOE/NRC Form 742 is approved under control number 
3150-0004.
    (4) In Sec. 70.53, DOE/NRC Form 742C is approved under control 
number 3150-0058.
    (5) In Sec. 70.54, DOE/NRC Form 741 is approved under control number 
3150-0003.
    (6) In Sec. 70.53, NRC Form 327 is approved under control number 
3150-0139.

[49 FR 19628, May 9, 1984, as amended at 52 FR 19305, May 22, 1987; 56 
FR 40769, Aug. 16, 1991; 57 FR 18392, Apr. 30, 1992; 58 FR 39634, July 
26, 1993; 62 FR 52189, Oct. 6, 1997; 65 FR 56225, Sept. 18, 2000]

    Effective Date Note: At 67 FR 78142, Dec. 23, 2002, Sec. 70.8 was 
amended by revising paragraphs (b) and (c), effective Mar. 24, 2003. For 
the convenience of the user, the revised text is set forth as follows:

Sec. 70.8  Information collection requirements: OMB approval.

                                * * * * *

    (b) The approved information collection requirements contained in 
this part appear in Secs. 70.9, 70.17, 70.19, 70.20a, 70.20b, 70.21, 
70.22, 70.24, 70.25, 70.32, 70.33, 70.34, 70.38, 70.39, 70.42, 70.50, 
70.51, 70.52, 70.59, 70.61, 70.62, 70.64, 70.65, 70.72, 70.73, 70.74, 
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 Sec. 70.21, form N-71 is approved under control number 3150-
0056.
    (2) In Sec. 70.38, NRC form 314 is approved under control number 
3150-0028.



Sec. 70.9  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 49373, Dec. 31, 1987]



Sec. 70.10  Deliberate misconduct.

    (a) Any licensee, applicant for a license, employee of a licensee or 
applicant; or any contractor (including a supplier or consultant), 
subcontractor, employee of a contractor or subcontractor of any licensee 
or applicant for a license, who knowingly provides to any licensee, 
applicant, contractor, or subcontractor, any components, equipment, 
materials, or other goods or services that relate to a licensee's or

[[Page 238]]

applicant's activities in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee or applicant 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, an applicant, or a 
licensee's or applicant'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 the 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 or applicant 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, 
applicant, contractor, or subcontractor.

[63 FR 1899, Jan. 13, 1998]



                          Subpart B--Exemptions



Sec. 70.11  Persons using special nuclear 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 
section 53 of the Act and from the regulations in this part to the 
extent that such contractor, under his prime contract with the 
Department receives title to, owns, acquires, delivers, receives, 
possesses, uses, or transfers special nuclear material for:
    (a) The performance of work for the Department at a United States 
Government-owned or controlled site, including the transportation of 
special nuclear 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 section 53 of the Act and from the regulations in 
this part to the extent that such prime contractor or subcontractor 
receives title to, owns, acquires, delivers, receives, possesses, uses, 
or transfers special nuclear 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 14085, Mar. 28, 1975; 40 FR 16047, Apr. 9, 1975; as amended at 43 
FR 6924, Feb. 17, 1978; 65 FR 54950, Sept. 12, 2000]



Sec. 70.12  Carriers.

    Common and contract carriers, freight forwarders, warehousemen, and 
the U.S. Postal Service are exempt from the regulations in this part to 
the extent that they transport special nuclear material in the regular 
course of carriage for another or storage incident thereto. This 
exemption does not apply to the storage in transit or transport of 
material by persons covered by the general license issued under 
Sec. 70.20a and Sec. 70.20b.

[46 FR 12696, Feb. 18, 1981]

[[Page 239]]



Sec. 70.13  Department of Defense.

    The regulations in this part do not apply to the Department of 
Defense to the extent that the Department receives, possesses and uses 
special nuclear material in accordance with the direction of the 
President pursuant to section 91 of the Act.



Sec. 70.14  Foreign military aircraft.

    The regulations in this part do not apply to persons who carry 
special nuclear material (other than plutonium) in aircraft of the armed 
forces of foreign nations subject to 49 U.S.C. 1508(a).

[46 FR 12194, Feb. 13, 1981. Redesignated at 65 FR 56225, Sept. 18, 
2000]



Sec. 70.17  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 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 the regulations in 
this part to the extent that its activities are subject to the 
requirements of part 60 or part 63 of this chapter.
    (d) Except as specifically provided in part 61 of this chapter, any 
licensee is exempt from the requirements of the regulations in this part 
to the extent that its activities are subject to the requirements of 
part 61 of this chapter.

[37 FR 5749, Mar. 21, 1972, as amended at 45 FR 65536, Oct. 3, 1980; 46 
FR 13987, Feb. 25, 1981; 47 FR 57481, Dec. 27, 1982; Redesignated at 65 
FR 56225, Sept. 18, 2000, as amended at 66 FR 55815, Nov. 2, 2001]



                       Subpart C--General Licenses



Sec. 70.18  Types of licenses.

    Licenses for special nuclear material are of two types: general and 
specific. Any general license provided in this part is 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.

[29 FR 5884, May 5, 1964]



Sec. 70.19  General license for calibration or reference sources.

    (a) A general license is hereby issued to those persons listed below 
to receive title to, own, acquire, deliver, receive, possess, use and 
transfer in accordance with the provisions of paragraphs (b) and (c) of 
this section, plutonium in the form of calibration or reference sources:
    (1) Any person in a non-agreement State who holds a specific license 
issued by the Commission or the Atomic Energy Commission which 
authorizes him to receive, possess, use and transfer byproduct material, 
source material, or special nuclear material;
    (2) Any Government agency as defined in Sec. 70.4 that holds a 
specific license issued by the Commission that authorizes it to receive, 
possess, use, or transfer byproduct material, source material, or 
special nuclear material; and
    (3) Any person in an agreement State who holds a specific license 
issued by the Commission or the Atomic Energy Commission which 
authorizes him to receive, possess, use and transfer 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. 70.39 or in accordance with 
the specifications contained in a specific license issued 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. 70.32, 70.50, 70.51, 70.52, 70.55, 70.56, 
70.61, 70.62, and 70.71, and to the provisions of parts 19, 20 and 21 of 
this chapter. In addition, persons who receive title to, own, acquire, 
deliver, receive, possess, use or 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,

[[Page 240]]

more than 5 microcuries of plutonium in such sources;
    (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\
---------------------------------------------------------------------------

    \1\ Sources 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 plutonium. 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 from the Commission or the 
Atomic Energy Commission or 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 
plutonium 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) The general license in paragraph (a) of this section does not 
authorize the manufacture, import, or export of calibration or reference 
sources containing plutonium.

[29 FR 5884, May 5, 1964, as amended at 32 FR 8124, June 7, 1967; 38 FR 
22221, Aug. 17, 1973; 40 FR 8792, Mar. 3, 1975; 42 FR 28896, June 6, 
1977; 43 FR 6924, Feb. 17, 1978; 48 FR 32329, July 15, 1983; 56 FR 
40769, Aug. 16, 1991; 57 FR 33428, July 29, 1992]

    Effective Date Note: At 67 FR 78142, Dec. 23, 2002, Sec. 70.19 was 
amended by revising the introductory text of paragraph (c), effective 
Mar. 24, 2003. For the convenience of the user, the revised text is set 
forth as follows:

Sec. 70.19  General license for calibration or reference sources.

                                * * * * *

    (c) The general license in paragraph (a) of this section is subject 
to the provisions of Secs. 70.32, 70.50, 70.55, 70.56, 70.61, 70.62, and 
70.71; the provisions of Secs. 74.11, and 74.19 of this chapter; and to 
the provisions of parts 19, 20, and 21 of this chapter. In addition, 
persons who receive title to, own, acquire, deliver, receive, possess, 
use or transfer one or more calibration or reference sources pursuant to 
this general license:

                                * * * * *



Sec. 70.20  General license to own special nuclear material.

    A general license is hereby issued to receive title to and own 
special nuclear material without regard to quantity. Notwithstanding any 
other provision of this chapter, a general licensee under this section 
is not authorized to acquire, deliver, receive, possess, use, transfer, 
import, or export special nuclear material, except as authorized in a 
specific license.

[33 FR 9810, July 9, 1968]



Sec. 70.20a  General license to possess special nuclear material for transport.

    (a) A general license is hereby issued to any person to possess 
formula quantities of strategic special nuclear material of the types 
and quantities subject to the requirements of Secs. 73.20, 73.25, 73.26, 
and 73.27 of this chapter and irradiated reactor fuel containing 
material of the types and quantities subject to the requirements of 
Sec. 73.37 of this chapter, in the regular course of carriage for 
another or storage incident thereto. Carriers generally licensed under 
Sec. 70.20b are exempt from the requirements of this section. Carriers 
of irradiated reactor fuel for the United States Department of Energy 
are also exempt from the requirements of this section. The general 
license is subject to the applicable provisions of Secs. 70.7 (a) 
through (e); 70.32 (a) and (b), and Secs. 70.42, 70.52, 70.55, 70.61, 
70.62, and 70.71.
    (b) Notwithstanding any other provision of this chapter, the general 
license

[[Page 241]]

issued under this section does not authorize any person to conduct any 
activity that would be authorized by a license issued pursuant to parts 
30 through 36, 39, 40, 50, 72, 110, or other sections of this part.
    (c) Notwithstanding any other provision of this chapter, the duties 
of a general licensee under this section while in possession of formula 
quantities of strategic special nuclear material or irradiated reactor 
fuel in the regular course of carriage for another or storage incident 
thereto shall be limited to providing for the physical protection of 
such material against theft or sabotage. Unless otherwise provided by 
this section, a general license under this section is not subject to the 
requirements of parts 19, 20, 70 and 73.
    (d) Any person who possesses formula quantities of strategic special 
nuclear material under this general license:
    (1) Shall have submitted and received approval of a transportation 
security plan. The security plan shall outline the procedures that will 
be used to meet the requirements of Secs. 73.20, 73.25, 73.26, 73.27 and 
73.70(g) of this chapter including a plan for the selection, 
qualification, and training of armed escorts, or the specification and 
design of a specially designed truck or trailer as appropriate.
    (2) Shall assure that the transportation is in accordance with the 
applicable physical protection requirements of Secs. 73.20, 73.25, 
73.26, 73.27 and 73.70(g) of this chapter and the applicable approved 
transportation security plan.
    (3) Shall be subject to part 26 and Sec. 73.80 of this chapter.
    (e) Any person who possesses irradiated reactor fuel under this 
general license shall:
    (1) Assure or receive certification from the shipper that the 
transportation is in accordance with the applicable physical protection 
requirements of Sec. 73.37 of this chapter; and
    (2) Comply with the reporting requirements of Sec. 73.71 of this 
chapter.

[44 FR 26851, May 8, 1979, as amended at 44 FR 68186, Nov. 28, 1979; 46 
FR 12696, Feb. 18, 1981; 47 FR 30458, July 14, 1982; 53 FR 31682, Aug. 
19, 1988; 58 FR 7737, Feb. 9, 1993; 58 FR 31471, June 3, 1993]

    Effective Date Note: At 67 FR 78142, Dec. 23, 2002, Sec. 70.20a was 
amended by revising paragraph (a), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 70.20a  General license to possess special nuclear material for 
          transport.

    (a) A general license is hereby issued to any person to possess 
formula quantities of strategic special nuclear material of the types 
and quantities subject to the requirements of Secs. 73.20, 73.25, 73.26, 
and 73.27 of this chapter, and irradiated reactor fuel containing 
material of the types and quantities subject to the requirements of 
Sec. 73.37 of this chapter, in the regular course of carriage for 
another or storage incident thereto. Carriers generally licensed under 
Sec. 70.20b are exempt from the requirements of this section. Carriers 
of irradiated reactor fuel for the United States Department of Energy 
are also exempt from the requirements of this section. The general 
license is subject to the applicable provisions of Secs. 70.7(a) through 
(e), 70.32(a) and (b), and Secs. 70.42, 70.52, 70.55, 70.61, 70.62, 
70.71, and 10 CFR 74.11.

                                * * * * *



Sec. 70.20b  General license for carriers of transient shipments of formula
 
quantities of strategic special nuclear material, special nuclear material of 
          moderate strategic significance, special nuclear material of 
          low strategic significance, and irradiated reactor fuel.

    (a) A general license is hereby issued to any person to possess 
transient shipments of the following kinds and quantities of special 
nuclear material:
    (1) A formula quantity of special nuclear material of the types and 
quantities subject to the requirements of Secs. 73.20, 73.25, 73.26, and 
73.27 of this chapter.
    (2) Special nuclear material of moderate and low strategic 
significance of the types and quantities subject to the requirements of 
Sec. 73.67 of this chapter.
    (3) Irradiated reactor fuel of the type and quantity subject to the 
requirements of Sec. 73.37 of this chapter.
    (b) Persons generally licensed under this section are exempt from 
the requirements of parts 19 and 20 of this chapter and the requirements 
of this part, except Secs. 70.32 (a) and (b), 70.52, 70.55, 70.61, 
70.62, and 70.71.
    (c) Persons generally licensed under this section to possess a 
transient shipment of special nuclear material of the

[[Page 242]]

kind and quantity specified in paragraph (a)(1) of this section shall 
provide physical protection for that shipment in accordance with or 
equivalent to Secs. 73.20(a), 73.20(b), 73.25, and 73.71(b) of this 
chapter from the time a shipment enters a United States port until it 
exits that or another United States port.
    (d) Persons generally licensed under this section to possess a 
transient shipment of special nuclear material of moderate or low 
strategic significance of the kind and quantity specified in paragraph 
(a)(2) of this section shall provide physical protection for that 
shipment in accordance with or equivalent to Sec. 73.67 of this chapter 
and shall comply with the requirements of Sec. 73.71(b) of this chapter.
    (e) Persons generally licensed under this section to possess a 
transient shipment of irradiated reactor fuel of the kind and quantity 
specified in paragraph (a)(3) of this section shall provide physical 
protection for that shipment in accordance with or equivalent to 
Sec. 73.37 of this chapter and shall comply with the requirements of 
Sec. 73.71(b) of this chapter.
    (f)(1) Persons generally licensed under this section, who plan to 
carry transient shipments with scheduled stops at United States ports, 
shall notify in writing the Director, Spent Fuel Project Office, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555.
    (2) A person generally licensed under this section shall assure 
that:
    (i) The notification will be received at least 10 days before 
transport of the shipment commences at the shipping facility;
    (ii) The Director, Spent Fuel Project Office has been notified by 
telephone at (301) 415-8500, at least 10 days before transport of the 
shipment commences at the shipping facility, that an advance shipping 
notice has been sent by mail; and
    (iii) The Director, Spent Fuel Project Office has been notified by 
telephone at (301) 415-8500 of any changes to the shipment itinerary.
    (3) Persons who are generally licensed under paragraph (a)(1) of 
this section must include the information listed in paragraphs (f)(3)(i) 
through (ix) of this section. Persons who are generally licensed under 
Sec. 70.20b(a)(2) and Sec. 70.20b(a)(3) must include the information 
listed in paragraphs (f)(3) (i) through (viii) of this section.
    (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 (elements, isotopes, and 
enrichments);
    (v) The number and types of containers;
    (vi) The name and telephone number of the carrier's representative 
at each stopover location in United States territory;
    (vii) The estimated time and date that shipment will commence and 
that each country (other than the United States) along the route is 
scheduled to be entered;
    (viii) For shipments between countries that are not party to the 
Convention on the Physical Protection of Nuclear Material, provide 
assurances, as far as is practicable, that this nuclear material will be 
protected during international transport at levels described in Annex I 
to that Convention (see appendices E and F of part 73 of this chapter); 
and
    (ix) A physical protection plan for implementing the requirement of 
Sec. 70.20b(c), which will include the use of armed personnel to protect 
the shipment during the time the shipment is in a United States port.
    (g) Persons generally licensed under this section making unscheduled 
stops at United States ports, immediately after the decision to make an 
unscheduled stop, shall:
    (1) Provide to the Director, Spent Fuel Project Office, the 
information required under paragraph (f) of this section.
    (2) In the case of persons generally licensed under paragraph (a)(1) 
of this section, arrange for local law enforcement authorities or 
trained and qualified private guards to protect the shipment during the 
stop.
    (3) In the case of persons generally licensed under paragraph (a)(2) 
of this section, arrange for the shipment to be

[[Page 243]]

protected as required in Sec. 73.67(e) of this chapter.
    (4) In the case of persons generally licensed under paragraph (a)(3) 
of this section, arrange for the shipment to be protected as required in 
Sec. 73.37(e) of this chapter.
    (5) Implement these arrangements within a reasonable time after the 
arrival of the shipment at a United States port to remain in effect 
until the shipment exits that or another United States port.

[52 FR 9652, Mar. 26, 1987, as amended at 60 FR 24552, May 9, 1995; 67 
FR 3585, Jan. 25, 2002]



                     Subpart D--License Applications



Sec. 70.21  Filing.

    (a)(1) A person may apply for a license to possess and use special 
nuclear material in a plutonium processing or fuel fabrication plant, or 
for a uranium enrichment facility license by filing 25 copies of the 
application with the Director, Office of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555.
    (2) A person may apply for any other license issued under this part, 
by filing six copies of the application in accordance with the 
instructions in Sec. 70.5.
    (3) Information contained in previous applications, statements, or 
reports filed with the Commission may be incorporated by reference if 
the references are clear and specific.
    (b) An application for 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 the application specifies the additional activities for which 
licenses are requested and complies with regulations of the Commission 
as to applications for such licenses.
    (c) Any application which contains Restricted Data shall be prepared 
in such manner that all Restricted Data are separated from the 
unclassified information.
    (d) 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.
    (e) Each application for a special nuclear 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 special nuclear 
material for processing and fuel fabrication, scrap recovery or 
conversion 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 an Environmental Report required 
under 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 more than one effective kilogram of 
special nuclear material 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 such installation 
information 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 Sec. 75.6 and Secs. 75.11 through 
75.14 of this chapter.
    (h) 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.

[21 FR 764, Feb. 3, 1956, as amended at 23 FR 1122, Feb. 21, 1958; 31 FR 
4670, Mar. 19, 1966; 34 FR 19546, Dec. 11, 1969; 36 FR 146, Jan. 6, 
1971; 37 FR 5749, Mar. 21, 1972; 49 FR 9406, Mar. 12, 1984; 49 FR 19628 
and 19632, May 9, 1984; 49 FR 21699, May 23, 1984; 57 FR 18392, Apr. 30, 
1992]

[[Page 244]]



Sec. 70.22  Contents of applications.

    (a) Each application for a license shall contain the following 
information:
    (1) The full name, address, age (if an individual), and citizenship 
of the applicant and the names and addresses of three personal 
references. If the applicant is a corporation or other entity, it shall 
indicate the State where it was incorporated or organized, the location 
of the principal office, the names, addresses, and citizenship of its 
principal officers, and shall include information known to the applicant 
concerning the control or ownership, if any, exercised over the 
applicant by any alien, foreign corporation, or foreign government;
    (2) The activity for which the special nuclear material is 
requested, or in which special nuclear material will be produced, the 
place at which the activity is to be performed and the general plan for 
carrying out the activity;
    (3) The period of time for which the license is requested;
    (4) The name, amount, and specifications (including the chemical and 
physical form and, where applicable, isotopic content) of the special 
nuclear material the applicant proposes to use or produce;
    (5) [Reserved]
    (6) The technical qualifications, including training and experience 
of the applicant and members of his staff to engage in the proposed 
activities in accordance with the regulations in this chapter;
    (7) A description of equipment and facilities which will be used by 
the applicant to protect health and minimize danger to life or property 
(such as handling devices, working areas, shields, measuring and 
monitoring instruments, devices for the disposal of radioactive 
effluents and wastes, storage facilities, criticality accident alarm 
systems, etc.);
    (8) Proposed procedures to protect health and minimize danger to 
life or property (such as procedures to avoid accidental criticality, 
procedures for personnel monitoring and waste disposal, post-criticality 
accident emergency procedures, etc.).

    Note: Where the nature of the proposed activities is such as to 
require consideration of the applicant's financial qualifications to 
engage in the proposed activities in accordance with the regulations in 
this chapter, the Commission may request the applicant to submit 
information with respect to his financial qualifications.

    (9) As provided by Sec. 70.25, 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 on or 
before July 27, 1990, this submittal may follow the renewal application 
but must be submitted on or before July 27, 1990.
    (b) Each application for a license to possess special nuclear 
material, or to possess equipment capable of enriching uranium, or to 
operate an uranium enrichment facility, or to possess and use at any one 
time and location special nuclear material in a quantity exceeding one 
effective kilogram, except for applications for use as sealed sources 
and for those uses involved in the operation of a nuclear reactor 
licensed pursuant to part 50 of this chapter and those involved in a 
waste disposal operation, must contain a full description of the 
applicant's program for control and accounting of such special nuclear 
material or enrichment equipment that will be in the applicant's 
possession under license to show how compliance with the requirements of 
Secs. 70.58, 74.31, 74.33, or 74.51 of this chapter, as applicable, will 
be accomplished.
    (c) [Reserved]
    (d) 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 corporate officer thereof.
    (e) Each application and statement shall contain complete and 
accurate disclosure as to all matters and things required to be 
disclosed.
    (f) Each application for a license to possess and use special 
nuclear material in a plutonium processing and fuel fabrication plant 
shall contain, in addition to the other information required

[[Page 245]]

by this section, a description of the plantsite, a description and 
safety assessment of the design bases of the principal structure, 
systems, and components of the plant, including provisions for 
protection against natural phenomena, and a description of the quality 
assurance program to be applied to the design, fabrication, 
construction, testing and operation of the structures, systems, and 
components of the plant. \2\
---------------------------------------------------------------------------

    \2\ The description of the quality assurance program should include 
a discussion of how the criteria in appendix B of part 50 of this 
chapter will be met.
---------------------------------------------------------------------------

    (g)(1) Each application for a license that would authorize the 
transport or delivery to a carrier for transport of special nuclear 
material in an amount specified in Sec. 73.1(b)(2) of this chapter must 
include (i) a description of the plan for physical protection of special 
nuclear material in transit in accordance with Secs. 73.20, 73.25, 
73.26, 73.27, and 73.67 (a), (e), and (g) for 10 kg or more of special 
nuclear material of low strategic significance, and Sec. 73.70(g) of 
this chapter including, as appropriate, a plan for the selection, 
qualification, and training of armed escorts, or the specification and 
design of a specially designed truck or trailer, and (ii) a licensee 
safeguards contingency plan or response procedures, as appropriate, for 
dealing with threats, thefts, and radiological sabotage relating to the 
special nuclear material in transit.
    (2) Each application for such a license involving formula quantities 
of strategic special nuclear material must include the first four 
categories of information contained in the applicant's safeguards 
contingency plan. (The first four categories of information, as set 
forth in appendix C to part 73 of this chapter, are Background, Generic 
Planning Base, Licensee Planning Base, and Responsibility Matrix. The 
fifth category of information, Procedures, does not have to be submitted 
for approval.)
    (3) The licensee shall retain this discription of the plan for 
physical protection of special nuclear material in transit and the 
safeguards contingency plan or safeguards response procedures and each 
change to the plan or procedures as a record for a period of three years 
following the date on which the licensee last possessed the appropriate 
type and quantity of special nuclear material requiring this record 
under each license.
    (h)(1) Each application for a license to possess or use, at any site 
or contiguous sites subject to licensee control, a formula quantity of 
strategic special nuclear material, as defined in Sec. 70.4, other than 
a license for possession or use of this material in the operation of a 
nuclear reactor licensed pursuant to part 50 of this chapter, must 
include a physical security plan. The plan must describe how the 
applicant will meet the applicable requirements of part 73 of this 
chapter in the conduct of the activity to be licensed, including the 
identification and description of jobs as required by 10 CFR 11.11(a). 
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.
    (2) The licensee shall retain a copy of this physical security plan 
and each change to the plan as a record for a period of three years 
following the date on which the licensee last possessed the appropriate 
type and quantity of special nuclear material requiring this record 
under each license.
    (i)(1) Each application to possess enriched uranium or plutonium for 
which a criticality accident alarm system is required, uranium 
hexafluoride in excess of 50 kilograms in a single container or 1000 
kilograms total, or in excess of 2 curies of plutonium in unsealed form 
or on foils or plated sources, must contain either:
    (i) An evaluation showing that the maximum dose to a member of the 
public offsite due to a release of radioactive materials would not 
exceed 1 rem effective dose equivalent or an intake of 2 milligrams of 
soluble uranium, or
    (ii) An emergency plan for responding to the radiological hazards of 
an accidental release of special nuclear 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 (i)(1)(i) of this section:

[[Page 246]]

    (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 or to criticality because of the way it is 
stored or packaged;
    (iii) In the case of fires or explosions, the release fraction would 
be lower than 0.001 due to the chemical or physical form of the 
material;
    (iv) The solubility of the material released would reduce the dose 
received;
    (v) The facility design or engineered safety features in the 
facility would cause the release fraction to be lower than 0.001;
    (vi) Operating restrictions or procedures would prevent a release 
large enough to cause a member of the public offsite to receive a dose 
exceeding 1 rem effective dose equivalent; or
    (vii) Other factors appropriate for the specific facility.
    (3) Emergency plans 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 
radioactive 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 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

[[Page 247]]

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 special 
nuclear 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.
    (j)(1) Each application for a license to possess or use at any site 
or contiguous sites subject to control by the licensee uranium-235 
(contained in uranium enriched to 20 percent or more in the uranium-235 
isotope), uranium-233, or plutonium alone or in any combination in a 
quantity of 5,000 grams or more computed by the formula, grams = (grams 
contained U-235) + 2.5 (grams U-233 + grams plutonium) other than a 
license for possession or use of this material in the operation of a 
nuclear reactor licensed pursuant to part 50 of this chapter, must 
include a licensee safeguards contingency plan for dealing with threats, 
thefts, and radiological sabotage, as defined in part 73 of this 
chapter, relating to nuclear facilities licensed under part 50 of this 
chapter or to the possession of special nuclear material licensed under 
this part.
    (2) Each application for such a license must include the first four 
categories of information contained in the applicant's safeguards 
contingency plan. (The first four categories of information, as set 
forth in appendix C to part 73 of this chapter, are Background, Generic 
Planning Base, Licensee Planning Base, and Responsibility Matrix.) The 
fifth category of information, Procedures, does not have to be submitted 
for approval.
    (3) The licensee shall retain a copy of this safeguards contingency 
plan as a record until the Commission terminates each license obtained 
by this application or any application for renewal of a license and 
retain each change to the plan as a record for three years after the 
date of the change.
    (k) Each application for a license to possess or use at any site or 
contiguous sites subject to licensee control, special nuclear material 
of moderate strategic significance or 10 kg or more of special nuclear 
material of low strategic significance as defined under Sec. 70.4, other 
than a license for possession or use of this material in the operation 
of a nuclear power reactor licensed pursuant to part 50 of this chapter, 
must include a physical security plan that demonstrates how the 
applicant plans to meet the requirements of paragraphs (d), (e), (f), 
and (g) of Sec. 73.67 of this chapter, as appropriate. The licensee 
shall retain a copy of this physical security plan as a record for the 
period during which the licensee possesses the appropriate type and 
quantity of special nuclear material under each license, and if any 
portion of the plan is superseded, retain that superseded portion of the 
plan for 3 years after the effective date of the change.
    (l) Each applicant for a license to possess, use, transport, or 
deliver to a carrier for transport formula quantities of strategic 
special nuclear material, who prepares a physical security, safeguards 
contingency, or guard qualification and training plan shall protect

[[Page 248]]

these plans and other related Safeguards Information against 
unauthorized disclosure in accordance with the requirements of 
Sec. 73.21 of this chapter.
    (m) Each application for a license to possess equipment capable of 
enriching uranium or operate an enrichment facility, and produce, 
possess, or use more than one effective kilogram of special nuclear 
material at any site or contiguous sites subject to control by the 
applicant, must contain a full description of the applicant's security 
program to protect against theft, and to protect against unauthorized 
viewing of classified enrichment equipment, and unauthorized disclosure 
of classified matter in accordance with the requirements of 10 CFR parts 
25 and 95.
    (n) A license application that involves the use of special nuclear 
material in a uranium enrichment facility must include the applicant's 
provisions for liability insurance.

[21 FR 764, Feb. 3, 1956]

    Editorial Note: For Federal Register citations affecting Sec. 70.22, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.

    Effective Date Note: At 67 FR 78142, Dec. 23, 2002, Sec. 70.22 was 
amended by revising paragraph (b), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 70.22  Contents of applications.

                                * * * * *

    (b) Each application for a license to possess special nuclear 
material, to possess equipment capable of enriching uranium, to operate 
an uranium enrichment facility, to possess and use at any one time and 
location special nuclear material in a quantity exceeding one effective 
kilogram, except for applications for use as sealed sources and for 
those uses involved in the operation of a nuclear reactor licensed 
pursuant to part 50 of this chapter and those involved in a waste 
disposal operation, must contain a full description of the applicant's 
program for control and accounting of such special nuclear material or 
enrichment equipment that will be in the applicant's possession under 
license to show how compliance with the requirements of Secs. 74.31, 
74.33, 74.41, or 74.51 of this chapter, as applicable, will be 
accomplished.

                                * * * * *



Sec. 70.23  Requirements for the approval of applications.

    (a) An application for a license will be approved if the Commission 
determines that:
    (1) The special nuclear material is to be used for the conduct of 
research or development activities of a type specified in section 31 of 
the Act, \1\ in activities licensed by the Commission under section 103 
or 104 of the Act, or for such other uses as the Commission determines 
to be appropriate to carry out the purposes of the Act;
---------------------------------------------------------------------------

    \1\ The types of research and development activities specified in 
section 31 are those relating to:
    (1) Nuclear processes;
    (2) The theory and production of atomic energy, including processes, 
materials, and devices related to such production;
    (3) Utilization of special nuclear material and radioactive material 
for medical, biological, agricultural, health or military purposes;
    (4) Utilization of special nuclear material, atomic energy, and 
radioactive material and processes entailed in the utilization or 
production of atomic energy or such material for all other purposes, 
including industrial use, the generation of usable energy, and the 
demonstration of the practical value of utilization or production 
facilities for industrial or commercial purposes; and
    (5) The protection of health and the promotion of safety during 
research and production activities.
---------------------------------------------------------------------------

    (2) The applicant is qualified by reason of training and experience 
to use the material for the purpose requested in accordance with the 
regulations in this chapter;
    (3) The applicant's proposed equipment and facilities are adequate 
to protect health and minimize danger to life or property;
    (4) The applicant's proposed procedures to protect health and to 
minimize danger to life or property are adequate;
    (5) Where the nature of the proposed activities is such as to 
require consideration by the Commission, that the applicant appears to 
be financially qualified to engage in the proposed activities in 
accordance with the regulations in this part;
    (6) Where the applicant is required to submit a summary description 
of the

[[Page 249]]

fundamental material controls provided in his procedures for the control 
of and accounting for special nuclear material pursuant to Sec. 70.22 
(b)(2), the applicant's proposed controls are adequate;
    (7) Where the proposed activity is processing and fuel fabrication, 
scrap recovery, conversion of uranium hexafluoride, uranium enrichment 
facility construction and operation, or 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 to possess and use special nuclear 
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.
    (8) Where the proposed activity is the operation of a plutonium 
processing and fuel fabrication plant, construction of the principal 
structures, systems, and components approved pursuant to paragraph (b) 
of this section has been completed in accordance with the application;
    (9) Where the applicant is required to submit a plan for physical 
protection of special nuclear material in transit pursuant to 
Sec. 70.22(g), of this chapter, the applicant's plan is adequate;
    (10) Where the applicant is required to submit a physical security 
plan pursuant to Sec. 70.22(h), the applicant's proposed plan is 
adequate;
    (11) Where the proposed activity is processing and fuel fabrication, 
scrap recovery, conversion of uranium hexafluoride, or involves the use 
of special nuclear material in a uranium enrichment facility, the 
applicant's proposed emergency plan is adequate.
    (12) Where the proposed activity is use of special nuclear material 
in a uranium enrichment facility, the applicable provisions of part 140 
of this chapter have been satisfied.
    (b) The Commission will approve construction of the principal 
structures, systems, and components of a plutonium processing and fuel 
fabrication plant on the basis of information filed pursuant to 
Sec. 70.22(f) when the Commission has determined that the design bases 
of the principal structures, systems, and components, and the quality 
assurance program provide reasonable assurance of protection against 
natural phenomena and the consequences of potential accidents. \3\ 
Failure to obtain Commission approval prior to beginning of such 
construction may be grounds for denial of a license to possess and use 
special nuclear material in a plutonium processing and fuel fabrication 
plant.
---------------------------------------------------------------------------

    \3\ The criteria in appendix B of part 50 of this chapter will be 
used by the Commission in determining the adequacy of the quality 
assurance program.

[36 FR 17574, Sept. 2, 1971, as amended at 37 FR 5749, Mar. 21, 1972; 38 
FR 30534, 30538, Nov. 6, 1973; 39 FR 26286, July 18, 1974; 42 FR 17126, 
Mar. 31, 1977; 43 FR 6924, Feb. 17, 1978; 49 FR 9406, Mar. 12, 1984; 54 
---------------------------------------------------------------------------
FR 14064, Apr. 7, 1989; 57 FR 18392, Apr. 30, 1992]

    Effective Date Note: At 67 FR 78142, Dec. 23, 2002, Sec. 70.23 was 
amended by revising paragraph (a)(6), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 70.23  Requirements for the approval of applications.

    (a) * * *
    (6) Where the applicant is required to submit a summary description 
of the fundamental material controls provided in his procedures for the 
control of and accounting for

[[Page 250]]

special nuclear material pursuant to Sec. 70.22 (b), the applicant's 
proposed controls are adequate;

                                * * * * *



Sec. 70.23a  Hearing required for uranium enrichment facility.

    The Commission will hold a hearing under 10 CFR part 2, subparts A, 
G, and I, on each application for issuance of a license for 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.

[57 FR 18392, Apr. 30, 1992]



Sec. 70.24  Criticality accident requirements.

    (a) Each licensee authorized to possess special nuclear material in 
a quantity exceeding 700 grams of contained uranium-235, 520 grams of 
uranium-233, 450 grams of plutonium, 1,500 grams of contained uranium-
235 if no uranium enriched to more than 4 percent by weight of uranium-
235 is present, 450 grams of any combination thereof, or one-half such 
quantities if massive moderators or reflectors made of graphite, heavy 
water or beryllium may be present, shall maintain in each area in which 
such licensed special nuclear material is handled, used, or stored, a 
monitoring system meeting the requirements of either paragraph (a)(1) or 
(a)(2), as appropriate, and using gamma- or neutron-sensitive radiation 
detectors which will energize clearly audible alarm signals if 
accidental criticality occurs. This section is not intended to require 
underwater monitoring when special nuclear material is handled or stored 
beneath water shielding or to require monitoring systems when special 
nuclear material is being transported when packaged in accordance with 
the requirements of part 71 of this chapter.
    (1) The monitoring system shall be capable of detecting a 
criticality that produces an absorbed dose in soft tissue of 20 rads of 
combined neutron and gamma radiation at an unshielded distance of 2 
meters from the reacting material within one minute. Coverage of all 
areas shall be provided by two detectors.
    (2) Persons licensed prior to December 6, 1974, to possess special 
nuclear material subject to this section may maintain a monitoring 
system capable of detecting a criticality which generates radiation 
levels of 300 rems per hour one foot from the source of the radiation. 
The monitoring devices in the system shall have a preset alarm point of 
not less than 5 millirems per hour (in order to avoid false alarms) nor 
more than 20 millirems per hour. In no event may any such device be 
farther than 120 feet from the special nuclear material being handled, 
used, or stored; lesser distances may be necessary to meet the 
requirements of this paragraph (a)(2) on account of intervening 
shielding or other pertinent factors.
    (3) The licensee shall maintain emergency procedures for each area 
in which this licensed special nuclear material is handled, used, or 
stored to ensure that all personnel withdraw to an area of safety upon 
the sounding of the alarm. These procedures must include the conduct of 
drills to familiarize personnel with the evacuation plan, and 
designation of responsible individuals for determining the cause of the 
alarm, and placement of radiation survey instruments in accessible 
locations for use in such an emergency. The licensee shall retain a copy 
of current procedures for each area as a record for as long as licensed 
special nuclear material is handled, used, or stored in the area. The 
licensee shall retain any superseded portion of the procedures for three 
years after the portion is superseded.
    (b) Each licensee authorized to possess special nuclear material in 
quantities in excess of those specified in paragraph (a) shall:
    (1) Provide the means for identifying quickly which individuals have 
received doses of 10 rads or more.
    (2) Maintain facilities and supplies at the site for decontamination 
of personnel, arrangements for the services of a physician and other 
medical personnel qualified to handle radiation emergencies, 
arrangements for transportation of injured or contaminated individuals 
to treatment facilities, and arrangements for treatment of individuals 
at treatment facilities outside the site boundary.

[[Page 251]]

    (c) Holders of licenses for construction or operation of a nuclear 
reactor issued pursuant to part 50 of this chapter, except critical 
assembly reactors, are exempt for the requirements of paragraph (b) of 
this section with respect to special nuclear material used or to be used 
in the reactor.
    (d)(1) The requirements in paragraphs (a) through (c) of this 
section do not apply to a holder of a construction permit or operating 
license for a nuclear power reactor issued under part 50 of this chapter 
or a combined license issued under part 52 of this chapter, if the 
holder complies with the requirements of paragraph (b) of 10 CFR 50.68.
    (2) An exemption from Sec. 70.24 held by a licensee who thereafter 
elects to comply with requirements of paragraph (b) of 10 CFR 50.68 does 
not exempt that licensee from complying with any of the requirements in 
Sec. 50.68, but shall be ineffective so long as the licensee elects to 
comply with Sec. 50.68.

[39 FR 39021, Nov. 5, 1974, as amended at 41 FR 31522, July 29, 1976; 53 
FR 19252, May 27, 1988; 62 FR 63828, Dec. 3, 1997; 63 FR 9403, Feb. 25, 
1998; 63 FR 63130, Nov. 12, 1998]



Sec. 70.25  Financial assurance and recordkeeping for decommissioning.

    (a) Each applicant for a specific license of the types described in 
paragraphs (a) (1) and (2) of this section shall submit a 
decommissioning funding plan as described in paragraph (e) of this 
section.
    (1) A specific license for a uranium enrichment facility;
    (2) A specific license authorizing the possession and use of 
unsealed special nuclear material in quantities exceeding 105 
times the applicable quantities set forth in appendix B to part 30. A 
decommissioning funding plan must also be submitted when a combination 
of isotopes is involved if R divided by 105 is greater than 1 
(unity rule), where R is 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 unsealed special nuclear material 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 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 at this time, 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, described in 
paragraph (e) of this section, or a certification of financial

[[Page 252]]

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. 70.33 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    $750,000
 applicable quantities of appendix B to part 30. (For a
 combination of isotopes, if R, as defined in Sec.  70.25(a),
 divided by 10\4\ is greater than 1 but R divided by 10\5\ is
 less than or equal to 1.)...................................
greater than 10\3\ but less than or equal to 10\4\ times the    $150,000
 applicable quantities of appendix B to part 30. (For a
 combination of isotopes, if R, as defined in Sec.  70.25(a),
 divided by 10\3\ is greater than 1 but R divided by 10\4\ is
 less than or equal to 1.)...................................
 

    (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 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 to part 30. A parent company guarantee may not 
be used in combination with other financial methods to satisfy the 
requirements of this section. For commercial corporations that issue 
bonds, 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 to part 30. For 
commercial companies that do not issue bonds, a guarantee of funds by 
the applicant or licensee for decommissioning costs may be used if the 
guarantee and test are as contained in appendix D to part 30. For 
nonprofit entities, such as colleges, universities, and nonprofit 
hospitals, a guarantee of funds by the applicant or licensee may be used 
if the guarantee and test are as contained in appendix E to part 30. A 
guarantee by the applicant or licensee may not be used in combination 
with any other financial methods used 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 issurer 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 253]]

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 licenssee'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.
    (5) When a governmental entity is assuming custody and ownership of 
a site, an arrangement that is deemed acceptable by such governmental 
entity.
    (g) 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. 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 only sealed sources (provided the 
sources have not leaked or no contamination remains after cleanup of any 
leak), 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 (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. 70.25(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 that contain material 
such that, if the license expired, the licensee would be required to 
either decontaminate the area to meet the criteria for decommissioning 
in 10 CFR part 20,

[[Page 254]]

subpart E, 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 24053, June 27, 1988, as amended at 56 FR 23474, May 21, 1991; 57 
FR 18393, Apr. 30, 1992; 58 FR 39634, July 26, 1993; 58 FR 67662, Dec. 
22, 1993; 58 FR 68731, Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994; 60 FR 
38239, July 26, 1995; 61 FR 24675, May 16, 1996; 62 FR 39091, July 21, 
1997; 63 FR 29544, June 1, 1998]



                           Subpart E--Licenses



Sec. 70.31  Issuance of licenses.

    (a) Upon a determination that an application meets the requirements 
of the act and of the regulations of the Commission, the Commission will 
issue a license in such form and containing such conditions and 
limitations as it deems appropriate or necessary to effectuate the 
purposes of the act.
    (b) [Reserved]
    (c) Each license issued to a person for use of special nuclear 
material in activities in which special nuclear material will be 
produced shall (subject to the provisions of Sec. 70.41(b)) be deemed to 
authorize such person to receive title to, own, acquire, receive, 
possess, use, and transfer the special nuclear material produced in the 
course of such authorized activities.
    (d) No license will be issued by the Commission to any person within 
the United States if the Commission finds that the issuance of such 
license would be inimical to the common defense and security or would 
constitute an unreasonable risk to the health and safety of the public.
    (e) No license to construct and operate a uranium enrichment 
facility may be issued until a hearing pursuant to 10 CFR part 2, 
subparts G and I, is completed and decision issued on the application.

[21 FR 764, Feb. 3, 1956, as amended at 32 FR 2563, Feb. 7, 1967; 32 FR 
4056, Mar. 15, 1967; 43 FR 6925, Feb. 17, 1978; 57 FR 18393, Apr. 30, 
1992]



Sec. 70.32  Conditions of licenses.

    (a) Each license shall contain and be subject to the following 
conditions:
    (1) [Reserved]
    (2) No right to the special nuclear material shall be conferred by 
the license except as defined by the license;
    (3) Neither the license nor any right under the license shall be 
assigned or otherwise transferred in violation of the provisions of the 
Act;
    (4) All special nuclear material shall be subject to the right of 
recapture or control reserved by section 108 and to all other provisions 
of the Act;
    (5) No special nuclear material may be used in any utilization or 
production facility except in accordance with the provisions of the Act;
    (6) The licensee shall not use the special nuclear material to 
construct an atomic weapon or any component of an atomic weapon;
    (7) Except to the extent that the indemnification and limitation of 
liability provisions of part 140 of this chapter apply, the licensee 
will hold the United States and the Department harmless from any damages 
resulting from the use or possession of special nuclear material leased 
from the Department by the licensee;
    (8) The license shall be subject to and the licensee shall observe, 
all applicable rules, regulations and orders of the Commission.
    (9)(i) 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:
    (A) The licensee;
    (B) 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
    (C) An affiliate (as that term is defined in 11 U.S.C. 101(a)) of 
the licensee.
    (ii) This notification must indicate:
    (A) The bankruptcy court in which the petition for bankruptcy was 
filed; and
    (B) The date of the filing of the petition.

[[Page 255]]

    (b) The Commission may incorporate in any license such additional 
conditions and requirements with respect to the licensee's ownership, 
receipt, possession, use, and transfer of special nuclear 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) Guard against the loss or diversion of special nuclear material;
    (5) 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.
    (c)(1) Each license authorizing the possession and use at any one 
time and location of uranium source material at an uranium enrichment 
facility or special nuclear material in a quantity exceeding one 
effective kilogram, except for use as sealed sources and those uses 
involved in the operation of a nuclear reactor licensed pursuant to part 
50 of this chapter and those involved in a waste disposal operation, 
shall contain and be subject to a condition requiring the licensee to 
maintain and follow:
    (i) The program for control and accounting of uranium source 
material at an uranium enrichment facility or special nuclear material 
and fundamental nuclear material controls implemented pursuant to 
Sec. 70.22(b), 70.58(1), 74.31(b), 74.33(b), or 74.51(c)(l) of this 
chapter, as appropriate;
    (ii) The measurement control program for uranium source material at 
an uranium enrichment facility or special nuclear material control and 
accounting implemented pursuant to Sec. 70.57(c), 74.31(b), 74.33(b), or 
74.59(e) of this chapter, as appropriate; and
    (iii) Such other material control procedures as the Commission 
determines to be essential for the safeguarding of uranium source 
material at an uranium enrichment facility or of special nuclear 
material and providing that the licensee shall make no change that would 
decrease the effectiveness of the material control and accounting 
program implemented pursuant to Sec. 70.22(b), 70.58(l), 70.51(g), 
74.31(b), 74.33(b), or 74.51(c)(1) of this chapter and the measurement 
control program implemented pursuant to Sec. 70.57(c), 74.31(b), 
74.33(b), or 74.59(e) of this chapter without the prior approval of the 
Commission. A licensee desiring to make such changes shall submit an 
application for amendment to its license pursuant to Sec. 70.34.
    (2) The licensee shall maintain records of changes to the material 
control and accounting program made without prior Commission approval 
for a period of 5 years from the date of the change. Licensees located 
in all five Regions as indicated in appendix A of part 73 of this 
chapter, shall furnish to the Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555, a report containing a description of each change within:
    (i) Two months of the change if it pertains to uranium-233, uranium-
235 contained in uranium enriched 20 percent or more in the uranium-235 
isotope, or plutonium, except plutonium containing 80 percent or more by 
weight of the isotope Pu-238, and
    (ii) Six months of the change if it pertains to uranium enriched 
less than 20 percent in the uranium-235 isotope, or plutonium containing 
80 percent or more by weight of the isotope Pu-238.
    (d) The licensee shall make no change which would decrease the 
effectiveness of the plan for physical protection of special nuclear 
material in transit prepared pursuant to Sec. 70.22(g) or Sec. 73.20(c) 
of this chapter without the prior approval of the Commission. A licensee 
desiring to make such changes shall submit an application for a change 
in the technical specifications incorporated in his or her license, if 
any, or for an amendment to the license pursuant to Sec. 50.90 or 
Sec. 70.34 of this chapter, as appropriate. The licensee may make 
changes to the plan for physical protection of special nuclear material 
without prior Commission approval if these changes do not decrease the 
effectiveness of the plan. The licensee shall retain a copy of the plan 
as a record for the period during which the licensee possesses a formula 
quantity of special nuclear material requiring this record under each 
license and each change to the plan for three years

[[Page 256]]

from the effective date of the change. A report containing a description 
of each change must be furnished 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 shown in 
appendix A to part 73 of this chapter within two months after the 
change.
    (e) The licensee shall make no change which would decrease the 
effectiveness of a security plan prepared pursuant to Secs. 70.22(h), 
70.22(k), or 73.20(c) without the prior approval of the Commission. A 
licensee desiring to make such a change shall submit an application for 
an amendment to its license pursuant to Sec. 70.34. The licensee shall 
maintain records of changes to the plan made without prior Commission 
approval, for three years from the effective date of the change, and 
shall furnish to the Director, Office of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
with a copy to the appropriate NRC Regional Office shown in appendix A 
to part 73 of this chapter, a report containing a description of each 
change within two months after the change is made.
    (f) [Reserved]
    (g) The licensee shall prepare and maintain safeguards contingency 
plan procedures in accordance with appendix C to part 73 of this chapter 
for bringing about the actions and decisions contained in the 
Responsibility Matrix of its safeguards contingency plan. The licensee 
shall retain the current safeguards contingency plan procedures as a 
record for the entire period during which the licensee possesses the 
appropriate type and quantity of special nuclear material under each 
license for which the procedures were developed and, if any portion of 
the plan is superseded, retain that superseded portion for 3 years after 
the effective date of the change. The licensee shall not make a change 
that would decrease the safeguards effectiveness of the first four 
categories of information (i.e., Background, Generic Planning Base, 
Licensee Planning Base, and Responsibility Matrix) contained in any 
licensee safeguards contingency plan prepared pursuant to 
Secs. 70.22(g), 70.22(j), 72.184, 73.20(c), 73.26(e)(1), 73.46(h)(1), or 
73.50(g)(1) of this chapter without the prior approval of the NRC. A 
licensee desiring to make such a change shall submit an application for 
an amendment to its license pursuant to Sec. 70.34. The licensee may 
make changes to the licensee safeguards contingency plan without prior 
NRC approval if the changes do not decrease the safeguards effectiveness 
of the plan. The licensee must maintain each change to the plan made 
without prior approval as a record during the period for which 
possession of a formula quantity of special nuclear material is 
authorized under a license and retain the superseded portion for 3 years 
after the effective date of the change and shall furnish a report 
containing a description of each change within 60 days after the change 
is made to the Director of Nuclear Material Safety and Safeguards, with 
a copy to the Regional Administrator of the appropriate NRC Regional 
Office as specified in appendix A to part 73 of this chapter.
    (h) [Reserved]
    (i) Licensees required to submit emergency plans in accordance with 
Sec. 70.22(i) shall follow the emergency plan approved by the 
Commission. The licensee may change the approved plan without Commission 
approval if the changes do not decrease the effectiveness of the plan. 
The licensee shall furnish 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 specified in appendix 
D, part 20 of this chapter and affected offsite response organizations, 
a copy of each change within six months after the change is made. 
Proposed changes that decrease the effectiveness of the approved 
emergency plan may not be implemented without prior application to and 
prior approval by the Commission.
    (j) Each licensee who possesses a formula quantity of strategic 
special nuclear material, or who transports, or delivers to a carrier 
for transport, a formula quantity of strategic special nuclear material 
or more than 100 grams of irradiated reactor fuel shall

[[Page 257]]

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.
    (k) 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.

[21 FR 764, Feb. 3, 1956]

    Editorial Note: For Federal Register citations affecting Sec. 70.32, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.

    Effective Date Note: At 67 FR 78142, Dec. 23, 2002, Sec. 70.32 was 
amended by revising paragraphs (c)(1)(i), (ii), and (iii), effective 
Mar. 24, 2003. For the convenience of the user, the revised text is set 
forth as follows:

Sec. 70.32  Conditions of licenses.

                                * * * * *

    (c) * * *
    (1) * * *
    (i) The program for control and accounting of uranium source 
material at an uranium enrichment facility and special nuclear material 
at all applicable facilities as implemented pursuant to Sec. 70.22(b), 
or Secs. 74.31(b), 74.33(b), 74.41(b), or 74.51(c) of this chapter, as 
appropriate;
    (ii) The measurement control program for uranium source material at 
an uranium enrichment facility and for special nuclear material at all 
applicable facilities as implemented pursuant to Secs. 74.31(b), 
74.33(b), 74.45(c), or 74.59(e) of this chapter, as appropriate; and
    (iii) Other material control procedures as the Commission determines 
to be essential for the safeguarding of uranium source material at an 
uranium enrichment facility or of special nuclear material and providing 
that the licensee shall make no change that would decrease the 
effectiveness of the material control and accounting program implemented 
pursuant to Sec. 70.22(b), or Secs. 74.31(b), 74.33(b), 74.41(b), or 
74.51(c) of this chapter, and the measurement control program 
implemented pursuant to Secs. 74.31(b), 74.33(b), 74.41(b), or 74.59(e) 
of this chapter without the prior approval of the Commission. A licensee 
desiring to make changes that would decrease the effectiveness of its 
material control and accounting program or its measurement control 
program shall submit an application for amendment to its license 
pursuant to Sec. 70.34.

                                * * * * *



Sec. 70.33  Renewal of licenses.

    (a) Applications for renewal of a license should be filed in 
accordance with Secs. 70.21 and 70.22. Information contained in previous 
applications, statements or reports filed with the Commission under the 
license may be incorporated by reference: Provided, That such references 
are clear and specific.
    (b) If any licensee granted the extension described in 10 CFR 
70.38(a)(2) has a currently pending renewal application for that 
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.

[21 FR 764, Feb. 3, 1956, as amended at 59 FR 36037, July 15, 1994; 61 
FR 1115, Jan. 16, 1996]



Sec. 70.34  Amendment of licenses.

    Applications for amendment of a license shall be filed in accordance 
with Sec. 70.21(a) and shall specify the respects in which the licensee 
desires his license to be amended and the grounds for such amendment.



Sec. 70.35  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 criteria set forth in Sec. 70.23.



Sec. 70.36  Inalienability of licenses.

    No license granted under the regulations in this part and no right 
to possess or utilize special nuclear material granted by any license 
issued 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 the

[[Page 258]]

Act, and shall give its consent in writing.

[21 FR 764, Feb. 3, 1956, as amended at 35 FR 11461, July 17, 1970]



Sec. 70.37  Disclaimer of warranties.

    Neither the Government nor the Commission makes any warranty or 
other representation that special nuclear material (a) will not result 
in injury or damage when used for purposes approved by the Commission, 
(b) will accomplish the results for which it is requested and approved 
by the Commission, or (c) is safe for any other use.



Sec. 70.38  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. 70.33 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, nor 
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. 70.22(i);
    (ii) Specific licenses whose holders are subject to the financial 
assurance requirements specified in 10 CFR 70.25, 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 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 70.33 of this part.
    (viii) Specific licenses issued pursuant to 10 CFR 70.31 that, as of 
February 15, 1996, are also subject to the requirements in Sec. 70.24.
    (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.

[[Page 259]]

    (c) Each specific license continues in effect, beyond the expiration 
date if necessary, with respect to possession of special nuclear 
material until the Commission notifies the licensee in writing that the 
license is terminated. During this time, the licensee shall--
    (1) Limit actions involving special nuclear 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. 70.5, 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 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. 70.25 
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 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

[[Page 260]]

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.
    (vi) A description of the physical security plan and material 
control and accounting plan provisions in place during decommissioning.
    (vii) 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 practical 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 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 in some other manner that the 
premises are suitable for release in accordance with the criteria for 
decommissioning in 10 CFR

[[Page 261]]

part 20, subpart E. 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) Special nuclear 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 the criteria 
for decommissioning in 10 CFR part 20, subpart E; or
    (ii) Other information submitted by the licensee is sufficient to 
demonstrate that the premises are suitable for release in accordance 
with the criteria for decommissioning in 10 CFR part 20, subpart E.
    (4) Records required by Sec. 70.51(b)(6) have been received.

[59 FR 36037, July 15, 1994, as amended at 60 FR 38240, July 26, 1995; 
61 FR 1115, Jan. 16, 1996; 61 FR 24675, May 16, 1996; 61 FR 29637, 
29638, June 12, 1996; 62 FR 39091, July 21, 1997; 66 FR 24049, May 11, 
2001]



Sec. 70.39  Specific licenses for the manufacture or initial transfer of calibration or reference sources.

    (a) An application for a specific license to manufacture or 
initially transfer calibration or reference sources containing 
plutonium, for distribution to persons generally licensed under 
Sec. 70.19, will be approved if:
    (1) The applicant satisfies the general requirements of Sec. 70.23.
    (2) The applicant submits sufficient information regarding each type 
of calibration or reference source pertinent to evaluation of the 
potential radiation exposure, including:
    (i) Chemical and physical form and maximum quantity of plutonium in 
the source;
    (ii) Details of construction and design;
    (iii) Details of the method of incorporation and binding of the 
plutonium in the source;
    (iv) Procedures for and results of prototype testing of sources, 
which are designed to contain more than 0.005 microcurie of plutonium, 
to demonstrate that the plutonium contained in each source will not be 
released or be removed from the source under normal conditions of use;
    (v) Details of quality control procedures to be followed in 
manufacture of the source;
    (vi) Description of labeling to be affixed to the source or the 
storage container for the source;
    (vii) Any additional information, including experimental studies and 
tests, required by the Commission to facilitate a determination of the 
safety of the source.
    (3) Each source will contain no more than 5 microcuries of 
plutonium.
    (4) The Commission determines, with respect to any type of source 
containing more than 0.005 microcurie of plutonium, that:
    (i) The method of incorporation and binding of the plutonium in the 
source is such that the plutonium will not be released or be removed 
from the source under normal conditions of use and handling of the 
source; and
    (ii) The source has been subjected to and has satisfactorily passed 
the prototype tests prescribed by paragraph (a)(5) of this section.
    (5) For any type of source which is designed to contain more than 
0.005 microcurie of plutonium, the applicant has conducted prototype 
tests, in the order listed, on each of five prototypes of such source, 
which contains more than 0.005 microcurie of plutonium, as follows:
    (i) Initial measurement. The quantity of radioactive material 
deposited on the source shall be measured by direct counting of the 
source.

[[Page 262]]

    (ii) 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.
    (iii) Wet wipe test. The entire radioactive surface of the source 
shall be 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.
    (iv) 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.
    (v) Dry wipe test. On completion of the preceding tests in 
paragraphs (a)(5)(i) through (iv) of this section, the dry wipe test 
described in paragraph (a)(5)(ii) of this section shall be repeated.
    (vi) Observations. Removal of more than 0.005 microcurie of 
radioactivity in any test prescribed by this paragraph 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.
    (b) Each person licensed under this section 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 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 plutonium. do 
          not touch radioactive portion of this source.

              (Name of Manufacturer or Initial Transferor)

    (c) Each person licensed under this section shall perform a dry wipe 
test upon each source containing more than 0.1 microcurie of plutonium 
prior to transferring the source to a general licensee under Sec. 70.19. 
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 plutonium. If any such test discloses more than 0.005 
microcurie of radioactive material, the source shall be deemed to be 
leaking or losing plutonium and shall not be transferred to a general 
licensee under Sec. 70.19.

[29 FR 5884, May 5, 1964, as amended at 32 FR 2563, Feb. 7, 1967; 38 FR 
1272, Jan. 11, 1973; 40 FR 8792, Mar. 3, 1975; 42 FR 43966, Sept. 1, 
1977; 43 FR 6925, Feb. 17, 1978]



Sec. 70.40  Ineligibility of certain applicants.

    A license may not be issued to the Corporation if the Commission 
determines that:
    (a) The Corporation is owned, controlled, or dominated by an alien, 
a foreign corporation, or a foreign government; or
    (b) The issuance of such a license would be inimical to--
    (1) The common defense and security of the United States; or

[[Page 263]]

    (2) The maintenance of a reliable and economical domestic source of 
enrichment services.

[62 FR 6669, Feb. 12, 1997]



 Subpart F--Acquisition, Use and Transfer of Special Nuclear Material, 
                            Creditors' Rights



Sec. 70.41  Authorized use of special nuclear material.

    (a) Each licensee shall confine his possession and use of special 
nuclear material to the locations and purposes authorized in his 
license. Except as otherwise provided in the license, each license 
issued pursuant to the regulations in this part shall carry with it the 
right to receive title to, own, acquire, receive, possess and use 
special nuclear material. Preparation for shipment and transport of 
special nuclear material shall be in accordance with the provisions of 
part 71 of this chapter.
    (b) The possession, use and transfer of any special nuclear material 
produced by a licensee, in connection with or as a result of use of 
special nuclear material received under his license, shall be subject to 
the provisions of the license and the regulations in this part.

[21 FR 764, Feb. 3, 1956, as amended at 38 FR 33970, Dec. 10, 1973; 43 
FR 6925, Feb. 17, 1978]



Sec. 70.42  Transfer of special nuclear material.

    (a) No licensee shall transfer special nuclear 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 special nuclear material:
    (1) To the Department;
    (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, if the quantity 
transferred is not sufficient to form a critical mass;
    (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 special nuclear 
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 special nuclear 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 special nuclear material, the 
licensee transferring the material shall verify that the transferee's 
license authorizes receipt of the type, form, and quantity of special 
nuclear 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 or her possession, and read, a 
current copy of the transferee's specific license or registration 
certificate. The transferor shall retain a copy of each license or 
certificate for three years from the date that it was obtained.
    (2) The transferor may have in its possession a written 
certification by the transferee that the transferee is authorized by 
license or registration certificate to receive the type, form, and 
quantity of special nuclear material to be transferred, specifying the 
license or registration certificate number, issuing agency, and 
expiration date. The transferor shall retain the written certification 
as a record for three years from the date of receipt of the 
certification;
    (3) For emergency shipments the transferor may accept oral 
certification by the transferee that he or she is authorized by license 
or registration certification to receive the type, form,

[[Page 264]]

and quantity of special nuclear 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 ten days. The transferor shall retain the written 
confirmation of the oral certification for three years from the date of 
receipt of the confirmation;
    (4) The transferor may obtain other sources of information compiled 
by a reporting service from official records of the Commission or the 
licensing agency of an Agreement State as to the identity of licensees 
and the scope and expiration dates of licenses and registrations. The 
transferor shall retain the compilation of information as a record for 
three years from the date that it was obtained; or
    (5) When none of the methods of verification described in paragraphs 
(d) (1) to (4) of this section are readily available or when a 
transferor desires to verify that information received by one of these 
methods is correct or up-to-date, the transferor may obtain and record 
confirmation from the Commission or the licensing agency of an Agreement 
State that the transferee is licensed to receive the special nuclear 
material. The transferor shall retain the record of confirmation for 
three years from the date the record is made.

[38 FR 33970, Dec. 10, 1973, as amended at 40 FR 8792, Mar. 3, 1975; 43 
FR 6925, Feb. 21, 1978; 53 FR 19253, May 27, 1988]



Sec. 70.44  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 special nuclear material, not owned by the United 
States, which is subject to licensing: 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 special 
nuclear material pursuant to the provisions of this section prior to 
either the issuance of a license by the Commission authorizing such 
possession or the transfer of a license pursuant to Sec. 70.36.
    (b) Nothing contained in this section shall be deemed to affect the 
means of acquiring, or the priority of, any tax lien or other lien 
provided by law.
    (c) As used in this section, creditor includes, without implied 
limitation, the trustee under any mortgage, pledge, or lien on special 
nuclear material made to secure any creditor, any trustee or receiver of 
the special nuclear material 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 special 
nuclear material 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.

[32 FR 2563, Feb. 7, 1967, as amended at 35 FR 11461, July 17, 1970]



   Subpart G--Special Nuclear Material Control, Records, Reports and 
                               Inspections



Sec. 70.50  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 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;

[[Page 265]]

    (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 licensee 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, and by Sec. 70.74 and Appendix A of this part, if 
applicable, 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) Caller's name, position title, and call-back telephone number;
    (ii) Date, time, and exact location of the event;
    (iii) Description of the event, including:
    (A) Radiological or chemical hazards involved, including isotopes, 
quantities, and chemical and physical form of any material released;
    (B) Actual or potential health and safety consequences to the 
workers, the public, and the environment, including relevant chemical 
and radiation data for actual personnel exposures to radiation or 
radioactive materials or hazardous chemicals produced from licensed 
materials (e.g., level of radiation exposure, concentration of 
chemicals, and duration of exposure);
    (C) The sequence of occurrences leading to the event, including 
degradation or failure of structures, systems, equipment, components, 
and activities of personnel relied on to prevent potential accidents or 
mitigate their consequences; and
    (D) Whether the remaining structures, systems, equipment, 
components, and activities of personnel relied on to prevent potential 
accidents or mitigate their consequences are available and reliable to 
perform their function;
    (iv) External conditions affecting the event;
    (v) Additional actions taken by the licensee in response to the 
event;
    (vi) Status of the event (e.g., whether the event is on-going or was 
terminated);
    (vii) Current and planned site status, including any declared 
emergency class;
    (viii) Notifications, related to the event, that were made or are 
planned to any local, State, or other Federal agencies;
    (ix) Status of any press releases, related to the event, that were 
made or are planned.
    (2) Written report. Each licensee that makes a report required by 
paragraph (a) or (b) of this section, or by Sec. 70.74 and Appendix A of 
this part, if applicable, shall submit a written follow-up

[[Page 266]]

report within 30 days of the initial report. Written reports prepared 
pursuant to other regulations may be submitted to fulfill this 
requirement if the report contains all 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) Complete applicable information required by Sec. 70.50(c)(1);
    (ii) The probable cause of the event, including all factors that 
contributed to the event and the manufacturer and model number (if 
applicable) of any equipment that failed or malfunctioned;
    (iii) Corrective actions taken or planned to prevent occurrence of 
similar or identical events in the future and the results of any 
evaluations or assessments; and
    (iv) For licensees subject to Subpart H of this part, whether the 
event was identified and evaluated in the Integrated Safety Analysis.
    (d) The provisions of Sec. 70.50 do not apply to licensees subject 
to Sec. 50.72. They do apply to those Part 50 licensees possessing 
material licensed under Part 70 that are not subject to the notification 
requirements in Sec. 50.72.

[56 FR 40769, Aug. 16, 1991; 56 FR 64980, Dec. 13, 1991, as amended at 
59 FR 14087, Mar. 25, 1994; 65 FR 56226, Sept. 18, 2000]



Sec. 70.51  Material balance, inventory, and records requirements.

    (a) As used in this section:
    (1) Additions to material in process means receipts that are opened 
except for receipts opened only for sampling and subsequently maintained 
under tamper-safing, and opened sealed sources.
    (2) Enrichment category for uranium-235 means high-enriched uranium-
-that uranium whose isotope content is 20 percent or more uranium-235 by 
weight, and low-enriched uranium--that uranium whose isotope content is 
less than 20 percent uranium-235 by weight.
    (3) Element means uranium or plutonium.
    (4) Fissile isotope means (i) uranium-233 or (ii) uranium-235 by 
enrichment category.
    (5) Limit of error means the uncertainty component used in 
constructing a 95 percent confidence interval associated with a quantity 
after any recognized bias has been eliminated or its effect accounted 
for.
    (6) Material balance means a determination of material unaccounted 
for (MUF) by subtracting ending inventory (EI) plus removals (R) from 
beginning inventory (BI) plus additions to inventory (A). 
Mathematically,

                              MUF=BI+A-EI-R

    (7) Material in process means any special nuclear material possessed 
by the licensee except in unopened receipts, sealed sources, and 
ultimate product maintained under tamper-safing.
    (8) Physical inventory means determination on a measured basis of 
the quantity of special nuclear material on hand at a given time. The 
methods of physical inventory and associated measurements will vary 
depending on the material to be inventoried and the process involved. 
\1\
---------------------------------------------------------------------------

    \1\ Criteria for physical inventories are set out in paragraph (f) 
of this section.
---------------------------------------------------------------------------

    (9) Removals from material in process includes measured quantities 
of special nuclear material disposed of as discards, encapsulated as a 
sealed source, or in other ultimate product placed under tamper-safing 
or shipped offsite.
    (10) Tamper-safing means the use of devices on containers or vaults 
in a manner and at a time that ensures a clear indication of any 
violation of the integrity of previously made measurements of special 
nuclear material within the container or vault.
    (11) Ultimate product means any special nuclear material in the form 
of a product that would not be further processed at that licensed 
location.
    (12) Unopened receipts means receipts not opened by the licensee, 
including receipts of sealed sources, and receipts opened only for 
sampling and subsequently maintained under tamper-safing.

[[Page 267]]

    (b) Licensees subject to the recordkeeping requirements of 
Secs. 74.31, 74.33 and 74.59 of this chapter are exempt from the 
requirements of Sec. 70.51(b) (1) through (5). Otherwise:
    (1) Each licensee shall keep records showing the receipt, inventory 
(including location), disposal, acquisition, and transfer of all special 
nuclear material in his possession regardless of its origin or method of 
acquisition.
    (2) Each record that is required by the regulations in this part or 
by license condition must be maintained and retained 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 licensee shall retain the record until the Commission 
terminates each license that authorizes the activity that is subject to 
the recordkeeping requirement.
    (3) Each record of receipt, acquisition, or physical inventory of 
special nuclear material that must be maintained pursuant to paragraph 
(b)(1) of this section must be retained as long as the licensee retains 
possession of the material and for three years following transfer of 
such material.
    (4) [Reserved]
    (5) Each record of transfer of special nuclear material to other 
persons must be retained by the licensee who transferred the material 
until the Commission terminates the license authorizing the licensee's 
possession of the material. Each record required by paragraph (e)(1)(v) 
of this section must be retained for three years after it is made.
    (6) Prior to license termination, licensees shall forward the 
following records to the appropriate NRC Regional Office:
    (i) Records of disposal of licensed material made under Sec. 20.2002 
(including burials authorized before January 28, 1981 2), 
20.2003, 20.2004, 20.2005;
---------------------------------------------------------------------------

    \2\ 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.
---------------------------------------------------------------------------

    (ii) Records required by Sec. 20.2103(b)(4); and
    (iii) Records required by Sec. 70.25(g).
    (7) If licensed activities are transferred or assigned in accordance 
with Sec. 70.32(a)(3), the licensee 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:
    (i) Records of disposal of licensed material made under Sec. 20.2002 
(including burials authorized before January 28, 1981 \2\), 20.2003, 
20.2004, 20.2005;
    (ii) Records required by Sec. 20.2103(b)(4); and
    (iii) Records required by Sec. 70.25(g).
    (c) Each licensee who is authorized to possess at any one time 
special nuclear material in a quantity exceeding one effective kilogram 
of special nuclear material shall establish, maintain, and follow 
written material control and accounting procedures that are sufficient 
to enable the licensee to account for the special nuclear material in 
the licensee's possession under license. The licensee shall retain these 
procedures until the Commission terminates the license that authorizes 
possession of the material and retain any superseded portion of the 
procedures for three years after the portion is superseded.
    (d) Except as required by paragraph (e) of this section, each 
licensee who is authorized to possess at any one time and location 
special nuclear material in a quantity totaling more than 350 grams of 
contained uranium-235, uranium-233, or plutonium, or any combination 
thereof, shall conduct a physical inventory of all special nuclear 
material in his possession under license at intervals not to exceed 
twelve months.
    (e) Each licensee who is authorized to possess at any one time 
special nuclear material in a quantity exceeding one effective kilogram 
of strategic special nuclear material in irradiated fuel reprocessing 
operations or special nuclear material of moderate strategic 
significance and to use such special nuclear material for activities 
other than as sealed sources or those activities involved in the 
operation of a nuclear reactor licensed pursuant to part 50 of this 
chapter or those involved in a waste disposal operation; or as reactor 
irradiated fuels involved in research, development, and evaluation 
programs

[[Page 268]]

in facilities other than irradiated fuel reprocessing plants, shall:
    (1) Maintain procedures that include items listed in paragraphs 
(e)(1) (i), (ii), (iii), (iv), (v), (vi), and (vii) of this section and 
retain each record required in these paragraphs for three years after 
the record is made.
    (i) Procedures for tamper-safing containers or vaults containing 
special nuclear material not in process, which include control of access 
to the devices and records of the date and time of application of each 
device to a container or vault; unique identification of each such item; 
inventory records showing the identity, location, and quantity of 
special nuclear material for all such items; and records of the source 
and disposition of all such items;
    (ii) Records of the quantities of special nuclear material added to 
or removed from the process;
    (iii) Inventory records for the quantity of special nuclear material 
in process;
    (iv) Unique identification of items or containers containing special 
nuclear material in process; inventory records showing the identity, 
location, and quantity of special nuclear material for all such items; 
and records of the source and disposition of all such items;
    (v) Documentation of all transfers of special nuclear material 
between material balance areas to show identity and quantity of special 
nuclear material transferred;
    (vi) Requirements for authorized signatures on each document for 
transfer of special nuclear material between material balance areas; and
    (vii) Means for control of and accounting for internal transfer 
documents.
    (2) On or before May 6, 1974, and thereafter as necessary to comply 
with the requirements of paragraph (e)(3) of this section, perform a 
physical inventory of all special nuclear material in his possession in 
compliance with the criteria for physical inventories set forth in 
paragraph (f) of this section.
    (3) Conduct physical inventories made in accordance with the 
criteria for physical inventories set forth in paragraph (f) of this 
section at intervals determined from the start of the beginning 
inventory to the start of the ending inventory not to exceed:
    (i) 2 calendar months for plutonium except for plutonium containing 
80 percent or more by weight of the isotope Pu-238, uranium-233 and for 
uranium enriched 20 percent or more in the isotope uranium-235 (except 
as provided in paragraph (e)(3)(ii) of this section); and
    (ii) 6 calendar months for uranium enriched less than 20 percent in 
the isotope uranium-235; for plutonium, U-233 and high-enriched uranium 
in that portion of an irradiated-fuel reprocessing plant from the 
dissolver to the first vessel outside of the radiation shielded portion 
of the process; and for plutonium containing 80 percent or more by 
weight of the isotope Pu-238;
    (4) Within 30 calendar days after the start of each ending physical 
inventory required by paragraph (e)(3) of this section:
    (i) Calculate, for the material balance interval terminated by that 
inventory, the material unaccounted for (MUF) and its associated limit 
of error for each element and the fissile isotope for uranium contained 
in material in process;
    (ii) Reconcile and adjust the book record of quantity of element and 
fissile isotope, as appropriate, to the results of the physical 
inventory;
    (iii) Complete and maintain for a period of five years material 
balance records for each material balance showing the quantity of 
element and fissile isotope, as appropriate, in each component of the 
material balance, with the associated limit of error for the material 
unaccounted for both in terms of absolute quantity of element and 
fissile isotope and relative to additions to or removals from material 
in process for the interval, where results of limit of error 
calculations are recorded in sufficient detail to permit an evaluation 
of sources of error.
    (iv) Complete and maintain for a period of five years a record 
summarizing the quantities of element and fissile isotope, as 
appropriate, for ending inventory of material in process, additions to 
material in process during the material balance interval and removals 
from the material in process during the material balance interval; and

[[Page 269]]

    (v) Complete and maintain for a period of five years a record 
summarizing the quantities of element and fissile isotope, as 
appropriate, in unopened receipts (including receipts opened only for 
sampling and subsequently maintained under tamper-safing), and ultimate 
products maintained under tamper-safing, or in the form of sealed 
sources;
    (5) Establish and maintain a system of control and accountability 
such that the limits of error for any material unaccounted for (MUF) 
ascertained as a result of the material balances made pursuant to 
paragraph (e)(3) of this section do not exceed (i) 200 grams of 
plutonium or uranium-233, 300 grams of high enriched uranium or uranium-
235 contained in high enriched uranium, or 9,000 grams of uranium-235 
contained in low enriched uranium, (ii) those limits specified in the 
following table, or (iii) other limits authorized by the Commission 
pursuant to paragraph (e)(6) of this section:

------------------------------------------------------------------------
                                                               Limit of
                                                               Error of
                                                              MUF on Any
                                                             Total Plant
                       Material Type                          Inprocess
                                                               Material
                                                             Balance \3\
                                                               Percent
------------------------------------------------------------------------
Plutonium element or uranium-233 in a chemical reprocessing          1.0
 plant.....................................................
Uranium element and fissile isotope in a reprocessing plant          0.7
Plutonium element, uranium-233, or high enriched uranium             0.5
 element and fissile isotope--all other....................
Low-enriched uranium element and fissile isotope--all other          0.5
------------------------------------------------------------------------
\3\ As a percentage of additions to or removals from material in
  process, whichever is greater.


Any licensee subject to this paragraph on December 6, 1973, who requests 
higher limits pursuant to paragraph (e)(6) of this section at the time 
he submits his program description under the provisions of paragraph (g) 
of this section is hereby authorized to operate at the higher limits 
until the application for license or amendment has been finally 
determined by the Commission;
    (6) An applicant or a licensee subject to the requirements of 
paragraph (e) of this section may request limits higher than those 
specified in paragraph (e)(5) of this section. The requested higher 
limits shall be based on considerations such as the type and complexity 
of process, the number of unit operations, process throughput 
quantities, process recycle quantities, and the technology available and 
applicable to the control and accounting of the material in the process. 
The Commission will approve higher limits if the applicant demonstrates:
    (i) That he has made reasonable efforts and cannot meet the limits 
of error of MUF specified in paragraph (e)(5) of this section; and
    (ii) That he has initiated or will initiate a program to achieve 
improvements in his material control system so as to meet the limits 
specified in paragraph (e)(5) of this section.
    (f) Each licensee subject to the requirements of paragraph (e) of 
this section shall:
    (1) Establish physical inventory procedures to assure that:
    (i) The quantity of special nuclear material associated with each 
item on inventory is a measured value;
    (ii) Each item on inventory is listed and identified to assure that 
all items are listed and that no item is listed more than once;
    (iii) Cutoff procedures for transfers and processing are established 
so that all quantities are inventoried and none are inventoried more 
than once;
    (iv) Cutoff procedures for records and reports are established so 
that all transfers for the inventory and material balance interval and 
no others are included in the records; and
    (v) Upon completion of the inventory, all book and inventory 
records, both total plant and material balance area, are reconciled with 
and adjusted to the physical inventory.
    (2) Establish inventory procedures for sealed sources and containers 
or vaults containing special nuclear material that provide for:
    (i) Identification and location of all such items;
    (ii) Verification of the integrity of the tamper-safing devices for 
such items;
    (iii) Reverification of identity and quantity of contained special 
nuclear material for each item not tamper-safed, or whose tamper-safing 
is found to have been compromised;

[[Page 270]]

    (iv) Verification of the correctness of the inventory records of 
identity and location for all such items; and
    (v) Documentation in compliance with the requirements of paragraphs 
(f)(2) (i), (ii), (iii), and (iv) of this section. Each record 
documenting compliance with these requirements must be retained for 
three years after it is made.
    (3) Establish inventory procedures for special nuclear material in 
process that provide for:
    (i) Measurement of all quantities not previously measured by the 
licensee for element and fissile isotope; and
    (ii) For all material whose content of element and fissile isotope 
has been previously measured by the licensee but for which the validity 
of such previously made measurements has not been assured by tamper-
safing, verification of the quantity of contained element and fissile 
isotope by remeasurement.
    (4) Conduct physical inventories according to written inventory 
instructions for each inventory which shall;
    (i) Assign inventory duties and responsibilities;
    (ii) Specify the extent to which each material balance area and 
process is to be shut down, cleaned out, and/or remain static; \4\
---------------------------------------------------------------------------

    \4\ No process shutdown and/or cleanout for inventory is required if 
requirements with respect to MUF and the limit of error of MUF as 
specified in paragraph (e)(5)(ii) of this section are met using other 
inventory methods.
---------------------------------------------------------------------------

    (iii) Identify the basis for accepting previously made measurements 
and their limits of error;
    (iv) Designate measurements to be made for inventory purposes and 
the procedures for making such measurements; and
    (v) Identify the means by which material on inventory will be listed 
to assure that each item is inventoried and that there is no 
duplication.
    (g) Each licensee subject to the requirements of paragraph (e) of 
this section shall submit to the Atomic Energy Commission for approval 
by March 6, 1974, a full description of the program intended to be used 
to enable the licensee to comply with that paragraph and the 
requirements set forth in paragraph (f) of this section. This program 
shall be followed by the licensee after May 6, 1974.
    (h) Each licensee who determines that the requirements of paragraph 
(e) of this section will require modifications of his plant or equipment 
costing $500,000 or more may, by March 6, 1974, apply to the Atomic 
Energy Commission for an extension of time, not to exceed six additional 
months, for compliance with those requirements. Each application for 
extension shall include a description of the modifications to be made, a 
statement of estimated associated costs with substantiating evidence, 
and a schedule of the dates when the modifications will be commenced and 
completed.
    (i)(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 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. 70.14, has granted a specific exemption from the record retention 
requirements specified in the regulations in this part.

[38 FR 30544, Nov. 6, 1973, as amended at 38 FR 32784, Nov. 28, 1973; 41 
FR 18303, May 3, 1976; 43 FR 6925, Feb. 17, 1978; 50 FR 7579, Feb. 25, 
1985; 52 FR 10038, Mar. 30, 1987; 53 FR 19253, May 27, 1988; 56 FR 
55998, Oct. 31, 1991; 61 FR 24675, May 16, 1996]

[[Page 271]]


    Effective Date Note: At 67 FR 78142, Dec. 23, 2002, Sec. 70.51 was 
revised, effective Mar. 24, 2003. For the convenience of the user, the 
revised text is set forth as follows:

Sec. 70.51  Records requirements.

    (a) Before license termination, licensees shall forward the 
following records to the appropriate NRC Regional Office:
    (1) Records of disposal of licensed material made under 10 CFR 
20.2002 (including burials authorized before January 28, 1981\1\), 
20.2003, 20.2004, 20.2005;
    (2) Records required by 10 CFR 20.2103(b)(4); and
    (3) Records required by Sec. 70.25(g).
    (b) If licensed activities are transferred or assigned in accordance 
with Sec. 70.32(a)(3), the licensee 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 10 CFR 
20.2002 (including burials authorized before January 28, 1981\1\), 
20.2003, 20.2004, 20.2005;
---------------------------------------------------------------------------

    \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 10 CFR 20.2103(b)(4); and
    (3) Records required by Sec. 70.25(g).
    (c)(1) Records which must be maintained pursuant to this part may be 
the original or a 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, 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.
    (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 these records shall apply unless the Commission, pursuant to 
Sec. 70.14, has granted a specific exemption from the record retention 
requirements specified in the regulations in this part.



Sec. 70.52  Reports of accidental criticality or loss or theft or attempted theft of special nuclear material.

    (a) Each licensee shall notify the NRC Operations Center \1\ within 
one hour after discovery of any case of accidental criticality or any 
loss, other than normal operating loss, of special nuclear material.
---------------------------------------------------------------------------

    \1\ Commercial telephone number of the NRC Operations Center is 
(301) 816-5100.
---------------------------------------------------------------------------

    (b) Each licensee who possesses one gram or more of contained 
uranium-235, uranium-233, or plutonium shall notify the NRC Operations 
Center within one hour after discovery of any loss or theft or unlawful 
diversion of special nuclear material which the licensee is licensed to 
possess or any incident in which an attempt has been made or is believed 
to have been made to commit a theft or unlawful diversion of such 
material.
    (c) This notification must be made to the NRC Operations Center via 
the Emergency Notification System if the licensee is party to that 
system. If the Emergency Notification System is inoperative or 
unavailable, the licensee shall make the required notification via 
commercial telephonic service or other dedicated telephonic system or 
any other method that will ensure that a report is received by the NRC 
Operations Center within one hour. The exemption of Sec. 73.21(g)(3) 
applies to all telephonic reports required by this section.
    (d) Reports required under Sec. 73.71 need not be duplicated under 
the requirements of this section.

[52 FR 21657, June 9, 1987, as amended at 59 FR 14087, Mar. 25, 1994]

    Effective Date Note: At 67 FR 78143, Dec. 23, 2002, Sec. 70.52 was 
revised, effective Mar. 24, 2003. For the convenience of the user, the 
revised text is set forth as follows:

Sec. 70.52  Reports of accidental criticality.

    (a) Each licensee shall notify the NRC Operations Center \1\ within 
one hour after discovery of any case of accidental criticality.
    (b) This notification must be made to the NRC Operations Center via 
the Emergency Notification System if the licensee is party to that 
system. If the Emergency Notification System is inoperative or 
unavailable, the licensee shall make the required notification via 
commercial telephonic service or

[[Page 272]]

other dedicated telephonic system or any other method that will ensure 
that a report is received by the NRC Operations Center within one hour.



Sec. 70.53  Material status reports.

    (a)(1) Each licensee who is authorized to possess at any one time 
and location special nuclear material in a quantity totaling more than 
350 grams of contained uranium-235, uranium-233, or plutonium, or any 
combination thereof, shall complete and submit material balance reports 
as required by Sec. 74.13(a)(1) of this chapter.
    (2) Any licensee who is required to submit routine material status 
reports pursuant to Sec. 75.35 of this chapter shall follow the 
requirements set out in Sec. 74.13(a)(2) of this chapter.
    (b) Each licensee subject to the requirements of Sec. 70.51(e) shall 
follow the requirements set out in Secs. 74.13(b) and 74.17(b) of this 
chapter.

[50 FR 7579, Feb. 25, 1985, as amended at 52 FR 19305, May 22, 1987]

    Effective Date Note: At 67 FR 78143, Dec. 23, 2002, Sec. 70.53 was 
removed, effective Mar. 24, 2003.



Sec. 70.54  Nuclear material transfer reports.

    (a) Each licensee who transfers and each licensee who receives 
special nuclear material shall follow the requirements set out in 
Sec. 74.15(a) and (b) of this chapter.
    (b) Any licensee who is required to submit inventory change reports 
on DOE/NRC Form-741 pursuant to Sec. 75.34 of this chapter shall follow 
the requirements set out in Sec. 74.15(c) of this chapter.

[50 FR 7579, Mar. 28, 1985]

    Effective Date Note: At 67 FR 78143, Dec. 23, 2002, Sec. 70.54 was 
removed, effective Mar. 24, 2003.



Sec. 70.55  Inspections.

    (a) Each licensee shall afford to the Commission at all reasonable 
times opportunity to inspect special nuclear material and the premises 
and facilities wherein special nuclear material is used, produced, or 
stored.
    (b) Each licensee shall make available to the Commission for 
inspection, upon reasonable notice, records kept by the licensee 
pertaining to his receipt, possession, use, acquisition, import, export, 
or transfer of special nuclear material.
    (c)(1) In the case of fuel cycle facilities where nuclear reactor 
fuel is fabricated or processed each licensee shall upon request by the 
Director, Office of Nuclear Material Safety and Safeguards or the 
appropriate NRC Regional Administrator, provide rent-free office space 
for the exclusive use of Commission inspection personnel. Heat, air 
conditioning, light, electrical outlets and janitorial services shall be 
furnished by each licensee. 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 fuel facility licensed pursuant to part 
70, 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 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 Material Safety and Safeguards or the appropriate NRC Regional 
Administrator. All furniture, supplies and communication equipment will 
be furnished by the Commission.
    (3) The licensee shall afford any NRC resident inspector assigned to 
that site or other NRC inspectors identified by the Director, Office of 
Nuclear Material Safety and Safeguards, 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

[[Page 273]]

measures for security, radiological protection, and personal safety.

[21 FR 764, Feb. 3, 1956. Redesignated at 25 FR 1607, Feb. 25, 1960, and 
25 FR 12730, Dec. 13, 1960, and amended at 32 FR 2563, Feb. 7, 1967; 44 
FR 47919, Aug. 16, 1979; 52 FR 31612, Aug. 21, 1987; 54 FR 6877, Feb. 
15, 1989; 55 FR 5979, Feb. 21, 1990]



Sec. 70.56  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) 
special nuclear material, (b) facilities wherein special nuclear 
material is utilized, produced or stored, (c) radiation detection and 
monitoring instruments, and (d) other equipment and devices used in 
connection with the production, utilization or storage of special 
nuclear material.

[21 FR 764, Feb. 3, 1956. Redesignated at 25 FR 1607, Feb. 25, 1960, and 
25 FR 12730, Dec. 13, 1960]



Sec. 70.57  Measurement control program for special nuclear materials control and accounting.

    (a) As used in this section:
    (1) Measurement includes sampling and means the determination of 
mass, volume, quantity, composition or other property of a material 
where such determinations are used for special nuclear material control 
and accounting purposes.
    (2) Measurement system means all of the apparatus, equipment, 
instruments and procedures used in performing a measurement.
    (3) Reference standard means a material, device, or instrument whose 
assigned value is known relative to national standards or nationally 
accepted measurement systems.
    (4) Traceability means the ability to relate individual measurement 
results to national standards or nationally accepted measurement systems 
through an unbroken chain of comparisons.
    (5) Random error refers to the variation encountered in all 
measurement work, characterized by the random occurrence of both 
positive and negative deviations from a mean value.
    (6) A systematic error is a constant unidirectional component of 
error that affects all members of a data set; its value can, in some 
instances, be estimated by the deviation of the mean of a measurement 
process from a reference value. A systematic error whose value has been 
determined in this manner is called a bias, whose effect can be 
corrected for.
    (7) Uncertainty is the extent to which a measurement result is in 
doubt because of the effects of random error variances and the limits of 
systematic errors associated with a measurement process, after the 
measurements result has been corrected for bias.
    (8) Calibration means the process of determining the numerical 
relationship between the observed output of a measurement system and the 
value, based upon reference standards, of the characteristics being 
measured.
    (b) In accordance with Sec. 70.58(f), each licensee who is 
authorized to possess at any one time and location strategic special 
nuclear material, or special nuclear material of moderate strategic 
significance, in a quantity exceeding one effective kilogram and to use 
such special nuclear material for activities other than those involved 
in the operation of a nuclear reactor licensed pursuant to part 50 of 
this chapter, those involved in a waste disposal operation, or as sealed 
sources, shall establish and maintain a measurement control program for 
special nuclear materials control and accounting measurements. Each 
program function must be identified and assigned in the licensee 
organization in accordance with Sec. 70.58(b)(2), and functional 
organizational relationships must be set forth in writing in accordance 
with Sec. 70.58(b)(3). The program must be described in a manual which 
contains the procedures, instructions, and forms prepared to meet the 
requirements of this paragraph, including procedures for the 
preparation, review, approval, and prompt dissemination of any program 
modifications or changes. The licensee shall retain the current program 
as a record until the Commission terminates the license authorizing 
possession of the nuclear materials. The licensee's program shall 
include the following:
    (1) The licensee shall assign responsibility for planning, 
developing, coordinating, and administering the program

[[Page 274]]

to an individual in his organization who has no direct responsibilities 
for the operation of the analytical laboratory or for the processing of 
material, holds a position at an organizational level which will permit 
independence of action and objectivity of decision and has authority to 
obtain all the information required to monitor and evaluate measurement 
quality as required by this section.
    (2) Provisions must be made for management reviews to determine the 
adequacy of the program and to assess the applicability of current 
procedures and for planned audits to verify conformance with all aspects 
of the program. These reviews and audits must be performed at intervals 
not to exceed 12 months. Audits and reviews must be performed by trained 
individuals independent of direct responsibility for the receipt, 
custody, utilization, measurement, measurement quality, and shipment of 
special nuclear material. The results of reviews and audits must be 
recorded and reported to licensee management. The licensee shall retain 
each record of a review or an audit for three years after the record is 
made.
    (3) The licensee shall ensure that any person who contracts to 
perform materials control and accounting measurement services conforms 
with applicable requirements of paragraphs (b) (4) through (8) and (10) 
through (12) of this section. Conformance must include reporting by the 
contractor of sufficient error data to allow the licensee to calculate 
bias corrections and measurement limits of error. All statistical 
studies must be reported or references in the measurement report 
submitted to the licensee, who shall have access to the contractor's 
supporting control data. The licensee shall perform reviews to determine 
the adequacy of the contractor's program and audits to verify 
conformance with all aspects of the program. Reviews and audits must be 
performed at intervals not to exceed 12 months. The results of reviews 
and audits must be documented and reported to licensee management. The 
licensee shall retain the record of the results of the licensee review 
and audit of the contractor's program for three years after the record 
is made.
    (4) In order to ensure that potential sources of sampling error are 
identified and that samples are representative, process and engineering 
tests must be performed using well characterized materials to establish 
or to verify the applicability of existing procedures for sampling 
special nuclear materials and for maintaining sample integrity during 
transport and storage. The licensee shall record the results of the 
above process and engineering tests and shall maintain those results as 
a record for as long as that sampling systems is in use and for three 
years following the last such use. The program must ensure that such 
procedures are maintained and followed, and that sampling is included in 
the procedures for estimating biases, limits for systematic errors, and 
random error variances.
    (5) The program shall include provisions for the review and 
approval, before use, of written procedures for:
    (i) Preparing or acquiring, maintaining, storing and using reference 
standards,
    (ii) Calibrating measurement systems, performing bulk measurements, 
obtaining samples, and performing compositional analyses,
    (iii) Recording, analyzing and reporting the program data and 
information, and
    (iv) Controlling measurement performance.
    (6) To ensure the adequacy of each measurement system with respect 
to process flows, sampling and measurement points, and nominal material 
compositions, engineering analyses and evaluations must be made of the 
design, installation, preoperational tests, calibration, and the 
operation of each system. These analyses and evaluations must be 
repeated whenever a significant change is made in any component of a 
system. The licensee shall record the results of these analyses and 
evaluations and retain these records for three years after the life of 
the process or equipment.
    (7) Procedures and performance criteria must be established for the 
training, qualifying, and periodic requalifying of all personnel who 
perform sampling and measurements for materials control and accounting 
purposes. The licensee shall retain as a record

[[Page 275]]

the results of personnel qualification or requalification for three 
years after the record is made.
    (8) The program must generate current data on the performance of 
measuring processes, including, as appropriate, values for bias 
corrections and their uncertainties, random error variances, limits for 
systematic errors, and other parameters needed to establish the 
uncertainty of measurements pertaining to materials control and 
accounting. The program data must reflect the current process and 
measurement condition existing at the time the control measurements are 
made. The licensee shall record this data and retain this record for 
three years after the record is made. Measurements which are not 
controlled by the program may not be used for materials control or for 
accounting purposes. The program must include:
    (i) The ongoing use of standards for calibration and control of all 
applicable measurement systems. Calibrations shall be repeated whenever 
any significant change occurs in a measurement system or when program 
data, generated by tests performed at a predetermined frequency, 
indicate a need for recalibration. Calibrations and tests shall be based 
upon reference standards.
    (ii) A system of control measurements to provide current data for 
the determination of random error behavior. On a predetermined schedule, 
the system shall include the replicate analysis of process samples, the 
replicate weight or volume measurement of bulk quantities of material, 
and the analysis of replicate process samples.
    (9) The program data generated during the current material balance 
period shall be used for the determination of the limit of error of the 
plant material balance. Measurement error data collected and used during 
immediately preceding material balance periods may be combined with 
current data provided that the measurements are in statistical control, 
i.e., when repeated samples from the portion of the measurement system 
under test behave as random samples from a stable probability 
distribution. Under such conditions, data sets may be combined provided 
that the parameter estimates based on the current set of data and the 
previous set of data are not significantly different on the basis of 
appropriate statistical tests performed at a level of significance of 
0.05.
    (10) The licensee shall evaluate with appropriate statistical 
methods all program data and information, and relevant process data used 
to establish bias corrections and their associated uncertainties, random 
error variances, limits for systematic error, and other parameters 
pertaining to special nuclear materials control and accounting 
measurements, and to control measurement performance pursuant to 
Sec. 70.58(f). Bias corrections shall be made by an appropriate 
statistical procedure.
    (11)(i) The licensee shall establish and maintain a statistical 
control system, including control charts and formal statistical 
procedures, designed to monitor the quality of each type of program 
measurement. The licensee shall retain a copy of the current statistical 
control system as a record until the Commission terminates each license 
that authorizes possession of the material that the system affects and 
shall retain copies of such system documents for previous inventory 
periods as a record for three years after they are replaced.
    (ii) Control chart limits must be established to be equivalent to 
levels of significance of 0.05 and 0.001. Whenever control data exceed 
the 0.05 control limits, the licensee shall investigate the condition 
and take corrective action in a timely manner. The licensee shall record 
the results of these investigations and actions and retain each record 
for three years after the record is made. Whenever the control data 
exceed the 0.001 control limits, the measurement system that generated 
the data must not be used for material control and accounting purposes 
until the deficiency has been corrected and the system has been brought 
into control at the 0.05 control level.
    (12) The licensee shall provide a records system in which all data, 
information, reports, and documents generated by the measurement control 
program must be retained for three years. Records must include a summary 
of the error data utilized in the limit of error calculations performed

[[Page 276]]

for each material balance period. The records system must be organized 
for efficient retrieval of program information. Each reported result 
must be readily relatable to the original measurement data and to all 
relevant measurement control information, including pertinent 
calibration data. Records must be available for NRC inspection.
    (c) Applicants and licensees subject to the provisions of paragraph 
(b) of this section shall submit to the Commission for approval a 
detailed plan describing the program that will be used to comply with 
said provisions. The plan submitted shall include the identification of 
those measurements to be contracted and shall describe the steps the 
licensee shall take to assure the adequacy of such procedures. 
Licensee's plans shall be submitted on or before November 11, 1975.
    (d) Licensees subject to the provisions of paragraph (b) of this 
section shall follow the plans submitted pursuant to paragraph (c) of 
this section after May 11, 1976, or thirty days after the submitted plan 
is approved by the NRC whichever is later. After May 11, 1976, an 
applicant subject to the provisions of paragraph (b) of this section 
shall immediately implement his plan, submitted pursuant to paragraph 
(c) of this section, following incorporation of said plan as a condition 
of license.

[40 FR 33652, Aug. 11, 1975, as amended at 40 FR 50704, Oct. 31, 1975; 
42 FR 25721, May 19, 1977; 53 FR 19254, May 27, 1988]

    Effective Date Note: At 67 FR 78143, Dec. 23, 2002, Sec. 70.57 was 
removed, effective Mar. 24, 2003.



Sec. 70.58  Fundamental nuclear material controls.

    (a) Each licensee who is authorized to possess at any one time and 
location strategic special nuclear material in irradiated fuel 
reprocessing operations or special nuclear material of moderate 
strategic significance in a quantity exceeding one effective kilogram, 
and to use such special nuclear material except for sealed sources and 
those uses involved in the operation of a nuclear reactor licensed 
pursuant to part 50 of this chapter and those involved in a waste 
disposal operation, shall establish, maintain, and follow written 
material control and accounting procedures in compliance with the 
fundamental nuclear material control requirements specified in 
paragraphs (b) through (k) of this section and such other controls as 
the Commission determines to be essential for the control of and 
accounting for special nuclear material.
    (b)(1) The overall planning, coordination, and administration of the 
material control and accounting functions for special nuclear materials 
shall be vested in a single individual at an organizational level 
sufficient to assure independence of action and objectiveness of 
decisions. In manufacturing organizations, such individual shall be 
independent of individuals or units that are solely responsible for 
production functions.
    (2) Material control and accounting functions shall be identified 
and assigned in the licensee organization to provide a separation of 
functions so that the activities of one individual or organizational 
unit serve as controls over and checks of the activities of other 
individuals or organizational units.
    (3) Material control and accounting functional and organizational 
relationships must be set forth in writing in job descriptions, 
organizational directives, instructions, procedure manuals, etc. This 
documentation must include position qualification requirements and 
definitions of authorities, responsibilities, and duties. Delegations of 
material control and accounting responsibilities and authority must be 
in writing. The licensee shall retain this documentation as a record 
until the Commission terminates each license that authorizes the 
activity that is subject to retention of the documentation, and if any 
portion of the documentation is superseded, retain the superseded 
material for three years after each change.
    (c) A management system shall be established, maintained, and 
followed to provide for the development, revision, implementation, and 
enforcement of nuclear material control and accounting procedures. The 
system shall include:
    (1) Provisions for written approval of such procedures and any 
revisions thereto by the individual with overall

[[Page 277]]

responsibility for the material control and accounting function and by 
licensee plant management.
    (2) Provision for a review at least every 12 months of the nuclear 
material control system by individuals independent of both nuclear 
material control management and personnel who have direct responsibility 
for the receipt, custody, utilization, measurement, measurement quality, 
and shipment of nuclear material. Such a review shall include a review 
and audit of material control and accounting procedures and practices 
and an audit of the nuclear material records. The results of the review 
and audit along with recommendations for improvements shall be 
documented, reported to the licensee's corporate and plant management, 
and kept available at the plant for inspection for a period of five 
years.
    (d) Material Balance Areas (MBA) or Item Control Areas (ICA) shall 
be established for physical and administrative control of nuclear 
material.
    (1) Each MBA shall be an identifiable physical area such that the 
quantity of nuclear material being moved into or out of the MBA is 
represented by a measured value determined pursuant to paragraph (e) of 
this section.
    (2) The number of MBAs shall be sufficient to localize nuclear 
material losses, or thefts and identify the mechanisms.
    (3) The custody of all nuclear material within any MBA or ICA shall 
be the responsibility of a single designated individual.
    (4) ICAs shall be established according to the same criteria as MBAs 
except that control into and out of such areas shall be by item identity 
and count for previously determined special nuclear material quantities, 
the validity of which shall be assured by tamper-safing unless the items 
are sealed sources.
    (e) A system must be established, maintained, and followed for the 
measurement of all special nuclear material received, produced, or 
transferred between MBAs, transferred from MBAs to ICAs, on inventory, 
or shipped, discarded, or otherwise removed from inventory and for the 
determination of the limit of error associated with each such measured 
quantity except for plutonium-beryllium sources; samples that have been 
determined by other means to contain less than 10 grams U-235, U-233, or 
plutonium each; and reactor-irradiated fuels involved in research, 
development, and evaluation programs in facilities other than 
irradiated-fuel reprocessing plants. The system must be described in 
writing and provide for sufficient measurements to substantiate the 
quantities of element and isotope measured and the associated limits or 
error. The licensee shall record the required measurements and 
associated limits of error and shall retain any record associated with 
this system for three years after the record is made.
    (f) A program must be established, maintained, and followed pursuant 
to Sec. 70.57(b) for the continuing determination and control of the 
systematic and random errors of measurement processes at a level 
commensurate with the requirements of Sec. 70.51(e)(5). The licensee 
shall retain each completed record required by the program for three 
years after the record is made.
    (g) Procedures shall be established, maintained, and followed to:
    (1) Assure accurate identification and measurement of the quantities 
of special nuclear material received and shipped by a licensee;
    (2) Review and evaluate shipper-receiver differences on an 
individual container or lot basis, as appropriate, on a shipment basis, 
and on a cumulative basis for shipments of like type material;
    (3) Take appropriate investigative and corrective action to 
reconcile shipper-receiver differences that are statistically 
significant at the 95 percent confidence level except those shipments 
which involve differences of 50 grams or less of U-235, U-233, or 
plutonium; and
    (4) Maintain records of shipper-receiver difference evaluation, 
investigations, and corrective actions on file at the plant for a period 
of five years.
    (h) A system of storage and internal handling controls must be 
established, maintained, and followed to provide current knowledge of 
the identity, quantity, and location of all special nuclear material 
contained within a plant in discrete items and containers. The

[[Page 278]]

licensee shall include procedures as specified in Sec. 70.51(e)(1) and 
retain any record associated with the procedures for six months after 
the record is made;
    (i) Procedures for special nuclear material scrap control must be 
established, maintained, and followed to limit the accumulation and the 
uncertainty of measurement of these materials on inventory. The licensee 
shall retain a copy of the current procedures as a record until the 
Commission terminates each license that authorizes the activity that is 
subject to the retention of procedures and, if any portion of the 
procedures is superseded, retain the superseded portion for three years 
after each change. Such procedures must include:
    (1) Identification and classification of special nuclear material 
scrap;
    (2) Regular processing and recovery of scrap so that no item of such 
scrap generated in the licensee's plant measured with an uncertainty of 
greater than 10 percent remains on inventory longer than six 
months when such scrap contains plutonium, U-233, or uranium enriched 20 
percent or more in the isotope U-235 or twelve months when such scrap 
contains uranium enriched less than 20 percent in the isotope U-235 or 
plutonium containing 80 percent or more by weight of the isotope Pu-238.
    (j) Physical inventory procedures must be established, maintained, 
and followed so that special nuclear material balance and their 
measurement uncertainties can be determined on the basis of measurements 
in compliance with the material balance and inventory requirements and 
criteria specified in Sec. 70.51. The licensee shall retain a copy of 
the current procedures as a record until the Commission terminates each 
license that authorizes the activity that is subject to the retention of 
procedures and, if any portion of the procedures is superseded, retain 
the superseded portion for three years after each change.
    (k) A system of records and reports must be established, maintained, 
and followed that will provide information sufficient to locate special 
nuclear material and to close a measured material balance around each 
material balance area and the total plant, as specified in Sec. 70.51. 
As required by Sec. 70.51, the licensee shall retain the records 
associated with this system for three years after the records are made. 
This system must include:
    (1) A centralized accounting system employing double-entry 
bookkeeping;
    (2) Subsidiary accounts for each material balance area and item 
control area;
    (3) Records pertinent to the requirements of Sec. 70.51(e)(1);
    (4) Procedures for the reconciliation of subsidiary accounts to 
control accounts at the end of each accounting period; and
    (5) Procedures for reconciliation of control and subsidiary accounts 
to the results of physical inventories.
    (l) Each licensee subject to the requirements of this section shall 
submit by January 24, 1975, a full description of his program for 
control of and accounting for special nuclear material in his possession 
under license to show how compliance with the requirements of this 
section, except for paragraph (f), will be accomplished. This program 
shall be followed by the licensee after July 24, 1975, or sixty days 
after the program is approved by the NRC, whichever is the later.

[39 FR 37766, Oct. 24, 1974, as amended at 40 FR 33653, Aug. 11, 1975; 
49 FR 19628, May 9, 1984; 50 FR 7579, Feb. 25, 1985; 52 FR 10038, Mar. 
30, 1987; 53 FR 19255, May 27, 1988]

    Effective Date Note: At 67 FR 78143, Dec. 23, 2002, Sec. 70.58 was 
removed, effective Mar. 24, 2003.



Sec. 70.59  Effluent monitoring reporting requirements.

    (a) Each licensee authorized to possess and use special nuclear 
material for processing and fuel fabrication, scrap recovery, conversion 
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

[[Page 279]]

of the principal radionuclides released to unrestricted areas in liquid 
and gaseous effluents during the previous six months of operation, and 
such other information as 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 periods 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.

[40 FR 53230, Nov. 17, 1975, as amended at 41 FR 21627, May 27, 1976; 42 
FR 25721, May 19, 1977; 52 FR 31612, Aug. 21, 1987; 57 FR 18393, Apr. 
30, 1992]



 Subpart H--Additional Requirements for Certain Licensees Authorized To 
           Possess a Critical Mass of Special Nuclear Material

    Source: 65 FR 56226, Sept. 18, 2000, unless otherwise noted.



Sec. 70.60  Applicability.

    The regulations in Sec. 70.61 through Sec. 70.76 apply, in addition 
to other applicable Commission regulations, to each applicant or 
licensee that is or plans to be authorized to possess greater than a 
critical mass of special nuclear material, and engaged in enriched 
uranium processing, fabrication of uranium fuel or fuel assemblies, 
uranium enrichment, enriched uranium hexafluoride conversion, plutonium 
processing, fabrication of mixed-oxide fuel or fuel assemblies, scrap 
recovery of special nuclear material, or any other activity that the 
Commission determines could significantly affect public health and 
safety. The regulations in Sec. 70.61 through Sec. 70.76 do not apply to 
decommissioning activities performed pursuant to other applicable 
Commission regulations including Sec. 70.25 and Sec. 70.38 of this part. 
Also, the regulations in Sec. 70.61 through Sec. 70.76 do not apply to 
activities that are certified by the Commission pursuant to part 76 of 
this chapter or licensed by the Commission pursuant to other parts of 
this chapter. Unless specifically addressed in Sec. 70.61 through 
Sec. 70.76, implementation by current licensees of the Subpart H 
requirements shall be completed no later than the time of the ISA 
Summary submittal required in Sec. 70.62(c)(3)(ii).



Sec. 70.61  Performance requirements.

    (a) Each applicant or licensee shall evaluate, in the integrated 
safety analysis performed in accordance with Sec. 70.62, its compliance 
with the performance requirements in paragraphs (b), (c), and (d) of 
this section.
    (b) The risk of each credible high-consequence event must be 
limited. Engineered controls, administrative controls, or both, shall be 
applied to the extent needed to reduce the likelihood of occurrence of 
the event so that, upon implementation of such controls, the event is 
highly unlikely or its consequences are less severe than those in 
paragrahs (b)(1)-(4) of this section. High consequence events are those 
internally or externally initiated events that result in:
    (1) An acute worker dose of 1 Sv (100 rem) or greater total 
effective dose equivalent;
    (2) An acute dose of 0.25 Sv (25 rem) or greater total effective 
dose equivalent to any individual located outside the controlled area 
identified pursuant to paragraph (f) of this section;
    (3) An intake of 30 mg or greater of uranium in soluble form by any 
individual located outside the controlled area identified pursuant to 
paragraph (f) of this section; or
    (4) An acute chemical exposure to an individual from licensed 
material or hazardous chemicals produced from licensed material that:
    (i) Could endanger the life of a worker, or
    (ii) Could lead to irreversible or other serious, long-lasting 
health effects to any individual located outside the controlled area 
identified pursuant to paragraph (f) of this section. If an applicant 
possesses or plans to possess quantities of material capable of such 
chemical exposures, then the applicant shall propose appropriate 
quantitative

[[Page 280]]

standards for these health effects, as part of the information submitted 
pursuant to Sec. 70.65 of this subpart.
    (c) The risk of each credible intermediate-consequence event must be 
limited. Engineered controls, administrative controls, or both shall be 
applied to the extent needed so that, upon implementation of such 
controls, the event is unlikely or its consequences are less than those 
in paragraphs (c)(1)-(4) of this section. Intermediate consequence 
events are those internally or externally initiated events that are not 
high consequence events, that result in:
    (1) An acute worker dose of 0.25 Sv (25 rem) or greater total 
effective dose equivalent;
    (2) An acute dose of 0.05 Sv (5 rem) or greater total effective dose 
equivalent to any individual located outside the controlled area 
identified pursuant to paragraph (f) of this section;
    (3) A 24-hour averaged release of radioactive material outside the 
restricted area in concentrations exceeding 5000 times the values in 
Table 2 of Appendix B to Part 20; or
    (4) An acute chemical exposure to an individual from licensed 
material or hazardous chemicals produced from licensed material that:
    (i) Could lead to irreversible or other serious, long-lasting health 
effects to a worker, or
    (ii) Could cause mild transient health effects to any individual 
located outside the controlled area as specified in paragraph (f) of 
this section. If an applicant possesses or plans to possess quantities 
of material capable of such chemical exposures, then the applicant shall 
propose appropriate quantitative standards for these health effects, as 
part of the information submitted pursuant to Sec. 70.65 of this 
subpart.
    (d) In addition to complying with paragraphs (b) and (c) of this 
section, the risk of nuclear criticality accidents must be limited by 
assuring that under normal and credible abnormal conditions, all nuclear 
processes are subcritical, including use of an approved margin of 
subcriticality for safety. Preventive controls and measures must be the 
primary means of protection against nuclear criticality accidents.
    (e) Each engineered or administrative control or control system 
necessary to comply with paragraphs (b), (c), or (d) of this section 
shall be designated as an item relied on for safety. The safety program, 
established and maintained pursuant to Sec. 70.62 of this subpart, shall 
ensure that each item relied on for safety will be available and 
reliable to perform its intended function when needed and in the context 
of the performance requirements of this section.
    (f) Each licensee must establish a controlled area, as defined in 
Sec. 20.1003. In addition, the licensee must retain the authority to 
exclude or remove personnel and property from the area. For the purpose 
of complying with the performance requirements of this section, 
individuals who are not workers, as defined in Sec. 70.4, may be 
permitted to perform ongoing activities (e.g., at a facility not related 
to the licensed activities) in the controlled area, if the licensee:
    (1) Demonstrates and documents, in the integrated safety analysis, 
that the risk for those individuals at the location of their activities 
does not exceed the performance requirements of paragraphs (b)(2), 
(b)(3), (b)(4)(ii), (c)(2), and (c)(4)(ii) of this section; or
    (2) Provides training that satisfies 10 CFR 19.12(a)(1)-(5) to these 
individuals and ensures that they are aware of the risks associated with 
accidents involving the licensed activities as determined by the 
integrated safety analysis, and conspicuously posts and maintains 
notices stating where the information in 10 CFR 19.11(a) may be examined 
by these individuals. Under these conditions, the performance 
requirements for workers specified in paragraphs (b) and (c) of this 
section may be applied to these individuals.



Sec. 70.62  Safety program and integrated safety analysis.

    (a) Safety program. (1) Each licensee or applicant shall establish 
and maintain a safety program that demonstrates compliance with the 
performance requirements of Sec. 70.61. The safety program may be graded 
such that management measures applied are graded commensurate with the 
reduction of the risk attributable to that item.

[[Page 281]]

Three elements of this safety program; namely, process safety 
information, integrated safety analysis, and management measures, are 
described in paragraphs (b) through (d) of this section.
    (2) Each licensee or applicant shall establish and maintain records 
that demonstrate compliance with the requirements of paragraphs (b) 
through (d) of this section.
    (3) Each licensee or applicant shall maintain records of failures 
readily retrievable and available for NRC inspection, documenting each 
discovery that an item relied on for safety or management measure has 
failed to perform its function upon demand or has degraded such that the 
performance requirements of Sec. 70.61 are not satisfied. These records 
must identify the item relied on for safety or management measure that 
has failed and the safety function affected, the date of discovery, date 
(or estimated date) of the failure, duration (or estimated duration) of 
the time that the item was unable to perform its function, any other 
affected items relied on for safety or management measures and their 
safety function, affected processes, cause of the failure, whether the 
failure was in the context of the performance requirements or upon 
demand or both, and any corrective or compensatory action that was 
taken. A failure must be recorded at the time of discovery and the 
record of that failure updated promptly upon the conclusion of each 
failure investigation of an item relied on for safety or management 
measure.
    (b) Process safety information. Each licensee or applicant shall 
maintain process safety information to enable the performance and 
maintenance of an integrated safety analysis. This process safety 
information must include information pertaining to the hazards of the 
materials used or produced in the process, information pertaining to the 
technology of the process, and information pertaining to the equipment 
in the process.
    (c) Integrated safety analysis. (1) Each licensee or applicant shall 
conduct and maintain an integrated safety analysis, that is of 
appropriate detail for the complexity of the process, that identifies:
    (i) Radiological hazards related to possessing or processing 
licensed material at its facility;
    (ii) Chemical hazards of licensed material and hazardous chemicals 
produced from licensed material;
    (iii) Facility hazards that could affect the safety of licensed 
materials and thus present an increased radiological risk;
    (iv) Potential accident sequences caused by process deviations or 
other events internal to the facility and credible external events, 
including natural phenomena;
    (v) The consequence and the likelihood of occurrence of each 
potential accident sequence identified pursuant to paragraph (c)(1)(iv) 
of this section, and the methods used to determine the consequences and 
likelihoods; and
    (vi) Each item relied on for safety identified pursuant to 
Sec. 70.61(e) of this subpart, the characteristics of its preventive, 
mitigative, or other safety function, and the assumptions and conditions 
under which the item is relied upon to support compliance with the 
performance requirements of Sec. 70.61.
    (2) Integrated safety analysis team qualifications. To assure the 
adequacy of the integrated safety analysis, the analysis must be 
performed by a team with expertise in engineering and process 
operations. The team shall include at least one person who has 
experience and knowledge specific to each process being evaluated, and 
persons who have experience in nuclear criticality safety, radiation 
safety, fire safety, and chemical process safety. One member of the team 
must be knowledgeable in the specific integrated safety analysis 
methodology being used.
    (3) Requirements for existing licensees. Individuals holding an NRC 
license on September 18, 2000 shall, with regard to existing licensed 
activities:
    (i) By April 18, 2001, submit for NRC approval, a plan that 
describes the integrated safety analysis approach that will be used, the 
processes that will be analyzed, and the schedule for completing the 
analysis of each process.
    (ii) By October 18, 2004, or in accordance with the approved plan 
submitted under Sec. 70.62(c)(3)(i), complete an integrated safety 
analysis, correct all unacceptable performance deficiencies,

[[Page 282]]

and submit, for NRC approval, an integrated safety analysis summary, 
including a description of the management measures, in accordance with 
Sec. 70.65. The Commission may approve a request for an alternative 
schedule for completing the correction of unacceptable performance 
deficiencies if the Commission determines that the alternative is 
warranted by consideration of the following:
    (A) Adequate compensatory measures have been established;
    (B) Whether it is technically feasible to complete the correction of 
the unacceptable performance deficiency within the allotted 4-year 
period;
    (C) Other site-specific factors which the Commission may consider 
appropriate on a case-by-case basis and that are beyond the control of 
the licensee.
    (iii) Pending the correction of unacceptable performance 
deficiencies identified during the conduct of the integrated safety 
analysis, the licensee shall implement appropriate compensatory measures 
to ensure adequate protection.
    (d) Management measures. Each applicant or licensee shall establish 
management measures to ensure compliance with the performance 
requirements of Sec. 70.61. The measures applied to a particular 
engineered or administrative control or control system may be graded 
commensurate with the reduction of the risk attributable to that control 
or control system. The management measures shall ensure that engineered 
and administrative controls and control systems that are identified as 
items relied on for safety pursuant to Sec. 70.61(e) of this subpart are 
designed, implemented, and maintained, as necessary, to ensure they are 
available and reliable to perform their function when needed, to comply 
with the performance requirements of Sec. 70.61 of this subpart.



Sec. 70.64  Requirements for new facilities or new processes at existing facilities.

    (a) Baseline design criteria. Each prospective applicant or licensee 
shall address the following baseline design criteria in the design of 
new facilities. Each existing licensee shall address the following 
baseline design criteria in the design of new processes at existing 
facilities that require a license amendment under Sec. 70.72. The 
baseline design criteria must be applied to the design of new facilities 
and new processes, but do not require retrofits to existing facilities 
or existing processes (e.g., those housing or adjacent to the new 
process); however, all facilities and processes must comply with the 
performance requirements in Sec. 70.61. Licensees shall maintain the 
application of these criteria unless the analysis performed pursuant to 
Sec. 70.62(c) demonstrates that a given item is not relied on for safety 
or does not require adherence to the specified criteria.
    (1) Quality standards and records. The design must be developed and 
implemented in accordance with management measures, to provide adequate 
assurance that items relied on for safety will be available and reliable 
to perform their function when needed. Appropriate records of these 
items must be maintained by or under the control of the licensee 
throughout the life of the facility.
    (2) Natural phenomena hazards. The design must provide for adequate 
protection against natural phenomena with consideration of the most 
severe documented historical events for the site.
    (3) Fire protection. The design must provide for adequate protection 
against fires and explosions.
    (4) Environmental and dynamic effects. The design must provide for 
adequate protection from environmental conditions and dynamic effects 
associated with normal operations, maintenance, testing, and postulated 
accidents that could lead to loss of safety functions.
    (5) Chemical protection. The design must provide for adequate 
protection against chemical risks produced from licensed material, 
facility conditions which affect the safety of licensed material, and 
hazardous chemicals produced from licensed material.
    (6) Emergency capability. The design must provide for emergency 
capability to maintain control of:
    (i) Licensed material and hazardous chemicals produced from licensed 
material;

[[Page 283]]

    (ii) Evacuation of on-site personnel; and
    (iii) Onsite emergency facilities and services that facilitate the 
use of available offsite services.
    (7) Utility services. The design must provide for continued 
operation of essential utility services.
    (8) Inspection, testing, and maintenance. The design of items relied 
on for safety must provide for adequate inspection, testing, and 
maintenance, to ensure their availability and reliability to perform 
their function when needed.
    (9) Criticality control. The design must provide for criticality 
control including adherence to the double contingency principle.
    (10) Instrumentation and controls. The design must provide for 
inclusion of instrumentation and control systems to monitor and control 
the behavior of items relied on for safety.
    (b) Facility and system design and facility layout must be based on 
defense-in-depth practices. \1\ The design must incorporate, to the 
extent practicable:
---------------------------------------------------------------------------

    \1\ As used in Sec. 70.64, Requirements for new facilities or new 
processes at existing facilities, defense-in-depth practices means a 
design philosophy, applied from the outset and through completion of the 
design, that is based on providing successive levels of protection such 
that health and safety will not be wholly dependent upon any single 
element of the design, construction, maintenance, or operation of the 
facility. The net effect of incorporating defense-in-depth practices is 
a conservatively designed facility and system that will exhibit greater 
tolerance to failures and external challenges. The risk insights 
obtained through performance of the integrated safety analysis can be 
then used to supplement the final design by focusing attention on the 
prevention and mitigation of the higher-risk potential accidents.
---------------------------------------------------------------------------

    (1) Preference for the selection of engineered controls over 
administrative controls to increase overall system reliability; and
    (2) Features that enhance safety by reducing challenges to items 
relied on for safety.



Sec. 70.65  Additional content of applications.

    (a) In addition to the contents required by Sec. 70.22, each 
application must include a description of the applicant's safety program 
established under Sec. 70.62.
    (b) The integrated safety analysis summary must be submitted with 
the license or renewal application (and amendment application as 
necessary), but shall not be incorporated in the license. However, 
changes to the integrated safety analysis summary shall meet the 
conditions of Sec. 70.72. The integrated safety analysis summary must 
contain:
    (1) A general description of the site with emphasis on those factors 
that could affect safety (i.e., meteorology, seismology);
    (2) A general description of the facility with emphasis on those 
areas that could affect safety, including an identification of the 
controlled area boundaries;
    (3) A description of each process (defined as a single reasonably 
simple integrated unit operation within an overall production line) 
analyzed in the integrated safety analysis in sufficient detail to 
understand the theory of operation; and, for each process, the hazards 
that were identified in the integrated safety analysis pursuant to 
Sec. 70.62(c)(1)(i)-(iii) and a general description of the types of 
accident sequences;
    (4) Information that demonstrates the licensee's compliance with the 
performance requirements of Sec. 70.61, including a description of the 
management measures; the requirements for criticality monitoring and 
alarms in Sec. 70.24; and, if applicable, the requirements of 
Sec. 70.64;
    (5) A description of the team, qualifications, and the methods used 
to perform the integrated safety analysis;
    (6) A list briefly describing each item relied on for safety which 
is identified pursuant to Sec. 70.61(e) in sufficient detail to 
understand their functions in relation to the performance requirements 
of Sec. 70.61;
    (7) A description of the proposed quantitative standards used to 
assess the consequences to an individual from acute chemical exposure to 
licensed material or chemicals produced from licensed materials which 
are on-site, or expected to be on-site as described in Sec. 70.61(b)(4) 
and (c)(4);

[[Page 284]]

    (8) A descriptive list that identifies all items relied on for 
safety that are the sole item preventing or mitigating an accident 
sequence that exceeds the performance requirements of Sec. 70.61; and
    (9) A description of the definitions of unlikely, highly unlikely, 
and credible as used in the evaluations in the integrated safety 
analysis.



Sec. 70.66  Additional requirements for approval of license application.

    (a) An application for a license from an applicant subject to 
subpart H will be approved if the Commission determines that the 
applicant has complied with the requirements of Secs. 70.21, 70.22, 
70.23, and 70.60 through 70.65.
    (b) Submittals by existing licensees in accordance with 
Sec. 70.62(c)(3)(i) will be approved if the Commission determines that:
    (1) The integrated safety analysis approach is in accordance with 
the requirements of Secs. 70.61, 70.62(c)(1), and 70.62(c)(2); and
    (2) The schedule is in compliance with Sec. 70.62(c)(3)(ii).
    (c) Submittals by existing licensees in accordance with 
Sec. 70.62(c)(3)(ii) will be approved if the Commission determines that:
    (1) The requirements of Sec. 70.65(b) are satisfied; and
    (2) The performance requirements in Sec. 70.61 (b), (c) and (d) are 
satisfied, based on the information in the ISA Summary, together with 
other information submitted to NRC or available to NRC at the licensee's 
site.



Sec. 70.72  Facility changes and change process.

    (a) The licensee shall establish a configuration management system 
to evaluate, implement, and track each change to the site, structures, 
processes, systems, equipment, components, computer programs, and 
activities of personnel. This system must be documented in written 
procedures and must assure that the following are addressed prior to 
implementing any change:
    (1) The technical basis for the change;
    (2) Impact of the change on safety and health or control of licensed 
material;
    (3) Modifications to existing operating procedures including any 
necessary training or retraining before operation;
    (4) Authorization requirements for the change;
    (5) For temporary changes, the approved duration (e.g., expiration 
date) of the change; and
    (6) The impacts or modifications to the integrated safety analysis, 
integrated safety analysis summary, or other safety program information, 
developed in accordance with Sec. 70.62.
    (b) Any change to site, structures, processes, systems, equipment, 
components, computer programs, and activities of personnel must be 
evaluated by the licensee as specified in paragraph (a) of this section, 
before the change is implemented. The evaluation of the change must 
determine, before the change is implemented, if an amendment to the 
license is required to be submitted in accordance with Sec. 70.34.
    (c) The licensee may make changes to the site, structures, 
processes, systems, equipment, components, computer programs, and 
activities of personnel, without prior Commission approval, if the 
change:
    (1) Does not:
    (i) Create new types of accident sequences that, unless mitigated or 
prevented, would exceed the performance requirements of Sec. 70.61 and 
that have not previously been described in the integrated safety 
analysis summary; or
    (ii) Use new processes, technologies, or control systems for which 
the licensee has no prior experience;
    (2) Does not remove, without at least an equivalent replacement of 
the safety function, an item relied on for safety that is listed in the 
integrated safety analysis summary;
    (3) Does not alter any item relied on for safety, listed in the 
integrated safety analysis summary, that is the sole item preventing or 
mitigating an accident sequence that exceeds the performance 
requirements of Sec. 70.61; and
    (4) Is not otherwise prohibited by this section, license condition, 
or order.
    (d)(1) For changes that require pre-approval under Sec. 70.72, the 
licensee

[[Page 285]]

shall submit an amendment request to the NRC in accordance with 
Sec. 70.34 and Sec. 70.65 of this chapter.
    (2) For changes that do not require pre-approval under Sec. 70.72, 
the licensee shall submit to NRC annually, within 30 days after the end 
of the calendar year during which the changes occurred, a brief summary 
of all changes to the records required by Sec. 70.62(a)(2) of this 
subpart.
    (3) For all changes that affect the integrated safety analysis 
summary, the licensee shall submit to NRC annually, within 30 days after 
the end of the calendar year during which the changes occurred, revised 
integrated safety analysis summary pages.
    (e) If a change covered by Sec. 70.72 is made, the affected on-site 
documentation must be updated promptly.
    (f) The licensee shall maintain records of changes to its facility 
carried out under this section. These records must include a written 
evaluation that provides the bases for the determination that the 
changes do not require prior Commission approval under paragraph (c) or 
(d) of this section. These records must be maintained until termination 
of the license.



Sec. 70.73  Renewal of licenses.

    Applications for renewal of a license must be filed in accordance 
with Secs. 2.109, 70.21, 70.22, 70.33, 70.38, and 70.65 of this chapter. 
Information contained in previous applications, statements, or reports 
filed with the Commission under the license may be incorporated by 
reference, provided that these references are clear and specific.



Sec. 70.74  Additional reporting requirements.

    (a) Reports to NRC Operations Center. (1) Each licensee shall report 
to the NRC Operations Center the events described in Appendix A to Part 
70.
    (2) Reports must be made by a knowledgeable licensee representative 
and by any method that will ensure compliance with the required time 
period for reporting.
    (3) The information provided must include a description of the event 
and other related information as described in Sec. 70.50(c)(1).
    (4) Follow-up information to the reports must be provided until all 
information required to be reported in Sec. 70.50(c)(1) of this subpart 
is complete.
    (5) Each licensee shall provide reasonable assurance that reliable 
communication with the NRC Operations Center is available during each 
event.
    (b) Written reports. Each licensee that makes a report required by 
paragraph (a)(1) of this section shall submit a written follow-up report 
within 30 days of the initial report. The written report must contain 
the information as described in Sec. 70.50(c)(2).



Sec. 70.76  Backfitting.

    (a) For each licensee, this provision shall apply to Subpart H 
requirements as soon as the NRC approves that licensee's ISA Summary 
pursuant to Sec. 70.66. For requirements other than Subpart H, this 
provision applies regardless of the status of the approval of a 
licensee's ISA Summary.
    (1) Backfitting is defined as the modification of, or addition to, 
systems, structures, or components of a facility; or to the procedures 
or organization required to 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 previous NRC staff 
position.
    (2) Except as provided in paragraph (a)(4) of this section, the 
Commission shall require a systematic and documented analysis pursuant 
to paragraph (b) 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 (b) 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

[[Page 286]]

not required and the standards in paragraph (a)(3) of this section do 
not apply where the Commission finds and declares, with appropriately 
documented evaluation for its finding, any of the following:
    (i) That a modification is necessary to bring a facility into 
compliance with Subpart H of this part;
    (ii) 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;
    (iii) 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
    (iv) 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 the 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 must include a statement of the objectives of and reasons for 
the modification and the basis for invoking the exception. If immediate 
effective regulatory action is required, then the documented evaluation 
may follow, 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 
license commitments, or there are two or more ways to reach an adequate 
level of protection, then ordinarily the licensee is free to choose the 
way that 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) 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 in order to complete the backfit;
    (3) Potential change in the risk to the public from the accidental 
release of radioactive material and hazardous chemicals produced from 
licensed material;
    (4) Potential impact on radiological exposure or exposure to 
hazardous chemicals produced from licensed material of facility 
employees;
    (5) Installation and continuing costs associated with the backfit, 
including the cost of facility downtime;
    (6) The potential safety impact of changes in facility 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; and
    (9) Whether the proposed backfit is interim or final and, if 
interim, the justification for imposing the proposed backfit on an 
interim basis.
    (c) No license will be withheld during the pendency of backfit 
analyses required by the Commission's rules.
    (d) 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 or her designee.

    Effective Date Note: At 65 FR 56226, Sept. 18, 2000, Sec. 70.76 was 
added but will not become effective until after the issuance of

[[Page 287]]

staff guidance for the implementation of the section.



           Subpart I--Modification and Revocation of Licenses



Sec. 70.81  Modification and revocation of licenses.

    (a) The terms and conditions of all licenses shall be subject to 
amendment, revision, or modification by reason of amendments to the 
Atomic Energy Act of 1954, or by reason of rules, regulations or orders 
issued in accordance with the Act or any amendments thereto;
    (b) Any license may be revoked, suspended or modified for any 
material false statements 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 failure to 
construct or operate a facility in accordance with the terms of the 
construction permit or license, the technical specifications in the 
application, or for violation of, or failure to observe any of the terms 
and conditions of the Act, or of any regulation of the Commission.
    (c) Upon revocation, suspension or modification of a license, the 
Commission may immediately retake possession of all special nuclear 
material held by the licensee. In cases found by the Commission to be of 
extreme importance to the national defense or security, or to the health 
and safety of the public, the Commission may recapture any special 
nuclear material held by the licensee prior to any of the procedures 
provided under section 551-558 of title 5 of the United States Code.
    (d) 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.

[21 FR 764, Feb. 3, 1956, as amended at 35 FR 11461, July 17, 1970. 
Redesignated at 65 FR 56226, Sept. 18, 2000]



Sec. 70.82  Suspension and operation in war or national emergency.

    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,
    (a) Suspend any license it has issued.
    (b) Order the recapture of special nuclear material.
    (c) Order the operation of any licensed facility.
    (d) Order entry into any plant or facility in order to recapture 
special nuclear material or to operate the facility. 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 764, Feb. 3, 1956, as amended at 32 FR 4056, Mar. 15, 1967; 35 FR 
11461, July 17, 1970. Redesignated at 65 FR 56226, Sept. 18, 2000]



                         Subpart J--Enforcement



Sec. 70.91  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

[[Page 288]]

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 55077, Nov. 24, 1992. Redesignated at 65 FR 56226, Sept. 18, 
2000]



Sec. 70.92  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 70 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 70 that are not issued under sections 
161b, 161i, or 161o, for the purposes of section 223 are as follows: 
Secs. 70.1, 70.2, 70.4, 70.5, 70.6, 70.8, 70.11, 70.12, 70.13, 70.14, 
70.17, 70.18, 70.23, 70.31, 70.33, 70.34, 70.35, 70.37, 70.66, 70.73, 
70.76, 70.81, 70.82, 70.63, 70.91, and 70.92.

[57 FR 55077, Nov. 24, 1992. Redesignated and amended at 65 FR 56226, 
Sept. 18, 2000]

             Appendix A to Part 70--Reportable Safety Events

    Licensees must comply with reporting requirements in this appendix, 
except for (a)(1), (a)(2), and (b)(4), after they have submitted an ISA 
Summary in accordance with Sec. 70.62(c)(3)(ii). Licensees must comply 
with (a)(1), (a)(2), and (b)(4) after October 18, 2000. As required by 
10 CFR 70.74, licensees subject to the requirements in subpart H of part 
70, shall report:
    (a) One hour reports. Events to be reported to the NRC Operations 
Center within 1 hour of discovery, supplemented with the information in 
10 CFR 70.50(c)(1) as it becomes available, followed by a written report 
within 30 days:
    (1) An inadvertent nuclear criticality.
    (2) An acute intake by an individual of 30 mg or greater of uranium 
in a soluble form.
    (3) An acute chemical exposure to an individual from licensed 
material or hazardous chemicals produced from licensed material that 
exceeds the quantitative standards established to satisfy the 
requirements in Sec. 70.61(b)(4).
    (4) An event or condition such that no items relied on for safety, 
as documented in the Integrated Safety Analysis summary, remain 
available and reliable, in an accident sequence evaluated in the 
Integrated Safety Analysis, to perform their function:
    (i) In the context of the performance requirements in Sec. 70.61(b) 
and Sec. 70.61(c), or
    (ii) Prevent a nuclear criticality accident (i.e., loss of all 
controls in a particular sequence).
    (5) Loss of controls such that only one item relied on for safety, 
as documented in the Integrated Safety Analysis summary, remains 
available and reliable to prevent a nuclear criticality accident, and 
has been in this state for greater than eight hours.
    (b) Twenty-four hour reports. Events to be reported to the NRC 
Operations Center within 24 hours of discovery, supplemented with the 
information in 10 CFR 70.50(c)(1) as it becomes available, followed by a 
written report within 30 days:
    (1) Any event or condition that results in the facility being in a 
state that was not analyzed, was improperly analyzed, or is different 
from that analyzed in the Integrated Safety Analysis, and which results 
in failure to meet the performance requirements of Sec. 70.61.
    (2) Loss or degradation of items relied on for safety that results 
in failure to meet the performance requirement of Sec. 70.61.
    (3) An acute chemical exposure to an individual from licensed 
material or hazardous chemicals produced from licensed materials that 
exceeds the quantitative standards that satisfy the requirements of 
Sec. 70.61(c)(4).
    (4) Any natural phenomenon or other external event, including fires 
internal and external to the facility, that has affected or may have 
affected the intended safety function or availability or reliability of 
one or more items relied on for safety.
    (5) An occurrence of an event or process deviation that was 
considered in the Integrated Safety Analysis and:
    (i) Was dismissed due to its likelihood; or
    (ii) Was categorized as unlikely and whose associated unmitigated 
consequences would have exceeded those in Sec. 70.61(b) had the item(s) 
relied on for safety not performed their safety function(s).
    (c) Concurrent Reports. 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, shall be reported to 
the NRC Operations Center concurrent to the news release or other 
notification.

[65 FR 56231, Sept. 18, 2000]

[[Page 289]]



PART 71--PACKAGING AND TRANSPORTATION OF RADIOACTIVE MATERIAL--Table of Contents




                      Subpart A--General Provisions

Sec.
71.0  Purpose and scope.
71.1  Communications and records.
71.2  Interpretations.
71.3  Requirement for license.
71.4  Definitions.
71.5  Transportation of licensed material.

                          Subpart B--Exemptions

71.6  Information collection requirements: OMB approval.
71.7  Completeness and accuracy of information.
71.8  Specific exemptions.
71.9  Exemption of physicians.
71.10  Exemption for low-level materials.
71.11  Deliberate misconduct.

                       Subpart C--General Licenses

71.12  General license: NRC-approved package.
71.13  Previously approved package.
71.14  General license: DOT specification container.
71.16  General license: Use of foreign approved package.
71.18  General license: Fissile material, limited quantity per package.
71.20  General license: Fissile material, limited moderator per package.
71.22  General license: Fissile material, limited quantity, controlled 
          shipment.
71.24  General license: Fissile material, limited moderator, controlled 
          shipment.

               Subpart D--Application for Package Approval

71.31  Contents of application.
71.33  Package description.
71.35  Package evaluation.
71.37  Quality assurance.
71.38  Renewal of a certificate of compliance or quality assurance 
          program approval.
71.39  Requirement for additional information.

                  Subpart E--Package Approval Standards

71.41  Demonstration of compliance.
71.43  General standards for all packages.
71.45  Lifting and tie-down standards for all packages.
71.47  External radiation standards for all packages.
71.51  Additional requirements for Type B packages.
71.53  Fissile material exemptions.
71.55  General requirements for fissile material packages.
71.57  [Reserved]
71.59  Standards for arrays of fissile material packages.
71.61  Special requirement for irradiated nuclear fuel shipments.
71.63  Special requirements for plutonium shipments.
71.64  Special requirements for plutonium air shipments.
71.65  Additional requirements.

           Subpart F--Package, Special Form, and LSA-III Tests

71.71  Normal conditions of transport.
71.73  Hypothetical accident conditions.
71.74  Accident conditions for air transport of plutonium.
71.75  Qualification of special form radioactive material.
71.77  Qualification of LSA-III Material.

              Subpart G--Operating Controls and Procedures

71.81  Applicability of operating controls and procedures.
71.83  Assumptions as to unknown properties.
71.85  Preliminary determinations.
71.87  Routine determinations.
71.88  Air transport of plutonium.
71.89  Opening instructions.
71.91  Records.
71.93  Inspection and tests.
71.95  Reports.
71.97  Advance notification of shipment of irradiated reactor fuel and 
          nuclear waste.
71.99  Violations.
71.100  Criminal penalties.

                      Subpart H--Quality Assurance

71.101  Quality assurance requirements.
71.103  Quality assurance organization.
71.105  Quality assurance program.
71.107  Package design control.
71.109  Procurement document control.
71.111  Instructions, procedures, and drawings.
71.113  Document control.
71.115  Control of purchased material, equipment, and services.
71.117  Identification and control of materials, parts, and components.
71.119  Control of special processes.
71.121  Internal inspection.
71.123  Test control.
71.125  Control of measuring and test equipment.
71.127  Handling, storage, and shipping control.
71.129  Inspection, test, and operating status.
71.131  Nonconforming materials, parts, or components.

[[Page 290]]

71.133  Corrective action.
71.135  Quality assurance records.
71.137  Audits.

Appendix A to Part 71--Determination of A1 and A2

    Authority: Secs. 53, 57, 62, 63, 81, 161, 182, 183, 68 Stat. 930, 
932, 933, 935, 948, 953, 954, as amended, sec. 1701, 106 Stat. 2951, 
2952, 2953 (42 U.S.C. 2073, 2077, 2092, 2093, 2111, 2201, 2232, 2233, 
2297f); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 
1244, 1246 (42 U.S.C. 5841, 5842, 5846).
    Section 71.97 also issued under sec. 301, Pub. L. 96-295, 94 Stat. 
789-790.

    Source: 60 FR 50264, Sept. 28, 1995, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 71.0  Purpose and scope.

    (a) This part establishes--
    (1) Requirements for packaging, preparation for shipment, and 
transportation of licensed material; and
    (2) Procedures and standards for NRC approval of packaging and 
shipping procedures for fissile material and for a quantity of other 
licensed material in excess of a Type A quantity.
    (b) The packaging and transport of licensed material are also 
subject to other parts of this chapter (e.g., 10 CFR parts 20, 21, 30, 
40, 70, and 73) and to the regulations of other agencies (e.g., the U.S. 
Department of Transportation (DOT) and the U.S. Postal Service 
1) having jurisdiction over means of transport. The 
requirements of this part are in addition to, and not in substitution 
for, other requirements.
---------------------------------------------------------------------------

    \1\ Postal Service Manual (Domestic Mail Manual), section 124.3, 
which is incorporated by reference at 39 CFR 111.1.
---------------------------------------------------------------------------

    (c) The regulations in this part apply to any licensee authorized by 
specific or general license issued by the Commission to receive, 
possess, use, or transfer licensed material, if the licensee delivers 
that material to a carrier for transport, transports the material 
outside the site of usage as specified in the NRC license, or transports 
that material on public highways. No provision of this part authorizes 
possession of licensed material.
    (d) Exemptions from the requirement for license in Sec. 71.3 are 
specified in Sec. 71.10. General licenses for which no NRC package 
approval is required are issued in Secs. 71.14 through 71.24. The 
general license in Sec. 71.12 requires that an NRC certificate of 
compliance or other package approval be issued for the package to be 
used under the general license. Application for package approval must be 
completed in accordance with subpart D of this part, demonstrating that 
the design of the package to be used satisfies the package approval 
standards contained in subpart E of this part, as related to the tests 
of subpart F of this part. The transport of licensed material or 
delivery of licensed material to a carrier for transport is subject to 
the operating controls and procedures requirements of subpart G of this 
part, to the quality assurance requirements of subpart H of this part, 
and to the general provisions of subpart A of this part, including DOT 
regulations referenced in Sec. 71.5.
    (e) The regulations in this part apply to any person required to 
obtain a certificate of compliance or an approved compliance plan 
pursuant to part 76 of this chapter if the person delivers radioactive 
material to a common or contract carrier for transport or transports the 
material outside the confines of the person's plant or other authorized 
place of use.
    (f) This part also gives notice to all persons who knowingly provide 
to any licensee, certificate holder, quality assurance program approval 
holder, applicant for a license, certificate, or quality assurance 
program approval or to a contractor, or subcontractor of any of them, 
components, equipment, materials, or other goods or services, that 
relate to a licensee's, certificate holder's, quality assurance program 
approval holder's or applicant's activities subject to this part, that 
they may be individually subject to NRC enforcement action for violation 
of Sec. 71.11.

[60 FR 50264, Sept. 28, 1995, as amended at 63 FR 1899, Jan. 13, 1998]



Sec. 71.1  Communications and records.

    (a) All communications concerning the regulations in this part 
should be addressed to the Director, Spent Fuel Project Office, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001, or may be 
delivered in person, at the Commission offices, at 11545 Rockville Pike, 
Rockville, Maryland.

[[Page 291]]

    (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 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.

[60 FR 50264, Sept. 28, 1995, as amended at 67 FR 3585, Jan. 25, 2002]



Sec. 71.2  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. 71.3  Requirement for license.

    Except as authorized in a general license or a specific license 
issued by the Commission, or as exempted in this part, no licensee may--
    (a) Deliver licensed material to a carrier for transport; or
    (b) Transport licensed material.



Sec. 71.4  Definitions.

    The following terms are as defined here for the purpose of this 
part. To ensure compatibility with international transportation 
standards, all limits in this part are given in terms of dual units: The 
International System of Units (SI) followed or preceded by U.S. standard 
or customary units. The U.S. customary units are not exact equivalents, 
but are rounded to a convenient value, providing a functionally 
equivalent unit. For the purpose of this part, either unit may be used.
    A1 means the maximum activity of special form radioactive 
material permitted in a Type A package. A2 means the maximum 
activity of radioactive material, other than special form, LSA and SCO 
material, permitted in a Type A package. These values are either listed 
in Appendix A of this part, Table A-1, or may be derived in accordance 
with the procedure prescribed in Appendix A of this part.
    Carrier means a person engaged in the transportation of passengers 
or property by land or water as a common, contract, or private carrier, 
or by civil aircraft.
    Certificate holder means a person who has been issued a certificate 
of compliance or other package approval by the Commission.
    Close reflection by water means immediate contact by water of 
sufficient thickness for maximum reflection of neutrons.
    Containment system means the assembly of components of the packaging 
intended to retain the radioactive material during transport.
    Conveyance means:
    (1) For transport by public highway or rail any transport vehicle or 
large freight container;
    (2) For transport by water any vessel, or any hold, compartment, or 
defined deck area of a vessel including any transport vehicle on board 
the vessel; and
    (3) For transport by aircraft any aircraft.
    Exclusive use means the sole use by a single consignor of a 
conveyance for which all initial, intermediate, and final loading and 
unloading are carried out in accordance with the direction of the 
consignor or consignee. The consignor and the carrier must ensure that 
any loading or unloading is performed by personnel having radiological 
training and resources appropriate for safe handling of the consignment. 
The consignor must issue specific instructions, in writing, for 
maintenance of exclusive use shipment controls, and include them with 
the shipping paper information provided to the carrier by the consignor.
    Fissile material means plutonium-238, plutonium-239, plutonium-241, 
uranium-233, uranium-235, or any combination of these radionuclides.

[[Page 292]]

Unirradiated natural uranium and depleted uranium, and natural uranium 
or depleted uranium that has been irradiated in thermal reactors only 
are not included in this definition. Certain exclusions from fissile 
material controls are provided in Sec. 71.53.
    Licensed material means by-product, source, or special nuclear 
material received, possessed, used, or transferred under a general or 
specific license issued by the Commission pursuant to the regulations in 
this chapter.
    Low Specific Activity (LSA) material means radioactive material with 
limited specific activity that satisfies the descriptions and limits set 
forth below. Shielding materials surrounding the LSA material may not be 
considered in determining the estimated average specific activity of the 
package contents. LSA material must be in one of three groups:
    (1) LSA-I. (i) Ores containing only naturally occurring 
radionuclides (e.g., uranium, thorium) and uranium or thorium 
concentrates of such ores; or
    (ii) Solid unirradiated natural uranium or depleted uranium or 
natural thorium or their solid or liquid compounds or mixtures; or
    (iii) Radioactive material, other than fissile material, for which 
the A2 value is unlimited; or
    (iv) Mill tailings, contaminated earth, concrete, rubble, other 
debris, and activated material in which the radioactive material is 
essentially uniformly distributed, and the average specific activity 
does not exceed 10-6 A2/g.
    (2) LSA-II. (i) Water with tritium concentration up to 0.8 TBq/liter 
(20.0 Ci/liter); or
    (ii) Material in which the radioactive material is distributed 
throughout, and the average specific activity does not exceed 
10-4 A2/g for solids and gases, and 
10-5 A2/g for liquids.
    (3) LSA-III. Solids (e.g., consolidated wastes, activated materials) 
in which:
    (i) The radioactive material is distributed throughout a solid or a 
collection of solid objects, or is essentially uniformly distributed in 
a solid compact binding agent (such as concrete, bitumen, ceramic, 
etc.); and
    (ii) The radioactive material is relatively insoluble, or it is 
intrinsically contained in a relatively insoluble material, so that, 
even under loss of packaging, the loss of radioactive material per 
package by leaching, when placed in water for 7 days, would not exceed 
0.1 A2; and
    (iii) The average specific activity of the solid does not exceed 2 x 
10-3 A2/g.
    Low toxicity alpha emitters means natural uranium, depleted uranium, 
natural thorium; uranium-235, uranium-238, thorium-232, thorium-228 or 
thorium-230 when contained in ores or physical or chemical concentrates 
or tailings; or alpha emitters with a half-life of less than 10 days.
    Maximum normal operating pressure means the maximum gauge pressure 
that would develop in the containment system in a period of 1 year under 
the heat condition specified in Sec. 71.71(c)(1), in the absence of 
venting, external cooling by an ancillary system, or operational 
controls during transport.
    Natural thorium means thorium with the naturally occurring 
distribution of thorium isotopes (essentially 100 weight percent 
thorium-232).
    Normal form radioactive material means radioactive material that has 
not been demonstrated to qualify as ``special form radioactive 
material.''
    Optimum interspersed hydrogenous moderation means the presence of 
hydrogenous material between packages to such an extent that the maximum 
nuclear reactivity results.
    Package means the packaging together with its radioactive contents 
as presented for transport.
    (1) Fissile material package means a fissile material packaging 
together with its fissile material contents.
    (2) Type B package means a Type B packaging together with its 
radioactive contents. On approval, a Type B package design is designated 
by NRC as B(U) unless the package has a maximum normal operating 
pressure of more than 700 kPa (100 lb/in2) gauge or a 
pressure relief device that would allow the release of radioactive 
material to the environment under the tests specified in Sec. 71.73 
(hypothetical accident conditions), in which case it will receive a 
designation B(M). B(U) refers to the need for unilateral approval of 
international shipments; B(M) refers to the need for multilateral 
approval of

[[Page 293]]

international shipments. There is no distinction made in how packages 
with these designations may be used in domestic transportation. To 
determine their distinction for international transportation, see DOT 
regulations in 49 CFR part 173. A Type B package approved before 
September 6, 1983, was designated only as Type B. Limitations on its use 
are specified in Sec. 71.13.
    Packaging means the assembly of components necessary to ensure 
compliance with the packaging requirements of this part. It may consist 
of one or more receptacles, absorbent materials, spacing structures, 
thermal insulation, radiation shielding, and devices for cooling or 
absorbing mechanical shocks. The vehicle, tie-down system, and auxiliary 
equipment may be designated as part of the packaging.
    Special form radioactive material means radioactive material that 
satisfies the following conditions:
    (1) It is either a single solid piece or is contained in a sealed 
capsule that can be opened only by destroying the capsule;
    (2) The piece or capsule has at least one dimension not less than 5 
mm (0.2 in); and
    (3) It satisfies the requirements of Sec. 71.75. A special form 
encapsulation designed in accordance with the requirements of Sec. 71.4 
in effect on June 30, 1983, (see 10 CFR part 71, revised as of January 
1, 1983), and constructed before July 1, 1985, and a special form 
encapsulation designed in accordance with the requirements of Sec. 71.4 
in effect on March 31, 1996, (see 10 CFR part 71, revised as of January 
1, 1983), and constructed before April 1, 1998, may continue to be used. 
Any other special form encapsulation must meet the specifications of 
this definition.
    Specific activity of a radionuclide means the radioactivity of the 
radionuclide per unit mass of that nuclide. The specific activity of a 
material in which the radionuclide is essentially uniformly distributed 
is the radioactivity per unit mass of the material.
    State means a State of the United States, the District of Columbia, 
the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American 
Samoa, and the Commonwealth of the Northern Mariana Islands.
    Surface Contaminated Object (SCO) means a solid object that is not 
itself classed as radioactive material, but which has radioactive 
material distributed on any of its surfaces. SCO must be in one of two 
groups with surface activity not exceeding the following limits:
    (1) SCO-I: A solid object on which:
    (i) The non-fixed contamination on the accessible surface averaged 
over 300 cm2 (or the area of the surface if less than 300 
cm2) does not exceed 4 Bq/cm2 (10-4 
microcurie/cm2) for beta and gamma and low toxicity alpha 
emitters, or 0.4 Bq/cm2 (10-5 microcurie/
cm2) for all other alpha emitters;
    (ii) The fixed contamination on the accessible surface averaged over 
300 cm2 (or the area of the surface if less than 300 
cm2) does not exceed 4x104 Bq/cm2 (1.0 
microcurie/cm2) for beta and gamma and low toxicity alpha 
emitters, or 4x103 Bq/cm2 (0.1 microcurie/
cm2) for all other alpha emitters; and
    (iii) The non-fixed contamination plus the fixed contamination on 
the inaccessible surface averaged over 300 cm2 (or the area 
of the surface if less than 300 cm2) does not exceed 4x10\4\ 
Bq/cm\2\ (1 microcurie/cm2) for beta and gamma and low 
toxicity alpha emitters, or 4x10\3\ Bq/cm\2\ (0.1 microcurie/
cm2) for all other alpha emitters.
    (2) SCO-II: A solid object on which the limits for SCO-I are 
exceeded and on which:
    (i) The non-fixed contamination on the accessible surface averaged 
over 300 cm\2\ (or the area of the surface if less than 300 cm\2\) does 
not exceed 400 Bq/cm\2\ (10-2 microcurie/cm\2\) for beta and 
gamma and low toxicity alpha emitters or 40 Bq/cm\2\ (10-3 
microcurie/cm\2\) for all other alpha emitters;
    (ii) The fixed contamination on the accessible surface averaged over 
300 cm\2\ (or the area of the surface if less than 300 cm\2\) does not 
exceed 8x10\5\ Bq/cm\2\ (20 microcuries/cm\2\) for beta and gamma and 
low toxicity alpha emitters, or 8x10 \4\ Bq/cm\2\ (2 microcuries/cm\2\) 
for all other alpha emitters; and

[[Page 294]]

    (iii) The non-fixed contamination plus the fixed contamination on 
the inaccessible surface averaged over 300 cm\2\ (or the area of the 
surface if less than 300 cm\2\) does not exceed 8x10\5\ Bq/cm\2\ (20 
microcuries/cm\2\) for beta and gamma and low toxicity alpha emitters, 
or 8x10\4\ Bq/cm\2\ (2 microcuries/cm\2\) for all other alpha emitters.
    Transport index means the dimensionless number (rounded up to the 
next tenth) placed on the label of a package, to designate the degree of 
control to be exercised by the carrier during transportation. The 
transport index is determined as follows:
    (1) For non-fissile material packages, the number determined by 
multiplying the maximum radiation level in millisievert (mSv) per hour 
at one meter (3.3 ft) from the external surface of the package by 100 
(equivalent to the maximum radiation level in millirem per hour at one 
meter (3.3 ft)); or
    (2) For fissile material packages, the number determined by 
multiplying the maximum radiation level in millisievert per hour at one 
meter (3.3 ft) from the external surface of the package by 100 
(equivalent to the maximum radiation level in millirem per hour at one 
meter (3.3 ft)), or, for criticality control purposes, the number 
obtained as described in Sec. 71.59, whichever is larger.
    Type A quantity means a quantity of radioactive material, the 
aggregate radioactivity of which does not exceed A1 for 
special form radioactive material, or A2, for normal form 
radioactive material, where A1 and A2 are given in 
Table A-1 of this part, or may be determined by procedures described in 
Appendix A of this part.
    Type B quantity means a quantity of radioactive material greater 
than a Type A quantity.
    Uranium--natural, depleted, enriched
    (1) Natural uranium means uranium with the naturally occurring 
distribution of uranium isotopes (approximately 0.711 weight percent 
uranium-235, and the remainder by weight essentially uranium-238).
    (2) Depleted uranium means uranium containing less uranium-235 than 
the naturally occurring distribution of uranium isotopes.
    (3) Enriched uranium means uranium containing more uranium-235 than 
the naturally occurring distribution of uranium isotopes.

[60 FR 50264, Sept. 28, 1995; 61 FR 28724, June 6, 1996]



Sec. 71.5  Transportation of licensed material.

    (a) Each licensee who transports licensed material outside the site 
of usage, as specified in the NRC license, or where transport is on 
public highways, or who delivers licensed material to a carrier for 
transport, shall comply with the applicable requirements of the DOT 
regulations in 49 CFR parts 170 through 189 appropriate to the mode of 
transport.
    (1) The licensee shall particularly note DOT regulations in the 
following areas:
    (i) Packaging--49 CFR part 173: Subparts A and B and I.
    (ii) Marking and labeling--49 CFR part 172: Subpart D, Secs. 172.400 
through 172.407, Secs. 172.436 through 172.440, and subpart E.
    (iii) Placarding--49 CFR part 172: Subpart F, especially 
Secs. 172.500 through 172.519, 172.556, and appendices B and C.
    (iv) Accident reporting--49 CFR part 171: Secs. 171.15 and 171.16.
    (v) Shipping papers and emergency information--49 CFR part 172: 
Subparts C and G.
    (vi) Hazardous material employee training--49 CFR part 172: Subpart 
H.
    (vii) Hazardous material shipper/carrier registration--49 CFR part 
107: Subpart G.
    (2) The licensee shall also note DOT regulations pertaining to the 
following modes of transportation:
    (i) Rail--49 CFR part 174: Subparts A through D and K.
    (ii) Air--49 CFR part 175.
    (iii) Vessel--49 CFR part 176: Subparts A through F and M.
    (iv) Public Highway--49 CFR part 177 and parts 390 through 397.
    (b) If DOT regulations are not applicable to a shipment of licensed 
material, the licensee shall conform to the standards and requirements 
of the DOT specified in paragraph (a) of this section to the same extent 
as if the shipment or transportation were subject to

[[Page 295]]

DOT regulations. A request for modification, waiver, or exemption from 
those requirements, and any notification referred to in those 
requirements, must be filed with, or made to, the Director, Spent Fuel 
Project Office, U.S. Nuclear Regulatory Commission, Washington, DC 
20555-0001.

[60 FR 50264, Sept. 28, 1995, as amended at 67 FR 3585, Jan. 25, 2002]



                          Subpart B--Exemptions



Sec. 71.6  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part, under control number 3150-0008.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 71.5, 71.7, 71.8, 71.12, 71.13, 71.31, 71.33, 
71.35, 71.37, 71.38, 71.39, 71.47, 71.85, 71.87, 71.89, 71.91, 71.93, 
71.95, 71.97, 71.101, 71.103, 71.105, 71.107, 71.109, 71.111, 71.113, 
71.115, 71.117, 71.119, 71.121, 71.123, 71.125, 71.127, 71.129, 71.131, 
71.133, 71.135, and 71.137.

[60 FR 50264, Sept. 28, 1995, as amended at 62 FR 52189, Oct. 6, 1997; 
67 FR 67100, Nov. 4, 2002]



Sec. 71.7  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 must 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 requirement 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 must 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 that is already required to be provided to the Commission by 
other reporting or updating requirements.



Sec. 71.8  Specific exemptions.

    On application of any interested person or on its own initiative, 
the Commission may grant any exemption from the requirements of the 
regulations in this part that it determines is authorized by law and 
will not endanger life or property nor the common defense and security.



Sec. 71.9  Exemption of physicians.

    Any physician licensed by a State to dispense drugs in the practice 
of medicine is exempt from Sec. 71.5 with respect to transport by the 
physician of licensed material for use in the practice of medicine. 
However, any physician operating under this exemption must be licensed 
under 10 CFR part 35 or the equivalent Agreement State regulations.



Sec. 71.10  Exemption for low-level materials.

    (a) A licensee is exempt from all requirements of this part with 
respect to shipment or carriage of a package containing radioactive 
material having a specific activity not greater than 70 Bq/g (0.002 
[mu]Ci/g).
    (b) A licensee is exempt from all requirements of this part, other 
than Sec. 71.5 and Sec. 71.88, with respect to shipment or carriage of 
the following packages, provided the packages contain no fissile 
material, or the fissile material exemption standards of Sec. 71.53 are 
satisfied:

[[Page 296]]

    (1) A package containing no more than a Type A quantity of 
radioactive material;
    (2) A package in which the only radioactive material is low specific 
activity (LSA) material or surface contaminated objects (SCO), provided 
the external radiation level at 3 m from the unshielded material or 
objects does not exceed 10 mSv/h (1 rem/h); or
    (3) A package transported within locations within the United States 
which contains only americium or plutonium in special form with an 
aggregate radioactivity not to exceed 20 curies.
    (c) A licensee is exempt from all requirements of this part, other 
than Secs. 71.5 and 71.88, with respect to shipment or carriage of low-
specific-activity (LSA) material in group LSA-I, or surface contaminated 
objects (SCOs) in group SCO-I.



Sec. 71.11  Deliberate misconduct.

    (a) This section applies to any--
    (1) Licensee;
    (2) Certificate holder;
    (3) Quality assurance program approval holder;
    (4) Applicant for a license, certificate, or quality assurance 
program approval;
    (5) Contractor (including a supplier or consultant) or 
subcontractor, to any person identified in paragraphs (a)(1) through 
(a)(4) of this section; or
    (6) Employee of any person identified in paragraphs (a)(1) through 
(a)(5) of this section.
    (b) A person identified in paragraph (a) of this section who 
knowingly provides to any entity, listed in paragraphs (a)(1) through 
(a)(5) of this section any components, materials, or other goods or 
services that relate to a licensee's, certificate holder's, quality 
assurance program approval holder's or applicant's activities subject to 
this part may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee, certificate holder, quality 
assurance program approval holder, or any applicant to be in violation 
of any rule, regulation, or order; or any term, condition, or limitation 
of any license, certificate or approval issued by the Commission; or
    (2) Deliberately submit to the NRC, a licensee, a certificate 
holder, quality assurance program approval holder, an applicant for a 
license, certificate or quality assurance program approval, or a 
licensee's, applicant's, certificate holder's or quality assurance 
program approval holder's contractor or subcontractor, information that 
the person submitting the information knows to be incomplete or 
inaccurate in some respect material to the NRC.
    (c) A person who violates paragraph (b)(1) or (b)(2) of this section 
may be subject to enforcement action in accordance with the procedures 
in 10 CFR part 2, subpart B.
    (d) For the purposes of paragraph (b)(1) of this section, deliberate 
misconduct by a person means an intentional act or omission that the 
person knows:
    (1) Would cause a licensee, certificate holder, quality assurance 
program approval holder or applicant for a license, certificate, or 
quality assurance program approval to be in violation of any rule, 
regulation, or order; or any term, condition, or limitation, of any 
license or certificate issued by the Commission; or
    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order, or policy of a licensee, 
certificate holder, quality assurance program approval holder, 
applicant, or the contractor or subcontractor of any of them.

[63 FR 1899, Jan. 13, 1998]



                       Subpart C--General Licenses



Sec. 71.12  General license: NRC-approved package.

    (a) A general license is hereby issued to any licensee of the 
Commission to transport, or to deliver to a carrier for transport, 
licensed material in a package for which a license, certificate of 
compliance, or other approval has been issued by the NRC.
    (b) This general license applies only to a licensee who has a 
quality assurance program approved by the Commission as satisfying the 
provisions of subpart H of this part.
    (c) This general license applies only to a licensee who--

[[Page 297]]

    (1) Has a copy of the certificate of compliance, or other approval 
of the package, and has the drawings and other documents referenced in 
the approval relating to the use and maintenance of the packaging and to 
the actions to be taken before shipment;
    (2) Complies with the terms and conditions of the license, 
certificate, or other approval, as applicable, and the applicable 
requirements of subparts A, G, and H of this part; and
    (3) Submits in writing to the Director, Spent Fuel Project Office, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, before 
the licensee's first use of the package, the licensee's name and license 
number and the package identification number specified in the package 
approval.
    (d) This general license applies only when the package approval 
authorizes use of the package under this general license.
    (e) For a Type B or fissile material package, the design of which 
was approved by NRC before April 1, 1996, the general license is subject 
to the additional restrictions of Sec. 71.13.

[60 FR 50264, Sept. 28, 1995, as amended at 67 FR 3585, Jan. 25, 2002]



Sec. 71.13  Previously approved package.

    (a) A Type B package previously approved by NRC but not designated 
as B(U) or B(M) in the identification number of the NRC Certificate of 
Compliance, may be used under the general license of Sec. 71.12 with the 
following additional conditions:
    (1) Fabrication of the packaging was satisfactorily completed by 
August 31, 1986, as demonstrated by application of its model number in 
accordance with Sec. 71.85(c);
    (2) A package used for a shipment to a location outside the United 
States is subject to multilateral approval, as defined in DOT 
regulations at 49 CFR 173.403; and
    (3) A serial number that uniquely identifies each packaging which 
conforms to the approved design is assigned to, and legibly and durably 
marked on, the outside of each packaging.
    (b) A Type B(U) package, a Type B(M) package, a low specific 
activity (LSA) material package or a fissile material package, 
previously approved by the NRC but without the designation ``-85'' in 
the identification number of the NRC Certificate of Compliance, may be 
used under the general license of Sec. 71.12 with the following 
additional conditions:
    (1) Fabrication of the package is satisfactorily completed by April 
1, 1999 as demonstrated by application of its model number in accordance 
with Sec. 71.85(c);
    (2) A package used for a shipment to a location outside the United 
States is subject to multilateral approval as defined in DOT regulations 
at 49 CFR 173.403; and
    (3) A serial number which uniquely identifies each packaging which 
conforms to the approved design is assigned to and legibly and durably 
marked on the outside of each packaging.
    (c) NRC will approve modifications to the design and authorized 
contents of a Type B package, or a fissile material package, previously 
approved by NRC, provided--
    (1) The modifications of a Type B package are not significant with 
respect to the design, operating characteristics, or safe performance of 
the containment system, when the package is subjected to the tests 
specified in Secs. 71.71 and 71.73;
    (2) The modifications of a fissile material package are not 
significant, with respect to the prevention of criticality, when the 
package is subjected to the tests specified in Secs. 71.71 and 71.73; 
and
    (3) The modifications to the package satisfy the requirements of 
this part.
    (d) NRC will revise the package identification number to designate 
previously approved package designs as B(U), B(M), AF, BF, or A as 
appropriate, and with the identification number suffix ``-85'' after 
receipt of an application demonstrating that the design meets the 
requirements of this part.



Sec. 71.14  General license: DOT specification container.

    (a) A general license is issued to any licensee of the Commission to 
transport, or to deliver to a carrier for transport, licensed material 
in a specification container for fissile material

[[Page 298]]

or for a Type B quantity of radioactive material as specified in DOT 
regulations at 49 CFR parts 173 and 178.
    (b) This general license applies only to a licensee who has a 
quality assurance program approved by the Commission as satisfying the 
provisions of subpart H of this part.
    (c) This general license applies only to a licensee who--
    (1) Has a copy of the specification; and
    (2) Complies with the terms and conditions of the specification and 
the applicable requirements of subparts A, G, and H of this part.
    (d) This general license is subject to the limitation that the 
specification container may not be used for a shipment to a location 
outside the United States, except by multilateral approval, as defined 
in DOT regulations at 49 CFR 173.403.



Sec. 71.16  General license: Use of foreign approved package.

    (a) A general license is issued to any licensee of the Commission to 
transport, or to deliver to a carrier for transport, licensed material 
in a package the design of which has been approved in a foreign national 
competent authority certificate that has been revalidated by DOT as 
meeting the applicable requirements of 49 CFR 171.12.
    (b) Except as otherwise provided in this section, the general 
license applies only to a licensee who has a quality assurance program 
approved by the Commission as satisfying the applicable provisions of 
subpart H of this part.
    (c) This general license applies only to shipments made to or from 
locations outside the United States.
    (d) This general license applies only to a licensee who--
    (1) Has a copy of the applicable certificate, the revalidation, and 
the drawings and other documents referenced in the certificate, relating 
to the use and maintenance of the packaging and to the actions to be 
taken before shipment; and
    (2) Complies with the terms and conditions of the certificate and 
revalidation, and with the applicable requirements of subparts A, G, and 
H of this part. With respect to the quality assurance provisions of 
subpart H of this part, the licensee is exempt from design, 
construction, and fabrication considerations.



Sec. 71.18  General license: Fissile material, limited quantity per package.

    (a) A general license is issued to any licensee of the Commission to 
transport fissile material, or to deliver fissile material to a carrier 
for transport, without complying with the package standards of subparts 
E and F of this part, if the material is shipped in accordance with this 
section.
    (b) The general license applies only to a licensee who has a quality 
assurance program approved by the Commission as satisfying the 
provisions of subpart H of this part.
    (c) Except as provided in paragraph (d) of this section, this 
general license applies only when a package contains no more than a Type 
A quantity of radioactive material, including only one of the following:
    (1) Up to 40 g of uranium-235;
    (2) Up to 30 g of uranium-233;
    (3) Up to 25 g of the fissile radionuclides of plutonium, except 
that for encapsulated plutonium-beryllium neutron sources in special 
form, an A1 quantity of plutonium may be present; or
    (4) A combination of fissile radionuclides in which the sum of the 
ratios of the amount of each radionuclide to the corresponding maximum 
amounts in paragraphs (c) (1), (2), and (3) of this section does not 
exceed unity.
    (d) For packages where fissile material is mixed with substances 
having an average hydrogen density greater than water, this general 
license applies only when a package contains no more than a Type A 
quantity of radioactive material, including only one of the following:
    (1) Up to 29 g of uranium-235;
    (2) Up to 18 g of uranium-233;
    (3) Up to 18 g of fissile radionuclides of plutonium, or
    (4) A combination of fissile radionuclides in which the sum of the 
ratios of the amount of each radionuclide to the corresponding maximum 
amounts in paragraphs (d) (1), (2), and (3) of this section does not 
exceed unity.

[[Page 299]]

    (e) Except for the beryllium contained within the special form 
plutonium-beryllium sources authorized in paragraph (c) of this section, 
this general license applies only when beryllium, graphite, or 
hydrogenous material enriched in deuterium is not present in quantities 
exceeding 0.1% of the fissile material mass.
    (f)(1) Except as specified in paragraph (f)(2) of this section for 
encapsulated plutonium-beryllium sources, this general license applies 
only when, a package is labeled with a transport index not less than the 
number given by the following equation, where the package contains x 
grams of uranium-235, y grams of uranium-233, and z grams of the fissile 
radionuclides of plutonium:

Minimum Transport Index = (0.25x + 0.33y + 0.4z).

    (2) For a package in which the only fissile material is in the form 
of encapsulated plutonium-beryllium neutron sources in special form, the 
transport index based on criticality considerations may be taken as 
0.025 times the number of grams of the fissile radionuclides of 
plutonium.
    (3) Packages which have a transport index greater than 10 are not 
authorized under the general license provisions of this part.

[62 FR 5911, Feb. 10, 1997]



Sec. 71.20  General license: Fissile material, limited moderator per package.

    (a) A general license is issued to any licensee of the Commission to 
transport fissile material, or to deliver fissile material to a carrier 
for transport, without complying with the package standards of subparts 
E and F of this part if the material is shipped in accordance with this 
section.
    (b) The general license applies only to a licensee who has a quality 
assurance program approved by the Commission as satisfying the 
provisions of subpart H of this part.
    (c) This general license applies only when--
    (1) The package contains no more than a Type A quantity of 
radioactive material;
    (2) Neither beryllium nor hydrogenous material enriched in deuterium 
is present;
    (3) The total mass of graphite present does not exceed 7.7 times the 
total mass of uranium-235 plus plutonium;
    (4) Substances having a higher hydrogen density than water (e.g., 
certain hydrocarbon oils), are not present, except that polyethylene may 
be used for packing or wrapping;
    (5) Uranium-233 is not present, and the amount of plutonium does not 
exceed 1 percent of the amount of uranium-235;
    (6) The amount of uranium-235 is limited as follows:
    (i) If the fissile radionuclides are not uniformly distributed, the 
maximum amount of uranium-235 per package may not exceed the value given 
in Table I of this part; or
    (ii) If the fissile radionuclides are distributed uniformly (i.e., 
cannot form a lattice arrangement within the packaging), the maximum 
amount of uranium-235 per package may not exceed the value given in 
Table II of this part; and
    (7) The transport index of each package, based on criticality 
considerations, is taken as 10 times the number of grams of uranium-235 
in the package divided by the maximum allowable number of grams per 
package in accordance with Table I or Table II of this part, as 
applicable.

 Table I--Permissible Mass of Uranium-235 per Fissile Material Package,
                   Applicable to Sec.  71.20(c)(6)(i)
                        [Nonuniform distribution]
------------------------------------------------------------------------
                                                           Permissible
Uranium enrichment in weight percent of uranium-235 not   maximum grams
                       exceeding                          of uranium-235
                                                           per  package
------------------------------------------------------------------------
24.....................................................               40
20.....................................................               42
15.....................................................               45
11.....................................................               48
10.....................................................               51
9.5....................................................               52
9......................................................               54
8.5....................................................               55
8......................................................               57
7.5....................................................               59
7......................................................               60
6.5....................................................               62
6......................................................               65
5.5....................................................               68
5......................................................               72
4.5....................................................               76

[[Page 300]]

 
4......................................................               80
3.5....................................................               88
3......................................................              100
2.5....................................................              120
2......................................................              164
1.5....................................................              272
1.35...................................................              320
1......................................................              680
0.92...................................................            1,200
------------------------------------------------------------------------


 Table II--Permissible Mass of Uranium-235 per Fissile Material Package,
                   Applicable to Sec.  71.20(c)(6)(ii)
                         [Uniform Distribution]
------------------------------------------------------------------------
                                                           Permissible
Uranium enrichment in weight percent of uranium-235 not   maximum grams
                        exceeding                         of uranium-235
                                                           per package
------------------------------------------------------------------------
4......................................................               84
3.5....................................................               92
3......................................................              112
2.5....................................................              148
2......................................................              240
1.5....................................................              560
1.35...................................................              800
------------------------------------------------------------------------



Sec. 71.22  General license: Fissile material, limited quantity, controlled shipment.

    (a) A general license is issued to any licensee of the Commission to 
transport fissile material, or to deliver fissile material to a carrier 
for transport, without complying with the package standards of Subparts 
E and F of this part, if limited material is shipped in accordance with 
this section.
    (b) The general license applies only to a licensee who has a quality 
assurance program approved by the Commission as satisfying the 
provisions of Subpart H of this part.
    (c) This general license applies only when a package contains no 
more than a Type A quantity of radioactive material and no more than 400 
g total of the fissile radionuclides of plutonium encapsulated as 
plutonium-beryllium neutron sources in special form.
    (d) This general license applies only when:
    (1) The mass of fissile radionuclides in the shipment is limited 
such that the
[GRAPHIC] [TIFF OMITTED] TR10FE97.000

where X and Y are the mass defined in the table following paragraph 
(d)(2) of this section; or
    (2) the encapsulated plutonium-beryllium neutron sources are in 
special form and the total mass of fissile radionuclides in the shipment 
does not exceed 2500 g.

        Permissible Mass Limits for Shipments of Fissile Material
------------------------------------------------------------------------
                                              Fissile         Fissile
                                           material mass   material mass
                                          (g) mixed with  (g) mixed with
                                            substances      substances
            Fissile material                 having a        having a
                                             hydrogen        hydrogen
                                           density less       density
                                           than or equal   greater than
                                             to water          water
------------------------------------------------------------------------
Uranium-235(X)..........................             500             290
Other fissile material(Y)...............             300             180
------------------------------------------------------------------------

    (e) Except for the beryllium contained within the special form 
plutonium-beryllium sources authorized in paragraphs (c) and (d) of this 
section,

[[Page 301]]

this general license applies only when beryllium, graphite or 
hydrogenous material enriched in deuterium is not present in quantities 
exceeding 0.1% of the fissile material mass.
    (f) This general license applies only when shipment of these 
packages is made under procedures specifically authorized by DOT, in 
accordance with 49 CFR Part 173 of its regulations, to prevent loading, 
transport, or storage of these packages with other fissile material 
shipments.

[62 FR 5912, Feb. 10, 1997]



Sec. 71.24  General license: Fissile material, limited moderator, controlled shipment.

    (a) A general license is issued to any licensee of the Commission to 
transport fissile material, or to deliver fissile material to a carrier 
for transport, without complying with the package standards of subparts 
E and F of this part, if limited material is shipped in accordance with 
this section.
    (b) The general license applies only to a licensee who has a quality 
assurance program approved by the Commission as satisfying the 
provisions of subpart H of this part.
    (c) This general license applies only when--
    (1) No package contains more than a Type A quantity of radioactive 
material;
    (2) The packaging does not incorporate lead shielding exceeding 5 cm 
in thickness, tungsten shielding, or uranium shielding;
    (3) Neither beryllium nor hydrogenous material enriched in deuterium 
is present;
    (4) The total mass of graphite present does not exceed 7.7 times the 
total mass of uranium-235 and plutonium;
    (5) Substances having a higher hydrogen density than water (e.g., 
certain hydrocarbon oils), are not present, except that polyethylene may 
be used for packing or wrapping;
    (6) For fissile contents containing no uranium-233 and less than 1 
percent by weight total plutonium, if the fissile radionuclides are--
    (i) Not uniformly distributed, the maximum amount of uranium-235 per 
consignment does not exceed the value given in Table III of this part; 
or
    (ii) Distributed uniformly and cannot form a lattice arrangement 
within the packaging, the maximum amount of uranium-235 per shipment 
does not exceed the value given in Table IV of this part;
    (7) For fissile contents containing uranium-233 or more than 1 
percent by weight plutonium, the total mass of fissile material per 
shipment is limited so that the sum of the number of grams of uranium-
235 divided by 400, the number of grams of plutonium divided by 225, and 
the number of grams of uranium-233 divided by 250, does not exceed 
unity, as expressed in the formula:
[GRAPHIC] [TIFF OMITTED] TR28SE95.000

    (8) The transport must be direct to the consignee without any 
intermediate transit storage; and
    (9) Shipment of these packages is made under procedures specifically 
authorized by DOT in accordance with 49 CFR part 173 of its regulations 
to prevent loading, transport, or storage of these packages with other 
fissile material shipments.

Table III--Permissible Mass of Uranium-235 per Fissile Material Shipment
                   Applicable to Sec.  71.24(c)(6)(i)
                        [Nonuniform distribution]
------------------------------------------------------------------------
                                                           Permissible
Uranium enrichment in weight percent of uranium-235 not   maximum grams
                       exceeding                          of uranium-235
                                                         per consignment
------------------------------------------------------------------------
20.....................................................              520
15.....................................................              560
11.....................................................              600
10.....................................................              640
9.5....................................................              655

[[Page 302]]

 
9......................................................              675
8.5....................................................              690
8......................................................              710
7.5....................................................              730
7......................................................              750
6.5....................................................              780
6......................................................              810
5.5....................................................              850
5......................................................              900
4.5....................................................              950
4......................................................            1,000
3.5....................................................            1,100
3......................................................            1,250
2.5....................................................            1,500
2......................................................            2,050
1.5....................................................            3,400
1.35...................................................            4,000
1......................................................            8,500
0.92...................................................           15,000
------------------------------------------------------------------------


 Table IV--Permissible Mass of Uranium-235 per Fissile Material Shipment
                   Applicable to Sec.  71.24(c)(6)(ii)
                         [Uniform distribution]
------------------------------------------------------------------------
                                                           Permissible
Uranium enrichment in weight percent of uranium-235 not   maximum grams
                       exceeding                          of uranium-235
                                                         per consignment
------------------------------------------------------------------------
4......................................................            1,050
3.5....................................................            1,150
3......................................................            1,400
2.5....................................................            1,800
2......................................................            3,000
1.5....................................................            7,000
1.35...................................................           10,000
------------------------------------------------------------------------



               Subpart D--Application for Package Approval



Sec. 71.31  Contents of application.

    (a) An application for an approval under this part must include, for 
each proposed packaging design, the following information:
    (1) A package description as required by Sec. 71.33;
    (2) A package evaluation as required by Sec. 71.35; and
    (3) A quality assurance program description, as required by 
Sec. 71.37, or a reference to a previously approved quality assurance 
program.
    (b) Except as provided in Sec. 71.13, an application for 
modification of a package design, whether for modification of the 
packaging or authorized contents, must include sufficient information to 
demonstrate that the proposed design satisfies the package standards in 
effect at the time the application is filed.
    (c) The applicant shall identify any established codes and standards 
proposed for use in package design, fabrication, assembly, testing, 
maintenance, and use. In the absence of any codes and standards, the 
applicant shall describe and justify the basis and rationale used to 
formulate the package quality assurance program.



Sec. 71.33  Package description.

    The application must include a description of the proposed package 
in sufficient detail to identify the package accurately and provide a 
sufficient basis for evaluation of the package. The description must 
include--
    (a) With respect to the packaging--
    (1) Classification as Type B(U), Type B(M), or fissile material 
packaging;
    (2) Gross weight;
    (3) Model number;
    (4) Identification of the containment system;
    (5) Specific materials of construction, weights, dimensions, and 
fabrication methods of--
    (i) Receptacles;
    (ii) Materials specifically used as nonfissile neutron absorbers or 
moderators;
    (iii) Internal and external structures supporting or protecting 
receptacles;
    (iv) Valves, sampling ports, lifting devices, and tie-down devices; 
and
    (v) Structural and mechanical means for the transfer and dissipation 
of heat; and
    (6) Identification and volumes of any receptacles containing 
coolant.
    (b) With respect to the contents of the package--
    (1) Identification and maximum radioactivity of radioactive 
constituents;
    (2) Identification and maximum quantities of fissile constituents;
    (3) Chemical and physical form;
    (4) Extent of reflection, the amount and identity of nonfissile 
materials used as neutron absorbers or moderators, and the atomic ratio 
of moderator to fissile constituents;

[[Page 303]]

    (5) Maximum normal operating pressure;
    (6) Maximum weight;
    (7) Maximum amount of decay heat; and
    (8) Identification and volumes of any coolants.



Sec. 71.35  Package evaluation.

    The application must include the following:
    (a) A demonstration that the package satisfies the standards 
specified in subparts E and F of this part;
    (b) For a fissile material package, the allowable number of packages 
that may be transported in the same vehicle in accordance with 
Sec. 71.59; and
    (c) For a fissile material shipment, any proposed special controls 
and precautions for transport, loading, unloading, and handling and any 
proposed special controls in case of an accident or delay.



Sec. 71.37  Quality assurance.

    (a) The applicant shall describe the quality assurance program (see 
Subpart H of this part) for the design, fabrication, assembly, testing, 
maintenance, repair, modification, and use of the proposed package.
    (b) The applicant shall identify any specific provisions of the 
quality assurance program that are applicable to the particular package 
design under consideration, including a description of the leak testing 
procedures.



Sec. 71.38  Renewal of a certificate of compliance or quality assurance program approval.

    (a) Except as provided in paragraph (b) of this section, each 
Certificate of Compliance or Quality Assurance Program Approval expires 
at the end of the day, in the month and year stated in the approval.
    (b) In any case in which a person, not less than 30 days before the 
expiration of an existing Certificate of Compliance or Quality Assurance 
Program Approval issued pursuant to the part, has filed an application 
in proper form for renewal of either of those approvals, the existing 
Certificate of Compliance or Quality Assurance Program Approval for 
which the renewal application was filed shall not be deemed to have 
expired until final action on the application for renewal has been taken 
by the Commission.
    (c) In applying for renewal of an existing Certificate of Compliance 
or Quality Assurance Program Approval, an applicant may be required to 
submit a consolidated application that incorporates all changes to its 
program that, are incorporated by reference in the existing approval or 
certificate, into as few referenceable documents as reasonably 
achievable.



Sec. 71.39  Requirement for additional information.

    The Commission may at any time require additional information in 
order to enable it to determine whether a license, certificate of 
compliance, or other approval should be granted, renewed, denied, 
modified, suspended, or revoked.



                  Subpart E--Package Approval Standards



Sec. 71.41  Demonstration of compliance.

    (a) The effects on a package of the tests specified in Sec. 71.71 
(``Normal conditions of transport''), and the tests specified in 
Sec. 71.73 (``Hypothetical accident conditions''), and Sec. 71.61 
(Special requirement for irradiated nuclear fuel shipments''), must be 
evaluated by subjecting a specimen or scale model to a specific test, or 
by another method of demonstration acceptable to the Commission, as 
appropriate for the particular feature being considered.
    (b) Taking into account the type of vehicle, the method of securing 
or attaching the package, and the controls to be exercised by the 
shipper, the Commission may permit the shipment to be evaluated together 
with the transporting vehicle.
    (c) Environmental and test conditions different from those specified 
in Secs. 71.71 and 71.73 may be approved by the Commission if the 
controls proposed to be exercised by the shipper are demonstrated to be 
adequate to provide equivalent safety of the shipment.

[[Page 304]]



Sec. 71.43  General standards for all packages.

    (a) The smallest overall dimension of a package may not be less than 
10 cm (4 in).
    (b) The outside of a package must incorporate a feature, such as a 
seal, that is not readily breakable and that, while intact, would be 
evidence that the package has not been opened by unauthorized persons.
    (c) Each package must include a containment system securely closed 
by a positive fastening device that cannot be opened unintentionally or 
by a pressure that may arise within the package.
    (d) A package must be made of materials and construction that assure 
that there will be no significant chemical, galvanic, or other reaction 
among the packaging components, among package contents, or between the 
packaging components and the package contents, including possible 
reaction resulting from inleakage of water, to the maximum credible 
extent. Account must be taken of the behavior of materials under 
irradiation.
    (e) A package valve or other device, the failure of which would 
allow radioactive contents to escape, must be protected against 
unauthorized operation and, except for a pressure relief device, must be 
provided with an enclosure to retain any leakage.
    (f) A package must be designed, constructed, and prepared for 
shipment so that under the tests specified in Sec. 71.71 (``Normal 
conditions of transport'') there would be no loss or dispersal of 
radioactive contents, no significant increase in external surface 
radiation levels, and no substantial reduction in the effectiveness of 
the packaging.
    (g) A package must be designed, constructed, and prepared for 
transport so that in still air at 38 deg.C (100 deg.F) and in the shade, 
no accessible surface of a package would have a temperature exceeding 
50 deg.C (122 deg.F) in a nonexclusive use shipment, or 85 deg.C 
(185 deg.F) in an exclusive use shipment.
    (h) A package may not incorporate a feature intended to allow 
continuous venting during transport.



Sec. 71.45  Lifting and tie-down standards for all packages.

    (a) Any lifting attachment that is a structural part of a package 
must be designed with a minimum safety factor of three against yielding 
when used to lift the package in the intended manner, and it must be 
designed so that failure of any lifting device under excessive load 
would not impair the ability of the package to meet other requirements 
of this subpart. Any other structural part of the package that could be 
used to lift the package must be capable of being rendered inoperable 
for lifting the package during transport, or must be designed with 
strength equivalent to that required for lifting attachments.
    (b) Tie-down devices:
    (1) If there is a system of tie-down devices that is a structural 
part of the package, the system must be capable of withstanding, without 
generating stress in any material of the package in excess of its yield 
strength, a static force applied to the center of gravity of the package 
having a vertical component of 2 times the weight of the package with 
its contents, a horizontal component along the direction in which the 
vehicle travels of 10 times the weight of the package with its contents, 
and a horizontal component in the transverse direction of 5 times the 
weight of the package with its contents.
    (2) Any other structural part of the package that could be used to 
tie down the package must be capable of being rendered inoperable for 
tying down the package during transport, or must be designed with 
strength equivalent to that required for tie-down devices.
    (3) Each tie-down device that is a structural part of a package must 
be designed so that failure of the device under excessive load would not 
impair the ability of the package to meet other requirements of this 
part.

[[Page 305]]



Sec. 71.47  External radiation standards for all packages.

    (a) Except as provided in paragraph (b) of this section, each 
package of radioactive materials offered for transportation must be 
designed and prepared for shipment so that under conditions normally 
incident to transportation the radiation level does not exceed 2 mSv/h 
(200 mrem/h) at any point on the external surface of the package, and 
the transport index does not exceed 10.
    (b) A package that exceeds the radiation level limits specified in 
paragraph (a) of this section must be transported by exclusive use 
shipment only, and the radiation levels for such shipment must not 
exceed the following during transportation:
    (1) 2 mSv/h (200 mrem/h) on the external surface of the package, 
unless the following conditions are met, in which case the limit is 10 
mSv/h (1000 mrem/h):
    (i) The shipment is made in a closed transport vehicle;
    (ii) The package is secured within the vehicle so that its position 
remains fixed during transportation; and
    (iii) There are no loading or unloading operations between the 
beginning and end of the transportation;
    (2) 2 mSv/h (200 mrem/h) at any point on the outer surface of the 
vehicle, including the top and underside of the vehicle; or in the case 
of a flat-bed style vehicle, at any point on the vertical planes 
projected from the outer edges of the vehicle, on the upper surface of 
the load or enclosure, if used, and on the lower external surface of the 
vehicle; and
    (3) 0.1 mSv/h (10 mrem/h) at any point 2 meters (80 in) from the 
outer lateral surfaces of the vehicle (excluding the top and underside 
of the vehicle); or in the case of a flat-bed style vehicle, at any 
point 2 meters (6.6 feet) from the vertical planes projected by the 
outer edges of the vehicle (excluding the top and underside of the 
vehicle); and
    (4) 0.02 mSv/h (2 mrem/h) in any normally occupied space, except 
that this provision does not apply to private carriers, if exposed 
personnel under their control wear radiation dosimetry devices in 
conformance with 10 CFR 20.1502.
    (c) For shipments made under the provisions of paragraph (b) of this 
section, the shipper shall provide specific written instructions to the 
carrier for maintenance of the exclusive use shipment controls. The 
instructions must be included with the shipping paper information.
    (d) The written instructions required for exclusive use shipments 
must be sufficient so that, when followed, they will cause the carrier 
to avoid actions that will unnecessarily delay delivery or unnecessarily 
result in increased radiation levels or radiation exposures to transport 
workers or members of the general public.



Sec. 71.51  Additional requirements for Type B packages.

    (a) Except as provided in Sec. 71.52, a Type B package, in addition 
to satisfying the requirements of Secs. 71.41 through 71.47, must be 
designed, constructed, and prepared for shipment so that under the tests 
specified in:
    (1) Section 71.71 (``Normal conditions of transport''), there would 
be no loss or dispersal of radioactive contents--as demonstrated to a 
sensitivity of 10-6 A2 per hour, no significant 
increase in external surface radiation levels, and no substantial 
reduction in the effectiveness of the packaging; and
    (2) Section 71.73 (``Hypothetical accident conditions''), there 
would be no escape of krypton-85 exceeding 10 A2 in 1 week, 
no escape of other radioactive material exceeding a total amount 
A2 in 1 week, and no external radiation dose rate exceeding 
10 mSv/h (1 rem/h) at 1 m (40 in) from the external surface of the 
package.
    (b) Where mixtures of different radionuclides are present, the 
provisions of appendix A, paragraph IV of this part shall apply, except 
that for Krypton-85, an effective A2 value equal to 10 
A2 may be used.
    (c) Compliance with the permitted activity release limits of 
paragraph (a) of this section may not depend on filters or on a 
mechanical cooling system.



Sec. 71.53  Fissile material exemptions.

    Fissile materials meeting the requirements of one of the paragraphs 
in

[[Page 306]]

(a) through (d) of this section are exempt from fissile material 
classification and from the fissile material package standards of 
Secs. 71.55 and 71.59, but are subject to all other requirements of this 
part. These exemptions apply only when beryllium, graphite, or 
hydrogenous material enriched in deuterium is not present in quantities 
exceeding 0.1 percent of the fissile material mass.
    (a) Fissile material such that
    [GRAPHIC] [TIFF OMITTED] TR10FE97.001
    

for an individual consignment, where X and Y are the mass limits defined 
in table following paragraph (a)(3) of this section, provided that:
    (1) Each package contains no more than 15 g of fissile material. For 
unpackaged material the mass limit of 15g applies to the conveyance; or
    (2) The fissile material consists of a homogeneous hydrogenous 
solution or mixture where the minimum ratio of hydrogen atoms to fissile 
radionuclide atoms (H/X) is 5200 and the maximum concentration of 
fissile radionuclides within a package is 5 g/liter; or
    (3) There is no more than 5g of fissile material in any 10 liter 
volume of material and the material is packaged so as to maintain this 
limit of fissile radionuclide concentration during normal transport.

        The Requirements for Packages Containing Fissile Material
------------------------------------------------------------------------
                                              Fissile         Fissile
                                           material mass   material mass
                                          (g) mixed with  (g) mixed with
                                            substances      substances
                                             having an       having an
            Fissile material                  average         average
                                             hydrogen        hydrogen
                                           density less       density
                                           than or equal   greater than
                                             to water          water
------------------------------------------------------------------------
Uranium-235(X)..........................             400             290
1Other fissile material(Y)..............             250             180
------------------------------------------------------------------------

    (b) Uranium enriched in uranium-235 to a maximum of 1 percent by 
weight, and with total plutonium and uranium-233 content of up to 1 
percent of the mass of uranium-235, provided that the fissile material 
is distributed homogeneously throughout the package contents and does 
not form a lattice arrangement within the package.
    (c) Liquid solutions of uranyl nitrate enriched in uranium-235 to a 
maximum of 2 percent by weight, with a total plutonium and uranium-233 
content not exceeding 0.1 percent of the mass of uranium-235, and with a 
minimum nitrogen to uranium atomic ratio (N/U) of 2.
    (d) Plutonium, less than 1 kg, of which not more than 20 percent by 
mass may consist of plutonium-239, plutonium-241, or any combination of 
these radionuclides.

[62 FR 5913, Feb. 10, 1997]



Sec. 71.55  General requirements for fissile material packages.

    (a) A package used for the shipment of fissile material must be 
designed and constructed in accordance with Secs. 71.41 through 71.47. 
When required by the total amount of radioactive material, a package 
used for the shipment of fissile material must also be designed and 
constructed in accordance with Sec. 71.51.
    (b) Except as provided in paragraph (c) of this section, a package 
used for the shipment of fissile material must be so designed and 
constructed and its contents so limited that it would be subcritical if 
water were to leak into

[[Page 307]]

the containment system, or liquid contents were to leak out of the 
containment system so that, under the following conditions, maximum 
reactivity of the fissile material would be attained:
    (1) The most reactive credible configuration consistent with the 
chemical and physical form of the material;
    (2) Moderation by water to the most reactive credible extent; and
    (3) Close full reflection of the containment system by water on all 
sides, or such greater reflection of the containment system as may 
additionally be provided by the surrounding material of the packaging.
    (c) The Commission may approve exceptions to the requirements of 
paragraph (b) of this section if the package incorporates special design 
features that ensure that no single packaging error would permit 
leakage, and if appropriate measures are taken before each shipment to 
ensure that the containment system does not leak.
    (d) A package used for the shipment of fissile material must be so 
designed and constructed and its contents so limited that under the 
tests specified in Sec. 71.71 (``Normal conditions of transport'')--
    (1) The contents would be subcritical;
    (2) The geometric form of the package contents would not be 
substantially altered;
    (3) There would be no leakage of water into the containment system 
unless, in the evaluation of undamaged packages under Sec. 71.59(a)(1), 
it has been assumed that moderation is present to such an extent as to 
cause maximum reactivity consistent with the chemical and physical form 
of the material; and
    (4) There will be no substantial reduction in the effectiveness of 
the packaging, including:
    (i) No more than 5 percent reduction in the total effective volume 
of the packaging on which nuclear safety is assessed;
    (ii) No more than 5 percent reduction in the effective spacing 
between the fissile contents and the outer surface of the packaging; and
    (iii) No occurrence of an aperture in the outer surface of the 
packaging large enough to permit the entry of a 10 cm (4 in) cube.
    (e) A package used for the shipment of fissile material must be so 
designed and constructed and its contents so limited that under the 
tests specified in Sec. 71.73 (``Hypothetical accident conditions''), 
the package would be subcritical. For this determination, it must be 
assumed that:
    (1) The fissile material is in the most reactive credible 
configuration consistent with the damaged condition of the package and 
the chemical and physical form of the contents;
    (2) Water moderation occurs to the most reactive credible extent 
consistent with the damaged condition of the package and the chemical 
and physical form of the contents; and
    (3) There is full reflection by water on all sides, as close as is 
consistent with the damaged condition of the package.

[60 FR 50264, Sept. 28, 1995; 61 FR 28724, June 6, 1996]



Sec. 71.57  [Reserved]



Sec. 71.59  Standards for arrays of fissile material packages.

    (a) A fissile material package must be controlled by either the 
shipper or the carrier during transport to assure that an array of such 
packages remains subcritical. To enable this control, the designer of a 
fissile material package shall derive a number ``N'' based on all the 
following conditions being satisfied, assuming packages are stacked 
together in any arrangement and with close full reflection on all sides 
of the stack by water:
    (1) Five times ``N'' undamaged packages with nothing between the 
packages would be subcritical;
    (2) Two times ``N'' damaged packages, if each package were subjected 
to the tests specified in Sec. 71.73 (``Hypothetical accident 
conditions'') would be subcritical with optimum interspersed hydrogenous 
moderation; and
    (3) The value of ``N'' cannot be less than 0.5.
    (b) The transport index based on nuclear criticality control must be 
obtained by dividing the number 50 by the value of ``N'' derived using 
the procedures specified in paragraph (a) of

[[Page 308]]

this section. The value of the transport index for nuclear criticality 
control may be zero provided that an unlimited number of packages is 
subcritical such that the value of ``N'' is effectively equal to 
infinity under the procedures specified in paragraph (a) of this 
section. Any transport index greater than zero must be rounded up to the 
first decimal place.
    (c) Where a fissile material package is assigned a nuclear 
criticality control transport index--
    (1) Not in excess of 10, that package may be shipped by any carrier, 
and that carrier provides adequate criticality control by limiting the 
sum of the transport indexes to 50 in a non-exclusive use vehicle, and 
to 100 in an exclusive use vehicle.
    (2) In excess of 10, that package may only be shipped by exclusive 
use vehicle or other shipper controlled system specified by DOT for 
fissile material packages. The shipper provides adequate criticality 
control by limiting the sum of the transport indexes to 100 in an 
exclusive use vehicle.



Sec. 71.61  Special requirement for irradiated nuclear fuel shipments.

    A package for irradiated nuclear fuel with activity greater than 37 
PBq (106 Ci) must be so designed that its undamaged 
containment system can withstand an external water pressure of 2 MPa 
(290 psi) for a period of not less than one hour without collapse, 
buckling, or inleakage of water.



Sec. 71.63  Special requirements for plutonium shipments.

    (a) Plutonium in excess of 0.74 TBq (20 Ci) per package must be 
shipped as a solid.
    (b) Plutonium in excess of 0.74 TBq (20 Ci) per package must be 
packaged in a separate inner container placed within outer packaging 
that meets the requirements of Subparts E and F of this part for 
packaging of material in normal form. If the entire package is subjected 
to the tests specified in Sec. 71.71 (``Normal conditions of 
transport''), the separate inner container must not release plutonium as 
demonstrated to a sensitivity of 10-6 A2/h. If the 
entire package is subjected to the tests specified in Sec. 71.73 
(``Hypothetical accident conditions''), the separate inner container 
must restrict the loss of plutonium to not more than A2 in 1 
week. Solid plutonium in the following forms is exempt from the 
requirements of this paragraph:
    (1) Reactor fuel elements;
    (2) Metal or metal alloy;
    (3) Vitrified high-level waste contained in a sealed canister 
designed to maintain waste containment during handling activities 
associated with transport. As one method of meeting these design 
requirements, the NRC will consider acceptable a canister which is 
designed in accordance with the American Society of Mechanical Engineers 
(ASME) Boiler and Pressure Vessel Code, Section VIII, 1995 Edition 
(earlier editions may be used in lieu of the 1995 Edition). However, 
this canister need not be designed in accordance with the requirements 
of Section VIII, Parts UG-46, UG-115 through UG-120, UG-125 through UG-
136, UW-60, UW-65, UHA-60, and UHA-65 and the canister's final closure 
weld need not be designed in accordance with the requirements of Section 
VIII, Parts UG-99 and UW-11. The Director of the Federal Register 
approves this incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR Part 51. Copies of the ASME Boiler and Pressure Vessel 
Code, Section VIII, 1995 Edition, may be purchased from the American 
Society of Mechanical Engineers, Service Center, 22 Law Drive, P.O. Box 
2900, Fairfield, NJ 07007. It is also available for inspection at the 
NRC Library, 11545 Rockville Pike, Rockville, MD 20852-2738 or at the 
Office of the Federal Register, 800 North Capitol Street, NW., Suite 
700, Washington, DC.; and
    (4) Other plutonium bearing solids that the Commission determines 
should be exempt from the requirements of this section.

[63 FR 32605, June 15, 1998]



Sec. 71.64  Special requirements for plutonium air shipments.

    (a) A package for the shipment of plutonium by air subject to 
Sec. 71.88(a)(4), in addition to satisfying the requirements of 
Secs. 71.41 through 71.63, as applicable, must be designed, constructed, 
and prepared for shipment so that under the tests specified in--

[[Page 309]]

    (1) Section 71.74 (``Accident conditions for air transport of 
plutonium'')--
    (i) The containment vessel would not be ruptured in its post-tested 
condition, and the package must provide a sufficient degree of 
containment to restrict accumulated loss of plutonium contents to not 
more than an A2 quantity in a period of 1 week;
    (ii) The external radiation level would not exceed 10 mSv/h (1 rem/
h) at a distance of 1 m (40 in) from the surface of the package in its 
post-tested condition in air; and
    (iii) A single package and an array of packages are demonstrated to 
be subcritical in accordance with this part, except that the damaged 
condition of the package must be considered to be that which results 
from the plutonium accident tests in Sec. 71.74, rather than the 
hypothetical accident tests in Sec. 71.73; and
    (2) Section 71.74(c), there would be no detectable leakage of water 
into the containment vessel of the package.
    (b) With respect to the package requirements of paragraph (a), there 
must be a demonstration or analytical assessment showing that--
    (1) The results of the physical testing for package qualification 
would not be adversely affected to a significant extent by--
    (i) The presence, during the tests, of the actual contents that will 
be transported in the package; and
    (ii) Ambient water temperatures ranging from 0.6 deg.C (+33 deg.F) 
to 38 deg.C (+100 deg.F) for those qualification tests involving water, 
and ambient atmospheric temperatures ranging from -40 deg.C (-40 deg.F) 
to +54 deg.C (+130 deg.F) for the other qualification tests.
    (2) The ability of the package to meet the acceptance standards 
prescribed for the accident condition sequential tests would not be 
adversely affected if one or more tests in the sequence were deleted.



Sec. 71.65  Additional requirements.

    The Commission may, by rule, regulation, or order, impose 
requirements on any licensee, in addition to those established in this 
part, as it deems necessary or appropriate to protect public health or 
to minimize danger to life or property.



         Subpart F--Package, Special Form, and LSA-III Tests \2\
---------------------------------------------------------------------------

    \2\ The package standards related to the tests in this subpart are 
contained in subpart E of this part.
---------------------------------------------------------------------------



Sec. 71.71  Normal conditions of transport.

    (a) Evaluation. Evaluation of each package design under normal 
conditions of transport must include a determination of the effect on 
that design of the conditions and tests specified in this section. 
Separate specimens may be used for the free drop test, the compression 
test, and the penetration test, if each specimen is subjected to the 
water spray test before being subjected to any of the other tests.
    (b) Initial conditions. With respect to the initial conditions for 
the tests in this section, the demonstration of compliance with the 
requirements of this part must be based on the ambient temperature 
preceding and following the tests remaining constant at that value 
between -29 deg.C (-20 deg.F) and +38 deg.C (+100 deg.F) which is most 
unfavorable for the feature under consideration. The initial internal 
pressure within the containment system must be considered to be the 
maximum normal operating pressure, unless a lower internal pressure 
consistent with the ambient temperature considered to precede and follow 
the tests is more unfavorable.
    (c) Conditions and tests.
    (1) Heat. An ambient temperature of 38 deg.C (100 deg.F) in still 
air, and insolation according to the following table:

                             Insolation Data
------------------------------------------------------------------------
                                             Total insolation for a 12-
       Form and location of surface            hour period (g cal/cm2
------------------------------------------------------------------------
Flat surfaces transported horizontally:
    Base..................................  None
    Other surfaces........................  800
Flat surfaces not transported horizontally  200
Curved surfaces...........................  400
------------------------------------------------------------------------

    (2) Cold. An ambient temperature of -40 deg.C (-40 deg.F) in still 
air and shade.
    (3) Reduced external pressure. An external pressure of 25 kPa (3.5 
lbf/in2) absolute.
    (4) Increased external pressure. An external pressure of 140 kPa (20 
lbf/in2) absolute.

[[Page 310]]

    (5) Vibration. Vibration normally incident to transport.
    (6) Water spray. A water spray that simulates exposure to rainfall 
of approximately 5 cm/h (2 in/h) for at least 1 hour.
    (7) Free drop. Between 1.5 and 2.5 hours after the conclusion of the 
water spray test, a free drop through the distance specified below onto 
a flat, essentially unyielding, horizontal surface, striking the surface 
in a position for which maximum damage is expected.

              Criteria for Free Drop Test (Weight/Distance)
------------------------------------------------------------------------
                    Package weight                          Free drop
-------------------------------------------------------     distance
                                                       -----------------
            Kilograms                    (Pounds)        Meters   (Feet)
------------------------------------------------------------------------
Less than 5,000..................  (Less than 11,000).      1.2      (4)
5,000 to 10,000..................  (11,000 to 22,000).      0.9      (3)
10,000 to 15,000.................  (22,000 to 33,100).      0.6      (2)
More than 15,000.................  (More than 33,100).      0.3      (1)
------------------------------------------------------------------------

    (8) Corner drop. A free drop onto each corner of the package in 
succession, or in the case of a cylindrical package onto each quarter of 
each rim, from a height of 0.3 m (1 ft) onto a flat, essentially 
unyielding, horizontal surface. This test applies only to fiberboard, 
wood, or fissile material rectangular packages not exceeding 50 kg (110 
lbs) and fiberboard, wood, or fissile material cylindrical packages not 
exceeding 100 kg (220 lbs).
    (9) Compression. For packages weighing up to 5000 kg (11,000 lbs), 
the package must be subjected, for a period of 24 hours, to a 
compressive load applied uniformly to the top and bottom of the package 
in the position in which the package would normally be transported. The 
compressive load must be the greater of the following:
    (i) The equivalent of 5 times the weight of the package; or
    (ii) The equivalent of 13 kPa (2 lbf/in2) multiplied by 
the vertically projected area of the package.
    (10) Penetration. Impact of the hemispherical end of a vertical 
steel cylinder of 3.2 cm (1.25 in) diameter and 6 kg (13 lbs) mass, 
dropped from a height of 1 m (40 in) onto the exposed surface of the 
package that is expected to be most vulnerable to puncture. The long 
axis of the cylinder must be perpendicular to the package surface.



Sec. 71.73  Hypothetical accident conditions.

    (a) Test procedures. Evaluation for hypothetical accident conditions 
is to be based on sequential application of the tests specified in this 
section, in the order indicated, to determine their cumulative effect on 
a package or array of packages. An undamaged specimen may be used for 
the water immersion tests specified in paragraph (c)(6) of this section.
    (b) Test conditions. With respect to the initial conditions for the 
tests, except for the water immersion tests, to demonstrate compliance 
with the requirements of this part during testing, the ambient air 
temperature before and after the tests must remain constant at that 
value between -29 deg.C (-20 deg.F) and +38 deg.C (+100 deg.F) which is 
most unfavorable for the feature under consideration. The initial 
internal pressure within the containment system must be the maximum 
normal operating pressure, unless a lower internal pressure, consistent 
with the ambient temperature assumed to precede and follow the tests, is 
more unfavorable.
    (c) Tests. Tests for hypothetical accident conditions must be 
conducted as follows:
    (1) Free Drop. A free drop of the specimen through a distance of 9 m 
(30 ft) onto a flat, essentially unyielding, horizontal surface, 
striking the surface in a position for which maximum damage is expected.
    (2) Crush. Subjection of the specimen to a dynamic crush test by 
positioning the specimen on a flat, essentially unyielding, horizontal 
surface so as to suffer maximum damage by the drop of a 500 kg (1100 
pound) mass from 9 m (30 ft) onto the specimen. The mass must consist of 
a solid mild steel plate 1 m (40 in) by 1 m and must fall in a 
horizontal attitude. The crush test is required only when the specimen 
has a mass not greater than 500 kg (1100 lbs), an overall density not 
greater than 1000 kg/m3 (62.4 lbs/ft3) based on 
external dimensions, and radioactive contents greater than 1000 
A2 not as special form radioactive material.
    (3) Puncture. A free drop of the specimen through a distance of 1 m 
(40 in) in a position for which maximum damage is expected, onto the 
upper end of a

[[Page 311]]

solid, vertical, cylindrical, mild steel bar mounted on an essentially 
unyielding, horizontal surface. The bar must be 15 cm (6 in) in 
diameter, with the top horizontal and its edge rounded to a radius of 
not more than 6 mm (0.25 in), and of a length as to cause maximum damage 
to the package, but not less than 20 cm (8 in) long. The long axis of 
the bar must be vertical.
    (4) Thermal. Exposure of the specimen fully engulfed, except for a 
simple support system, in a hydrocarbon fuel/air fire of sufficient 
extent, and in sufficiently quiescent ambient conditions, to provide an 
average emissivity coefficient of at least 0.9, with an average flame 
temperature of at least 800 deg.C (1475 deg.F) for a period of 30 
minutes, or any other thermal test that provides the equivalent total 
heat input to the package and which provides a time averaged 
environmental temperature of 800 deg.C. The fuel source must extend 
horizontally at least 1 m (40 in), but may not extend more than 3 m (10 
ft), beyond any external surface of the specimen, and the specimen must 
be positioned 1 m (40 in) above the surface of the fuel source. For 
purposes of calculation, the surface absorptivity coefficient must be 
either that value which the package may be expected to possess if 
exposed to the fire specified or 0.8, whichever is greater; and the 
convective coefficient must be that value which may be demonstrated to 
exist if the package were exposed to the fire specified. Artificial 
cooling may not be applied after cessation of external heat input, and 
any combustion of materials of construction, must be allowed to proceed 
until it terminates naturally.
    (5) Immersion--fissile material. For fissile material subject to 
Sec. 71.55, in those cases where water inleakage has not been assumed 
for criticality analysis, immersion under a head of water of at least 
0.9 m (3 ft) in the attitude for which maximum leakage is expected.
    (6) Immersion--all packages. A separate, undamaged specimen must be 
subjected to water pressure equivalent to immersion under a head of 
water of at least 15 m (50 ft). For test purposes, an external pressure 
of water of 150 kPa (21.7 lbf/in2) gauge is considered to 
meet these conditions.



Sec. 71.74  Accident conditions for air transport of plutonium.

    (a) Test conditions--Sequence of tests. A package must be physically 
tested to the following conditions in the order indicated to determine 
their cumulative effect.
    (1) Impact at a velocity of not less than 129 m/sec (422 ft/sec) at 
a right angle onto a flat, essentially unyielding, horizontal surface, 
in the orientation (e.g., side, end, corner) expected to result in 
maximum damage at the conclusion of the test sequence.
    (2) A static compressive load of 31,800 kg (70,000 lbs) applied in 
the orientation expected to result in maximum damage at the conclusion 
of the test sequence. The force on the package must be developed between 
a flat steel surface and a 5 cm (2 in) wide, straight, solid, steel bar. 
The length of the bar must be at least as long as the diameter of the 
package, and the longitudinal axis of the bar must be parallel to the 
plane of the flat surface. The load must be applied to the bar in a 
manner that prevents any members or devices used to support the bar from 
contacting the package.
    (3) Packages weighing less than 227 kg (500 lbs) must be placed on a 
flat, essentially unyielding, horizontal surface, and subjected to a 
weight of 227 kg (500 lbs) falling from a height of 3 m (10 ft) and 
striking in the position expected to result in maximum damage at the 
conclusion of the test sequence. The end of the weight contacting the 
package must be a solid probe made of mild steel. The probe must be the 
shape of the frustum of a right circular cone, 30 cm (12 in) long, 20 cm 
(8 in) in diameter at the base, and 2.5 cm (1 in) in diameter at the 
end. The longitudinal axis of the probe must be perpendicular to the 
horizontal surface. For packages weighing 227 kg (500 lbs) or more, the 
base of the probe must be placed on a flat, essentially unyielding 
horizontal surface, and the package dropped from a height of 3 m (10 ft) 
onto the probe, striking in the position expected to result in maximum 
damage at the conclusion of the test sequence.
    (4) The package must be firmly restrained and supported such that 
its longitudinal axis is inclined approximately 45 deg. to the 
horizontal. The area

[[Page 312]]

of the package that made first contact with the impact surface in 
paragraph (a)(1) of this section must be in the lowermost position. The 
package must be struck at approximately the center of its vertical 
projection by the end of a structural steel angle section falling from a 
height of at least 46 m (150 ft). The angle section must be at least 1.8 
m (6 ft) in length with equal legs at least 13 cm (5 in) long and 1.3 cm 
(0.5 in) thick. The angle section must be guided in such a way as to 
fall end-on, without tumbling. The package must be rotated approximately 
90 deg. about its longitudinal axis and struck by the steel angle 
section falling as before.
    (5) The package must be exposed to luminous flames from a pool fire 
of JP-4 or JP-5 aviation fuel for a period of at least 60 minutes. The 
luminous flames must extend an average of at least 0.9 m (3 ft) and no 
more than 3 m (10 ft) beyond the package in all horizontal directions. 
The position and orientation of the package in relation to the fuel must 
be that which is expected to result in maximum damage at the conclusion 
of the test sequence. An alternate method of thermal testing may be 
substituted for this fire test, provided that the alternate test is not 
of shorter duration and would not result in a lower heating rate to the 
package. At the conclusion of the thermal test, the package must be 
allowed to cool naturally or must be cooled by water sprinkling, 
whichever is expected to result in maximum damage at the conclusion of 
the test sequence.
    (6) Immersion under at least 0.9 m (3 ft) of water.
    (b) Individual free-fall impact test.
    (1) An undamaged package must be physically subjected to an impact 
at a velocity not less than the calculated terminal free-fall velocity, 
at mean sea level, at a right angle onto a flat, essentially unyielding, 
horizontal surface, in the orientation (e.g., side, end, corner) 
expected to result in maximum damage.
    (2) This test is not required if the calculated terminal free-fall 
velocity of the package is less than 129 m/sec (422 ft/sec), or if a 
velocity not less than either 129 m/sec (422 ft/sec) or the calculated 
terminal free-fall velocity of the package is used in the sequential 
test of paragraph (a)(1) of this section.
    (c) Individual deep submersion test. An undamaged package must be 
physically submerged and physically subjected to an external water 
pressure of at least 4 MPa (600 lbs/in \2\).



Sec. 71.75  Qualification of special form radioactive material.

    (a) Special form radioactive materials must meet the test 
requirements of paragraph (b) of this section. Each solid radioactive 
material or capsule specimen to be tested must be manufactured or 
fabricated so that it is representative of the actual solid material or 
capsule that will be transported, with the proposed radioactive content 
duplicated as closely as practicable. Any differences between the 
material to be transported and the test material, such as the use of 
non-radioactive contents, must be taken into account in determining 
whether the test requirements have been met. In addition:
    (1) A different specimen may be used for each of the tests;
    (2) The specimen may not break or shatter when subjected to the 
impact, percussion, or bending tests;
    (3) The specimen may not melt or disperse when subjected to the heat 
test;
    (4) After each test, leaktightness or indispersibility of the 
specimen must be determined by a method no less sensitive than the 
leaching assessment procedure prescribed in paragraph (c) of this 
section. For a capsule resistant to corrosion by water, and which has an 
internal void volume greater than 0.1 milliliter, an alternative to the 
leaching assessment is a demonstration of leaktightness of 
x10-4 torr-liter/s (1.3xx10-4 atm-cm\3\/s) based 
on air at 25 deg.C (77 deg.F) and one atmosphere differential pressure 
for solid radioactive content, or x10-6 torr-liter/s 
(1.3xx10-6 atm-cm\3\/s) for liquid or gaseous radioactive 
content; and
    (5) A specimen that comprises or simulates radioactive material 
contained in a sealed capsule need not be subjected to the leaktightness 
procedure specified in this section, provided it is alternatively 
subjected to any of the tests prescribed in ISO/TR4826-1979(E), ``Sealed 
radioactive sources leak test

[[Page 313]]

methods'' which is available from the American National Standards 
Institute, 1430 Broadway, New York, N.Y. 10018.
    (b) Test methods. (1) Impact Test. The specimen must fall onto the 
target from a height of 9 m (30 ft) or greater in the orientation 
expected to result in maximum damage. The target must be a flat, 
horizontal surface of such mass and rigidity that any increase in its 
resistance to displacement or deformation, on impact by the specimen, 
would not significantly increase the damage to the specimen.
    (2) Percussion Test. (i) The specimen must be placed on a sheet of 
lead that is supported by a smooth solid surface, and struck by the flat 
face of a steel billet so as to produce an impact equivalent to that 
resulting from a free drop of 1.4 kg (3 lbs) through 1 m (40 in);
    (ii) The flat face of the billet must be 25 millimeters (mm) (1 
inch) in diameter with the edges rounded off to a radius of 3 mm 
 0.3 mm(.12 in  0.012 in);
    (iii) The lead must be hardness number 3.5 to 4.5 on the Vickers 
scale and thickness 25 mm (1 in) or greater, and must cover an area 
greater than that covered by the specimen;
    (iv) A fresh surface of lead must be used for each impact; and
    (v) The billet must strike the specimen so as to cause maximum 
damage.
    (3) Bending test. (i) This test applies only to long, slender 
sources with a length of 10 cm (4 inches) or greater and a length to 
width ratio of 10 or greater;
    (ii) The specimen must be rigidly clamped in a horizontal position 
so that one half of its length protrudes from the face of the clamp;
    (iii) The orientation of the specimen must be such that the specimen 
will suffer maximum damage when its free end is struck by the flat face 
of a steel billet;
    (iv) The billet must strike the specimen so as to produce an impact 
equivalent to that resulting from a free vertical drop of 1.4 kg (3 lbs) 
through 1 m (40 in); and
    (v) The flat face of the billet must be 25 mm (1 inch) in diameter 
with the edges rounded off to a radius of 3 mm  0.3 mm (.12 
in  0.012 in).
    (4) Heat test. The specimen must be heated in air to a temperature 
of not less than 800 deg.C (1475 deg.F), held at that temperature for a 
period of 10 minutes, and then allowed to cool.
    (c) Leaching assessment methods. (1) For indispersible solid 
material--
    (i) The specimen must be immersed for 7 days in water at ambient 
temperature. The water must have a pH of 6-8 and a maximum conductivity 
of 10 micromho per centimeter at 20 deg. (68 deg.F);
    (ii) The water with specimen must then be heated to a temperature of 
50 deg.C  5 deg.C (122 deg.F  9 deg.F) and 
maintained at this temperature for 4 hours.
    (iii) The activity of the water must then be determined;
    (iv) The specimen must then be stored for at least 7 days in still 
air of relative humidity not less than 90 percent at 30 deg.C 
(86 deg.F);
    (v) The specimen must then be immersed in water under the same 
conditions as in paragraph (c)(1)(i) of this section, and the water with 
specimen must be heated to 50 deg.C  5 deg.C (122 deg.F 
 9 deg.F) and maintained at that temperature for 4 hours;
    (vi) The activity of the water must then be determined. The sum of 
the activities determined here and in paragraph (c)(1)(iii) of this 
section must not exceed 2 kilobecquerels (kBq) (0.05 microcurie 
([mu]Ci)).
    (2) For encapsulated material--
    (i) The specimen must be immersed in water at ambient temperature. 
The water must have a pH of 6-8 and a maximum conductivity of 10 
micromho per centimeter;
    (ii) The water and specimen must be heated to a temperature of 
50 deg.C  5 deg.C (122 deg.F  9 deg.F) and 
maintained at this temperature for 4 hours;
    (iii) The activity of the water must then be determined;
    (iv) The specimen must then be stored for at least 7 days in still 
air at a temperature of 30 deg.C (86 deg.F) or greater;
    (v) The process in paragraph (c)(2)(i), (ii), and (iii) of this 
section must be repeated; and
    (vi) The activity of the water must then be determined. The sum of 
the activities determined here and in paragraph (c)(2)(iii) of this 
section must not exceed 2 kilobecquerels (kBq) (0.05 microcurie 
([mu]Ci)).

[[Page 314]]

    (d) A specimen that comprises or simulates radioactive material 
contained in a sealed capsule need not be subjected to--
    (1) The impact test and the percussion test of this section, 
provided that the specimen is alternatively subjected to the Class 4 
impact test prescribed in ISO 2919-1980(e), ``Sealed Radioactive Sources 
Classification'' (see Sec. 71.75(a)(5) for statement of availability); 
and
    (2) The heat test of this section, provided the specimen is 
alternatively subjected to the Class 6 temperature test specified in the 
International Organization for Standardization document ISO 2919-
1980(e), ``Sealed Radioactive Sources Classification.''



Sec. 71.77  Qualification of LSA-III Material.

    (a) LSA-III material must meet the test requirements of paragraph 
(b) of this section. Any differences between the specimen to be tested 
and the material to be transported must be taken into account in 
determining whether the test requirements have been met.
    (b) Leaching Test. (1) The specimen, representing no less than the 
entire contents of the package, must be immersed for 7 days in water at 
ambient temperature;
    (2) The volume of water to be used in the test must be sufficient to 
ensure that at the end of the test period the free volume of the 
unabsorbed and unreacted water remaining will be at least 10% of the 
volume of the specimen itself;
    (3) The water must have an initial pH of 6-8 and a maximum 
conductivity 10 micromho/cm at 20 deg.C (68 deg.F); and
    (4) The total activity of the free volume of water must be measured 
following the 7 day immersion test and must not exceed 0.1 
A2.



              Subpart G--Operating Controls and Procedures



Sec. 71.81  Applicability of operating controls and procedures.

    A licensee subject to this part, who, under a general or specific 
license, transports licensed material or delivers licensed material to a 
carrier for transport, shall comply with the requirements of this 
subpart G, with the quality assurance requirements of subpart H of this 
part, and with the general provisions of subpart A of this part.



Sec. 71.83  Assumptions as to unknown properties.

    When the isotopic abundance, mass, concentration, degree of 
irradiation, degree of moderation, or other pertinent property of 
fissile material in any package is not known, the licensee shall package 
the fissile material as if the unknown properties have credible values 
that will cause the maximum neutron multiplication.



Sec. 71.85  Preliminary determinations.

    Before the first use of any packaging for the shipment of licensed 
material--
    (a) The licensee shall ascertain that there are no cracks, pinholes, 
uncontrolled voids, or other defects that could significantly reduce the 
effectiveness of the packaging;
    (b) Where the maximum normal operating pressure will exceed 35 kPa 
(5 lbf/in\2\) gauge, the licensee shall test the containment system at 
an internal pressure at least 50 percent higher than the maximum normal 
operating pressure, to verify the capability of that system to maintain 
its structural integrity at that pressure; and
    (c) The licensee shall conspicuously and durably mark the packaging 
with its model number, serial number, gross weight, and a package 
identification number assigned by NRC. Before applying the model number, 
the licensee shall determine that the packaging has been fabricated in 
accordance with the design approved by the Commission.



Sec. 71.87  Routine determinations.

    Before each shipment of licensed material, the licensee shall ensure 
that the package with its contents satisfies the applicable requirements 
of this part and of the license. The licensee shall determine that--
    (a) The package is proper for the contents to be shipped;
    (b) The package is in unimpaired physical condition except for 
superficial defects such as marks or dents;
    (c) Each closure device of the packaging, including any required 
gasket, is properly installed and secured and free of defects;

[[Page 315]]

    (d) Any system for containing liquid is adequately sealed and has 
adequate space or other specified provision for expansion of the liquid;
    (e) Any pressure relief device is operable and set in accordance 
with written procedures;
    (f) The package has been loaded and closed in accordance with 
written procedures;
    (g) For fissile material, any moderator or neutron absorber, if 
required, is present and in proper condition;
    (h) Any structural part of the package that could be used to lift or 
tie down the package during transport is rendered inoperable for that 
purpose, unless it satisfies the design requirements of Sec. 71.45;
    (i) The level of non-fixed (removable) radioactive contamination on 
the external surfaces of each package offered for shipment is as low as 
reasonably achievable, and within the limits specified in DOT 
regulations in 49 CFR 173.443;
    (j) External radiation levels around the package and around the 
vehicle, if applicable, will not exceed the limits specified in 
Sec. 71.47 at any time during transportation; and
    (k) Accessible package surface temperatures will not exceed the 
limits specified in Sec. 71.43(g) at any time during transportation.



Sec. 71.88  Air transport of plutonium.

    (a) Notwithstanding the provisions of any general licenses and 
notwithstanding any exemptions stated directly in this part or included 
indirectly by citation of 49 CFR chapter I, as may be applicable, the 
licensee shall assure that plutonium in any form, whether for import, 
export, or domestic shipment, is not transported by air or delivered to 
a carrier for air transport unless:
    (1) The plutonium is contained in a medical device designed for 
individual human application; or
    (2) The plutonium is contained in a material in which the specific 
activity is not greater than 0.002 [mu] Ci/g (70 Bq/g) of material and 
in which the radioactivity is essentially uniformly distributed; or
    (3) The plutonium is shipped in a single package containing no more 
than an A2 quantity of plutonium in any isotope or form, and 
is shipped in accordance with Sec. 71.5; or
    (4) The plutonium is shipped in a package specifically authorized 
for the shipment of plutonium by air in the Certificate of Compliance 
for that package issued by the Commission.
    (b) Nothing in paragraph (a) of this section is to be interpreted as 
removing or diminishing the requirements of Sec. 73.24 of this chapter.
    (c) For a shipment of plutonium by air which is subject to paragraph 
(a)(4) of this section, the licensee shall, through special arrangement 
with the carrier, require compliance with 49 CFR 175.704, U.S. 
Department of Transportation regulations applicable to the air transport 
of plutonium.



Sec. 71.89  Opening instructions.

    Before delivery of a package to a carrier for transport, the 
licensee shall ensure that any special instructions needed to safely 
open the package have been sent to, or otherwise made available to, the 
consignee for the consignee's use in accordance with 10 CFR 20.1906(e).



Sec. 71.91  Records.

    (a) Each licensee shall maintain, for a period of 3 years after 
shipment, a record of each shipment of licensed material not exempt 
under Sec. 71.10, showing where applicable--
    (1) Identification of the packaging by model number and serial 
number;
    (2) Verification that there are no significant defects in the 
packaging, as shipped;
    (3) Volume and identification of coolant;
    (4) Type and quantity of licensed material in each package, and the 
total quantity of each shipment;
    (5) For each item of irradiated fissile material--
    (i) Identification by model number and serial number;
    (ii) Irradiation and decay history to the extent appropriate to 
demonstrate that its nuclear and thermal characteristics comply with 
license conditions; and
    (iii) Any abnormal or unusual condition relevant to radiation 
safety;
    (6) Date of the shipment;

[[Page 316]]

    (7) For fissile packages and for Type B packages, any special 
controls exercised;
    (8) Name and address of the transferee;
    (9) Address to which the shipment was made; and
    (10) Results of the determinations required by Sec. 71.87 and by the 
conditions of the package approval.
    (b) The licensee shall make available to the Commission for 
inspection, upon reasonable notice, all records required by this part. 
Records are only valid if stamped, initialed, or signed and dated by 
authorized personnel or otherwise authenticated.
    (c) The licensee shall maintain sufficient written records to 
furnish evidence of the quality of packaging. The records to be 
maintained include results of the determinations required by Sec. 71.85; 
design, fabrication, and assembly records, results of reviews, 
inspections, tests, and audits; results of monitoring work performance 
and materials analyses; and results of maintenance, modification and 
repair activities. Inspection, test, and audit records must identify the 
inspector or data recorder, the type of observation, the results, the 
acceptability and the action taken in connection with any deficiencies 
noted. The records must be retained for three years after the life of 
the packaging to which they apply.



Sec. 71.93  Inspection and tests.

    (a) The licensee or certificate holder shall permit the Commission, 
at all reasonable times, to inspect the licensed material, packaging, 
premises, and facilities in which the licensed material or packaging is 
used, provided, constructed, fabricated, tested, stored, or shipped.
    (b) The licensee shall perform, and permit the Commission to 
perform, any tests the Commission deems necessary or appropriate for the 
administration of the regulations in this chapter.
    (c) The licensee shall notify the Director, Spent Fuel Project 
Office, at least 45 days before fabrication of a package to be used for 
the shipment of licensed material having a decay heat load in excess of 
5 kW or with a maximum normal operating pressure in excess of 103 kPa 
(15 lbf/in2) gauge.

[60 FR 50264, Sept. 28, 1995, as amended at 67 FR 3585, Jan. 25, 2002]



Sec. 71.95  Reports.

    The licensee shall report to the Director, Spent Fuel Project 
Office, U.S. Nuclear Regulatory Commission, Washington, DC 20555, within 
30 days--
    (a) Any instance in which there is significant reduction in the 
effectiveness of any approved Type B, or fissile, packaging during use;
    (b) Details of any defects with safety significance in Type B, or 
fissile, packaging after first use, with the means employed to repair 
the defects and prevent their recurrence; or
    (c) Instances in which the conditions of approval in the certificate 
of compliance were not observed in making a shipment.

[60 FR 50264, Sept. 28, 1995, as amended at 67 FR 3585, Jan. 25, 2002]



Sec. 71.97  Advance notification of shipment of irradiated reactor fuel and nuclear waste.

    (a) As specified in paragraphs (b), (c) and (d) of this section, 
each licensee shall provide advance notification to the governor of a 
State, or the governor's designee, of the shipment of licensed material, 
through, or across the boundary of the State, before the transport, or 
delivery to a carrier, for transport, of licensed material outside the 
confines of the licensee's plant or other place of use or storage.
    (b) Advance notification is required under this section for 
shipments of irradiated reactor fuel in quantities less than that 
subject to advance notification requirements of Sec. 73.37(f) of this 
chapter. Advance notification is also required under this section for 
shipment of licensed material, other than irradiated fuel, meeting the 
following three conditions:
    (1) The licensed material is required by this part to be in Type B 
packaging for transportation;
    (2) The licensed material is being transported to or across a State 
boundary en route to a disposal facility or to a collection point for 
transport to a disposal facility; and

[[Page 317]]

    (3) The quantity of licensed material in a single package exceeds 
the least of the following:
    (i) 3000 times the A1 value of the radionuclides as 
specified in appendix A, Table A-1 for special form radioactive 
material;
    (ii) 3000 times the A2 value of the radionuclides as 
specified in appendix A, Table A-1 for normal form radioactive material; 
or
    (iii) 1000 TBq (27,000 Ci).
    (c) Procedures for submitting advance notification. (1) The 
notification must be made in writing to the office of each appropriate 
governor or governor's designee and to the Director, Spent Fuel Project 
Office.
    (2) A notification delivered by mail must be postmarked at least 7 
days before the beginning of the 7-day period during which departure of 
the shipment is estimated to occur.
    (3) A notification delivered by messenger must reach the office of 
the governor or of the governor's designee at least 4 days before the 
beginning of the 7-day period during which departure of the shipment is 
estimated to occur.
    (i) A list of the names and mailing addresses of the governors' 
designees receiving advance notification of transportation of nuclear 
waste was published in the Federal Register on June 30, 1995 (60 FR 
34306).
    (ii) The list will be published annually in the Federal Register on 
or about June 30 to reflect any changes in information.
    (iii) A list of the names and mailing addresses of the governors' 
designees is available on request from the Director, Office of State 
Programs, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.
    (4) The licensee shall retain a copy of the notification as a record 
for 3 years.
    (d) Information to be furnished in advance notification of shipment. 
Each advance notification of shipment of irradiated reactor fuel or 
nuclear waste must contain the following information:
    (1) The name, address, and telephone number of the shipper, carrier, 
and receiver of the irradiated reactor fuel or nuclear waste shipment;
    (2) A description of the irradiated reactor fuel or nuclear waste 
contained in the shipment, as specified in the regulations of DOT in 49 
CFR 172.202 and 172.203(d);
    (3) The point of origin of the shipment and the 7-day period during 
which departure of the shipment is estimated to occur;
    (4) The 7-day period during which arrival of the shipment at State 
boundaries is estimated to occur;
    (5) The destination of the shipment, and the 7-day period during 
which arrival of the shipment is estimated to occur; and
    (6) A point of contact, with a telephone number, for current 
shipment information.
    (e) Revision notice. A licensee who finds that schedule information 
previously furnished to a governor or governor's designee, in accordance 
with this section, will not be met, shall telephone a responsible 
individual in the office of the governor of the State or of the 
governor's designee and inform that individual of the extent of the 
delay beyond the schedule originally reported. The licensee shall 
maintain a record of the name of the individual contacted for 3 years.
    (f) Cancellation notice. (1) Each licensee who cancels an irradiated 
reactor fuel or nuclear waste shipment for which advance notification 
has been sent shall send a cancellation notice to the governor of each 
State or to the governor's designee previously notified, and to the 
Director, Spent Fuel Project Office.
    (2) The licensee shall state in the notice that it is a cancellation 
and identify the advance notification that is being canceled. The 
licensee shall retain a copy of the notice as a record for 3 years.

[60 FR 50264, Sept. 28, 1995, as amended at 67 FR 3586, Jan. 25, 2002]



Sec. 71.99  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.

[[Page 318]]

    (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; or
    (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. 71.100  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 71 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 71 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 71.0, 71.2, 71.4, 71.6, 71.7, 71.9, 71.10, 71.31, 71.33, 71.35, 
71.37, 71.38, 71.39, 71.41, 71.43, 71.45, 71.47, 71.51, 71.52, 71.53, 
71.55, 71.59, 71.65, 71.71, 71.73, 71.74, 71.75, 71.77, 71.99, and 
71.100.



                      Subpart H--Quality Assurance



Sec. 71.101  Quality assurance requirements.

    (a) Purpose. This subpart describes quality assurance requirements 
applying to design, purchase, fabrication, handling, shipping, storing, 
cleaning, assembly, inspection, testing, operation, maintenance, repair, 
and modification of components of packaging that are important to 
safety. As used in this subpart, ``quality assurance'' comprises all 
those planned and systematic actions necessary to provide adequate 
confidence that a system or component will perform satisfactorily in 
service. Quality assurance includes quality control, which comprises 
those quality assurance actions related to control of the physical 
characteristics and quality of the material or component to 
predetermined requirements.
    (b) Establishment of program. Each licensee shall establish, 
maintain, and execute a quality assurance program satisfying each of the 
applicable criteria of Secs. 71.101 through 71.137 and satisfying any 
specific provisions that are applicable to the licensee's activities 
including procurement of packaging. The licensee shall apply each of the 
applicable criteria in a graded approach, i.e., to an extent that is 
consistent with its importance to safety.
    (c) Approval of program. Before the use of any package for the 
shipment of licensed material subject to this subpart, each licensee 
shall obtain Commission approval of its quality assurance program. Each 
licensee shall file a description of its quality assurance program, 
including a discussion of which requirements of this subpart are 
applicable and how they will be satisfied, with the Director, Spent Fuel 
Project Office, U.S. Nuclear Regulatory Commission, Washington, DC 
20555-0001.
    (d) Existing package designs. The provisions of this paragraph deal 
with packages that have been approved for use in accordance with this 
part before January 1, 1979, and which have been designed in accordance 
with the provisions of this part in effect at the time of application 
for package approval. Those packages will be accepted as having been 
designed in accordance with a quality assurance program that satisfies 
the provisions of paragraph (b) of this section.
    (e) Existing packages. The provisions of this paragraph deal with 
packages that have been approved for use in accordance with this part 
before January 1, 1979; have been at least partially fabricated prior to 
that date; and for which the fabrication is in accordance with the 
provisions of this part in effect at the time of application for 
approval of package design. These packages will be accepted as having 
been fabricated and assembled in accordance

[[Page 319]]

with a quality assurance program that satisfies the provisions of 
paragraph (b) of this section.
    (f) Previously approved programs. A Commission-approved quality 
assurance program that satisfies the applicable criteria of Appendix B 
of Part 50 of this chapter, and that is established, maintained, and 
executed with regard to transport packages, will be accepted as 
satisfying the requirements of paragraph (b) of this section. Before 
first use, the licensee shall notify the Director, Spent Fuel Project 
Office, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, 
of its intent to apply its previously approved Appendix B program to 
transportation activities. The licensee shall identify the program by 
date of submittal to the Commission, Docket Number, and date of 
Commission approval.
    (g) Radiography containers. A program for transport container 
inspection and maintenance limited to radiographic exposure devices, 
source changers, or packages transporting these devices and meeting the 
requirements of Sec. 34.31(b) or equivalent Agreement State requirement, 
is deemed to satisfy the requirements of Sec. 71.12(b) and 71.101(b) of 
this chapter.

[60 FR 50264, Sept. 28, 1995, as amended at 62 FR 28973, May 28, 1997; 
67 FR 3586, Jan. 25, 2002]



Sec. 71.103  Quality assurance organization.

    (a) The licensee 3 shall be responsible for the 
establishment and execution of the quality assurance program. The 
licensee may delegate to others, such as contractors, agents, or 
consultants, the work of establishing and executing the quality 
assurance program, or any part of the quality assurance program, but 
shall retain responsibility for the program. The licensee shall clearly 
establish and delineate, in writing, the authority and duties of persons 
and organizations performing activities affecting the safety-related 
functions of structures, systems, and components. These activities 
include performing the functions associated with attaining quality 
objectives and the quality assurance functions.
---------------------------------------------------------------------------

    \3\ While the term ``licensee'' is used in these criteria, the 
requirements are applicable to whatever design, fabrication, assembly, 
and testing of the package is accomplished with respect to a package 
prior to the time a package approval is issued.
---------------------------------------------------------------------------

    (b) The quality assurance functions are--
    (1) Assuring that an appropriate quality assurance program is 
established and effectively executed; and
    (2) Verifying, by procedures such as checking, auditing, and 
inspection, that activities affecting the safety-related functions have 
been performed correctly.
    (c) The persons and organizations performing quality assurance 
functions must have sufficient authority and organizational freedom to--
    (1) Identify quality problems;
    (2) Initiate, recommend, or provide solutions; and
    (3) Verify implementation of solutions.
    (d) The persons and organizations performing quality assurance 
functions shall report to a management level that assures that the 
required authority and organizational freedom, including sufficient 
independence from cost and schedule, when opposed to safety 
considerations, are provided.
    (e) 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 the required authority and organizational 
freedom.
    (f) 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 section are being performed, must have direct 
access to the levels of management necessary to perform this function.



Sec. 71.105  Quality assurance program.

    (a) The licensee shall establish, at the earliest practicable time 
consistent with the schedule for accomplishing

[[Page 320]]

the activities, a quality assurance program that complies with the 
requirements of Secs. 71.101 through 71.137. The licensee shall document 
the quality assurance program by written procedures or instructions and 
shall carry out the program in accordance with those procedures 
throughout the period during which the packaging is used. The licensee 
shall identify the material and components to be covered by the quality 
assurance program, the major organizations participating in the program, 
and the designated functions of these organizations.
    (b) The licensee, through its quality assurance program, shall 
provide control over activities affecting the quality of the identified 
materials and components to an extent consistent with their importance 
to safety, and as necessary to assure conformance to the approved design 
of each individual package used for the shipment of radioactive 
material. The licensee shall assure that activities affecting quality 
are accomplished under suitably controlled conditions. Controlled 
conditions include the use of appropriate equipment; suitable 
environmental conditions for accomplishing the activity, such as 
adequate cleanliness; and assurance that all prerequisites for the given 
activity have been satisfied. The licensee 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.
    (c) The licensee shall base the requirements and procedures of its 
quality assurance program on the following considerations concerning the 
complexity and proposed use of the package and its components:
    (1) The impact of malfunction or failure of the item to safety;
    (2) The design and fabrication complexity or uniqueness of the item;
    (3) The need for special controls and surveillance over processes 
and equipment;
    (4) The degree to which functional compliance can be demonstrated by 
inspection or test; and
    (5) The quality history and degree of standardization of the item.
    (d) The licensee shall provide for indoctrination and training of 
personnel performing activities affecting quality, as necessary to 
assure that suitable proficiency is achieved and maintained. The 
licensee shall review the status and adequacy of the quality assurance 
program at established intervals. Management of other organizations 
participating in the quality assurance program shall review regularly 
the status and adequacy of that part of the quality assurance program 
which they are executing.



Sec. 71.107  Package design control.

    (a) The licensee shall establish measures to assure that applicable 
regulatory requirements and the package design, as specified in the 
license for those materials and components to which this section 
applies, are correctly translated into specifications, drawings, 
procedures, and instructions. These measures must include provisions to 
assure that appropriate quality standards are specified and included in 
design documents and that deviations from standards are controlled. 
Measures must 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 materials, 
parts, and components of the packaging.
    (b) The licensee shall establish measures for the identification and 
control of design interfaces and for coordination among participating 
design organizations. These measures must include the establishment of 
written procedures, among participating design organizations, for the 
review, approval, release, distribution, and revision of documents 
involving design interfaces. The design control measures must provide 
for verifying or checking the adequacy of design, by methods such as 
design reviews, alternate or simplified calculational methods, or by a 
suitable testing program. For the verifying or checking process, the 
licensee shall designate individuals or groups other than those who were 
responsible for 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

[[Page 321]]

lieu of other verifying or checking processes, the licensee shall 
include suitable qualification testing of a prototype or sample unit 
under the most adverse design conditions. The licensee shall apply 
design control measures to items such as the following:
    (1) Criticality physics, radiation shielding, stress, thermal, 
hydraulic, and accident analyses;
    (2) Compatibility of materials;
    (3) Accessibility for inservice inspection, maintenance, and repair;
    (4) Features to facilitate decontamination; and
    (5) Delineation of acceptance criteria for inspections and tests.
    (c) The licensee shall subject design changes, including field 
changes, to design control measures commensurate with those applied to 
the original design. Changes in the conditions specified in the package 
approval require NRC approval.



Sec. 71.109  Procurement document control.

    The licensee shall establish measures to assure that adequate 
quality is required in the documents for procurement of material, 
equipment, and services, whether purchased by the licensee or by its 
contractors or subcontractors. To the extent necessary, the licensee 
shall require contractors or subcontractors to provide a quality 
assurance program consistent with the applicable provisions of this 
part.



Sec. 71.111  Instructions, procedures, and drawings.

    The licensee shall prescribe activities affecting quality by 
documented instructions, procedures, or drawings of a type appropriate 
to the circumstances and shall require that these instructions, 
procedures, and drawings be followed. The instructions, procedures, and 
drawings must include appropriate quantitative or qualitative acceptance 
criteria for determining that important activities have been 
satisfactorily accomplished.



Sec. 71.113  Document control.

    The licensee shall establish measures to control the issuance of 
documents such as instructions, procedures, and drawings, including 
changes, which prescribe all activities affecting quality. These 
measures must assure that documents, including changes, are reviewed for 
adequacy, approved for release by authorized personnel, and distributed 
and used at the location where the prescribed activity is performed. 
These measures must assure that changes to documents are reviewed and 
approved.



Sec. 71.115  Control of purchased material, equipment, and services.

    (a) The licensee shall establish measures to assure that purchased 
material, equipment, and services, whether purchased directly or through 
contractors and subcontractors, conform to the procurement documents. 
These measures must 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 on delivery.
    (b) The licensee shall have available documentary evidence that 
material and equipment conform to the procurement specifications before 
installation or use of the material and equipment. The licensee shall 
retain, or have available, this documentary evidence for the life of the 
package to which it applies. The licensee shall assure that the evidence 
is sufficient to identify the specific requirements met by the purchased 
material and equipment.
    (c) The licensee shall assess the effectiveness of the control of 
quality by contractors and subcontractors at intervals consistent with 
the importance, complexity, and quantity of the product or services.



Sec. 71.117  Identification and control of materials, parts, and components.

    The licensee shall establish measures for the identification and 
control of materials, parts, and components. These measures must assure 
that identification of the item is maintained by heat number, part 
number, or other appropriate means, either on the item or on records 
traceable to the item, as required throughout fabrication, installation, 
and use of the item. These identification and control measures must

[[Page 322]]

be designed to prevent the use of incorrect or defective materials, 
parts, and components.



Sec. 71.119  Control of special processes.

    The licensee shall establish measures 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.



Sec. 71.121  Internal inspection.

    The licensee shall establish and execute a program for inspection of 
activities affecting quality by or for the organization performing the 
activity, to verify conformance with the documented instructions, 
procedures, and drawings for accomplishing the activity. The inspection 
must be performed by individuals other than those who performed the 
activity being inspected. Examination, measurements, or tests of 
material or products processed must be performed for each work operation 
where necessary to assure quality. If direct inspection of processed 
material or products is not carried out, indirect control by monitoring 
processing methods, equipment, and personnel must be provided. Both 
inspection and process monitoring must be provided when quality control 
is inadequate without both. If mandatory inspection hold points, which 
require witnessing or inspecting by the licensee's designated 
representative and beyond which work should not proceed without the 
consent of its designated representative, are required, the specific 
hold points must be indicated in appropriate documents.



Sec. 71.123  Test control.

    The licensee shall establish a test program to assure that all 
testing required to demonstrate that the packaging components will 
perform satisfactorily in service is identified and performed in 
accordance with written test procedures that incorporate the 
requirements of this part and the requirements and acceptance limits 
contained in the package approval. The test procedures must include 
provisions for assuring that all prerequisites for the given test are 
met, that adequate test instrumentation is available and used, and that 
the test is performed under suitable environmental conditions. The 
licensee shall document and evaluate the test results to assure that 
test requirements have been satisfied.



Sec. 71.125  Control of measuring and test equipment.

    The licensee shall establish measures to assure that tools, gauges, 
instruments, and other measuring and testing devices used in activities 
affecting quality are properly controlled, calibrated, and adjusted at 
specified times to maintain accuracy within necessary limits.



Sec. 71.127  Handling, storage, and shipping control.

    The licensee shall establish measures to control, in accordance with 
instructions, the handling, storage, shipping, cleaning, and 
preservation of materials and equipment to be used in packaging to 
prevent damage or deterioration. When necessary for particular products, 
special protective environments, such as inert gas atmosphere, and 
specific moisture content and temperature levels must be specified and 
provided.



Sec. 71.129  Inspection, test, and operating status.

    (a) The licensee shall establish measures 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 packaging. These measures must provide for the 
identification of items that have satisfactorily passed required 
inspections and tests, where necessary to preclude inadvertent bypassing 
of the inspections and tests.
    (b) The licensee shall establish measures to identify the operating 
status of components of the packaging, such as tagging valves and 
switches, to prevent inadvertent operation.

[[Page 323]]



Sec. 71.131  Nonconforming materials, parts, or components.

    The licensee shall establish measures to control materials, parts, 
or components that do not conform to the licensee's requirements to 
prevent their inadvertent use or installation. These measures must 
include, as appropriate, procedures for identification, documentation, 
segregation, disposition, and notification to affected organizations. 
Nonconforming items must be reviewed and accepted, rejected, repaired, 
or reworked in accordance with documented procedures.



Sec. 71.133  Corrective action.

    The licensee shall establish measures to assure that conditions 
adverse to quality, such as deficiencies, deviations, defective material 
and equipment, and nonconformances, are promptly identified and 
corrected. In the case of a significant condition adverse to quality, 
the measures must 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 must be documented and 
reported to appropriate levels of management.



Sec. 71.135  Quality assurance records.

    The licensee shall maintain sufficient written records to describe 
the activities affecting quality. The records must include the 
instructions, procedures, and drawings required by Sec. 71.111 to 
prescribe quality assurance activities and must include closely related 
specifications such as required qualifications of personnel, procedures, 
and equipment. The records must include the instructions or procedures 
which establish a records retention program that is consistent with 
applicable regulations and designates factors such as duration, 
location, and assigned responsibility. The licensee shall retain these 
records for 3 years beyond the date when the licensee last engages in 
the activity for which the quality assurance program was developed. If 
any portion of the written procedures or instructions is superseded, the 
licensee shall retain the superseded material for 3 years after it is 
superseded.



Sec. 71.137  Audits.

    The licensee shall carry out a comprehensive system of planned and 
periodic audits, to verify compliance with all aspects of the quality 
assurance program, and to determine the effectiveness of the program. 
The audits must be performed in accordance with written procedures or 
checklists by appropriately trained personnel not having direct 
responsibilities in the areas being audited. Audited results must be 
documented and reviewed by management having responsibility in the area 
audited. Follow-up action, including reaudit of deficient areas, must be 
taken where indicated.

 Appendix A to Part 71--Determination of A1 and A2

    I. Values of A1 and A2 for individual 
radionuclides, which are the bases for many activity limits elsewhere in 
these regulations are given in Table A-1. The curie (Ci) values 
specified are obtained by converting from the Terabecquerel (TBq) 
figure. The curie values are expressed to three significant figures to 
assure that the difference in the TBq and Ci quantities is one tenth of 
one percent or less. Where values of A1 or A2 are 
unlimited, it is for radiation control purposes only. For nuclear 
criticality safety, some materials are subject to controls placed on 
fissile material.
    II. For individual radionuclides whose identities are known, but 
which are not listed in Table A-1, the determination of the values of 
A1 and A2 requires Commission approval, except 
that the values of A1 and A2 in Table A-2 may be 
used without obtaining Commission approval.
    III. In the calculations of A1 and A2 for a 
radionuclide not in Table A-1, a single radioactive decay chain, in 
which radionuclides are present in their naturally occurring 
proportions, and in which no daughter nuclide has a half-life either 
longer than 10 days, or longer than that of the parent nuclide, shall be 
considered as a single radionuclide, and the activity to be taken into 
account, and the A1 or A2 value to be applied 
shall be those corresponding to the parent nuclide of that chain. In the 
case of radioactive decay chains in which any daughter nuclide has a 
half-life either longer than 10 days, or greater than that of the parent 
nuclide, the parent and those daughter nuclides shall be considered as 
mixtures of different nuclides.

[[Page 324]]

    IV. For mixtures of radionuclides whose identities and respective 
activities are known, the following conditions apply:
    (a) For special form radioactive material, the maximum quantity 
transported in a Type A package:
[GRAPHIC] [TIFF OMITTED] TR28SE95.001

    (b) For normal form radioactive material, the maximum quantity 
transported in a Type A package:
[GRAPHIC] [TIFF OMITTED] TR28SE95.002

Where B(i) is the activity of radionuclide I and A1(i) and 
A2(i) are the A1 and A2 values for 
radionuclide I, respectively.
    Alternatively, an A1 value for mixtures of special form 
material may be determined as follows:
[GRAPHIC] [TIFF OMITTED] TR28SE95.003

Where f(i) is the fraction of activity of nuclide I in the mixture and 
A1(i) is the appropriate A1 value for nuclide I.
    An A2 value for mixtures of normal form material may be 
determined as follows:
[GRAPHIC] [TIFF OMITTED] TR28SE95.004

Where f(i) is the fraction of activity of nuclide I in the mixture and 
A2(i) is the appropriate A2 value for nuclide I.
    V. When the identity of each radionuclide is known, but the 
individual activities of some of the radionuclides are not known, the 
radionuclides may be grouped and the lowest A1 or 
A2 value, as appropriate, for the radionuclides in each group 
may be used in applying the formulas in paragraph IV. Groups may be 
based on the total alpha activity and the total beta/gamma activity when 
these are known, using the lowest A1 or A2 values 
for the alpha emitters and beta/gamma emitters.

[[Page 325]]



                                                     Table A-1.--A1 and A2 Values for Radionuclides
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                     Specific activity
    Symbol of radionuclide               Element and atomic number              A1 (TBq)     A1 (Ci)      A2 (TBq)     A2 (Ci)   -----------------------
                                                                                                                                    (TBq/g)     (Ci/g)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ac-225.......................                                   Actinium(89)  0.6          16.2         1x10-2       0.270        2.1x103     5.8x104
Ac-227.......................                                                 40           1080         2x10-5       5.41x10-4    2.7         7.2x101
Ac-228.......................                                                 0.6          16.2         0.4          10.8         8.4x104     2.2x106
Ag-105.......................                                     Silver(47)  2            54.1         2            54.1         1.1x103     3.0x104
Ag-108m......................                                                 0.6          16.2         0.6          16.2         9.7x10-1    2.6x101
Ag-110m......................                                                 0.4          10.8         0.4          10.8         1.8x102     4.7x103
Ag-111.......................                                                 0.6          16.2         0.5          13.5         5.8x103     1.6x105
Al-26........................                                   Aluminum(13)  0.4          10.8         0.4          10.8         7.0x10-4    1.9x10-2
Am-241.......................                                  Americium(95)  2            54.1         2x10-4       5.41x10-3    1.3x10-1    3.4
Am-242m......................                                                 2            54.1         2x10-4       5.41x10-3    3.6x10-1    1.0x101
Am-243.......................                                                 2            54.1         2x10-4       5.41x10-3    7.4x10-3    2.0x10-1
Ar-37........................                                      Argon(18)  40           1080         40           1080         3.7x103     9.9x104
Ar-39........................                                                 20           541          20           541          1.3         3.4x101
Ar-41........................                                                 0.6          16.2         0.6          16.2         1.5x106     4.2x107
Ar-42........................                                                 0.2          5.41         0.2          5.41         9.6         2.6x102
As-72........................                                    Arsenic(33)  0.2          5.41         0.2          5.41         6.2x104     1.7x106
As-73........................                                                 40           1080         40           1080         8.2x102     2.2x104
As-74........................                                                 1            27.0         0.5          13.5         3.7x103     9.9x104
As-76........................                                                 0.2          5.41         0.2          5.41         5.8x104     1.6x106
As-77........................                                                 20           541          0.5          13.5         3.9x104     1.0x106
At-211.......................                                   Astatine(85)  30           811          2            54.1         7.6x104     2.1x106
Au-193.......................                                       Gold(79)  6            162          6            162          3.4x104     9.2x105
Au-194.......................                                                 1            27.0         1            27.0         1.5x104     4.1x105
Au-195.......................                                                 10           270          10           270          1.4x102     3.7x103
Au-196.......................                                                 2            54.1         2            54.1         4.0x103     1.1x105
Au-198.......................                                                 3            81.1         0.5          13.5         9.0x103     2.4x105
Au-199.......................                                                 10           270          0.9          24.3         7.7x103     2.1x105
Ba-131.......................                                     Barium(56)  2            54.1         2            54.1         3.1x103     8.4x104
Ba-133m......................                                                 10           270          0.9          24.3         2.2x104     6.1x105
Ba-133.......................                                                 3            81.1         3            81.1         9.4         2.6x102
Ba-140.......................                                                 0.4          10.8         0.4          10.8         2.7x103     7.3x104
Be-7.........................                                   Beryllium(4)  20           541          20           541          1.3x104     3.5x105
Be-10........................                                                 20           541          0.5          13.5         8.3x10-4     2.2x10-2
Bi-205.......................                                    Bismuth(83)  0.6          16.2         0.6          16.2         1.5x10-3    4.2x104
Bi-206.......................                                                 0.3          8.11         0.3          8.11         3.8x103     1.0x105
Bi-207.......................                                                 0.7          18.9         0.7          18.9         1.9         5.2x101
Bi-210m......................                                                 0.3          8.11         3x10-2       0.811        2.1x10-5    5.7x10-4
Bi-210.......................                                                 0.6          16.2         0.5          13.5         4.6x103     1.2x105
Bi-212.......................                                                 0.3          8.11         0.3          8.11         5.4x105     1.5x107
Bk-247.......................                                  Berkelium(97)  2            54.1         2x10-4       5.41x10-3    3.8x10-2    1.0
Bk-249.......................                                                 40           1080         8x10-2       2.16         6.1x101     1.6x103
Br-76........................                                    Bromine(35)  0.3          8.11         0.3          8.11         9.4x104     2.5x106
Br-77........................                                                 3            81.1         3            81.1         2.6x104     7.1x105
Br-82........................                                                 0.4          10.8         0.4          10.8         4.0x104     1.1x106

[[Page 326]]

 
C-11.........................                                      Carbon(6)  1            27           0.5          13.5         3.1x107     8.4x108
C-14.........................                                                 40           1080         2            54.1         1.6x10-1    4.5
Ca-41........................                                    Calcium(20)  40           1080         40           1080         3.1x10-3    8.5x10-2
Ca-45........................                                                 40           1080         0.9          24.3         6.6x102     1.8x104
Ca-47........................                                                 0.9          24.3         0.5          13.5         2.3x104     6.1x105
Cd-109.......................                                    Cadmium(48)  40           1080         1            27.0         9.6x101     2.6x103
Cd-113m......................                                                 20           541          9x10-2       2.43         8.3         2.2x102
Cd-115m......................                                                 0.3          8.11         0.3          8.11         9.4x102     2.5x104
Cd-115.......................                                                 4            108          0.5          13.5         1.9x104     5.1x105
Ce-139.......................                                     Cerium(58)  6            162          6            162          2.5x102     6.8x103
Ce-141.......................                                                 10           270          0.5          13.5         1.1x103     2.8x104
Ce-143.......................                                                 0.6          16.2         0.5          13.5         2.5x104     6.6x105
Ce-144.......................                                                 0.2          5.41         0.2          5.41         1.2x102     3.2x103
Cf-248.......................                                Californium(98)  30           811          3x10-3       8.11x10-2    5.8x101     1.6x103
Cf-249.......................                                                 2            54.1         2x10-4       5.41x10-3    1.5x10-1    4.1
Cf-250.......................                                                 5            135          5x10-4       1.35x10-2    4.0         1.1x102
Cf-251.......................                                                 2            54.1         2x10-4       5.41x10-3    5.9x10-2    1.6
Cf-252.......................                                                 0.1          2.70         1x10-3       2.70x10-2    2.0x101     5.4x102
Cf-253.......................                                                 40           1080         6x10-2       1.62         1.1x103     2.9x104
Cf-254.......................                                                 3x10-3       8.11x10-2    6x10-4       1.62x10-2    3.1x102     8.5x103
Cl-36........................                                   Chlorine(17)  20           541          0.5          13.5         1.2x10-3    3.3x10-2
Cl-38........................                                                 0.2          5.41         0.2          5.41         4.9x106     1.3x108
Cm-240.......................                                     Curium(96)  40           1080         2x10-2       0.541        7.5x102     2.0x104
Cm-241.......................                                                 2            54.1         0.9          24.3         6.1x102     1.7x104
Cm-242.......................                                                 40           1080         1x10-2       0.270        1.2x102     3.3x103
Cm-243.......................                                                 3            81.1         3x10-4       8.11x10-3    1.9         5.2x101
Cm-244.......................                                                 4            108          4x10-4       1.08x10-2    3.0         8.1x101
Cm-245.......................                                                 2            54.1         2x10-4       5.41x10-3    6.4x10-3    1.7x10-1
Cm-246.......................                                                 2            54.1         2x10-4       5.41x10-3    1.1x10-2    3.1x10-1
Cm-247.......................                                                 2            54.1         2x10-4       5.41x10-3    3.4x10-6    9.3x10-5
Cm-248.......................                                                 4x10-2       1.08         5x10-5       1.35x10-3    1.6x10-4    4.2x10-3
Co-55........................                                     Cobalt(27)  0.5          13.5         0.5          13.5         1.1x105     3.1x106
Co-56........................                                                 0.3          8.11         0.3          8.11         1.1x103     3.0x104
Co-57........................                                                 8            216          8            216          3.1x102     8.4x103
Co-58m.......................                                                 40           1080         40           1080         2.2x105     5.9x106
Co-58........................                                                 1            27.0         1            27.0         1.2x103     3.2x104
Co-60........................                                                 0.4          10.8         0.4          10.8         4.2x101     1.1x103
Cr-51........................                                   Chromium(24)  30           811          30           811          3.4x103     9.2x104
Cs-129.......................                                     Cesium(55)  4            108          4            108          2.8x104     7.6x105
Cs-131.......................                                                 40           1080         40           1080         3.8x103     1.0x105
Cs-132.......................                                                 1            27.0         1            27.0         5.7x103     1.5x105
Cs-134m......................                                                 40           1080         9            243          3.0x105     8.0x106
Cs-134.......................                                                 0.6          16.2         0.5          13.5         4.8x101     1.3x103
Cs-135.......................                                                 40           1080         0.9          24.3         4.3x10-5    1.2x10-3

[[Page 327]]

 
Cs-136.......................                                                 0.5          13.5         0.5          13.5         2.7x103     7.3x104
Cs-137.......................                                                 2            54.1         0.5          13.5         3.2         8.7x101
Cu-64........................                                     Copper(29)  5            135          0.9          24.3         1.4x105     3.9x106
Cu-67........................                                                 9            243          0.9          24.3         2.8x104     7.6x105
Dy-159.......................                                 Dysprosium(66)  20           541          20           541          2.1x102     5.7x103
Dy-165.......................                                                 0.6          16.2         0.5          13.5         3.0x105     8.2x106
Dy-166.......................                                                 0.3          8.11         0.3          8.11         8.6x103     2.3x105
Er-169.......................                                     Erbium(68)  40           1080         0.9          24.3         3.1x103     8.3x104
Er-171.......................                                                 0.6          16.2         0.5          13.5         9.0x104     2.4x106
Es-253.......................                              Einsteinium(99) a  200          5400         2x10-2       5.41x10-1    ..........  ..........
Es-254.......................                                                 30           811          3x10-3       8.11x10-2    ..........  ..........
Es-254m......................                                                 0.6          16.2         0.4          10.8         ..........  ..........
Es-255.......................
Eu-147.......................                                   Europium(63)  2            54.1         2            54.1         1.4x103     3.7x104
Eu-148.......................                                                 0.5          13.5         0.5          13.5         6.0x102     1.6x104
Eu-149.......................                                                 20           541          20           541          3.5x102     9.4x103
Eu-150.......................                                                 0.7          18.9         0.7          18.9         6.1x104     1.6x106
Eu-152m......................                                                 0.6          16.2         0.5          13.5         8.2x104     2.2x106
Eu-152.......................                                                 0.9          24.3         0.9          24.3         6.5         1.8x102
Eu-154.......................                                                 0.8          21.6         0.5          13.5         9.8         2.6x102
Eu-155.......................                                                 20           541          2            54.1         1.8x101     4.9x102
Eu-156.......................                                                 0.6          16.2         0.5          13.5         2.0x103     5.5x104
F-18.........................                                    Fluorine(9)  1            27.0         0.5          13.5         3.5x106     9.5x107
Fe-52........................                                       Iron(26)  0.2          5.41         0.2          5.41         2.7x105     7.3x106
Fe-55........................                                                 40           1080         40           1080         8.8x101     2.4x103
Fe-59........................                                                 0.8          21.6         0.8          21.6         1.8x103     5.0x104
Fe-60........................                                                 40           1080         0.2          5.41         7.4x10-4    2.0x10-2
Fm-255.......................                                 Fermium(100) b  40           1080         0.8          21.6
Fm-257.......................                                                 10           270          8x10-3       2.16x10-1
Ga-67........................                                    Gallium(31)  6            162          6            162          2.2x104     6.0x105
Ga-68........................                                                 0.3          8.11         0.3          8.11         1.5x106     4.1x107
Ga-72........................                                                 0.4          10.8         0.4          10.8         1.1x105     3.1x106
Gd-146.......................                                 Gadolinium(64)  0.4          10.8         0.4          10.8         6.9x102     1.9x104
Gd-148.......................                                                 3            81.1         3x10-4       8.11x10-3    1.2         3.2x101
Gd-153.......................                                                 10           270          5            135          1.3x102     3.5x103
Gd-159.......................                                                 4            108          0.5          13.5         3.9x104     1.1x106
Ge-68........................                                  Germanium(32)  0.3          8.11         0.3          8.11         2.6x102     7.1x103
Ge-71........................                                                 40           1080         40           1080         5.8x103     1.6x105
Ge-77........................                                                 0.3          8.11         0.3          8.11         1.3x105     3.6x106
H-3..........................                                    Hydrogen(1)  See T-
                                                                               Tritium
Hf-172.......................                                    Hafnium(72)  0.5          13.5         0.3          8.11         4.1x101     1.1x103
Hf-175.......................                                                 3            81.1         3            81.1         3.9x102     1.1x104
Hf-181.......................                                                 2            54.1         0.9          24.3         6.3x102     1.7x104
Hf-182.......................                                                 4            108          3x10-2       0.811        8.1x10-6    2.2x10-4
Hg-194.......................                                    Mercury(80)  1            27.0         1            27.0         1.3x10-1    3.5
Hg-195m......................                                                 5            135          5            135          1.5x104     4.0x105
Hg-197m......................                                                 10           270          0.9          24.3         2.5x104     6.7x105
Hg-197.......................                                                 10           270          10           270          9.2x103     2.5x105
Hg-203.......................                                                 4            108          0.9          24.3         5.1x102     1.4x104
Ho-163.......................                                    Holmium(67)  40           1080         40           1080         2.7         7.6x101

[[Page 328]]

 
Ho-166m......................                                                 0.6          16.2         0.3          8.11         6.6x10-2    1.8
Ho-166.......................                                                 0.3          8.11         0.3          8.11         2.6x104     7.0x105
I-123........................                                     Iodine(53)  6            162          6            162          7.1x104     1.9x106
I-124........................                                                 0.9          24.3         0.9          24.3         9.3x103     2.5x105
I-125........................                                                 20           541          2            54.1         6.4x102     1.7x104
I-126........................                                                 2            54.1         0.9          24.3         2.9x103     8.0x104
I-129........................                                                 Unlimited    Unlimited    Unlimited    Unlimited    6.5x10-6    1.8x10-4
I-131........................                                                 3            81.1         0.5          13.5         4.6x103     1.2x105
I-132........................                                                 0.4          10.8         0.4          10.8         3.8x105     1.0x107
I-133........................                                                 0.6          16.2         0.5          13.5         4.2x104     1.1x106
I-134........................                                                 0.3          8.11         0.3          8.11         9.9x105     2.7x107
I-135........................                                                 0.6          16.2         0.5          13.5         1.3x105     3.5x106
In-111.......................                                     Indium(49)  2            54.1         2            54.1         1.5x104     4.2x105
In-113m......................                                                 4            108          4            108          6.2x105     1.7x107
In-114m......................                                                 0.3          8.11         0.3          8.11         8.6x102     2.3x104
In-115m......................                                                 6            162          0.9          24.3         2.2x105     6.1x106
Ir-189.......................                                    Iridium(77)  10           270          10           270          1.9x103     5.2x104
Ir-190.......................                                                 0.7          18.9         0.7          18.9         2.3x103     6.2x104
Ir-192.......................                                                 1            27.0         0.5          13.5         3.4x102     9.2x103
Ir-193m......................                                                 10           270          10           270          2.4x103     6.4x104
Ir-194.......................                                                 0.2          5.41         0.2          5.41         3.1x104     8.4x105
K-40.........................                                  Potassium(19)  0.6          16.2         0.6          16.2         2.4x10-7    6.4x10-6
K-42.........................                                                 0.2          5.41         0.2          5.41         2.2x105     6.0x106
K-43.........................                                                 1.0          27.0         0.5          13.5         1.2x105     3.3x106
Kr-81........................                                    Krypton(36)  40           1080         40           1080         7.8x10-4    2.1x10-2
Kr-85m.......................                                                 6            162          6            162          3.0x105     8.2x106
Kr-85........................                                                 20           541          10           270          1.5x101     3.9x102
Kr-87........................                                                 0.2          5.41         0.2          5.41         1.0x106     2.8x107
La-137.......................                                  Lanthanum(57)  40           1080         2            54.1         1.6x10-3    4.4x10-2
La-140.......................                                                 0.4          10.8         0.4          10.8         2.1x104     5.6x105
Lu-172.......................                                   Lutetium(71)  0.5          13.5         0.5          13.5         4.2x103     1.1x105
Lu-173.......................                                                 8            216          8            216          5.6x101     1.5x103
Lu-174m......................                                                 20           541          8            216          2.0x102     5.3x103
Lu-174.......................                                                 8            216          4            108          2.3x101     6.2x102
Lu-177.......................                                                 30           811          0.9          24.3         4.1x103     1.1x105
MFP..........................                              For mixed fission products, use formula for mixtures or Table A-2
Mg-28........................                                  Magnesium(12)  0.2          5.41         0.2          5.41         2.0x105     5.4x106
Mn-52........................                                  Manganese(25)  0.3          8.11         0.3          8.11         1.6x104     4.4x105
Mn-53........................                                                 Unlimited    Unlimited    Unlimited    Unlimited    6.8x10-5    1.8x10-3
Mn-54........................                                                 1            27.0         1            27.0         2.9x102     7.7x103
Mn-56........................                                                 0.2          5.41         0.2          5.41         8.0x105     2.2x107
Mo-93........................                                 Molybdenum(42)  40           1080         7            189          4.1x10-2    1.1
Mo-99........................                                                 0.6          16.2         0.5          13.5c        1.8x104     4.8x105
N-13.........................                                    Nitrogen(7)  0.6          16.2         0.5          13.5         5.4x107     1.5x109

[[Page 329]]

 
Na-22........................                                     Sodium(11)  0.5          13.5         0.5          13.5         2.3x102     6.3x103
Na-24........................                                                 0.2          5.41         0.2          5.41         3.2x105     8.7x106
Nb-92m.......................                                    Niobium(41)  0.7          18.9         0.7          18.9         5.2x103     1.4x105
Nb-93m.......................                                                 40           1080         6            162          8.8         2.4x102
Nb-94........................                                                 0.6          16.2         0.6          16.2         6.9x10-3    1.9x10-1
Nb-95........................                                                 1            27.0         1            27.0         1.5x103     3.9x104
Nb-97........................                                                 0.6          16.2         0.5          13.5         9.9x105     2.7x107
Nd-147.......................                                  Neodymium(60)  4            108          0.5          13.5         3.0x103     8.1x104
Nd-149.......................                                                 0.6          16.2         0.5          13.5         4.5x105     1.2x107
Ni-59........................                                     Nickel(28)  40           1080         40           1080         3.0x10-3    8.0x10-2
Ni-63........................                                                 40           1080         30           811          2.1         5.7x101
Ni-65........................                                                 0.3          8.11         0.3          8.11         7.1x105     1.9x107
Np-235.......................                                  Neptunium(93)  40           1080         40           1080         5.2x101     1.4x103
Np-236.......................                                                 7            189          1x10-3       2.70x10-2    4.710-4-4   1.3x10-2
Np-237.......................                                                 2            54.1         2x10-4       5.41x10-3    2.6x10-5    7.1x10-4
Np-239.......................                                                 6            162          0.5          13.5         8.6x103     2.3x105
Os-185.......................                                     Osmium(76)  1            27.0         1            27.0         2.8x102     7.5x103
Os-191m......................                                                 40           1080         40           1080         4.6x104     1.3x106
Os-191.......................                                                 10           270          0.9          24.3         1.6x103     4.4x104
Os-193.......................                                                 0.6          16.2         0.5          13.5         2.0x104     5.3x105
Os-194.......................                                                 0.2          5.41         0.2          5.41         1.1x101     3.1x102
P-32.........................                                 Phosphorus(15)  0.3          8.11         0.3          8.11         1.1x104     2.9x105
P-33.........................                                                 40           1080         0.9          24.3         5.8x103     1.6x105
Pa-230.......................                               Protactinium(91)  2            54.1         0.1          2.70         1.2x103     3.3x104
Pa-231.......................                                                 0.6          16.2         6x10-5       1.62x10-3    1.7x10-3    4.7x10-2
Pa-233.......................                                                 5            135          0.9          24.3         7.7x102     2.1x104
Pb-201.......................                                       Lead(82)  1            27.0         1            27.0         6.2x104     1.7x106
Pb-202.......................                                                 40           1080         2            54.1         1.2x10-4    3.4x10-3
Pb-203.......................                                                 3            81.1         3            81.1         1.1x104     3.0x105
Pb-205.......................                                                 Unlimited    Unlimited    Unlimited    Unlimited    4.5x10-6    1.2x10-4
Pb-210.......................                                                 0.6          16.2         9x10-3       0.243        2.8         7.6x101
Pb-212.......................                                                 0.3          8.11         0.3          8.11         5.1x104     1.4x106
Pd-103.......................                                  Palladium(46)  40           1080         40           1080         2.8x103     7.5x104
Pd-107.......................                                                 Unlimited    Unlimited    Unlimited    Unlimited    1.9x10-5    5.1x10-4
Pd-109.......................                                                 0.6          16.2         0.5          13.5         7.9x104     2.1x106
Pm-143.......................                                 Promethium(61)  3            81.1         3            81.1         1.3x102     3.4x103
Pm-144.......................                                                 0.6          16.2         0.6          16.2         9.2x101     2.5x103
Pm-145.......................                                                 30           811          7            189          5.2         1.4x102
Pm-147.......................                                                 40           1080         0.9          24.3         3.4x101     9.3x102
Pm-148m......................                                                 0.5          13.5         0.5          13.5         7.9x102     2.1x104
Pm-149.......................                                                 0.6          16.2         0.5          13.5         1.5x104     4.0x105
Pm-151.......................                                                 3            81.1         0.5          13.5         2.7x104     7.3x105
Po-208.......................                                   Polonium(84)  40           1080         2x10-2       0.541        2.2x101     5.9x102
Po-209.......................                                                 40           1080         2x10-2       0.541        6.2x10-1    1.7x101
Po-210.......................                                                 40           1080         2x10-2       0.541        1.7x102     4.5x103
Pr-142.......................                               Praseodymium(59)  0.2          5.41         0.2          5.41         4.3x104     1.2x106
Pr-143.......................                                                 4            108          0.5          13.5         2.5x103     6.7x104
Pt-188.......................                                   Platinum(78)  0.6          16.2         0.6          16.2         2.5x103     6.8x104
Pt-191.......................                                                 3            81.1         3            81.1         8.7x103     2.4x105
Pt-193m......................                                                 40           1080         9            243          5.8x103     1.6x105

[[Page 330]]

 
Pt-193.......................                                                 40           1080         40           1080         1.4         3.7x101
Pt-195m......................                                                 10           270          2            54.1         6.2x103     1.7x105
Pt-197m......................                                                 10           270          0.9          24.3         3.7x105     1.0x107
Pt-197.......................                                                 20           541          0.5          13.5         3.2x104     8.7x105
Pu-236.......................                                  Plutonium(94)  7            189          7x10-4       1.89x10-2    2.0x101     5.3x102
Pu-237.......................                                                 20           541          20           541          4.5x102     1.2x104
Pu-238.......................                                                 2            54.1         2x10-4       5.41x10-3    6.3x10-1    1.7x101
Pu-239.......................                                                 2            54.1         2x10-4       5.41x10-3    2.3x10-3    6.2x10-2
Pu-240.......................                                                 2            54.1         2x10-4       5.41x10-3    8.4x10-3    2.3x10-1
Pu-241.......................                                                 40           1080         1x10-2       0.270        3.8         1.0x102
Pu-242.......................                                                 2            54.1         2x10-4       5.41x10-3    1.5x10-4    3.9x10-3
Pu-244.......................                                                 0.3          8.11         2x10-4       5.41x10-3    6.7x10-7    1.8x10-5
Ra-223.......................                                     Radium(88)  0.6          16.2         3x10-2       0.811        1.9x103     5.1x104
Ra-224.......................                                                 0.3          8.11         6x10-2       1.62         5.9x103     1.6x105
Ra-225.......................                                                 0.6          16.2         2x10-2       0.541        1.5x103     3.9x104
Ra-226.......................                                                 0.3          8.11         2x10-2       0.541        3.7x10-2    1.0
Ra-228.......................                                                 0.6          16.2         4x10-2       1.08         1.0x101     2.7x102
Rb-81........................                                   Rubidium(37)  2            54.1         0.9          24.3         3.1x105     8.4x106
Rb-83........................                                                 2            54.1         2            54.1         6.8x102     1.8x104
Rb-84........................                                                 1            27.0         0.9          24.3         1.8x103     4.7x104
Rb-86........................                                                 0.3          8.11         0.3          8.11         3.0x103     8.1x104
Rb-87........................                                                 Unlimited    Unlimited    Unlimited    Unlimited    3.2x10-9    8.6x10-8
Rb (natural).................                                                 Unlimited    Unlimited    Unlimited    Unlimited    6.7x106     1.8x108
Re-183.......................                                    Rhenium(75)  5            135          5            135          3.8x102     1.0x104
Re-184m......................                                                 3            81.1         3            81.1         1.6x102     4.3x103
Re-184.......................                                                 1            27.0         1            27.0         6.9x102     1.9x104
Re-186.......................                                                 4            108          0.5          13.5         6.9x103     1.9x105
Re-187.......................                                                 Unlimited    Unlimited    Unlimited    Unlimited    1.4x10-9    3.8x10-8
Re-188.......................                                                 0.2          5.41         0.2          5.41         3.6x104     9.8x105
Re-189.......................                                                 4            108          0.5          13.5         2.5x104     6.8x105
Re (natural).................                                                 Unlimited    Unlimited    Unlimited    Unlimited                2.4x10-8
Rh-99........................                                    Rhodium(45)  2            54.1         2            54.1         3.0x103     8.2x104
Rh-101.......................                                                 4            108          4            108          4.1x101     1.1x103
Rh-102m......................                                                 2            54.1         0.9          24.3         2.3x102     6.2x103
Rh-102.......................                                                 0.5          13.5         0.5          13.5         4.5x101     1.2x103
Rh-103m......................                                                 40           1080         40           1080         1.2x106     3.3x107
Rh-105.......................                                                 10           270          0.9          24.3         3.1x104     8.4x105
Rn-222.......................                                      Radon(86)  0.2          5.41         4x10-3       0.108        5.7x103     1.5x105
Ru-97........................                                  Ruthenium(44)  4            108          4            108          1.7x104     4.6x105
Ru-103.......................                                                 2            54.1         0.9          24.3         1.2x103     3.2x104
Ru-105.......................                                                 0.6          16.2         0.5          13.5         2.5x105     6.7x106
Ru-106.......................                                                 0.2          5.41         0.2          5.41         1.2x102     3.3x103
S-35.........................                                     Sulfur(16)  40           1080         2            54.1         1.6x103     4.3x104
Sb-122.......................                                   Antimony(51)  0.3          8.11         0.3          8.11         1.5x104     4.0x105

[[Page 331]]

 
Sb-124.......................                                                 0.6          16.2         0.5          13.5         6.5x102     1.7x104
Sb-125.......................                                                 2            54.1         0.9          24.3         3.9x101     1.0x103
Sb-126.......................                                                 0.4          10.8         0.4          10.8         3.1x103     8.4x104
Sc-44........................                                   Scandium(21)  0.5          13.5         0.5          13.5         6.7x105     1.8x107
Sc-46........................                                                 0.5          13.5         0.5          13.5         1.3x103     3.4x104
Sc-47........................                                                 9            243          0.9          24.3         3.1x104     8.3x105
Sc-48........................                                                 0.3          8.11         0.3          8.11         5.5x104     1.5x106
Se-75........................                                   Selenium(34)  3            81.1         3            81.1         5.4x102     1.5x104
Se-79........................                                                 40           1080         2            54.1         2.6x10-3    7.0x10-2
Si-31........................                                    Silicon(14)  0.6          16.2         0.5          13.5         1.4x106     3.9x107
Si-32........................                                                 40           1080         0.2          5.41         3.9         1.1x102
Sm-145.......................                                   Samarium(62)  20           541          20           541          9.8x101     2.6x103
Sm-147.......................                                                 Unlimited    Unlimited    Unlimited    Unlimited    8.5x10-1    2.3x10-8
Sm-151.......................                                                 40           1080         4            108          9.7x10-1    2.6x101
Sm-153.......................                                                 4            108          0.5          13.5         1.6x104     4.4x105
Sn-113.......................                                        Tin(50)  4            108          4            108          3.7x102     1.0x104
Sn-117m......................                                                 6            162          2            54.1         3.0x103     8.2x104
Sn-119m......................                                                 40           1080         40           1080         1.4x102     3.7x103
Sn-121m......................                                                 40           1080         0.9          24.3         2.0         5.4x101
Sn-123.......................                                                 0.6          16.2         0.5          13.5         3.0x102     8.2x103
Sn-125.......................                                                 0.2          5.41         0.2          5.41         4.0x103     1.1x105
Sn-126.......................                                                 0.3          8.11         0.3          8.11         1.0x10-3    2.8x10-2
Sr-82........................                                  Strontium(38)  0.2          5.41         0.2          5.41         2.3x103     6.2x104
Sr-85m.......................                                                 5            135          5            135          1.2x106     3.3x107
Sr-85........................                                                 2            54.1         2            54.1         8.8x102     2.4x104
Sr-87m.......................                                                 3            81.1         3            81.1         4.8x105     1.3x107
Sr-89........................                                                 0.6          16.2         0.5          13.5         1.1x103     2.9x104
Sr-90........................                                                 0.2          5.41         0.1          2.70         5.1         1.4x102
Sr-91........................                                                 0.3          8.11         0.3          8.11         1.3x105     3.6x106
Sr-92........................                                                 0.8          21.6         0.5          13.5         4.7x105     1.3x107
T............................                                     Tritium(1)  40           1080         40           1080         3.6x102     9.7x103
Ta-178.......................                                   Tantalum(73)  1            27.0         1            27.0         4.2x106     1.1x108
Ta-179.......................                                                 30           811          30           811          4.1x101     1.1x103
Ta-182.......................                                                 0.8          21.6         0.5          13.5         2.3x102     6.2x103
Tb-157.......................                                    Terbium(65)  40           1080         10           270          5.6x10-1    1.5x101
Tb-158.......................                                                 1            27.0         0.7          18.9         5.6x10-1    1.5x101
Tb-160.......................                                                 0.9          24.3         0.5          13.5         4.2x102     1.1x104
Tc-95m.......................                                 Technetium(43)  2            54.1         2            54.1         8.3x102     2.2x104
Tc-96m.......................                                                 0.4          10.8         0.4          10.8         1.4x106     3.8x107
Tc-96........................                                                 0.4          10.8         0.4          10.8         1.2x104     3.2x105
Tc-97m.......................                                                 40           1080         40           1080         5.6x102     1.5x104
Tc-97........................                                                 Unlimited    Unlimited    Unlimited    Unlimited    5.2x10-5    1.4x10-3
Tc-98........................                                                 0.7          18.9         0.7          18.9         3.2x10-5    8.7x10-4
Tc-99m.......................                                                 8            216          8            216          1.9x105     5.3x106
Tc-99........................                                                 40           1080         0.9          24.3         6.3x10-4    1.7x10-2
Te-118.......................                                  Tellurium(52)  0.2          5.41         0.2          5.41         6.8x103     1.8x105
Te-121m......................                                                 5            135          5            135          2.6x102     7.0x103
Te-121.......................                                                 2            54.1         2            54.1         2.4x103     6.4x104
Te-123m......................                                                 7            189          7            189          3.3x102     8.9x103
Te-125m......................                                                 30           811          9            243          6.7x102     1.8x104

[[Page 332]]

 
Te-127m......................                                                 20           541          0.5          13.5         3.5x102     9.4x103
Te-127.......................                                                 20           541          0.5          13.5         9.8x104     2.6x106
Te-129m......................                                                 0.6          16.2         0.5          13.5         1.1x103     3.0x104
Te-129.......................                                                 0.6          16.2         0.5          13.5         7.7x105     2.1x107
Te-131m......................                                                 0.7          18.9         0.5          13.5         3.0x104     8.0x105
Te-132.......................                                                 0.4          10.8         0.4          10.8         1.1x104     3.0x105
Th-227.......................                                    Thorium(90)  9            243          1x10-2       0.270        1.1x103     3.1x104
Th-228.......................                                                 0.3          8.11         4x10-4       1.08x10-2    3.0x101     8.2x102
Th-229.......................                                                 0.3          8.11         3x10-5       8.11x10-4    7.9x10-3    2.1x10-1
Th-230.......................                                                 2            54.1         2x10-4       5.41x10-3    7.6x10-4    2.1x10-2
Th-231.......................                                                 40           1080         0.9          24.3         2.0x104     5.3x105
Th-232.......................                                                 Unlimited    Unlimited    Unlimited    Unlimited    4.0x10-9    1.1x10-7
Th-234.......................                                                 0.2          5.41         0.2          5.41         8.6x102     2.3x104
Th (natural).................                                                 Unlimited    Unlimited    Unlimited    Unlimited    8.1x10-9    2.2x10-7
Ti-44........................                                   Titanium(22)  0.5          13.5         0.2          5.41         6.4         1.7x102
Tl-200.......................                                 Thallium(81.1)  0.8          21.6         0.8          21.6         2.2x104     6.0x105
Tl-201.......................                                                 10           270          10           270          7.9x103     2.1x105
Tl-202.......................                                                 2            54.1         2            54.1         2.0x103     5.3x104
Tl-204.......................                                                 4            108          0.5          13.5         1.7x101     4.6x102
Tm-167.......................                                    Thulium(69)  7            189          7            189          3.1x103     8.5x104
Tm-168.......................                                                 0.8          21.6         0.8          21.6         3.1x102     8.3x103
Tm-170.......................                                                 4            108          0.5          13.5         2.2x102     6.0x103
Tm-171.......................                                                 40           1080         10           270          4.0x101     1.1x103
U-230........................                                    Uranium(92)  40           1080         1x10-2       0.270        1.0x103     2.7x104
U-232........................                                                 3            81.1         3x10-4       8.11x10-3    8.3x10-1    2.2x101
U-233........................                                                 10           270          1x10-3       2.70x10-2    3.6x10-4    9.7x10-3
U-234........................                                                 10           270          1x10-3       2.70x10-2    2.3x10-4    6.2x10-3
U-235........................                                                 Unlimited    Unlimited    Unlimited    Unlimited    8.0x10-8    2.2x10-6
U-236........................                                                 10           270          1x10-3       2.70x10-2    2.4x10-6    6.5x10-5
U-238........................                                                 Unlimited    Unlimited    Unlimited    Unlimited    1.2x10-8    3.4x10-7
U (natural)..................                                                 Unlimited    Unlimited    Unlimited    Unlimited    2.6x10-8    7.1x10-7
U (enriched 5% or less)......                                                 Unlimited    Unlimited    Unlimited    Unlimited                (See Table
                                                                                                                                               A-3)
U (enriched more than 5%)....                                                 10           270          1x10-3       2.70x10-2                (See Table
                                                                                                                                               A-3)
U (depleted).................                                                 Unlimited    Unlimited    Unlimited    Unlimited                (See Table
                                                                                                                                               A-3)
V-48.........................                                   Vanadium(23)  0.3          8.11         0.3          8.11         6.3x103     1.7x105
V-49.........................                                                 40           1080         40           1080         3.0x102     8.1x103
W-178........................                                   Tungsten(74)  1            27.0         1            27.0         1.3x103     3.4x104
W-181........................                                                 30           811          30           811          2.2x102     6.0x103
W-185........................                                                 40           1080         0.9          24.3         3.5x102     9.4x103
W-187........................                                                 2            54.1         0.5          13.5         2.6x104     7.0x105
W-188........................                                                 0.2          5.41         0.2          5.41         3.7x102     1.0x104
Xe-122.......................                                      Xenon(54)  0.2          5.41         0.2          5.41         4.8x104     1.3x106

[[Page 333]]

 
Xe-123.......................                                                 0.2          5.41         0.2          5.41         4.4x105     1.2x107
Xe-127.......................                                                 4            108          4            108          1.0x103     2.8x104
Xe-131m......................                                                 40           1080         40           1080         3.1x103     8.4x104
Xe-133.......................                                                 20           541          20           541          6.9x103     1.9x105
Xe-135.......................                                                 4            108          4            108          9.5x104     2.6x106
Y-87.........................                                    Yttrium(39)  2            54.1         2            54.1         1.7x104     4.5x105
Y-88.........................                                                 0.4          10.8         0.4          10.8         5.2x102     1.4x104
Y-90.........................                                                 0.2          5.41         0.2          5.41         2.0x104     5.4x105
Y-91m........................                                                 2            54.1         2            54.1         1.5x106     4.2x107
Y-91.........................                                                 0.3          8.11         0.3          8.11         9.1x102     2.5x104
Y-92.........................                                                 0.2          5.41         0.2          5.41         3.6x105     9.6x106
Y-93.........................                                                 0.2          5.41         0.2          5.41         1.2x105     3.3x106
Yb-169.......................                                  Ytterbium(70)  3            81.1         3            81.1         8.9x102     2.4x104
Yb-175.......................                                                 30           811          0.9          24.3         6.6x103     1.8x105
Zn-65........................                                       Zinc(30)  2            54.1         2            54.1         3.0x102     8.2x103
Zn-69m.......................                                                 2            54.1         0.5          13.5         1.2x105     3.3x106
Zn-69........................                                                 4            108          0.5          13.5         1.8x106     4.9x107
Zr-88........................                                  Zirconium(40)  3            81.1         3            81.1         6.6x102     1.8x104
Zr-93........................                                                 40           1080         0.2          5.41         9.3x10-5    2.5x10-3
Zr-95........................                                                 1            27.0         0.9          24.3         7.9x102     2.1x104
Zr-97........................                                                 0.3          8.11         0.3          8.11         7.1x104     1.9x106
--------------------------------------------------------------------------------------------------------------------------------------------------------
a International shipments of Einsteinium require multilateral approval of A1 and A2 values.
b International shipments of Fermium require multilateral approval of A1 and A2 values.
c 20 Ci for Mo99 for domestic use.


[[Page 334]]


                                    Table A-2.--General Values for A1 and A2
----------------------------------------------------------------------------------------------------------------
                                                                     A1                             A2
                           Contents                            -------------     (Ci)    -----------------------
                                                                   (TBq)                     (TBq)       (Ci)
----------------------------------------------------------------------------------------------------------------
Only beta- or gamma-emitting nuclides are known to be present.         0.2          5          0.02    0.5
Alpha-emitting nuclides are known to be present, or no                 0.10         2.70      2x10-5   5.41x10-4
 relevant data are available..................................
----------------------------------------------------------------------------------------------------------------


           Table A-3.--Activity-mass Relationships for Uranium
------------------------------------------------------------------------
                                                Specific Activity
Uranium Enrichment1 wt % U-235 present ---------------------------------
                                             TBq/g             Ci/g
------------------------------------------------------------------------
 0.45.................................       1.8x10-8         5.0x10-7
 0.72.................................       2.6x10-8         7.1x10-7
 1.0..................................       2.8x10-8         7.6x10-7
 1.5..................................       3.7x10-8         1.0x10-6
 5.0..................................       1.0x10-7         2.7x10-6
 10.0.................................       1.8x10-7         4.8x10-6
 20.0.................................       3.7x10-7         1.0x10-5
 35.0.................................       7.4x10-7         2.0x10-5
 50.0.................................       9.3x10-7         2.5x10-5
 90.0.................................       2.2x10-6         5.8x10-5
 93.0.................................       2.6x10-6         7.0x10-5
 95.0.................................       3.4x10-6         9.1x10-5
------------------------------------------------------------------------
1The figures for uranium include representative values for the activity
  of the uranium-234 that is concentrated during the enrichment process.


[60 FR 50264, Sept. 28, 1995, as amended at 61 FR 28724, June 6, 1996]



PART 72--LICENSING REQUIREMENTS FOR THE INDEPENDENT STORAGE OF SPENT NUCLEAR FUEL, HIGH-LEVEL RADIOACTIVE WASTE, AND REACTOR-RELATED GREATER THAN CLASS C WASTE--Table of Contents




                      Subpart A--General Provisions

Sec.
72.1  Purpose.
72.2  Scope.
72.3  Definitions.
72.4  Communications.
72.5  Interpretations.
72.6  License required; types of licenses.
72.7  Specific exemptions.
72.8  Denial of licensing by Agreement States.
72.9  Information collection requirements: OMB approval.
72.10  Employee protection.
72.11  Completeness and accuracy of information.
72.12  Deliberate misconduct.
72.13  Applicability.

           Subpart B--License Application, Form, and Contents

72.16  Filing of application for specific license.
72.18  Elimination of repetition.
72.20  Public inspection of application.
72.22  Contents of application: General and financial information.
72.24  Contents of application: Technical information.
72.26  Contents of application: Technical specifications.
72.28  Contents of application: Applicant's technical qualifications.
72.30  Financial assurance and recordkeeping for decommissioning.
72.32  Emergency Plan.
72.34  Environmental report.

              Subpart C--Issuance and Conditions of License

72.40  Issuance of license.
72.42  Duration of license; renewal.
72.44  License conditions.
72.46  Public hearings.
72.48  Changes, tests, and experiments.
72.50  Transfer of license.
72.52  Creditor regulations.
72.54  Expiration and termination of licenses and decommissioning of 
          sites and separate buildings or outdoor areas.
72.56  Application for amendment of license.
72.58  Issuance of amendment.
72.60  Modification, revocation, and suspension of license.
72.62  Backfitting.

        Subpart D--Records, Reports, Inspections, and Enforcement

72.70  Safety analysis report updating.
72.72  Material balance, inventory, and records requirements for stored 
          materials.
72.74  Reports of accidental criticality or loss of special nuclear 
          material.
72.75  Reporting requirements for specific events and conditions.
72.76  Material status reports.
72.78  Nuclear material transfer reports.
72.80  Other records and reports.
72.82  Inspections and tests.
72.84  Violations.
72.86  Criminal penalties.

                  Subpart E--Siting Evaluation Factors

72.90  General considerations.
72.92  Design basis external natural events.
72.94  Design basis external man-induced events.
72.96  Siting limitations.

[[Page 335]]

72.98  Identifying regions around an ISFSI or MRS site.
72.100  Defining potential effects of the ISFSI or MRS on the region.
72.102  Geological and seismological characteristics.
72.104  Criteria for radioactive materials in effluents and direct 
          radiation from an ISFSI or MRS.
72.106  Controlled area of an ISFSI or MRS.
72.108  Spent fuel, high-level radioactive waste, or reactor-related 
          greater than Class C waste transportation.

                   Subpart F--General Design Criteria

72.120  General considerations.
72.122  Overall requirements.
72.124  Criteria for nuclear criticality safety.
72.126  Criteria for radiological protection.
72.128  Criteria for spent fuel, high-level radioactive waste, reactor-
          related greater than Class C waste, and other radioactive 
          waste storage and handling.
72.130  Criteria for decommissioning.

                      Subpart G--Quality Assurance

72.140  Quality assurance requirements.
72.142  Quality assurance organization.
72.144  Quality assurance program.
72.146  Design control.
72.148  Procurement document control.
72.150  Instructions, procedures, and drawings.
72.152  Document control.
72.154  Control of purchased material, equipment, and services.
72.156  Identification and control of materials, parts, and components.
72.158  Control of special processes.
72.160  Licensee and certificate holder inspection.
72.162  Test control.
72.164  Control of measuring and test equipment.
72.166  Handling, storage, and shipping control.
72.168  Inspection, test, and operating status.
72.170  Nonconforming materials, parts, or components.
72.172  Corrective action.
72.174  Quality assurance records.
72.176  Audits.

                     Subpart H--Physical Protection

72.180  Physical protection plan.
72.182  Design for physical protection.
72.184  Safeguards contingency plan.
72.186  Change to physical security and safeguards contingency plans.

           Subpart I--Training and Certification of Personnel

72.190  Operator requirements.
72.192  Operator training and certification program.
72.194  Physical requirements.

Subpart J--Provision of MRS Information to State Governments and Indian 
                                 Tribes

72.200  Provision of MRS information.
72.202  Participation in license reviews.
72.204  Notice to States.
72.206  Representation.

 Subpart K--General License for Storage of Spent Fuel at Power Reactor 
                                  Sites

72.210  General license issued.
72.212  Conditions of general license issued under Sec. 72.210.
72.214  List of approved spent fuel storage casks.
72.216  Reports.
72.218  Termination of licenses.
72.220  Violations.

             Subpart L--Approval of Spent Fuel Storage Casks

72.230  Procedures for spent fuel storage cask submittals.
72.232  Inspection and tests.
72.234  Conditions of approval.
72.236  Specific requirements for spent fuel storage cask approval and 
          fabrication.
72.238  Issuance of an NRC Certificate of Compliance.
72.240  Conditions for spent fuel storage cask reapproval.
72.242  Recordkeeping and reports.
72.244  Application for amendment of a certificate of compliance.
72.246  Issuance of amendment to a certificate of compliance.
72.248  Safety analysis report updating.

    Authority: Secs. 51, 53, 57, 62, 63, 65, 69, 81, 161, 182, 183, 184, 
186, 187, 189, 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. 2071, 
2073, 2077, 2092, 2093, 2095, 2099, 2111, 2201, 2232, 2233, 2234, 2236, 
2237, 2238, 2282); sec. 274, Pub. L. 86-373, 73 Stat. 688, as amended 
(42 U.S.C. 2021); sec. 201, as amended; 202, 206, 88 Stat. 1242, as 
amended; 1244, 1246 (42 U.S.C. 5841, 5842, 5846); Pub. L. 95-601, sec. 
10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 7902, 106 Stat. 
3123 (42 U.S.C. 5851); sec. 102, Pub. L. 91-190, 83 Stat. 853 (42 U.S.C. 
4332); secs. 131, 132, 133, 135, 137, 141, Pub. L. 97-425, 96 Stat. 
2229, 2230, 2232, 2241; sec. 148, Pub. L. 100-203, 101 Stat. 1330-235 
(42 U.S.C. 10151, 10152, 10153, 10155, 10157, 10161, 10168).
    Section 72.44(g) also issued under secs. 142(b) and 148(c), (d), 
Pub. L. 100-203, 101 Stat. 1330-232, 1330-236 (42 U.S.C. 10162(b), 
10168(c), (d)). Section 72.46 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). Section 72.96(d) also issued under sec. 145(g), Pub. L.

[[Page 336]]

100-203, 101 Stat. 1330-235 (42 U.S.C. 10165(g)). Subpart J also issued 
under secs. 2(2), 2(15), 2(19), 117(a), 141(h), Pub. L. 97-425, 96 Stat. 
2202, 2203, 2204, 2222, 2224 (42 U.S.C. 10101, 10137(a), 10161(h)). 
Subparts K and L are also issued under sec. 133, 98 Stat. 2230 (42 
U.S.C. 10153) and sec. 218(a), 96 Stat. 2252 (42 U.S.C. 10198).

    Source: 53 FR 31658, Aug. 19, 1988, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 72.1  Purpose.

    The regulations in this part establish requirements, procedures, and 
criteria for the issuance of licenses to receive, transfer, and possess 
power reactor spent fuel, power reactor-related Greater than Class C 
(GTCC) waste, and other radioactive materials associated with spent fuel 
storage in an independent spent fuel storage installation (ISFSI) and 
the terms and conditions under which the Commission will issue these 
licenses. The regulations in this part also establish requirements, 
procedures, and criteria for the issuance of licenses to the Department 
of Energy (DOE) to receive, transfer, package, and possess power reactor 
spent fuel, high-level radioactive waste, power reactor-related GTCC 
waste, and other radioactive materials associated with the storage of 
these materials in a monitored retrievable storage installation (MRS). 
The term Monitored Retrievable Storage Installation or MRS, as defined 
in Sec. 72.3, is derived from the Nuclear Waste Policy Act (NWPA) and 
includes any installation that meets this definition. The regulations in 
this part also establish requirements, procedures, and criteria for the 
issuance of Certificates of Compliance approving spent fuel storage cask 
designs.

[66 FR 51838, Oct. 11, 2001]



Sec. 72.2  Scope.

    (a) Except as provided in Sec. 72.6(b), licenses issued under this 
part are limited to the receipt, transfer, packaging, and possession of:
    (1) Power reactor spent fuel to be stored in a complex that is 
designed and constructed specifically for storage of power reactor spent 
fuel aged for at least one year, other radioactive materials associated 
with spent fuel storage, and power reactor-related GTCC waste in a solid 
form in an independent spent fuel storage installation (ISFSI); or
    (2) Power reactor spent fuel to be stored in a monitored retrievable 
storage installation (MRS) owned by DOE that is designed and constructed 
specifically for the storage of spent fuel aged for at least one year, 
high-level radioactive waste that is in a solid form, other radioactive 
materials associated with storage of these materials, and power reactor-
related GTCC waste that is in a solid form.
    (b) The regulations in this part pertaining to an independent spent 
fuel storage installation (ISFSI) and a spent fuel storage cask apply to 
all persons in the United States, including persons in Agreement States. 
The regulations in this part pertaining to a monitored retrievable 
storage installation (MRS) apply only to DOE.
    (c) The requirements of this regulation are applicable, as 
appropriate, to both wet and dry modes of storage of--
    (1) Spent fuel and solid reactor-related GTCC waste in an 
independent spent fuel storage installation (ISFSI); and
    (2) Spent fuel, solid high-level radioactive waste, and solid 
reactor-related GTCC waste in a monitored retrievable storage 
installation (MRS).
    (d) Licenses covering the storage of spent fuel in an existing spent 
fuel storage installation shall be issued in accordance with the 
requirements of this part as stated in Sec. 72.40, as applicable.
    (e) This part also gives notice to all persons who knowingly provide 
to any licensee, certificate holder, applicant for a license or 
certificate, contractor, or subcontractor, components, equipment, 
materials, or other goods or services, that relate to a licensee's, 
certificate holder's, or applicant's activities subject to this part, 
that they may be individually subject to NRC enforcement action for 
violation of Sec. 72.12.
    (f) Certificates of Compliance approving spent fuel storage cask 
designs

[[Page 337]]

shall be issued in accordance with the requirements of subpart L of this 
part.

[53 FR 31658, Aug. 19, 1988, as amended at 56 FR 40692, Aug. 15, 1991; 
63 FR 1900, Jan. 13, 1998; 64 FR 33183, June 22, 1999; 64 FR 56121, Oct. 
15, 1999; 66 FR 51838, Oct. 11, 2001]



Sec. 72.3  Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954 (68 Stat. 919) including any 
amendments thereto.
    Affected Indian tribe means any Indian tribe--
    (1) Within whose reservation boundaries a monitored retrievable 
storage facility is proposed to be located;
    (2) Whose federally defined possessory or usage rights to other 
lands outside of the reservation's boundaries arising out of 
congressionally ratified treaties may be substantially and adversely 
affected by the locating of such a facility: Provided, That the 
Secretary of the Interior finds, upon the petition of the appropriate 
governmental officials of the tribe, that such effects are both 
substantial and adverse to the tribe.
    Affected unit of local government means any unit of local government 
with jurisdiction over the site where an MRS is proposed to be located.
    As low as is reasonably achievable (ALARA) means as low as is 
reasonably achievable taking into account the state of technology, and 
the economics of improvement in relation to--
    (1) Benefits to the public health and safety,
    (2) Other societal and socioeconomic considerations, and
    (3) The utilization of atomic energy in the public interest.
    Atomic energy means all forms of energy released in the course of 
nuclear fission or nuclear transformation.
    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.
    Certificate holder means a person who has been issued a Certificate 
of Compliance by the Commission for a spent fuel storage cask design.
    Certificate of Compliance or CoC means the certificate issued by the 
Commission that approves the design of a spent fuel storage cask in 
accordance with the provisions of subpart L of 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 mean:
    (1) Changes desirable for the temporary use of the land for public 
recreational uses, necessary borings or excavations to determine 
subsurface materials and 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) Construction of environmental monitoring facilities;
    (3) Procurement or manufacture of components of the installation; or
    (4) Construction of means of access to the site as may be necessary 
to accomplish the objectives of paragraphs (1) and (2) of this 
definition.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Confinement systems means those systems, including ventilation, that 
act as barriers between areas containing radioactive substances and the 
environment.
    Controlled area means that area immediately surrounding an ISFSI or 
MRS for which the licensee exercises authority over its use and within 
which ISFSI or MRS operations are performed.
    Decommission means to remove a facility or site safely from service 
and reduce residual radioactivity to a level that permits--
    (1) Release of the property for unrestricted use and termination of 
the license; or
    (2) Release of the property under restricted conditions and 
termination of the license.
    Design bases means that information that identifies the specific 
functions to be performed by a structure, system, or component of a 
facility or of a spent fuel storage cask and the specific values or 
ranges of values chosen for controlling parameters as reference bounds 
for design. These values may be

[[Page 338]]

restraints derived from generally accepted state-of-the-art practices 
for achieving functional goals or requirements derived from analysis 
(based on calculation or experiments) of the effects of a postulated 
event under which a structure, system, or component must meet its 
functional goals. The values for controlling parameters for external 
events include--
    (1) Estimates of severe natural events to be used for deriving 
design bases that will be based on consideration of historical data on 
the associated parameters, physical data, or analysis of upper limits of 
the physical processes involved; and
    (2) Estimates of severe external man-induced events to be used for 
deriving design bases that will be based on analysis of human activity 
in the region, taking into account the site characteristics and the 
risks associated with the event.
    Design capacity means the quantity of spent fuel, high-level 
radioactive waste, or reactor-related GTCC waste, the maximum burn up of 
the spent fuel in MWD/MTU, the terabequerel (curie) content of the 
waste, and the total heat generation in Watts (btu/hour) that the 
storage installation is designed to accommodate.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Floodplain means the lowland and relatively flat areas adjoining 
inland and coastal waters including floodprone areas of offshore 
islands. Areas subject to a one percent or greater chance of flooding in 
any given year are included.
    Greater than Class C waste or GTCC waste means low-level radioactive 
waste that exceeds the concentration limits of radionuclides established 
for Class C waste in Sec. 61.55 of this chapter.
    High-level radioactive waste or HLW means (1) the highly radioacive 
material resulting from the reprocessing of spent nuclear fuel, 
including liquid waste produced directly in reprocessing and any solid 
material derived from such liquid waste that contains fission products 
in sufficient concentrations; and (2) other highly radioactive material 
that the Commission, consistent with existing law, determines by rule 
requires permanent isolation.
    Historical data means a compilation of the available published and 
unpublished information concerning a particular type of event.
    Independent spent fuel storage installation or ISFSI means a complex 
designed and constructed for the interim storage of spent nuclear fuel, 
solid reactor-related GTCC waste, and other radioactive materials 
associated with spent fuel and reactor-related GTCC waste storage. An 
ISFSI which is located on the site of another facility licensed under 
this part or a facility licensed under part 50 of this chapter and which 
shares common utilities and services with that facility or is physically 
connected with that other facility may still be considered independent.
    Indian Tribe means an Indian tribe as defined in the Indian Self 
Determination and Education Assistance Act (Pub. L. 93-638).
    Monitored Retrievable Storage Installation or MRS means a complex 
designed, constructed, and operated by DOE for the receipt, transfer, 
handling, packaging, possession, safeguarding, and storage of spent 
nuclear fuel aged for at least one year, solidified high-level 
radioactive waste resulting from civilian nuclear activities, and solid 
reactor-related GTCC waste, pending shipment to a HLW repository or 
other disposal.
    NEPA means the National Environmental Policy Act of 1969 including 
any amendments thereto.
    NWPA means the Nuclear Waste Policy Act of 1982 including any 
amendments thereto.
    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 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, as amended (88 Stat. 1244), and Sections 131, 132, 133, 
135, 137, and 141 of the Nuclear Waste Policy Act of 1982 (96 Stat. 
2229, 2230, 2232, 2241);

[[Page 339]]

    (2) Any State, any political subdivision of a State, or any 
political entity within a State;
    (3) Any foreign government or nation, or any political subdivision 
of any such government or nation, or other entity; and
    (4) Any legal successor, representative, agent, or agency of the 
foregoing.
    Population means the people that may be affected by the change in 
environmental conditions due to the construction, operation, or 
decommissioning of an ISFSI or MRS.
    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, excluding 
activities incidental to decontamination or decommissioning.
    Region means the geographical area surrounding and including the 
site, which is large enough to contain all the features related to a 
phenomenon or to a particular event that could potentially impact the 
safe or environmentally sound construction, operation, or 
decommissioning of an independent spent fuel storage or monitored 
retrievable storage installation.
    Reservation means--
    (1) Any Indian reservation or dependent Indian community referred to 
in clause (a) or (b) of section 1151 of title 18, United States Code; or
    (2) Any land selected by an Alaska Native village or regional 
corporation under the provisions of the Alaska Native Claims Settlement 
Act (43 U.S.C. 1601 et seq.).
    Site means the real property on which the ISFSI or MRS is located.
    Source material means--
    (1) Uranium or thorium, or any combination thereof, in any physical 
or chemical form or
    (2) Ores that 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, but does not include source material; or
    (2) Any material artificially enriched by any of the foregoing but 
does not include source material.
    Spent fuel storage cask or cask means all the components and systems 
associated with the container in which spent fuel or other radioactive 
materials associated with spent fuel are stored in an ISFSI.
    Spent Nuclear Fuel or Spent Fuel means fuel that has been withdrawn 
from a nuclear reactor following irradiation, has undergone at least one 
year's decay since being used as a source of energy in a power reactor, 
and has not been chemically separated into its constituent elements by 
reprocessing. Spent fuel includes the special nuclear material, 
byproduct material, source material, and other radioactive materials 
associated with fuel assemblies.
    Structures, systems, and components important to safety means those 
features of the ISFSI, MRS, and spent fuel storage cask whose functions 
are--
    (1) To maintain the conditions required to store spent fuel, high-
level radioactive waste, or reactor-related GTCC waste safely;
    (2) To prevent damage to the spent fuel, the high-level radioactive 
waste, or reactor-related GTCC waste container during handling and 
storage; or
    (3) To provide reasonable assurance that spent fuel, high-level 
radioactive waste, or reactor-related GTCC waste can be received, 
handled, packaged, stored, and retrieved without undue risk to the 
health and safety of the public.

[53 FR 31658, Aug. 19, 1988, as amended at 59 FR 36038, July 15, 1994; 
62 FR 39092, July 21, 1997; 64 FR 53614, Oct. 4, 1999; 64 FR 56121, Oct. 
15, 1999; 66 FR 51839, Oct. 11, 2001]



Sec. 72.4  Communications.

    Except where otherwise specified, all communications and reports 
concerning the regulations in this part and applications filed under 
them should be addressed to the U.S. Nuclear Regulatory Commission, 
ATTN: Document Control Desk, Washington, DC 20555-

[[Page 340]]

0001. Written communications, reports, and applications may be delivered 
in person to the Nuclear Regulatory Commission at One White Flint North, 
11555 Rockville Pike, Rockville, MD 20852-2738 between 7:30 am and 4:15 
pm eastern time. If the submittal deadline date falls on a Saturday, or 
Sunday, or a Federal holiday, the next Federal working day becomes the 
official due date.

[64 FR 33183, June 22, 1999]



Sec. 72.5  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 to be binding 
upon the Commission.



Sec. 72.6  License required; types of licenses.

    (a) Licenses for the receipt, handling, storage, and transfer of 
spent fuel or high-level radioactive waste are of two types: general and 
specific. Licenses for the receipt, handling, storage, and transfer of 
reactor-related GTCC are specific licenses. Any general license provided 
in this part is effective without the filing of an application with the 
Commission or the issuance of a licensing document to a particular 
person. A specific license is issued to a named person upon application 
filed pursuant to regulations in this part.
    (b) A general license is hereby issued to receive title to and own 
spent fuel, high-level radioactive waste, or reactor-related GTCC waste 
without regard to quantity. Notwithstanding any other provision of this 
chapter, a general licensee under this paragraph is not authorized to 
acquire, deliver, receive, possess, use, or transfer spent fuel, high-
level radioactive waste, or reactor-related GTCC waste except as 
authorized in a specific license.
    (c) Except as authorized in a specific license and in a general 
license under subpart K of this part issued by the Commission in 
accordance with the regulations in this part, no person may acquire, 
receive, or possess--
    (1) Spent fuel for the purpose of storage in an ISFSI; or
    (2) Spent fuel, high-level radioactive waste, or radioactive 
material associated with high-level radioactive waste for the purpose of 
storage in an MRS.

[66 FR 51839, Oct. 11, 2001]



Sec. 72.7  Specific exemptions.

    The Commission may, upon application by 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.



Sec. 72.8  Denial of licensing by Agreement States.

    Agreement States may not issue licenses covering the storage of 
spent fuel and reactor-related GTCC waste in an ISFSI or the storage of 
spent fuel, high-level radioactive waste, and reactor-related GTCC waste 
in an MRS.

[66 FR 51839, Oct. 11, 2001]



Sec. 72.9  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 1995 (44 U.S.C. 3501 et seq.). OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0132.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 72.7, 72.11, 72.16, 72.22 through 72.34, 
72.42, 72.44, 72.48 through 72.56, 72.62, 72.70 through 72.82, 72.90, 
72.92, 72.94, 72.98, 72.100, 72.102, 72.104, 72.108, 72.120, 72.126, 
72.140 through 72.176, 72.180 through 72.186, 72.192, 72.206, 72.212, 
72.216, 72.218, 72.230, 72.232, 72.234, 72.236, 72.240, 72.242, 72.244, 
and 72.248.

[64 FR 56122, Oct. 15, 1999, as amended at 67 FR 67101, Nov. 4, 2002]



Sec. 72.10  Employee protection.

    (a) Discrimination by a Commission licensee, certificate holder, an 
applicant for a Commission license or a CoC, or a contractor or 
subcontractor of any

[[Page 341]]

of these, 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 paragraph (a), (e), or (f) of this section by a 
Commission licensee, certificate holder, applicant for a Commission 
license or a CoC, or a contractor or subcontractor of any of these may 
be grounds for:
    (1) Denial, revocation, or suspension of the license or the CoC.
    (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, certificate holder, and applicant for a 
license or CoC must 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. The 
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 or CoC, and for 30 days 
following license or CoC 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

[[Page 342]]

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 52414, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 
FR 6766, Feb. 22, 1996; 64 FR 56122, Oct. 15, 1999]



Sec. 72.11  Completeness and accuracy of information.

    (a) Information provided to the Commission by a licensee, 
certificate holder, or an applicant for a license or CoC; or information 
required by statute or by the Commission's regulations, orders, license 
or CoC conditions, to be maintained by the licensee or certificate 
holder, must be complete and accurate in all material respects.
    (b) Each licensee, certificate holder, or applicant for a license or 
CoC must notify the Commission of information identified by the 
licensee, certificate holder, or applicant for a license or CoC as 
having, for the regulated activity, a significant implication for public 
health and safety or common defense and security. A licensee, 
certificate holder, or an applicant for a license or CoC violates this 
paragraph only if the licensee, certificate holder, or applicant for a 
license or CoC fails to notify the Commission of information that the 
licensee, certificate holder, or applicant for a license or CoC has 
identified as having a significant implication for public health and 
safety or common defense and security. Notification must 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.

[64 FR 56122, Oct. 15, 1999]



Sec. 72.12  Deliberate misconduct.

    (a) Any licensee, certificate holder, applicant for a license or 
certificate, employee of a licensee, certificate holder, or applicant 
for a license or certificate; or any contractor (including a supplier or 
consultant) or subcontractor, employee of a contractor or subcontractor 
of any licensee, certificate holder, or applicant for a license or 
certificate who knowingly provides to any licensee, certificate holder, 
applicant for a license or certificate, contractor, or subcontractor, 
any components, materials, or other goods or services that relate to a 
licensee's, certificate holder's, or applicant's activities subject to 
this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee, certificate holder or applicant to 
be in violation of any rule, regulation, or order; or any term, 
condition, or limitation of any license or certificate issued by the 
Commission; or
    (2) Deliberately submit to the NRC, a licensee, a certificate 
holder, an applicant for a license or certificate, or a licensee's, 
applicant's, or certificate holder'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 the 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, certificate holder or applicant for a 
license or certificate to be in violation of any rule, regulation, or 
order; or any term, condition, or limitation, of any license or 
certificate issued by the Commission; or

[[Page 343]]

    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order, or policy of a licensee, 
certificate holder, applicant, contractor, or subcontractor.

[63 FR 1900, Jan. 13, 1998]



Sec. 72.13  Applicability.

    (a) This section identifies those sections, under this part, that 
apply to the activities associated with a specific license, a general 
license, or a certificate of compliance.
    (b) The following sections apply to activities associated with a 
specific license: Secs. 72.1; 72.2(a) through (e); 72.3 through 
72.13(b); 72.16 through 72.34; 72.40 through 72.62; 72.70 through 72.86; 
72.90 through 72.108; 72.120 through 72.130; 72.140 through 72.176; 
72.180 through 72.186; 72.190 through 72.194; and 72.200 through 72.206.
    (c) The following sections apply to activities associated with a 
general license: Secs. 72.1; 72.2(a)(1), (b), (c), and (e); 72.3 through 
72.6(c)(1); 72.7 through 72.13(a) and (c); 72.30(c) and (d); 72.32(c) 
and (d); 72.44(b) and (f); 72.48; 72.50(a); 72.52(a), (b), (d), and (e); 
72.60; 72.62; 72.72 through 72.80(f); 72.82 through 72.86; 72.104; 
72.106; 72.122; 72.124; 72.126; 72.140 through 72.176; 72.190; 72.194; 
72.210 through 72.220, and 72.240(a).
    (d) The following sections apply to activities associated with a 
certificate of compliance: Secs. 72.1; 72.2(e) and (f); 72.3; 72.4; 
72.5; 72.7; 72.9 through 72.13(a) and (d); 72.48; 72.84(a); 72.86; 
72.124; 72.140 through 72.176; 72.214; and 72.230 through 72.248.

[65 FR 50616, Aug. 21, 2000]



           Subpart B--License Application, Form, and Contents



Sec. 72.16  Filing of application for specific license.

    (a) Place of filing. Each application for a license, or amendment 
thereof, under this part should be filed with the Director, Spent Fuel 
Project Office, Office of Nuclear Material Safety and Safeguards, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555. Applications, 
communications, reports, and correspondence may also be delivered in 
person at the Commission's offices at 11555 Rockville Pike, Rockville, 
MD, or at the NRC Public Document Room, 2120 L Street NW, Washington, 
DC.
    (b) Oath or affirmation. Each application for a license or license 
amendment (including amendments to such applications), except for those 
filed by DOE, must be executed in an original signed by the applicant or 
duly authorized officer thereof under oath or affirmation. Each 
application for a license or license amendment (including amendments to 
such applications) filed by DOE must be signed by the Secretary of 
Energy or the Secretary's authorized representative.
    (c) Number of copies of application. Each filing of an application 
for a license or license amendment under this part (including amendments 
to such applications) must include, in addition to a signed original, 15 
copies of each portion of such application, safety analysis report, 
environmental report, and any amendments. Another 125 copies shall be 
retained by the applicant for distribution in accordance with 
instruction from the Director or the Director's designee.
    (d) Fees. The application, amendment, and renewal fees applicable to 
a license covering an ISFSI are those shown in Sec. 170.31 of this 
chapter.
    (e) Notice of docketing. Upon receipt of an application for a 
license or license amendment under this part, the Director, Office of 
Nuclear Material Safety and Safeguards or the Director's designee will 
assign a docket number to the application, notify the applicant of the 
docket number, instruct the applicant to distribute copies retained by 
the applicant in accordance with paragraph (c) of this section, and 
cause a notice of docketing to be published in the Federal Register. The 
notice of docketing shall identify the site of the ISFSI or the MRS by 
locality and State and may include a notice of hearing or a notice of 
proposed action and opportunity for hearing as provided by Sec. 72.46 of 
this part. In the case of an application for a license or an amendment 
to a license for an MRS, the Director, Office of Nuclear Material Safety 
and Safeguards, or the Director's designee, in accordance with 
Sec. 72.200 of this part, shall send a copy of the notice of docketing 
to the Governor and

[[Page 344]]

legislature of any State in which an MRS is or may be located, to the 
Chief Executive of the local municipality, to the Governors of any 
contiguous States and to the governing body of any affected Indian 
tribe.

[53 FR 31658, Aug. 19, 1988, as amended at 53 FR 43421, Oct. 27, 1988; 
66 FR 51839, Oct. 11, 2001; 67 FR 3586, Jan. 25, 2002]



Sec. 72.18  Elimination of repetition.

    In any application under this part, 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. 72.20  Public inspection of application.

    Applications and documents submitted to the Commission in connection 
with applications may be made available for public inspection in 
accordance with provisions of the regulations contained in parts 2 and 9 
of this chapter.



Sec. 72.22  Contents of application: General and financial information.

    Each application must state:
    (a) Full name of applicant;
    (b) Address of applicant;
    (c) Description of business or occupation of applicant;
    (d) If applicant is:
    (1) An individual: Citizenship and age;
    (2) A partnership: Name, citizenship, and address of each partner 
and the principal location at which the partnership does business;
    (3) A corporation or an unincorporated association:
    (i) The State in which it is incorporated or organized and the 
principal location at which it does business; and
    (ii) The names, addresses, and citizenship of its directors and 
principal officers;
    (4) Acting as an agent or representative of another person in filing 
the application: The identification of the principal and the information 
required under this paragraph with respect to such principal.
    (5) The Department of Energy:
    (i) The identification of the DOE organization responsible for the 
construction and operation of the ISFSI or MRS, including a description 
of any delegations of authority and assignments of responsibilities.
    (ii) For each application for a license for an MRS, the provisions 
of the public law authorizing the construction and operation of the MRS.
    (e) Except for DOE, information sufficient to demonstrate to the 
Commission the financial qualifications of the applicant to carry out, 
in accordance with the regulations in this chapter, the activities for 
which the license is sought. The information must state the place at 
which the activity is to be performed, the general plan for carrying out 
the activity, and the period of time for which the license is requested. 
The information must show that the applicant either possesses the 
necessary funds, or that the applicant has reasonable assurance of 
obtaining the necessary; funds or that by a combination of the two, the 
applicant will have the necessary funds available to cover the 
following:
    (1) Estimated construction costs;
    (2) Estimated operating costs over the planned life of the ISFSI; 
and
    (3) Estimated decommissioning costs, and the necessary financial 
arrangements to provide reasonable assurance before licensing, that 
decommissioning will be carried out after the removal of spent fuel, 
high-level radioactive waste, and/or reactor-related GTCC waste from 
storage.

[53 FR 31658, Aug. 19, 1988, as amended at 66 FR 51839, Oct. 11, 2001]



Sec. 72.24  Contents of application: Technical information.

    Each application for a license under this part must include a Safety 
Analysis Report describing the proposed ISFSI or MRS for the receipt, 
handling, packaging, and storage of spent fuel, high-level radioactive 
waste, and/or reactor-related GTCC waste as appropriate, including how 
the ISFSI or MRS will be operated. The minimum information to be 
included in this report must consist of the following:
    (a) A description and safety assessment of the site on which the 
ISFSI or MRS is to be located, with appropriate

[[Page 345]]

attention to the design bases for external events. Such assessment must 
contain an analysis and evaluation of the major structures, systems, and 
components of the ISFSI or MRS that bear on the suitability of the site 
when the ISFSI or MRS is operated at its design capacity. If the 
proposed ISFSI or MRS is to be located on the site of a nuclear power 
plant or other licensed facility, the potential interactions between the 
ISFSI or MRS and such other facility--including shared common utilities 
and services--must be evaluated.
    (b) A description and discussion of the ISFSI or MRS structures with 
special attention to design and operating characteristics, unusual or 
novel design features, and principal safety considerations.
    (c) The design of the ISFSI or MRS in sufficient detail to support 
the findings in Sec. 72.40, including:
    (1) The design criteria for the ISFSI or MRS pursuant to subpart F 
of this part, with identification and justification for any additions to 
or departures from the general design criteria;
    (2) the design bases and the relation of the design bases to the 
design criteria;
    (3) Information relative to materials of construction, general 
arrangement, dimensions of principal structures, and descriptions of all 
structures, systems, and components important to safety, in sufficient 
detail to support a finding that the ISFSI or MRS will satisfy the 
design bases with an adequate margin for safety; and
    (4) Applicable codes and standards.
    (d) An analysis and evaluation of the design and performance of 
structures, systems, and components important to safety, with the 
objective of assessing the impact on public health and safety resulting 
from operation of the ISFSI or MRS and including determination of:
    (1) The margins of safety during normal operations and expected 
operational occurrences during the life of the ISFSI or MRS; and
    (2) The adequacy of structures, systems, and components provided for 
the prevention of accidents and the mitigation of the consequences of 
accidents, including natural and manmade phenomena and events.
    (e) The means for controlling and limiting occupational radiation 
exposures within the limits given in part 20 of this chapter, and for 
meeting the objective of maintaining exposures as low as is reasonably 
achievable.
    (f) The features of ISFSI or MRS design and operating modes to 
reduce to the extent practicable radioactive waste volumes generated at 
the installation.
    (g) An identification and justification for the selection of those 
subjects that will be probable license conditions and technical 
specifications. These subjects must cover the design, construction, 
preoperational testing, operation, and decommissioning of the ISFSI or 
MRS.
    (h) A plan for the conduct of operations, including the planned 
managerial and administrative controls system, and the applicant's 
organization, and program for training of personnel pursuant to subpart 
I.
    (i) If the proposed ISFSI or MRS incorporates structures, systems, 
or components important to safety whose functional adequacy or 
reliability have not been demonstrated by prior use for that purpose or 
cannot be demonstrated by reference to performance data in related 
applications or to widely accepted engineering principles, an 
identification of these structures, systems, or components along with a 
schedule showing how safety questions will be resolved prior to the 
initial receipt of spent fuel, high-level radioactive waste, and/or 
reactor-related GTCC waste as appropriate for storage at the ISFSI or 
MRS.
    (j) The technical qualifications of the applicant to engage in the 
proposed activities, as required by Sec. 72.28.
    (k) A description of the applicant's plans for coping with 
emergencies, as required by Sec. 72.32.
    (l) A description of the equipment to be installed to maintain 
control over radioactive materials in gaseous and liquid effluents 
produced during normal operations and expected operational occurrences. 
The description must identify the design objectives and the means to be 
used for keeping levels of radioactive material in effluents to

[[Page 346]]

the environment as low as is reasonably achievable and within the 
exposure limits stated in Sec. 72.104. The description must include:
    (1) An estimate of the quantity of each of the principal 
radionuclides expected to be released annually to the environment in 
liquid and gaseous effluents produced during normal ISFSI or MRS 
operations;
    (2) A description of the equipment and processes used in radioactive 
waste systems; and
    (3) A general description of the provisions for packaging, storage, 
and disposal of solid wastes containing radioactive materials resulting 
from treatment of gaseous and liquid effluents and from other sources.
    (m) An analysis of the potential dose equivalent or committed dose 
equivalent to an individual outside the controlled area from accidents 
or natural phenomena events that result in the release of radioactive 
material to the environment or direct radiation from the ISFSI or MRS. 
The calculations of individual dose equivalent or committed dose 
equivalent must be performed for direct exposure, inhalation, and 
ingestion occurring as a result of the postulated design basis event.
    (n) A description of the quality assurance program that satisfies 
the requirements of subpart G to be applied to the design, fabrication, 
construction, testing, operation, modification, and decommissioning of 
the structures, systems, and components of the ISFSI or MRS important to 
safety. The description must identify the structures, systems, and 
components important to safety. The program must also apply to 
managerial and administrative controls used to ensure safe operation of 
the ISFSI or MRS.
    (o) A description of the detailed security measures for physical 
protection, including design features and the plans required by subpart 
H. For an application from DOE for an ISFSI or MRS, DOE will provide a 
description of the physical protection plan for protection against 
radiological sabotage as required by subpart H.
    (p) A description of the program covering preoperational testing and 
initial operations.
    (q) A description of the decommissioning plan required under 
Sec. 72.30.

[53 FR 31658, Aug. 19, 1988, as amended at 63 FR 26961, May 15, 1998; 64 
FR 53615, Oct. 4, 1999; 66 FR 51839, Oct. 11, 2001]



Sec. 72.26  Contents of application: Technical specifications.

    Each application under this part shall include proposed technical 
specifications in accordance with the requirements of Sec. 72.44 and a 
summary statement of the bases and justifications for these technical 
specifications.



Sec. 72.28  Contents of application: Applicant's technical qualifications.

    Each application under this part must include:
    (a) The technical qualifications, including training and experience, 
of the applicant to engage in the proposed activities;
    (b) A description of the personnel training program required under 
subpart I;
    (c) A description of the applicant's operating organization, 
delegations of responsibility and authority and the minimum skills and 
experience qualifications relevant to the various levels of 
responsibility and authority; and
    (d) A commitment by the applicant to have and maintain an adequate 
complement of trained and certified installation personnel prior to the 
receipt of spent fuel, high-level radioactive waste, and/or reactor-
related GTCC waste as appropriate for storage.

[53 FR 31658, Aug. 19, 1988, as amended at 66 FR 51840, Oct. 11, 2001]



Sec. 72.30  Financial assurance and recordkeeping for decommissioning.

    (a) Each application under this part must include a proposed 
decommissioning plan that contains sufficient information on proposed 
practices and procedures for the decontamination of the site and 
facilities and for disposal of residual radioactive materials after all 
spent fuel, high-level radioactive waste, and reactor-related GTCC waste 
have been removed, in order to provide reasonable assurance that the 
decontamination and decommissioning of the ISFSI or MRS at the end of 
its useful life will provide adequate protection to the health and 
safety of the

[[Page 347]]

public. This plan must identify and discuss those design features of the 
ISFSI or MRS that facilitate its decontamination and decommissioning at 
the end of its useful life.
    (b) The proposed decommissioning plan must also include a 
decommissioning funding plan containing information on how reasonable 
assurance will be provided that funds will be available to decommission 
the ISFSI or MRS. This information must include a cost estimate for 
decommissioning and a description of the method of assuring funds for 
decommissioning from paragraph (c) of this section, including means of 
adjusting cost estimates and associated funding levels periodically over 
the life of the ISFSI or MRS.
    (c) 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 to part 30. A parent company guarantee may not 
be used in combination with other financial methods to satisfy the 
requirements of this section. For commercial corporations that issue 
bonds, 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 to part 30. For 
commercial corporations that do not issue bonds, a guarantee of funds by 
the applicant or licensee for decommissioning costs may be used if the 
guarantee and test are as contained in appendix D to part 30. A 
guarantee by the applicant or licensee may not be used in combination 
with any other financial methods used 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 withing 30 days after receipt 
of notification or cancellation.
    (ii) The surety method or insurance must be payable to a trust 
established for decomissioning 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 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 establishing 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

[[Page 348]]

of deposit, or deposit of government securities. The surety or insurance 
provision must be as stated in paragraph (c)(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, and 
indicating that funds for decommissioning will be obtained when 
necessary.
    (5) In the case of electric utility licensees, the methods of 
Sec. 50.75(e) (1) and (3) of this chapter.
    (6) When a governmental entity is assuming ownership of a site, an 
arrangement that is deemed acceptable by such governmental entity.
    (d) 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. 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) A list contained in a single document and updated no less than 
every 2 years of the following:
    (i) All areas designated and formerly designated as restricted areas 
as defined under 10 CFR 20.1003; and
    (ii) All areas outside of restricted areas that require 
documentation under Sec. 72.30(d)(1).
    (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 31658, Aug. 19, 1988, as amended at 55 FR 29191, July 18, 1990; 
58 FR 39635, July 26, 1993; 58 FR 67662, Dec. 22, 1993; 58 FR 68732, 
Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994; 61 FR 24675, May 16, 1996; 62 
FR 39092, July 21, 1997; 63 FR 29544, June 1, 1998; 66 FR 51840, Oct. 
11, 2001]

    Effective Date Note: At 67 FR 78351, Dec. 24, 2002, Sec. 72.30 was 
amended by revising paragraph (c)(5), effective Dec. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 72.30  Financial assurance and recordkeeping for decommissioning.

                                * * * * *

    (c) * * *
    (5) In the case of licensees who are issued a power reactor license 
under Part 50 of this chapter, the methods of 10 CFR 50.75(b), (e), and 
(h), as applicable.

                                * * * * *



Sec. 72.32  Emergency Plan.

    (a) Each application for an ISFSI that is licensed under this part 
which is: Not located on the site of a nuclear power reactor, or not 
located within the exclusion area as defined in 10 CFR part 100 of a 
nuclear power reactor, or located on the site of a nuclear power reactor 
which does not have an operating license, or located on the site of a 
nuclear power reactor that is not authorized to operate must be 
accompanied by an Emergency Plan that includes the following 
information:
    (1) Facility description. A brief description of the licensee's 
facility and area near the site.

[[Page 349]]

    (2) Types of accidents. An identification of each type of 
radioactive materials accident.
    (3) Classification of accidents. A classification system for 
classifying accidents as ``alerts.''
    (4) Detection of accidents. Identification of the means of detecting 
an accident condition.
    (5) Mitigation of consequences. A brief description of the means of 
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.
    (6) Assessment of releases. A brief description of the methods and 
equipment to assess releases of radioactive materials.
    (7) Responsibilities. A brief description of the responsibilities of 
licensee 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.
    (8) 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 notifications of the 
appropriate offsite response organizations and not later than one hour 
after the licensee declares an emergency.10
---------------------------------------------------------------------------

    \10\ 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.
---------------------------------------------------------------------------

    (9) 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.
    (10) Training. A brief description of the training the licensee will 
provide workers on how to respond to an emergency and any special 
instructions and orientation tours the licensee would offer to fire, 
police, medical and other emergency personnel.
    (11) Safe condition. A brief description of the means of restoring 
the facility to a safe condition after an accident.
    (12) Exercises. (i) Provisions for conducting semiannual 
communications checks with offsite response organizations and biennial 
onsite exercises to test response to simulated emergencies. 
Radiological/Health Physics, Medical, and Fire drills shall be conducted 
annually. Semiannual 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 exercise.
    (ii) Participation of offsite response organizations in biennial 
exercises, although recommended, is not required. Exercises must use 
scenarios not known to most exercise participants. The licensee shall 
critique each exercise using individuals not having direct 
implementation responsibility for conducting the exercise. 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.
    (13) 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, with respect to 
hazardous materials at the facility.
    (14) Comments on Plan. The licensee shall allow the offsite response 
organizations expected to respond in case of an accident 60 days to 
comment on the initial submittal of the licensee's emergency plan before 
submitting it to NRC. Subsequent plan changes need not have the offsite 
comment period

[[Page 350]]

unless the plan changes affect the offsite response organizations. The 
licensee shall provide any comments received within the 60 days to the 
NRC with the emergency plan.
    (15) Offsite assistance. The applicant's emergency plans shall 
include a brief description of the arrangements made for requesting and 
effectively using offsite assistance on site and provisions that exist 
for using other organizations capable of augmenting the planned onsite 
response.
    (16) Arrangements made for providing information to the public.
    (b) Each application for an MRS that is licensed under this part and 
each application for an ISFSI that is licensed under this part and that 
may process and/or repackage spent fuel, must be accompanied by an 
Emergency Plan that includes the following information:
    (1) Facility description. A brief description of the licensee 
facility and area near the site.
    (2) Types of accidents. An identification of each type of 
radioactive materials accident.
    (3) Classification of accidents. A classification system for 
classifying accidents as ``alerts'' or ``site area emergencies.''
    (4) Detection of accidents. Identification of the means of detecting 
an accident condition.
    (5) Mitigation of consequences. A brief description of the means of 
mitigating the consequences of each type of accident, including those 
provided to protect workers on site, and a description of the program 
for maintaining the equipment.
    (6) Assessment of releases. A brief description of the methods and 
equipment to assess releases of radioactive materials.
    (7) Responsibilities. A brief description of the responsibilities of 
licensee 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.
    (8) 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 notifications of the 
appropriate offsite response organizations and not later than one hour 
after the licensee declares an emergency.11
---------------------------------------------------------------------------

    \11\ 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.
---------------------------------------------------------------------------

    (9) 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.
    (10) Training. A brief description of the training the licensee will 
provide workers on how to respond to an emergency and any special 
instructions and orientation tours the licensee would offer to fire, 
police, medical and other emergency personnel.
    (11) Safe condition. A brief description of the means of restoring 
the facility to a safe condition after an accident.
    (12) Exercises. (i) Provisions for conducting quarterly 
communications checks with offsite response organizations and biennial 
onsite exercises to test response to simulated emergencies. 
Radiological/Health Physics, Medical, and Fire Drills shall be held 
semiannually. 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.
    (ii) Participation of offsite response organizations in the biennial 
exercises, although recommended, is not required. Exercises must use 
scenarios not known to most exercise participants. The licensee shall 
critique each

[[Page 351]]

exercise using individuals not having direct implementation 
responsibility for conducting the exercise. 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.
    (13) 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, with respect to 
hazardous materials at the facility.
    (14) Comments on Plan. The licensee shall allow the offsite response 
organizations expected to respond in case of an accident 60 days to 
comment on the initial submittal of the licensee's emergency plan before 
submitting it to NRC. Subsequent plan changes need not have the offsite 
comment period unless the plan changes affect the offsite response 
organizations. The licensee shall provide any comments received within 
the 60 days to the NRC with the emergency plan.
    (15) Offsite assistance. The applicant's emergency plans shall 
include the following:
    (i) A brief description of the arrangements made for requesting and 
effectively using offsite assistance on site and provisions that exist 
for using other organizations capable of augmenting the planned onsite 
response.
    (ii) Provisions that exist for prompt communications among principal 
response organizations to offsite emergency personnel who would be 
responding onsite.
    (iii) Adequate emergency facilities and equipment to support the 
emergency response onsite are provided and maintained.
    (iv) Adequate methods, systems, and equipment for assessing and 
monitoring actual or potential consequences of a radiological emergency 
condition are available.
    (v) Arrangements are made for medical services for contaminated and 
injured onsite individuals.
    (vi) Radiological Emergency Response Training has been made 
available to those offsite who may be called to assist in an emergency 
onsite.
    (16) Arrangements made for providing information to the public.
    (c) For an ISFSI that is:
    (1) located on the site, or
    (2) located within the exclusion area as defined in 10 CFR part 100, 
of a nuclear power reactor licensed for operation by the Commission, the 
emergency plan required by 10 CFR 50.47 shall be deemed to satisfy the 
requirements of this section.
    (d) A licensee with a license issued under this part 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.

[60 FR 32441, June 22, 1995]



Sec. 72.34  Environmental report.

    Each application for an ISFSI or MRS license under this part must be 
accompanied by an Environmental Report which meets the requirements of 
subpart A of part 51 of this chapter.



              Subpart C--Issuance and Conditions of License



Sec. 72.40  Issuance of license.

    (a) Except as provided in paragraph (c) of this section, the 
Commission will issue a license under this part upon a determination 
that the application for a license meets the standards and requirements 
of the Act and the regulations of the Commission, and upon finding that:
    (1) The applicant's proposed ISFSI or MRS design complies with 
subpart F;
    (2) The proposed site complies with the criteria in subpart E;
    (3) If on the site of a nuclear power plant or other licensed 
activity or facility, the proposed ISFSI would not pose an undue risk to 
the safe operation of such nuclear power plant or other licensed 
activity or facility;
    (4) The applicant is qualified by reason of training and experience 
to conduct the operation covered by the regulations in this part;

[[Page 352]]

    (5) The applicant's proposed operating procedures to protect health 
and to minimize danger to life or property are adequate;
    (6) Except for DOE, the applicant for an ISFSI or MRS is financially 
qualified to engage in the proposed activities in accordance with the 
regulations in this part;
    (7) The applicant's quality assurance plan complies with subpart G;
    (8) The applicant's physical protection provisions comply with 
subpart H. DOE has complied with the safeguards and physical security 
provisions identified in Sec. 72.24(o);
    (9) The applicant's personnel training program complies with subpart 
I;
    (10) Except for DOE, the applicant's decommissioning plan and its 
financing pursuant to Sec. 72.30 provide reasonable assurance that the 
decontamination and decommissioning of the ISFSI or MRS at the end of 
its useful life will provide adequate protection to the health and 
safety of the public;
    (11) The applicant's emergency plan complies with Sec. 72.32;
    (12) The applicable provisions of part 170 of this chapter have been 
satisfied;
    (13) There is reasonable assurance that: (i) The activities 
authorized by the license can be conducted without endangering the 
health and safety of the public and (ii) these activities will be 
conducted in compliance with the applicable regulations of this chapter; 
and
    (14) The issuance of the license will not be inimical to the common 
defense and security.
    (b) A license to store spent fuel and reactor-related GTCC waste in 
the proposed ISFSI or to store spent fuel, high-level radioactive waste, 
and reactor-related GTCC waste in the proposed MRS may be denied if 
construction on the proposed facility begins before a finding approving 
issuance of the proposed license with any appropriate conditions to 
protect environmental values. Grounds for denial may be the commencement 
of construction prior to a finding by the Director, Office of Nuclear 
Materials Safety and Safeguards or designee or a finding after a public 
hearing by the presiding officer, Atomic Safety and Licensing Board, or 
the Commission acting as a collegial body, as appropriate, that the 
action called for is the issuance of the proposed license with any 
appropriate conditions to protect environmental values. This finding is 
to be made on the basis of information filed and evaluations made 
pursuant to subpart A of part 51 of this chapter or in the case of an 
MRS on the basis of evaluations made pursuant to sections 141(c) and (d) 
or 148(a) and (c) of NWPA (96 Stat. 2242, 2243, 42 U.S.C. 10161(c), (d); 
101 Stat. 1330-235, 1330-236, 42 U.S.C. 10168(a), (c)), as appropriate, 
and after weighing the environmental, economic, technical and other 
benefits against environmental costs and considering available 
alternatives.
    (c) For facilities that have been covered under previous licensing 
actions including the issuance of a construction permit under part 50 of 
this chapter, a reevaluation of the site is not required except where 
new information is discovered which could alter the original site 
evaluation findings. In this case, the site evaluation factors involved 
will be reevaluated.

[53 FR 31658, Aug. 19, 1988, as amended at 66 FR 51840, Oct. 11, 2001]



Sec. 72.42  Duration of license; renewal.

    (a) Each license issued under this part must be for a fixed period 
of time to be specified in the license. The license term for an ISFSI 
must not exceed 20 years from the date of issuance. The license term for 
an MRS must not exceed 40 years from the date of issuance. Licenses for 
either type of installation may be renewed by the Commission at the 
expiration of the license term upon application by the licensee and 
pursuant to the requirements of this rule.
    (b) Applications for renewal of a license should be filed in 
accordance with the applicable provisions of subpart B at least two 
years prior to the expiration of the existing license. Information 
contained in previous applications, statements, or reports filed with 
the Commission under the license may be incorporated by reference: 
Provided, that such references are clear and specific.
    (c) In any case in which a licensee, not less than two years prior 
to expiration of its existing license, has filed an

[[Page 353]]

application in proper form for renewal of a license, the existing 
license shall not expire until a final decision concerning the 
application for renewal has been made by the Commission.



Sec. 72.44  License conditions.

    (a) Each license issued under this part shall include license 
conditions. The license conditions may be derived from the analyses and 
evaluations included in the Safety Analysis Report and amendments 
thereto submitted pursuant to Sec. 72.24. License conditions pertain to 
design, construction and operation. The Commission may also include 
additional license conditions as it finds appropriate.
    (b) Each license issued under this part shall be subject to the 
following conditions, even if they are not explicitly stated therein;
    (1) Neither the license nor any right thereunder 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 Atomic Energy Act of 1954, as amended, and give its 
consent in writing.
    (2) The license shall be subject to revocation, suspension, 
modification, or amendment in accordance with the procedures provided by 
the Atomic Energy Act of 1954, as amended, and Commission regulations.
    (3) Upon request of the Commission, the licensee shall, at any time 
before expiration of the license, submit written statements, signed 
under oath or affirmation if appropriate, to enable the Commission to 
determine whether or not the license should be modified, suspended, or 
revoked.
    (4) The licensee shall have an NRC-approved program in effect that 
covers the training and certification of personnel that meets the 
requirements of subpart I before the licensee may receive spent fuel 
and/or reactor-related GTCC waste for storage at an ISFSI or the receipt 
of spent fuel, high-level radioactive waste, and/or reactor-related GTCC 
waste for storage at an MRS.
    (5) The license shall permit the operation of the equipment and 
controls that are important to safety of the ISFSI or the MRS only by 
personnel whom the licensee has certified as being adequately trained to 
perform such operations, or by uncertified personnel who are under the 
direct visual supervision of a certified individual.
    (6)(i) 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 II (Bankruptcy) of the United States Code by or against:
    (A) The licensee;
    (B) 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
    (C) An affiliate (as that term is defined in 11 U.S.C. 101(2)) of 
the licensee.
    (ii) This notification must indicate:
    (A) The bankruptcy court in which the petition for bankruptcy was 
filed; and
    (B) The date of the filing of the petition.
    (c) Each license issued under this part must include technical 
specifications. Technical specifications must include requirements in 
the following categories:
    (1) Functional and operating limits and monitoring instruments and 
limiting control settings. (i) Functional and operating limits for an 
ISFSI or MRS are limits on fuel or waste handling and storage conditions 
that are found to be necessary to protect the integrity of the stored 
fuel or waste container, to protect employees against occupational 
exposures and to guard against the uncontrolled release of radioactive 
materials; and
    (ii) Monitoring instruments and limiting control settings for an 
ISFSI or MRS are those related to fuel or waste handling and storage 
conditions having significant safety functions.
    (2) Limiting conditions. Limiting conditions are the lowest 
functional capability or performance levels of equipment required for 
safe operation.
    (3) Surveillance requirements. Surveillance requirements include:

[[Page 354]]

    (i) Inspection and monitoring of spent fuel, high-level radioactive 
waste, or reactor-related GTCC waste in storage;
    (ii) Inspection, test and calibration activities to ensure that the 
necessary integrity of required systems and components is maintained;
    (iii) Confirmation that operation of the ISFSI or MRS is within the 
required functional and operating limits; and
    (iv) Confirmation that the limiting conditions required for safe 
storage are met.
    (4) Design features. Design features include items that would have a 
significant effect on safety if altered or modified, such as materials 
of construction and geometric arrangements.
    (5) Administrative controls. Administrative controls include the 
organization and management procedures, recordkeeping, review and audit, 
and reporting requirements necessary to assure that the operations 
involved in the storage of spent fuel and reactor-related GTCC waste in 
an ISFSI and the storage of spent fuel, high-level radioactive waste, 
and reactor-related GTCC waste in an MRS are performed in a safe manner.
    (d) Each license authorizing the receipt, handling, and storage of 
spent fuel, high-level radioactive waste, and/or reactor-related GTCC 
waste under this part must include technical specifications that, in 
addition to stating the limits on the release of radioactive materials 
for compliance with limits of part 20 of this chapter and the ``as low 
as is reasonably achievable'' objectives for effluents, require that:
    (1) Operating procedures for control of effluents be established and 
followed, and equipment in the radioactive waste treatment systems be 
maintained and used, to meet the requirements of Sec. 72.104;
    (2) An environmental monitoring program be established to ensure 
compliance with the technical specifications for effluents; and
    (3) An annual report be submitted to the Commission in accordance 
with Sec. 72.4, specifying the quantity of each of the principal 
radionuclides released to the environment in liquid and in gaseous 
effluents during the previous 12 months of operation and such other 
information as may be required by the Commission to estimate maximum 
potential radiation dose commitment to the public resulting from 
effluent releases. On the basis of this report and any additional 
information that 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. The report must be submitted 
within 60 days after the end of the 12-month monitoring period.
    (e) The licensee shall make no change that would decrease the 
effectiveness of the physical security plan prepared pursuant to 
Sec. 72.180 without the prior approval of the Commission. A licensee 
desiring to make such a change shall submit an application for an 
amendment to the license pursuant to Sec. 72.56. A licensee may make 
changes to the physical security plan without prior Commission approval, 
provided that such changes do not decrease the effectiveness of the 
plan. The licensee shall furnish to the Commission a report containing a 
description of each change within two months after the change is made, 
and shall maintain records of changes to the plan made without prior 
Commission approval for a period of 3 years from the date of the change.
    (f) A licensee shall follow and maintain in effect an emergency plan 
that is approved by the Commission. The licensee may make changes to the 
approved plan without Commission approval only if such changes do not 
decrease the effectiveness of the plan. Within six months after any 
change is made, the licensee shall submit a report containing a 
description of any changes made in the plan to the Director, Spent Fuel 
Project Office, U.S. Nuclear Regulatory Commission, Washington, DC 
20555. Proposed changes that decrease the effectiveness of the approved 
emergency plan must not be implemented unless the licensee has received 
prior approval of such changes from the Commission.
    (g) A license issued to DOE under this part for an MRS authorized by 
section 142(b) of NWPA (101 Stat. 1330-232, 42 U.S.C. 10162(b)) must 
include the following conditions:

[[Page 355]]

    (1) Construction of the MRS may not begin until the Commission has 
authorized the construction of a repository under section 114(d) of NWPA 
(96 Stat. 2215, as amended by 101 Stat. 1330-230, 42 U.S.C. 10134 (d)) 
and part 60 or 63 of this chapter;
    (2) Construction of the MRS or acceptance of spent nuclear fuel, 
high-level radioactive waste, and/or reactor-related GTCC waste at the 
MRS is prohibited during such time as the repository license is revoked 
by the Commission or construction of the repository ceases.
    (3) The quantity of spent nuclear fuel or high-level radioactive 
waste at the site of the MRS at any one time may not exceed 10,000 
metric tons of heavy metal until a repository authorized under NWPA and 
part 60 or 63 of this chapter first accepts spent nuclear fuel or 
solidified high-level radioactive waste; and
    (4) The quantity of spent nuclear fuel or high-level radioactive 
waste at the site of the MRS at any one time may not exceed 15,000 
metric tons of heavy metal.

[53 FR 31658, Aug. 19, 1988, as amended at 64 FR 33183, June 22, 1999; 
66 FR 51840, Oct. 11, 2001; 66 FR 55815, Nov. 2, 2001; 67 FR 3586, Jan. 
25, 2002]



Sec. 72.46  Public hearings.

    (a) In connection with each application for a license under this 
part, the Commission shall issue or cause to be issued a notice of 
proposed action and opportunity for hearing in accordance with 
Sec. 2.105 or Sec. 2.1107 of this chapter, as appropriate, or, if the 
Commission finds that a hearing is required in the public interest, a 
notice of hearing in accordance with Sec. 2.104 of this chapter.
    (b)(1) In connection with each application for an amendment to a 
license under this part, the Commission shall, except as provided in 
paragraph (b)(2) of this section, issue or cause to be issued a notice 
of proposed action and opportunity for hearing in accordance with 
Sec. 2.105 or Sec. 2.1107 of this chapter, as appropriate, or, if the 
Commission finds that a hearing is required in the public interest, a 
notice of hearing in accordance with Sec. 2.104 of this chapter.
    (2) The Director, Office of Nuclear Material Safety and Safeguards, 
or the Director's designee may dispense with a notice of proposed action 
and opportunity for hearing or a notice of hearing and take immediate 
action on an amendment to a license issued under this part upon a 
determination that the amendment does not present a genuine issue as to 
whether the health and safety of the public will be significantly 
affected. After taking the action, the Director or the Director's 
designee shall promptly publish a notice in the Federal Register of the 
action taken and of the right of interested persons to request a hearing 
on whether the action should be rescinded or modified. If the action 
taken amends an MRS license, the Director or the Director's designee 
shall also inform the appropriate State and local officials.
    (c) The notice of proposed action and opportunity for hearing or the 
notice of hearing may be included in the notice of docketing required to 
be published by Sec. 72.16 of this part.
    (d) If no request for a hearing or petition for leave to intervene 
is filed within the time prescribed in the notice of proposed action and 
opportunity for hearing, the Director, Office of Nuclear Material Safety 
and Safeguards or the Director's designee may take the proposed action, 
and thereafter shall promptly inform the appropriate State and local 
officials and publish a notice in the Federal Register of the action 
taken. In accordance with Sec. 2.764(c) of this chapter, the Director, 
Office of Nuclear Material Safety and Safeguards shall not issue an 
initial license for the construction and operation of an ISFSI located 
at a site other than a reactor site or an MRS until expressly authorized 
to do so by the Commission.
    (e) If an application for (or an amendment to) a specific license 
issued under this part incorporates by reference information on the 
design of a spent fuel storage cask for which NRC approval pursuant to 
subpart L of this part has been issued or is being sought, the scope of 
any public hearing held to consider the application will not include any 
cask design issues.

[53 FR 31658, Aug. 19, 1988, as amended at 60 FR 20886, Apr. 28, 1995; 
65 FR 50617, Aug. 21, 2000]

[[Page 356]]



Sec. 72.48  Changes, tests, and experiments.

    (a) Definitions for the purposes of this section:
    (1) Change means a modification or addition to, or removal from, the 
facility or spent fuel storage cask design or procedures that affects a 
design function, method of performing or controlling the function, or an 
evaluation that demonstrates that intended functions will be 
accomplished.
    (2) Departure from a method of evaluation described in the FSAR (as 
updated) used in establishing the design bases or in the safety analyses 
means:
    (i) Changing any of the elements of the method described in the FSAR 
(as updated) unless the results of the analysis are conservative or 
essentially the same; or
    (ii) Changing from a method described in the FSAR to another method 
unless that method has been approved by NRC for the intended 
application.
    (3) Facility means either an independent spent fuel storage 
installation (ISFSI) or a Monitored Retrievable Storage facility( MRS).
    (4) The facility or spent fuel storage cask design as described in 
the Final Safety Analysis Report (FSAR) (as updated) means:
    (i) The structures, systems, and components (SSC) that are described 
in the FSAR (as updated),
    (ii) The design and performance requirements for such SSCs described 
in the FSAR (as updated), and
    (iii) The evaluations or methods of evaluation included in the FSAR 
(as updated) for such SSCs which demonstrate that their intended 
function(s) will be accomplished.
    (5) Final Safety Analysis Report (as updated) means:
    (i) For specific licensees, the Safety Analysis Report for a 
facility submitted and updated in accordance with Sec. 72.70;
    (ii) For general licensees, the Safety Analysis Report for a spent 
fuel storage cask design, as amended and supplemented; and
    (iii) For certificate holders, the Safety Analysis Report for a 
spent fuel storage cask design submitted and updated in accordance with 
Sec. 72.248.
    (6) Procedures as described in the Final Safety Analysis Report (as 
updated) means those procedures that contain information described in 
the FSAR (as updated) such as how SSCs are operated and controlled 
(including assumed operator actions and response times).
    (7) Tests or experiments not described in the Final Safety Analysis 
Report (as updated) means any activity where any SSC is utilized or 
controlled in a manner which is either:
    (i) Outside the reference bounds of the design bases as described in 
the FSAR (as updated) or
    (ii) Inconsistent with the analyses or descriptions in the FSAR (as 
updated).
    (b) This section applies to:
    (1) Each holder of a general or specific license issued under this 
part, and
    (2) Each holder of a Certificate of Compliance (CoC) issued under 
this part.
    (c)(1) A licensee or certificate holder may make changes in the 
facility or spent fuel storage cask design as described in the FSAR (as 
updated), make changes in the procedures as described in the FSAR (as 
updated), and conduct tests or experiments not described in the FSAR (as 
updated), without obtaining either:
    (i) A license amendment pursuant to Sec. 72.56 (for specific 
licensees) or
    (ii) A CoC amendment submitted by the certificate holder pursuant to 
Sec. 72.244 (for general licensees and certificate holders) if:
    (A) A change to the technical specifications incorporated in the 
specific license is not required; or
    (B) A change in the terms, conditions, or specifications 
incorporated in the CoC is not required; and
    (C) The change, test, or experiment does not meet any of the 
criteria in paragraph (c)(2) of this section.
    (2) A specific licensee shall obtain a license amendment pursuant to 
Sec. 72.56, a certificate holder shall obtain a CoC amendment pursuant 
to Sec. 72.244, and a general licensee shall request that the 
certificate holder obtain a CoC amendment pursuant to Sec. 72.244, prior 
to implementing a proposed change, test, or experiment if the change, 
test, or experiment would:
    (i) Result in more than a minimal increase in the frequency of 
occurrence

[[Page 357]]

of an accident previously evaluated in the FSAR (as updated);
    (ii) Result in more than a minimal increase in the likelihood of 
occurrence of a malfunction of a system, structure, or component (SSC) 
important to safety previously evaluated in the FSAR (as updated);
    (iii) Result in more than a minimal increase in the consequences of 
an accident previously evaluated in the FSAR (as updated);
    (iv) Result in more than a minimal increase in the consequences of a 
malfunction of an SSC important to safety previously evaluated in the 
FSAR (as updated);
    (v) Create a possibility for an accident of a different type than 
any previously evaluated in the FSAR (as updated);
    (vi) Create a possibility for a malfunction of an SSC important to 
safety with a different result than any previously evaluated in the FSAR 
(as updated);
    (vii) Result in a design basis limit for a fission product barrier 
as described in the FSAR (as updated) being exceeded or altered; or
    (viii) Result in a departure from a method of evaluation described 
in the FSAR (as updated) used in establishing the design bases or in the 
safety analyses.
    (3) In implementing this paragraph, the FSAR (as updated) is 
considered to include FSAR changes resulting from evaluations performed 
pursuant to this section and analyses performed pursuant to Sec. 72.56 
or Sec. 72.244 since the last update of the FSAR pursuant to Sec. 72.70, 
or Sec. 72.248 of this part.
    (4) The provisions in this section do not apply to changes to the 
facility or procedures when the applicable regulations establish more 
specific criteria for accomplishing such changes.
    (d)(1) The licensee and certificate holder shall maintain records of 
changes in the facility or spent fuel storage cask design, of changes in 
procedures, and of tests and experiments made pursuant to paragraph (c) 
of this section. These records must include a written evaluation which 
provides the bases for the determination that the change, test, or 
experiment does not require a license or CoC amendment pursuant to 
paragraph (c)(2) of this section.
    (2) The licensee and certificate holder shall submit, as specified 
in Sec. 72.4, a report containing a brief description of any changes, 
tests, and experiments, including a summary of the evaluation of each. A 
report shall be submitted at intervals not to exceed 24 months.
    (3) The records of changes in the facility or spent fuel storage 
cask design shall be maintained until:
    (i) Spent fuel is no longer stored in the facility or the spent fuel 
storage cask design is no longer being used, or
    (ii) The Commission terminates the license or CoC issued pursuant to 
this part.
    (4) The records of changes in procedures and of tests and 
experiments shall be maintained for a period of 5 years.
    (5) The holder of a spent fuel storage cask design CoC, who 
permanently ceases operation, shall provide the records of changes to 
the new certificate holder or to the Commission, as appropriate, in 
accordance with Sec. 72.234(d)(3).
    (6)(i) A general licensee shall provide a copy of the record for any 
changes to a spent fuel storage cask design to the applicable 
certificate holder within 60 days of implementing the change.
    (ii) A specific licensee using a spent fuel storage cask design, 
approved pursuant to subpart L of this part, shall provide a copy of the 
record for any changes to a spent fuel storage cask design to the 
applicable certificate holder within 60 days of implementing the change.
    (iii) A certificate holder shall provide a copy of the record for 
any changes to a spent fuel storage cask design to any general or 
specific licensee using the cask design within 60 days of implementing 
the change.

[64 FR 53615, Oct. 4, 1999, as amended at 66 FR 11527, Feb. 26, 2001]



Sec. 72.50  Transfer of license.

    (a) No license or any part included in a license issued under this 
part for an ISFSI or MRS 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,

[[Page 358]]

unless the Commission gives its consent in writing.
    (b)(1) An application for transfer of a license must include as much 
of the information described in Secs. 72.22 and 72.28 with respect to 
the identity and the technical and financial qualifications of the 
proposed transferee as would be required by those sections if the 
application were for an initial license. The application must also 
include a statement of the purposes for which the transfer of the 
license is requested and the nature of the transaction necessitating or 
making desirable the transfer of the license.
    (2) The Commission may require any person who submits an application 
for the transfer of a 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 radioactive 
materials and the storage installation 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 that:
    (1) The proposed transferee is qualified to be the holder of the 
license; and
    (2) Transfer of the license is consistent with applicable provisions 
of the law, and the regulations and orders issued by the Commission.



Sec. 72.52  Creditor regulations.

    (a) This section does not apply to an ISFSI or MRS constructed and 
operated by DOE.
    (b) Pursuant to section 184 of the Act, the Commission consents, 
without individual application, to the creation of any mortgage, pledge, 
or other lien on special nuclear material contained in spent fuel not 
owned by the United States that is the subject of a license or on any 
interest in special nuclear material in spent fuel; 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 spent 
fuel and/or reactor-related GTCC waste under the provisions of this 
section before--
    (i) The Commission issues a license authorizing possession; or
    (ii) The license is transferred.
    (c) Any creditor so secured may apply for transfer of the license 
covering spent fuel and/or reactor-related GTCC waste by filing an 
application for transfer of the license under Sec. 72.50(b). The 
Commission will act upon the application under Sec. 72.50(c).
    (d) 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.
    (e) As used in this section, ``creditor'' includes, without implied 
limitation--
    (1) The trustee under any mortgage, pledge, or lien on spent fuel 
and/or reactor-related GTCC waste in storage made to secure any 
creditor;
    (2) Any trustee or receiver of spent fuel and/or reactor-related 
GTCC waste appointed by a court of competent jurisdiction in any action 
brought for the benefit of any creditor secured by a mortgage, pledge, 
or lien;
    (3) Any purchaser of the spent fuel and/or reactor-related GTCC 
waste at the sale thereof upon foreclosure of the mortgage, pledge, or 
lien or upon exercise of any power of sale contained therein; or
    (4) Any assignee of any such purchaser.

[53 FR 31658, Aug. 19, 1988, as amended at 66 FR 51840, Oct. 11, 2001]



Sec. 72.54  Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas.

    (a) Each specific license expires at the end of the day on the 
expiration date stated in the license except when a licensee has filed 
an application for

[[Page 359]]

renewal pursuant to Sec. 72.42 not less than 24 months before the 
expiration of the existing license. If an application for renewal has 
been filed at least 24 months prior to the expiration date stated in the 
existing license, 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.
    (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 licensed material until 
the Commission notifies the licensee in writing that the license is 
terminated. During this time, the licensee shall--
    (1) Limit actions involving spent fuel, reactor-related GTCC waste, 
or other licensed 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) As required by Sec. 72.42(b), or within 60 days of the 
occurrence of any of the following, consistent with the administrative 
directions in Sec. 72.4, each licensee shall notify the NRC in writing, 
and submit within 12 months of this notification, a final 
decommissioning plan and begin decommissioning upon approval of the plan 
if--
    (1) The licensee has decided to permanently cease principal 
activities, as defined in this part, at the entire site or 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
    (2) No principal activities under the license have been conducted 
for a period of 24 months; or
    (3) 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. 72.30 
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)(5) 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)(1) The Commission may grant a request to delay or postpone 
initiation of the decommissioning process 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.
    (2) The Commission may approve an alternate schedule for submittal 
of the final decommissioning plan required pursuant to paragraph (d) of 
this section if the Commission determines that the alternate 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 to the public interest.
    (g) The proposed final decommissioning plan must include--
    (1) A description of the current conditions of the site or separate 
building or

[[Page 360]]

outdoor area sufficient to evaluate the acceptability of the plan;
    (2) The choice of the alternative for decommissioning with a 
description of the activities involved;
    (3) A description of controls and limits on procedures and equipment 
to protect occupational and public health and safety;
    (4) A description of the planned final radiation survey; and
    (5) An updated detailed 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 including means for 
adjusting cost estimates and associated funding levels over any storage 
or surveillance period; and
    (6) A description of technical specifications and quality assurance 
provisions in place during decommissioning.
    (h) For final decommissioning plans in which the major dismantlement 
activities are delayed by first placing the ISFSI or MRS 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.
    (i) If the final decommissioning plan demonstrates that the 
decommissioning will be completed as soon as practicable, 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 the plan subject to any appropriate conditions and 
limitations and issue an order authorizing decommissioning.
    (j)(1) Except as provided in paragraph (k) of this section, each 
licensee shall complete decommissioning of the site or separate building 
or outdoor area as soon as practicable but no later than 24 months 
following approval of the final decommissioning plan by the Commission.
    (2) Except as provided in paragraph (k) of this section, when 
decommissioning involves the entire site, each licensee shall request 
license termination as soon as practicable but no later than 24 months 
following approval of the final decommissioning plan by the Commission.
    (k) 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 alternate schedule 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 that the Commission may consider 
appropriate on a case-by-case basis, such as 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.
    (l) 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 conducted and submit a report of the results of this 
survey, unless the licensee demonstrates in some other manner that the 
premises are suitable for release in accordance with the criteria for 
decommissioning in 10 CFR part 20, subpart E. 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

[[Page 361]]

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.
    (m) Specific licenses, including expired licenses, will be 
terminated by written notice to the licensee when the Commission 
determines that--
    (1) The decommissioning has been performed in accordance with the 
approved final decommissioning plan and the order authorizing 
decommissioning; and
    (2)(i) A radiation survey has been performed which demonstrates that 
the premises are suitable for release in accordance with the criteria 
for decommissioning in 10 CFR part 20, subpart E; or
    (ii) Other information submitted by the licensee is sufficient to 
demonstrate that the premises are suitable for release in accordance 
with the criteria for decommissioning in 10 CFR part 20, subpart E.
    (3) Records required by Sec. 72.80(e) have been received.

[59 FR 36038, July 15, 1994, as amended at 60 FR 38240, July 26, 1995; 
61 FR 24675, May 16, 1996; 61 FR 29638, June 12, 1996; 62 FR 39092, July 
21, 1997; 62 FR 59276, Nov. 3, 1997; 66 FR 51840, Oct. 11, 2001]



Sec. 72.56  Application for amendment of license.

    Whenever a holder of a specific license desires to amend the license 
(including a change to the license conditions), an application for an 
amendment shall be filed with the Commission fully describing the 
changes desired and the reasons for such changes, and following as far 
as applicable the form prescribed for original applications.

[64 FR 53616, Oct. 4, 1999]



Sec. 72.58  Issuance of amendment.

    In determining whether an amendment to a license will be issued to 
the applicant, the Commission will be guided by the considerations that 
govern the issuance of initial licenses.



Sec. 72.60  Modification, revocation, and suspension of license.

    (a) The terms and conditions of all licenses are subject to 
amendment, revision, or modification by reason of amendments to the 
Atomic Energy Act of 1954, as amended, or by reason or rules, 
regulations, or orders issued in accordance with the Act or any 
amendments thereto.
    (b) Any license may be modified, revoked, or suspended in whole or 
in part for any of the following:
    (1) Any material false statement in the application or in any 
statement of fact required under section 182 of the Act;
    (2) Conditions revealed by the application 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;
    (3) Failure to operate an ISFSI or MRS in accordance with the terms 
of the license;
    (4) Violation of, or failure to observe, any of the terms and 
conditions of the Act, or of any applicable regulation, license, or 
order of the Commission.
    (c) Upon revocation of a license, the Commission may immediately 
cause the retaking of possession of all special nuclear material 
contained in spent fuel and/or reactor-related GTCC waste held by the 
licensee. In cases found by the Commission to be of extreme importance 
to the national defense and security or to the health and safety of the 
public, the Commission may cause the taking of possession of any special 
nuclear material contained in spent fuel and/or reactor-related GTCC 
waste held by the licensee before following any of the procedures 
provided under sections 551-558 of title 5 of the United States Code.

[53 FR 31658, Aug. 19, 1988, as amended at 66 FR 51841, Oct. 11, 2001]



Sec. 72.62  Backfitting.

    (a) As used in this section, backfitting means the addition, 
elimination, or modification, after the license has been issued, of:
    (1) Structures, systems, or components of an ISFSI or MRS, or

[[Page 362]]

    (2) Procedures or organization required to operate an ISFSI or MRS.
    (b) The Commission will require backfitting of an ISFSI or MRS if it 
finds that such action is necessary to assure adequate protection to 
occupational or public health and safety, or to bring the ISFSI or MRS 
into compliance with a license or the rules or orders of the Commission, 
or into conformance with written commitments by a licensee.
    (c) The Commission may require the backfitting of an ISFSI or MRS if 
it finds:
    (1) That there is a substantial increase in the overall protection 
of the occupational or public health and safety to be derived from the 
backfit, and
    (2) That the direct and indirect costs of implementation for that 
ISFSI or MRS are justified in view of this increased protection.
    (d) The Commission may at any time require a holder of a license to 
submit such information concerning the backfitting or the proposed 
backfitting of an ISFSI or MRS as it deems appropriate.



        Subpart D--Records, Reports, Inspections, and Enforcement



Sec. 72.70  Safety analysis report updating.

    (a) Each specific licensee for an ISFSI or MRS shall update 
periodically, as provided in paragraphs (b) and (c) of this section, the 
final safety analysis report (FSAR) to assure that the information 
included in the report contains the latest information developed.
    (1) Each licensee shall submit an original FSAR to the Commission, 
in accordance with Sec. 72.4, within 90 days after issuance of the 
license.
    (2) The original FSAR shall be based on the safety analysis report 
submitted with the application and reflect any changes and applicant 
commitments developed during the license approval and/or hearing 
process.
    (b) Each update 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 update to 
the FSAR under this section. The update shall include the effects \1\ 
of:
---------------------------------------------------------------------------

    \1\ Effects of changes includes appropriate revisions of 
descriptions in the FSAR such that the FSAR (as updated) is complete and 
accurate.
---------------------------------------------------------------------------

    (1) All changes made in the ISFSI or MRS or procedures as described 
in the FSAR;
    (2) All safety analyses and evaluations performed by the licensee 
either in support of approved license amendments, or in support of 
conclusions that changes did not require a license amendment in 
accordance with Sec. 72.48;
    (3) All final analyses and evaluations of the design and performance 
of structures, systems, and components that are important to safety 
taking into account any pertinent information developed during final 
design, construction, and preoperational testing; and
    (4) All analyses of new safety issues performed by or on behalf of 
the licensee at Commission request. The information shall be 
appropriately located within the updated FSAR.
    (c)(1) The update of the FSAR shall be filed in accordance with 
Sec. 72.4, on a replacement-page basis;
    (2) The update shall include a list that identifies the current 
pages of the FSAR following page replacement;
    (3) 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);
    (4) The update 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, or that no such changes were made; and
    (ii) An identification of changes made under the provisions of 
Sec. 72.48, but not previously submitted to the Commission;
    (5) The update shall reflect all changes implemented up to a maximum 
of 6 months prior to the date of filing; and
    (6) Updates shall be filed every 24 months from the date of issuance 
of the license.

[[Page 363]]

    (d) The updated FSAR shall be retained by the licensee until the 
Commission terminates the license.

[64 FR 53616, Oct. 4, 1999]



Sec. 72.72  Material balance, inventory, and records requirements for stored materials.

    (a) Each licensee shall keep records showing the receipt, inventory 
(including location), disposal, acquisition, and transfer of all special 
nuclear material with quantities as specified in Sec. 74.13(a)(1). The 
records must include as a minimum the name of shipper of the material to 
the ISFSI or MRS, the estimated quantity of radioactive material per 
item (including special nuclear material in spent fuel and reactor-
related GTCC waste), item identification and seal number, storage 
location, onsite movements of each fuel assembly or storage canister, 
and ultimate disposal. These records for spent fuel and reactor-related 
GTCC waste at an ISFSI or for spent fuel, high-level radioactive waste, 
and reactor-related GTCC waste at an MRS must be retained for as long as 
the material is stored and for a period of five years after the material 
is disposed of or transferred out of the ISFSI or MRS.
    (b) Each licensee shall conduct a physical inventory of all spent 
fuel, high-level radioactive waste, and reactor-related GTCC waste 
containing special nuclear material meeting the requirements in 
paragraph (a) of this section at intervals not to exceed 12 months 
unless otherwise directed by the Commission. The licensee shall retain a 
copy of the current inventory as a record until the Commission 
terminates the license.
    (c) Each licensee shall establish, maintain, and follow written 
material control and accounting procedures that are sufficient to enable 
the licensee to account for material in storage. The licensee shall 
retain a copy of the current material control and accounting procedures 
until the Commission terminates the license.
    (d) Records of spent fuel, high-level radioactive waste, and 
reactor-related GTCC waste containing special nuclear material meeting 
the requirements in paragraph (a) of this section must be kept in 
duplicate. The duplicate set of records must be kept at a separate 
location sufficiently remote from the original records that a single 
event would not destroy both sets of records. Records of spent fuel or 
reactor-related GTCC waste containing special nuclear material 
transferred out of an ISFSI or of spent fuel, high-level radioactive 
waste, or reactor-related GTCC waste containing special nuclear material 
transferred out of an MRS must be preserved for a period of five years 
after the date of transfer.

[53 FR 31658, Aug. 19, 1988, as amended at 66 FR 51841, Oct. 11, 2001]



Sec. 72.74  Reports of accidental criticality or loss of special nuclear material.

    (a) Each licensee shall notify the NRC Operations Center \1\ within 
one hour of discovery of accidental criticality or any loss of special 
nuclear material.
---------------------------------------------------------------------------

    \1\ Commercial telephone number of the NRC Operations Center is 
(301) 816-5100.
---------------------------------------------------------------------------

    (b) This notification must be made to the NRC Operations Center via 
the Emergency Notification System if the licensee is party to that 
system. If the Emergency Notification System is inoperative or 
unavailable, the licensee shall make the required notification via 
commercial telephonic service or any other dedicated telephonic system 
or any other method that will ensure that a report is received by the 
NRC Operations Center within one hour. The exemption of Sec. 73.21(g)(3) 
of this chapter applies to all telephonic reports required by this 
section.
    (c) Reports required under Sec. 73.71 of this chapter need not be 
duplicated under the requirements of this section.

[53 FR 31658, Aug. 19, 1988, as amended at 59 FR 14087, Mar. 25, 1994]



Sec. 72.75  Reporting requirements for specific events and conditions.

    (a) Emergency notifications--Each licensee shall notify the NRC 
Operations Center upon the declaration of an emergency as specified in 
the licensee's approved emergency plan addressed in Sec. 72.32 of this 
part. The licensee shall notify the NRC immediately after notification 
of the appropriate State or local agencies, but not later than one

[[Page 364]]

hour after the time the licensee declares an emergency.
    (b) Non-emergency notifications: Four-hour reports. Each licensee 
shall notify the NRC as soon as possible but not later than 4 hours 
after the discovery of any of the following events or conditions 
involving spent fuel, HLW, or reactor-related GTCC waste:
    (1) An event that prevents immediate actions necessary to avoid 
exposures to radiation or radioactive materials that could exceed 
regulatory limits, or releases of radioactive materials that could 
exceed regulatory limits (e.g., events such as fires, explosions, and 
toxic gas releases).
    (2) A defect in any storage structure, system, or component which is 
important to safety.
    (3) A significant reduction in the effectiveness of any storage 
confinement system during use.
    (4) An action taken in an emergency that departs from a condition or 
a technical specification contained in a license or certificate of 
compliance issued under this part when the action is immediately needed 
to protect the public health and safety and no action consistent with 
license or certificate of compliance conditions or technical 
specifications that can provide adequate or equivalent protection is 
immediately apparent.
    (5) An event that requires unplanned medical treatment at an offsite 
medical facility of an individual with radioactive contamination on the 
individual's clothing or body which could cause further radioactive 
contamination.
    (6) An unplanned fire or explosion damaging any spent fuel, HLW, 
and/or reactor-related GTCC waste, or any device, container, or 
equipment containing spent fuel, HLW, and/or reactor-related GTCC waste 
when the damage affects the integrity of the material or its container.
    (c) Non-emergency notifications: Twenty-four hour reports. Each 
licensee shall notify the NRC within 24 hours after the discovery of any 
of the following events involving spent fuel, HLW, or reactor-related 
GTCC waste:
    (1) Any unplanned contamination event that 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.
    (2) An event in which safety equipment is disabled or fails to 
function as designed when:
    (i) The equipment is required by regulation, license condition, or 
certificate of compliance to be available and operable to prevent 
releases that could exceed regulatory limits, to prevent exposures to 
radiation or radioactive materials that could exceed regulatory limits, 
or to mitigate the consequences of an accident; and
    (ii) No redundant equipment was available and operable to perform 
the required safety function.
    (d) 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), (b), or 
(c) 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 quantities, and chemical and physical forms of the spent 
fuel, HLW, or reactor-related GTCC waste involved; and
    (v) Any personnel radiation exposure data.
    (2) Written report. Each licensee who makes an initial notification 
required by paragraphs (a), (b), or (c) of this section also shall 
submit a written follow-up report within 30 days of the initial 
notification. Written reports prepared pursuant to other regulations may 
be submitted to fulfill this requirement if the reports contain all the 
necessary information and the appropriate distribution is made. These 
written reports must be sent to the Commission, in accordance with 
Sec. 72.4. These reports must include the following:

[[Page 365]]

    (i) 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;
    (ii) A clear, specific, narrative description of the event that 
occurred so that knowledgeable readers conversant with the design of 
ISFSI or MRS, but not familiar with the details of a particular 
facility, can understand the complete event. The narrative description 
must include the following specific information as appropriate for the 
particular event:
    (A) ISFSI or MRS 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) A list of systems or secondary functions that were also affected 
for failures of components with multiple functions;
    (G) For wet spent fuel storage systems only, after 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;
    (H) The method of discovery of each component or system failure or 
procedural error;
    (I)(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 facility 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 (e.g., contractor personnel, 
utility-licensed operator, utility nonlicensed operator, other utility 
personnel);
    (J) Automatically and manually initiated safety system responses 
(wet spent fuel storage systems only);
    (K) The manufacturer and model number (or other identification) of 
each component that failed during the event;
    (L) The quantities, and chemical and physical forms of the spent 
fuel, HLW, or reactor-related GTCC waste involved;
    (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 facility 
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 facililty's 
characteristics;
    (7) The extent of exposure of individuals to radiation or to 
radioactive materials without identification of individuals by name.

[59 FR 64285, Dec. 14, 1994, as amended at 64 FR 33183, June 22, 1999; 
66 FR 51841, Oct. 11, 2001]



Sec. 72.76  Material status reports.

    (a) Except as provided in paragraph (b) of this section, each 
licensee shall complete, in computer-readable format, and submit to the 
Commission a material status report in accordance with instructions 
(NUREG/BR-0007 and

[[Page 366]]

NMMSS Report D-24 ``Personal Computer Data Input for NRC Licensees''). 
Copies of these instructions may be obtained from the U.S. Nuclear 
Regulatory Commission, Division of Fuel Cycle Safety and Safeguards, 
Washington, DC 20555-0001. These reports provide information concerning 
the special nuclear material possessed, received, transferred, disposed 
of, or lost by the licensee. Material status reports must be made as of 
March 31 and September 30 of each year and filed within 30 days after 
the end of the period covered by the report. The Commission may, when 
good cause is shown, permit a licensee to submit material status reports 
at other times. The Commission's copy of this report must be submitted 
to the address specified in the instructions. These prescribed computer-
readable forms replace the DOE/NRC Form 742 which has been previously 
submitted in paper form.
    (b) Any licensee who is required to submit routine material status 
reports pursuant to Sec. 75.35 of this chapter (pertaining to 
implementation of the US/IAEA Safeguards Agreement) shall prepare and 
submit such reports only as provided in that section instead of as 
provided in paragraph (a) of this section.

[53 FR 31658, Aug. 19, 1988, as amended at 59 FR 35620, July 13, 1994; 
66 FR 51841, Oct. 11, 2001]

    Effective Date Note: At 67 FR 78143, Dec. 23, 2002, Sec. 72.76 was 
amended by revising paragraph (a), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 72.76  Material status reports.

    (a) Except as provided in paragraph (b) of this section, each 
licensee shall complete in computer-readable format and submit to the 
Commission a Material Balance Report and a Physical Inventory Listing 
Report in accordance with instructions (NUREG/BR-0007 and NMMSS Report 
D--24 ``Personal Computer Data Input for NRC Licensees''). Copies of 
these instructions may be obtained from the U.S. Nuclear Regulatory 
Commission, Division of Nuclear Security, Washington, DC 20555-0001. 
These reports provide information concerning the special nuclear 
material possessed, received, transferred, disposed of, or lost by the 
licensee. Each report must be submitted within 60 days of the beginning 
of the physical inventory required by Sec. 72.72(b). The Commission may, 
when good cause is shown, permit a licensee to submit Material Balance 
Reports and Physical Inventory Listing Reports at other times. The 
Commission's copy of this report must be submitted to the address 
specified in the instructions. These prescribed computer-readable forms 
replace the DOE/NRC forms 742 and 742C which have been previously 
submitted in paper form.

                                * * * * *



Sec. 72.78  Nuclear material transfer reports.

    (a) Except as provided in paragraph (b) of this section, whenever 
the licensee transfers or receives special nuclear material, the 
licensee shall complete in computer-readable format a Nuclear Material 
Transaction Report in accordance with instructions (NUREG/BR-0006 and 
NMMSS Report D-24, ``Personal Computer Data Input for NRC Licensees''). 
Copies of these instructions may be obtained from the U.S. Nuclear 
Regulatory Commission, Division of Fuel Cycle Safety and Safeguards, 
Washington, DC 20555-0001. Each ISFSI licensee who receives spent fuel 
from a foreign source shall complete both the supplier's and receiver's 
portion of the Nuclear Material Transaction Report, verify the identity 
of the spent fuel, and indicate the results on the receiver's portion of 
the form. These prescribed computer-readable forms replace the DOE/NRC 
Form 741 which has been previously submitted in paper form.
    (b) Any licensee who is required to submit Nuclear Material 
Transactions Reports pursuant to Sec. 75.34 of this chapter (pertaining 
to implementation of the US/IAEA Safeguards Agreement) shall prepare and 
submit the reports only as provided in that section instead of as 
provided in paragraph (a) of this section.

[59 FR 35621, July 13, 1994, as amended at 66 FR 51841, Oct. 11, 2001]



Sec. 72.80  Other records and reports.

    (a) Each licensee shall maintain any records and make any reports 
that may be required by the conditions of the license or by the rules, 
regulations, and orders of the Commission in effectuating the purposes 
of the Act.
    (b) Each licensee shall furnish a copy of its annual financial 
report, including

[[Page 367]]

the certified financial statements, to the Commission.
    (c) Records that are required by the regulations in this part or by 
the license conditions must be maintained for the period specified by 
the appropriate regulation or license condition. If a retention period 
is not otherwise specified, the above records must be maintained until 
the Commission terminates the license.
    (d) Any record that must be maintained pursuant to this part may be 
either the original or a reproduced copy by any state of the art method 
provided that any reproduced copy is duly authenticated by authorized 
personnel and is capable of producing a clear and legible copy after 
storage for the period specified by Commission regulations.
    (e) Prior to license termination, the licensee shall forward records 
required by Secs. 20.2103(b)(4) and 72.30(d) to the appropriate NRC 
Regional Office.
    (f) If licensed activities are transferred or assigned in accordance 
with Sec. 72.44(b)(1), the licensee shall transfer the records required 
by Secs. 20.2103(b)(4) and 72.30(d) to the new licensee and the new 
licensee will be responsible for maintaining these records until the 
license is terminated.
    (g) Each specific licensee shall notify the Commission, in 
accordance with Sec. 72.4, of its readiness to begin operation at least 
90 days prior to the first storage of spent fuel, high-level waste, or 
reactor-related GTCC waste in an ISFSI or an MRS.

[53 FR 31658, Aug. 19, 1988, as amended at 61 FR 24675, May 16, 1996; 64 
FR 53616, Oct. 4, 1999; 66 FR 51841, Oct. 11, 2001]



Sec. 72.82  Inspections and tests.

    (a) Each licensee under this part shall permit duly authorized 
representatives of the Commission to inspect its records, premises, and 
activities and of spent fuel, high-level radioactive waste, or reactor-
related GTCC waste in its possession related to the specific license as 
may be necessary to meet the objectives of the Act, including section 
105 of the Act.
    (b) Each licensee under this part shall make available to the 
Commission for inspection, upon reasonable notice, records kept by the 
licensee pertaining to its receipt, possession, packaging, or transfer 
of spent fuel, high-level radioactive waste, or reactor-related GTCC 
waste.
    (c)(1) Each licensee under this part shall upon request by the 
Director, Office of Nuclear Material Safety and Safeguards or the 
appropriate NRC Regional Administrator 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. The office shall be convenient to and have 
full access to the installation and shall provide the inspector both 
visual and acoustic privacy.
    (2) For a site with a single storage installation 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 
sq. ft., either within the site's office complex or in an office 
trailer, or other onsite space, is suggested as a guide. For sites 
containing multiple facilities, additional space may be requested to 
accommodate additional full-time inspectors. The office space that is 
provided shall be subject to the approval of the Director, Office of 
Nuclear Material Safety and Safeguards or the appropriate NRC Regional 
Administrator. All furniture, supplies and Commission equipment will be 
furnished by the Commission.
    (3) Each licensee under this part shall afford any NRC resident 
inspector assigned to that site, or other NRC inspectors identified by 
the Regional Administrator as likely to inspect the installation, 
immediate unfettered access, equivalent to access provided regular plant 
employees, following proper identification and compliance with 
applicable access control measures for security, radiological 
protection, and personal safety.
    (d) Each licensee shall perform, or permit the Commission to 
perform, such tests as the Commission deems appropriate or necessary for 
the administrator of the regulations in this part.

[53 FR 31658, Aug. 19, 1988, as amended at 64 FR 17512, Apr. 12, 1999; 
66 FR 51842, Oct. 11, 2001]

[[Page 368]]



Sec. 72.84  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 55078, Nov. 24, 1992]



Sec. 72.86  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 72 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 72 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 72.1, 72.2, 72.3, 72.4, 72.5, 72.7, 72.8, 72.9, 72.13, 72.16, 
72.18, 72.20, 72.22, 72.24, 72.26, 72.28, 72.32, 72.34, 72.40, 72.46, 
72.56, 72.58, 72.60, 72.62, 72.84, 72.86, 72.90, 72.96, 72.108, 72.120, 
72.122, 72.124, 72.126, 72.128, 72.130, 72.182, 72.194, 72.200, 72.202, 
72.204, 72.206, 72.210, 72.214, 72.220, 72.230, 72.238, and 72.240.

[57 FR 55078, Nov. 24, 1992, as amended at 59 FR 36040, July 13, 1994; 
64 FR 53616, Oct. 4, 1999; 64 FR 56122, Oct. 15, 1999; 65 FR 50617, Aug. 
21, 2000]



                  Subpart E--Siting Evaluation Factors



Sec. 72.90  General considerations.

    (a) Site characteristics that may directly affect the safety or 
environmental impact of the ISFSI or MRS must be investigated and 
assessed.
    (b) Proposed sites for the ISFSI or MRS must be examined with 
respect to the frequency and the severity of external natural and man-
induced events that could affect the safe operation of the ISFSI or MRS.
    (c) Design basis external events must be determined for each 
combination of proposed site and proposed ISFSI or MRS design.
    (d) Proposed sites with design basis external events for which 
adequate protection cannot be provided through ISFSI or MRS design shall 
be deemed unsuitable for the location of the ISFSI or MRS.
    (e) Pursuant to subpart A of part 51 of this chapter for each 
proposed site for an ISFSI and pursuant to sections 141 or 148 of NWPA, 
as appropriate (96 Stat. 2241, 101 Stat. 1330-235, 42 U.S.C. 10161, 
10168) for each proposed site for an MRS, the potential for radiological 
and other environmental impacts on the region must be evaluated with due 
consideration of the characteristics of the population, including its 
distribution, and of the regional environs, including its historical and 
esthetic values.
    (f) The facility must be sited so as to avoid to the extent possible 
the long-term and short-term adverse impacts associated with the 
occupancy and modification of floodplains.



Sec. 72.92  Design basis external natural events.

    (a) Natural phenomena that may exist or that can occur in the region 
of a proposed site must be identified and assessed according to their 
potential effects on the safe operation of the ISFSI or MRS. The 
important natural

[[Page 369]]

phenomena that affect the ISFSI or MRS design must be identified.
    (b) Records of the occurrence and severity of those important 
natural phenomena must be collected for the region and evaluated for 
reliability, accuracy, and completeness. The applicant shall retain 
these records until the license is issued.
    (c) Appropriate methods must be adopted for evaluating the design 
basis external natural events based on the characteristics of the region 
and the current state of knowledge about such events.



Sec. 72.94  Design basis external man-induced events.

    (a) The region must be examined for both past and present man-made 
facilities and activities that might endanger the proposed ISFSI or MRS. 
The important potential man-induced events that affect the ISFSI or MRS 
design must be identified.
    (b) Information concerning the potential occurrence and severity of 
such events must be collected and evaluated for reliability, accuracy, 
and completeness.
    (c) Appropriate methods must be adopted for evaluating the design 
basis external man-induced events, based on the current state of 
knowledge about such events.



Sec. 72.96  Siting limitations.

    (a) An ISFSI which is owned and operated by DOE must not be located 
at any site within which there is a candidate site for a HLW repository. 
This limitation shall apply until such time as DOE decides that such 
candidate site is no longer a candidate site under consideration for 
development as a HLW repository.
    (b) An MRS must not be sited in any State in which there is located 
any site approved for site characterization for a HLW repository. This 
limitation shall apply until such time as DOE decides that the candidate 
site is no longer a candidate site under consideration for development 
as a repository. This limitation shall continue to apply to any site 
selected for construction as a repository.
    (c) If an MRS is located, or is planned to be located, within 50 
miles of the first HLW repository, any Commission decision approving the 
first HLW repository application must limit the quantity of spent fuel 
or high-level radioactive waste that may be stored. This limitation 
shall prohibit the storage of a quantity of spent fuel containing in 
excess of 70,000 metric tons of heavy metal, or a quantity of solidified 
high-level radioactive waste resulting from the reprocessing of such a 
quantity of spent fuel, in both the repository and the MRS until such 
time as a second repository is in operation.
    (d) An MRS authorized by section 142(b) of NWPA (101 Stat. 1330-232, 
42 U.S.C. 10162(b)) may not be constructed in the State of Nevada. The 
quantity of spent nuclear fuel or high-level radioactive waste that may 
be stored at an MRS authorized by section 142(b) of NWPA shall be 
subject to the limitations in Sec. 72.44(g) of this part instead of the 
limitations in paragraph (c) of this section.



Sec. 72.98  Identifying regions around an ISFSI or MRS site.

    (a) The regional extent of external phenomena, man-made or natural, 
that are used as a basis for the design of the ISFSI or MRS must be 
identified.
    (b) The potential regional impact due to the construction, operation 
or decommissioning of the ISFSI or MRS must be identified. The extent of 
regional impacts must be determined on the basis of potential measurable 
effects on the population or the environment from ISFSI or MRS 
activities.
    (c) Those regions identified pursuant to paragraphs (a) and (b) of 
this section must be investigated as appropriate with respect to:
    (1) The present and future character and the distribution of 
population,
    (2) Consideration of present and projected future uses of land and 
water within the region, and
    (3) Any special characteristics that may influence the potential 
consequences of a release of radioactive material during the operational 
lifetime of the ISFSI or MRS.

[[Page 370]]



Sec. 72.100  Defining potential effects of the ISFSI or MRS on the region.

    (a) The proposed site must be evaluated with respect to the effects 
on populations in the region resulting from the release of radioactive 
materials under normal and accident conditions during operation and 
decommissioning of the ISFSI or MRS; in this evaluation both usual and 
unusual regional and site characteristics shall be taken into account.
    (b) Each site must be evaluated with respect to the effects on the 
regional environment resulting from construction, operation, and 
decommissioning for the ISFSI or MRS; in this evaluation both usual and 
unusual regional and site characteristics must be taken into account.



Sec. 72.102  Geological and seismological characteristics.

    (a)(1) East of the Rocky Mountain Front (east of approximately 
104 deg. west longitude), except in areas of known seismic activity 
including but not limited to the regions around New Madrid, MO, 
Charleston, SC, and Attica, NY, sites will be acceptable if the results 
from onsite foundation and geological investigation, literature review, 
and regional geological reconnaissance show no unstable geological 
characteristics, soil stability problems, or potential for vibratory 
ground motion at the site in excess of an appropriate response spectrum 
anchored at 0.2 g.
    (2) For those sites that have been evaluated under paragraph (a)(1) 
of this section that are east of the Rocky Mountain Front, and that are 
not in areas of known seismic activity, a standardized design earthquake 
(DE) described by an appropriate response spectrum anchored at 0.25 g 
may be used. Alternatively, a site-specific DE may be determined by 
using the criteria and level of investigations required by appendix A of 
part 100 of this chapter.
    (b) West of the Rocky Mountain Front (west of approximately 104 deg. 
west longitude), and in other areas of known potential seismic activity, 
seismicity will be evaluated by the techniques of appendix A of part 100 
of this chapter. Sites that lie within the range of strong near-field 
ground motion from historical earthquakes on large capable faults should 
be avoided.
    (c) Sites other than bedrock sites must be evaluated for their 
liquefaction potential or other soil instability due to vibratory ground 
motion.
    (d) Site-specific investigations and laboratory analyses must show 
that soil conditions are adequate for the proposed foundation loading.
    (e) In an evaluation of alternative sites, those which require a 
minimum of engineered provisions to correct site deficiencies are 
preferred. Sites with unstable geologic characteristics should be 
avoided.
    (f) The design earthquake (DE) for use in the design of structures 
must be determined as follows:
    (1) For sites that have been evaluated under the criteria of 
appendix A of 10 CFR part 100, the DE must be equivalent to the safe 
shutdown earthquake (SSE) for a nuclear power plant.
    (2) Regardless of the results of the investigations anywhere in the 
continental U.S., the DE must have a value for the horizontal ground 
motion of no less than 0.10 g with the appropriate response spectrum.



Sec. 72.104  Criteria for radioactive materials in effluents and direct radiation from an ISFSI or MRS.

    (a) During normal operations and anticipated occurrences, the annual 
dose equivalent to any real individual who is located beyond the 
controlled area must not exceed 0.25 mSv (25 mrem) to the whole body, 
0.75 mSv (75 mrem) to the thyroid and 0.25 mSv (25 mrem) to any other 
critical organ as a result of exposure to:
    (1) Planned discharges of radioactive materials, radon and its decay 
products excepted, to the general environment,
    (2) Direct radiation from ISFSI or MRS operations, and
    (3) Any other radiation from uranium fuel cycle operations within 
the region.
    (b) Operational restrictions must be established to meet as low as 
is reasonably achievable objectives for radioactive materials in 
effluents and direct radiation levels associated with ISFSI or MRS 
operations.
    (c) Operational limits must be established for radioactive materials 
in

[[Page 371]]

effluents and direct radiation levels associated with ISFSI or MRS 
operations to meet the limits given in paragraph (a) of this section.

[53 FR 31658, Aug. 19, 1988, as amended at 63 FR 54562, Oct. 13, 1998]



Sec. 72.106  Controlled area of an ISFSI or MRS.

    (a) For each ISFSI or MRS site, a controlled area must be 
established.
    (b) Any individual located on or beyond the nearest boundary of the 
controlled area may not receive from any design basis accident the more 
limiting of a total effective dose equivalent of 0.05 Sv (5 rem), or 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) of 0.5 Sv 
(50 rem). The lens dose equivalent may not exceed 0.15 Sv (15 rem) and 
the shallow dose equivalent to skin or any extremity may not exceed 0.5 
Sv (50 rem). The minimum distance from the spent fuel, high-level 
radioactive waste, or reactor-related GTCC waste handling and storage 
facilities to the nearest boundary of the controlled area must be at 
least 100 meters.
    (c) The controlled area may be traversed by a highway, railroad or 
waterway, so long as appropriate and effective arrangements are made to 
control traffic and to protect public health and safety.

[53 FR 31658, Aug. 19, 1988, as amended at 63 FR 54562, Oct. 13, 1998; 
66 FR 51842, Oct. 11, 2001]



Sec. 72.108  Spent fuel, high-level radioactive waste, or reactor-related greater than Class C waste transportation.

    The proposed ISFSI or MRS must be evaluated with respect to the 
potential impact on the environment of the transportation of spent fuel, 
high-level radioactive waste, or reactor-related GTCC waste within the 
region.

[66 FR 51842, Oct. 11, 2001]



                   Subpart F--General Design Criteria



Sec. 72.120  General considerations.

    (a) As required by Sec. 72.24, an application to store spent fuel or 
reactor-related GTCC waste in an ISFSI or to store spent fuel, high-
level radioactive waste, or reactor-related GTCC waste in an MRS must 
include the design criteria for the proposed storage installation. These 
design criteria establish the design, fabrication, construction, 
testing, maintenance and performance requirements for structures, 
systems, and components important to safety as defined in Sec. 72.3. The 
general design criteria identified in this subpart establish minimum 
requirements for the design criteria for an ISFSI or an MRS. Any 
omissions in these general design criteria do not relieve the applicant 
from the requirement of providing the necessary safety features in the 
design of the ISFSI or MRS.
    (b) The ISFSI must be designed to store spent fuel and/or solid 
reactor-related GTCC waste.
    (1) Reactor-related GTCC waste may not be stored in a cask that also 
contains spent fuel. This restriction does not include radioactive 
materials that are associated with fuel assemblies (e.g., control rod 
blades or assemblies, thimble plugs, burnable poison rod assemblies, or 
fuel channels);
    (2) Liquid reactor-related GTCC wastes may not be received or stored 
in an ISFSI; and
    (3) If the ISFSI is a water-pool type facility, the reactor-related 
GTCC waste must be in a durable solid form with demonstrable leach 
resistance.
    (c) The MRS must be designed to store spent fuel, solid high-level 
radioactive waste, and/or solid reactor-related GTCC waste.
    (1) Reactor-related GTCC waste may not be stored in a cask that also 
contains spent fuel. This restriction does not include radioactive 
materials associated with fuel assemblies (e.g., control rod blades or 
assemblies, thimble plugs, burnable poison rod assemblies, or fuel 
channels);

[[Page 372]]

    (2) Liquid high-level radioactive wastes or liquid reactor-related 
GTCC wastes may not be received or stored in an MRS; and
    (3) If the MRS is a water-pool type facility, the high-level waste 
and reactor-related GTCC waste must be in a durable solid form with 
demonstrable leach resistance.
    (d) The ISFSI or MRS must be designed, made of materials, and 
constructed to ensure that there will be no significant chemical, 
galvanic, or other reactions between or among the storage system 
components, spent fuel, reactor-related GTCC waste, and/or high level 
waste including possible reaction with water during wet loading and 
unloading operations or during storage in a water-pool type ISFSI or 
MRS. The behavior of materials under irradiation and thermal conditions 
must be taken into account.
    (e) The NRC may authorize exceptions, on a case-by-case basis, to 
the restrictions in paragraphs (b) and (c) of this section regarding the 
commingling of spent fuel and reactor-related GTCC waste in the same 
cask.

[66 FR 51842, Oct. 11, 2001]



Sec. 72.122  Overall requirements.

    (a) Quality Standards. Structures, systems, and components important 
to safety must be designed, fabricated, erected, and tested to quality 
standards commensurate with the importance to safety of the function to 
be performed.
    (b) Protection against environmental conditions and natural 
phenomena. (1) Structures, systems, and components important to safety 
must be designed to accommodate the effects of, and to be compatible 
with, site characteristics and environmental conditions associated with 
normal operation, maintenance, and testing of the ISFSI or MRS and to 
withstand postulated accidents.
    (2)(i) Structures, systems, and components important to safety must 
be designed to withstand the effects of natural phenomena such as 
earthquakes, tornadoes, lightning, hurricanes, floods, tsunami, and 
seiches, without impairing their capability to perform their intended 
design functions. The design bases for these structures, systems, and 
components must reflect:
    (A) Appropriate consideration of the most severe of the natural 
phenomena reported for the site and surrounding area, with appropriate 
margins to take into account the limitations of the data and the period 
of time in which the data have accumulated, and
    (B) Appropriate combinations of the effects of normal and accident 
conditions and the effects of natural phenomena.
    (ii) The ISFSI or MRS also should be designed to prevent massive 
collapse of building structures or the dropping of heavy objects as a 
result of building structural failure on the spent fuel, high-level 
radioactive waste, or reactor-related GTCC waste or on to structures, 
systems, and components important to safety.
    (3) Capability must be provided for determining the intensity of 
natural phenomena that may occur for comparison with design bases of 
structures, systems, and components important to safety.
    (4) If the ISFSI or MRS is located over an aquifer which is a major 
water resource, measures must be taken to preclude the transport of 
radioactive materials to the environment through this potential pathway.
    (c) Protection against fires and explosions. Structures, systems, 
and components important to safety must be designed and located so that 
they can continue to perform their safety functions effectively under 
credible fire and explosion exposure conditions. Noncombustible and 
heat-resistant materials must be used wherever practical throughout the 
ISFSI or MRS, particularly in locations vital to the control of 
radioactive materials and to the maintenance of safety control 
functions. Explosion and fire detection, alarm, and suppression systems 
shall be designed and provided with sufficient capacity and capability 
to minimize the adverse effects of fires and explosions on structures, 
systems, and components important to safety. The design of the ISFSI or 
MRS must include provisions to protect against adverse effects that 
might result from either the operation or the failure of the fire 
suppression system.

[[Page 373]]

    (d) Sharing of structures, systems, and components. Structures, 
systems, and components important to safety must not be shared between 
an ISFSI or MRS and other facilities unless it is shown that such 
sharing will not impair the capability of either facility to perform its 
safety functions, including the ability to return to a safe condition in 
the event of an accident.
    (e) Proximity of sites. An ISFSI or MRS located near other nuclear 
facilities must be designed and operated to ensure that the cumulative 
effects of their combined operations will not constitute an unreasonable 
risk to the health and safety of the public.
    (f) Testing and maintenance of systems and components. Systems and 
components that are important to safety must be designed to permit 
inspection, maintenance, and testing.
    (g) Emergency capability. Structures, systems, and components 
important to safety must be designed for emergencies. The design must 
provide for accessibility to the equipment of onsite and available 
offsite emergency facilities and services such as hospitals, fire and 
police departments, ambulance service, and other emergency agencies.
    (h) Confinement barriers and systems. (1) The spent fuel cladding 
must be protected during storage against degradation that leads to gross 
ruptures or the fuel must be otherwise confined such that degradation of 
the fuel during storage will not pose operational safety problems with 
respect to its removal from storage. This may be accomplished by canning 
of consolidated fuel rods or unconsolidated assemblies or other means as 
appropriate.
    (2) For underwater storage of spent fuel, high-level radioactive 
waste, or reactor-related GTCC waste in which the pool water serves as a 
shield and a confinement medium for radioactive materials, systems for 
maintaining water purity and the pool water level must be designed so 
that any abnormal operations or failure in those systems from any cause 
will not cause the water level to fall below safe limits. The design 
must preclude installations of drains, permanently connected systems, 
and other features that could, by abnormal operations or failure, cause 
a significant loss of water. Pool water level equipment must be provided 
to alarm in a continuously manned location if the water level in the 
storage pools falls below a predetermined level.
    (3) Ventilation systems and off-gas systems must be provided where 
necessary to ensure the confinement of airborne radioactive particulate 
materials during normal or off-normal conditions.
    (4) Storage confinement systems must have the capability for 
continuous monitoring in a manner such that the licensee will be able to 
determine when corrective action needs to be taken to maintain safe 
storage conditions. For dry spent fuel storage, periodic monitoring is 
sufficient provided that periodic monitoring is consistent with the dry 
spent fuel storage cask design requirements. The monitoring period must 
be based upon the spent fuel storage cask design requirements.
    (5) The high-level radioactive waste and reactor-related GTCC waste 
must be packaged in a manner that allows handling and retrievability 
without the release of radioactive materials to the environment or 
radiation exposures in excess of part 20 limits. The package must be 
designed to confine the high-level radioactive waste for the duration of 
the license.
    (i) Instrumentation and control systems. Instrumentation and control 
systems for wet spent fuel and reactor-related GTCC waste storage must 
be provided to monitor systems that are important to safety over 
anticipated ranges for normal operation and off-normal operation. Those 
instruments and control systems that must remain operational under 
accident conditions must be identified in the Safety Analysis Report. 
Instrumentation systems for dry storage casks must be provided in 
accordance with cask design requirements to monitor conditions that are 
important to safety over anticipated ranges for normal conditions and 
off-normal conditions. Systems that are required under accident 
conditions must be identified in the Safety Analysis Report.
    (j) Control room or control area. A control room or control area, if 
appropriate for the ISFSI or MRS design, must be designed to permit 
occupancy and actions to be taken to monitor the

[[Page 374]]

ISFSI or MRS safely under normal conditions, and to provide safe control 
of the ISFSI or MRS under off-normal or accident conditions.
    (k) Utility or other services. (1) Each utility service system must 
be designed to meet emergency conditions. The design of utility services 
and distribution systems that are important to safety must include 
redundant systems to the extent necessary to maintain, with adequate 
capacity, the ability to perform safety functions assuming a single 
failure.
    (2) Emergency utility services must be designed to permit testing of 
the functional operability and capacity, including the full operational 
sequence, of each system for transfer between normal and emergency 
supply sources; and to permit the operation of associated safety 
systems.
    (3) Provisions must be made so that, in the event of a loss of the 
primary electric power source or circuit, reliable and timely emergency 
power will be provided to instruments, utility service systems, the 
central security alarm station, and operating systems, in amounts 
sufficient to allow safe storage conditions to be maintained and to 
permit continued functioning of all systems essential to safe storage.
    (4) An ISFSI or MRS which is located on the site of another facility 
may share common utilities and services with such a facility and be 
physically connected with the other facility; however, the sharing of 
utilities and services or the physical connection must not 
significantly:
    (i) Increase the probability or consequences of an accident or 
malfunction of components, structures, or systems that are important to 
safety; or
    (ii) Reduce the margin of safety as defined in the basis for any 
technical specifications of either facility.
    (l) Retrievability. Storage systems must be designed to allow ready 
retrieval of spent fuel, high-level radioactive waste, and reactor-
related GTCC waste for further processing or disposal.

[53 FR 31658, Aug. 19, 1988, as amended at 64 FR 33184, June 22, 1999; 
66 FR 51842, Oct. 11, 2001]



Sec. 72.124  Criteria for nuclear criticality safety.

    (a) Design for criticality safety. Spent fuel handling, packaging, 
transfer, and storage systems must be designed to be maintained 
subcritical and to ensure that, before a nuclear criticality accident is 
possible, at least two unlikely, independent, and concurrent or 
sequential changes have occurred in the conditions essential to nuclear 
criticality safety. The design of handling, packaging, transfer, and 
storage systems must include margins of safety for the nuclear 
criticality parameters that are commensurate with the uncertainties in 
the data and methods used in calculations and demonstrate safety for the 
handling, packaging, transfer and storage conditions and in the nature 
of the immediate environment under accident conditions.
    (b) Methods of criticality control. When practicable, the design of 
an ISFSI or MRS must be based on favorable geometry, permanently fixed 
neutron absorbing materials (poisons), or both. Where solid neutron 
absorbing materials are used, the design must provide for positive means 
of verifying their continued efficacy. For dry spent fuel storage 
systems, the continued efficacy may be confirmed by a demonstration or 
analysis before use, showing that significant degradation of the neutron 
absorbing materials cannot occur over the life of the facility.
    (c) Criticality Monitoring. A criticality monitoring system shall be 
maintained in each area where special nuclear material is handled, used, 
or stored which will energize clearly audible alarm signals if 
accidental criticality occurs. Underwater monitoring is not required 
when special nuclear material is handled or stored beneath water 
shielding. Monitoring of dry storage areas where special nuclear 
material is packaged in its stored configuration under a license issued 
under this subpart is not required.

[53 FR 31658, Aug. 19, 1988, as amended at 64 FR 33184, June 22, 1999]



Sec. 72.126  Criteria for radiological protection.

    (a) Exposure control. Radiation protection systems must be provided 
for all areas and operations where onsite

[[Page 375]]

personnel may be exposed to radiation or airborne radioactive materials. 
Structures, systems, and components for which operation, maintenance, 
and required inspections may involve occupational exposure must be 
designed, fabricated, located, shielded, controlled, and tested so as to 
control external and internal radiation exposures to personnel. The 
design must include means to:
    (1) Prevent the accumulation of radioactive material in those 
systems requiring access;
    (2) Decontaminate those systems to which access is required;
    (3) Control access to areas of potential contamination or high 
radiation within the ISFSI or MRS;
    (4) Measure and control contamination of areas requiring access;
    (5) Minimize the time required to perform work in the vicinity of 
radioactive components; for example, by providing sufficient space for 
ease of operation and designing equipment for ease of repair and 
replacement; and
    (6) Shield personnel from radiation exposure.
    (b) Radiological alarm systems. Radiological alarm systems must be 
provided in accessible work areas as appropriate to warn operating 
personnel of radiation and airborne radioactive material concentrations 
above a given setpoint and of concentrations of radioactive material in 
effluents above control limits. Radiation alarm systems must be designed 
with provisions for calibration and testing their operability.
    (c) Effluent and direct radiation monitoring. (1) As appropriate for 
the handling and storage system, effluent systems must be provided. 
Means for measuring the amount of radionuclides in effluents during 
normal operations and under accident conditions must be provided for 
these systems. A means of measuring the flow of the diluting medium, 
either air or water, must also be provided.
    (2) Areas containing radioactive materials must be provided with 
systems for measuring the direct radiation levels in and around these 
areas.
    (d) Effluent control. The ISFSI or MRS must be designed to provide 
means to limit to levels as low as is reasonably achievable the release 
of radioactive materials in effluents during normal operations; and 
control the release of radioactive materials under accident conditions. 
Analyses must be made to show that releases to the general environment 
during normal operations and anticipated occurrences will be within the 
exposure limit given in Sec. 72.104. Analyses of design basis accidents 
must be made to show that releases to the general environment will be 
within the exposure limits given in Sec. 72.106. Systems designed to 
monitor the release of radioactive materials must have means for 
calibration and testing their operability.



Sec. 72.128  Criteria for spent fuel, high-level radioactive waste, reactor-related greater than Class C waste, and other radioactive waste storage and 
          handling.

    (a) Spent fuel, high-level radioactive waste, and reactor-related 
GTCC waste storage and handling systems. Spent fuel storage, high-level 
radioactive waste storage, reactor-related GTCC waste storage and other 
systems that might contain or handle radioactive materials associated 
with spent fuel, high-level radioactive waste, or reactor-related GTCC 
waste, must be designed to ensure adequate safety under normal and 
accident conditions. These systems must be designed with--
    (1) A capability to test and monitor components important to safety,
    (2) Suitable shielding for radioactive protection under normal and 
accident conditions,
    (3) Confinement structures and systems,
    (4) A heat-removal capability having testability and reliability 
consistent with its importance to safety, and
    (5) means to minimize the quantity of radioactive wastes generated.
    (b) Waste treatment. Radioactive waste treatment facilities must be 
provided. Provisions must be made for the packing of site-generated low-
level wastes in a form suitable for storage onsite awaiting transfer to 
disposal sites.

[53 FR 31658, Aug. 19, 1988, as amended at 66 FR 51843, Oct. 11, 2001]

[[Page 376]]



Sec. 72.130  Criteria for decommissioning.

    The ISFSI or MRS must be designed for decommissioning. Provisions 
must be made to facilitate decontamination of structures and equipment, 
minimize the quantity of radioactive wastes and contaminated equipment, 
and facilitate the removal of radioactive wastes and contaminated 
materials at the time the ISFSI or MRS is permanently decommissioned.



                      Subpart G--Quality Assurance

    Source: 64 FR 56122, Oct. 15, 1999, unless otherwise noted.



Sec. 72.140  Quality assurance requirements.

    (a) Purpose. This subpart describes quality assurance requirements 
that apply to design, purchase, fabrication, handling, shipping, 
storing, cleaning, assembly, inspection, testing, operation, 
maintenance, repair, modification of structures, systems, and 
components, and decommissioning that are important to safety. As used in 
this subpart, ``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 control of the physical 
characteristics and quality of the material or component to 
predetermined requirements. The certificate holder and applicant for a 
CoC are responsible for the quality assurance requirements as they apply 
to the design, fabrication, and testing of a spent fuel storage cask 
until possession of the spent fuel storage cask is transferred to the 
licensee. The licensee and the certificate holder are also 
simultaneously responsible for these quality assurance requirements 
through the oversight of contractors and subcontractors.
    (b) Establishment of program. Each licensee, applicant for a 
license, certificate holder, applicant for a CoC shall establish, 
maintain, and execute a quality assurance program satisfying each of the 
applicable criteria of this subpart, and satisfying any specific 
provisions which are applicable to the licensee's, applicant's for a 
license, certificate holder's, and applicant's for a CoC activities. The 
licensee, applicant for a license, certificate holder, and applicant for 
a CoC shall execute the applicable criteria in a graded approach to an 
extent that is commensurate with the quality assurance requirements' 
importance to safety. The quality assurance program must cover the 
activities identified in this subpart throughout the life of the 
activity. For licensees, this includes activities from the site 
selection through decommissioning prior to termination of the license. 
For certificate holders, this includes activities from development of 
the spent fuel storage cask design through termination of the CoC.
    (c) Approval of program. (1) Each licensee, applicant for a license, 
certificate holder, or applicant for a CoC shall file a description of 
its quality assurance program, including a discussion of which 
requirements of this subpart are applicable and how they will be 
satisfied, in accordance with Sec. 72.4.
    (2) Each licensee shall obtain Commission approval of its quality 
assurance program prior to receipt of spent fuel and/or reactor-related 
GTCC waste at the ISFSI or spent fuel, high-level radioactive waste, 
and/or reactor-related GTCC waste at the MRS. Each licensee or applicant 
for a specific license shall obtain Commission approval of its quality 
assurance program before commencing fabrication or testing of a spent 
fuel storage cask.
    (3) Each certificate holder or applicant for a CoC shall obtain 
Commission approval of its quality assurance program before commencing 
fabrication or testing of a spent fuel storage cask.
    (d) Previously-approved programs. A quality assurance program 
previously approved by the Commission as satisfying the requirements of 
Appendix B to part 50 of this chapter, subpart H to part 71 of this 
chapter, or subpart G to this part will be accepted as satisfying the 
requirements of paragraph (b) of this section, except that a licensee, 
applicant for a license, certificate holder, and applicant for a CoC who 
is using an Appendix B or subpart H quality assurance program shall also 
meet the recordkeeping requirements of Sec. 72.174. In

[[Page 377]]

filing the description of the quality assurance program required by 
paragraph (c) of this section, each licensee, applicant for a license, 
certificate holder, and applicant for a CoC shall notify the NRC, in 
accordance with Sec. 72.4, of its intent to apply its previously-
approved quality assurance program to ISFSI activities or spent fuel 
storage cask activities. The notification shall identify the previously-
approved quality assurance program by date of submittal to the 
Commission, docket number, and date of Commission approval.

[53 FR 31658, Aug. 19, 1988, as amended at 65 FR 50617, Aug. 21, 2000; 
66 FR 51843, Oct. 11, 2001]



Sec. 72.142  Quality assurance organization.

    (a) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall be responsible for the establishment and 
execution of the quality assurance program. The licensee and certificate 
holder may delegate to others, such as contractors, agents, or 
consultants, the work of establishing and executing the quality 
assurance program, but the licensee and the certificate holder shall 
retain responsibility for the program. The licensee, applicant for a 
license, certificate holder, and applicant for a CoC shall clearly 
establish and delineate in writing the authority and duties of persons 
and organizations performing activities affecting the functions of 
structures, systems, and components which are important to safety. These 
activities include performing the functions associated with attaining 
quality objectives and the quality assurance functions.
    (b) The quality assurance functions are--
    (1) Assuring that an appropriate quality assurance program is 
established and effectively executed; and
    (2) Verifying, by procedures such as checking, auditing, and 
inspection, that activities affecting the functions that are important 
to safety 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.
    (c) The persons and organizations performing quality assurance 
functions shall report to a management level that ensures that the 
required authority and organizational freedom, including sufficient 
independence from cost and schedule considerations when these 
considerations are 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 the 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 section are being performed, must have direct access to the 
levels of management necessary to perform this function.



Sec. 72.144  Quality assurance program.

    (a) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC 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 subpart. 
The licensee, applicant for a license, certificate holder, and applicant 
for a CoC shall document the quality assurance program by written 
procedures or instructions and shall carry out the program in accordance 
with these procedures throughout the period during which the ISFSI or 
MRS is licensed or the spent fuel storage cask is certified. The 
licensee, applicant for a license, certificate holder, and applicant for 
a CoC shall identify the structures, systems, and components to be 
covered by the quality assurance program, the major organizations 
participating in the program, and the designated functions of these 
organizations.

[[Page 378]]

    (b) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC, through their quality assurance program(s), shall 
provide control over activities affecting the quality of the identified 
structures, systems, and components to an extent commensurate with the 
importance to safety and, as necessary, to ensure conformance with the 
approved design of each ISFSI, MRS, or spent fuel storage cask. The 
licensee, applicant for a license, certificate holder, and applicant for 
a CoC shall ensure that activities affecting quality are accomplished 
under suitably controlled conditions. Controlled conditions include the 
use of appropriate equipment; suitable environmental conditions for 
accomplishing the activity, such as adequate cleanliness; and assurance 
that all prerequisites for the given activity have been satisfied. The 
licensee, applicant for a license, certificate holder, and applicant for 
a CoC 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.
    (c) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall base the requirements and procedures of their 
quality assurance program(s) on the following considerations concerning 
the complexity and proposed use of the structures, systems, or 
components:
    (1) The impact of malfunction or failure of the item on safety;
    (2) The design and fabrication complexity or uniqueness of the item;
    (3) The need for special controls and surveillance over processes 
and equipment;
    (4) The degree to which functional compliance can be demonstrated by 
inspection or test; and
    (5) The quality history and degree of standardization of the item.
    (d) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall provide for indoctrination and training of 
personnel performing activities affecting quality as necessary to ensure 
that suitable proficiency is achieved and maintained.
    (e) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall review the status and adequacy of the quality 
assurance program at established intervals. Management of other 
organizations participating in the quality assurance program must 
regularly review the status and adequacy of that part of the quality 
assurance program which they are executing.



Sec. 72.146  Design control.

    (a) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures to ensure that applicable 
regulatory requirements and the design basis, as specified in the 
license or CoC application for those structures, systems, and components 
to which this section applies, are correctly translated into 
specifications, drawings, procedures, and instructions. These measures 
must include provisions to ensure that appropriate quality standards are 
specified and included in design documents and that deviations from 
standards are controlled. Measures must be established for the selection 
and review for suitability of application of materials, parts, 
equipment, and processes that are essential to the functions of the 
structures, systems, and components which are important to safety.
    (b) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures for the identification and 
control of design interfaces and for coordination among participating 
design organizations. These measures must include the establishment of 
written procedures among participating design organizations for the 
review, approval, release, distribution, and revision of documents 
involving design interfaces. The design control measures must provide 
for verifying or checking the adequacy of design by methods such as 
design reviews, alternate or simplified calculational methods, or by a 
suitable testing program. For the verifying or checking process, the 
licensee and certificate holder shall designate individuals or groups 
other than those who were responsible for 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

[[Page 379]]

verifying or checking processes, the licensee and certificate holder 
shall include suitable qualification testing of a prototype or sample 
unit under the most adverse design conditions. The licensee, applicant 
for a license, certificate holder, and applicant for a CoC shall apply 
design control measures to items such as the following: criticality 
physics, radiation, shielding, stress, thermal, hydraulic, and accident 
analyses; compatibility of materials; accessibility for inservice 
inspection, maintenance, and repair; features to facilitate 
decontamination; and delineation of acceptance criteria for inspections 
and tests.
    (c) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall subject design changes, including field 
changes, to design control measures commensurate with those applied to 
the original design. Changes in the conditions specified in the license 
or CoC require prior NRC approval.



Sec. 72.148  Procurement document control.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures to assure that applicable 
regulatory requirements, design bases, and other requirements which are 
necessary to assure adequate quality are included or referenced in the 
documents for procurement of material, equipment, and services, whether 
purchased by the licensee, certificate holder, or by their contractors 
and subcontractors. To the extent necessary, the licensee, applicant for 
a license, certificate holder, and applicant for a CoC, shall require 
contractors or subcontractors to provide a quality assurance program 
consistent with the applicable provisions of this subpart.



Sec. 72.150  Instructions, procedures, and drawings.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall prescribe activities affecting quality by 
documented instructions, procedures, or drawings of a type appropriate 
to the circumstances and shall require that these instructions, 
procedures, and drawings be followed. The instructions, procedures, and 
drawings must include appropriate quantitative or qualitative acceptance 
criteria for determining that important activities have been 
satisfactorily accomplished.



Sec. 72.152  Document control.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures to control the issuance of 
documents such as instructions, procedures, and drawings, including 
changes, which prescribe all activities affecting quality. These 
measures must assure that documents, including changes, are reviewed for 
adequacy, approved for release by authorized personnel, and distributed 
and used at the location where the prescribed activity is performed. 
These measures must ensure that changes to documents are reviewed and 
approved.



Sec. 72.154  Control of purchased material, equipment, and services.

    (a) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures to ensure that purchased 
material, equipment, and services, whether purchased directly or through 
contractors and subcontractors, conform to the procurement documents. 
These measures must 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.
    (b) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall have available documentary evidence that 
material and equipment conform to the procurement specifications prior 
to installation or use of the material and equipment. The licensee and 
certificate holder shall retain or have available this documentary 
evidence for the life of the ISFSI, MRS, or spent fuel storage cask. The 
licensee and certificate holder shall ensure that the evidence is 
sufficient to identify the specific requirements met by the purchased 
material and equipment.
    (c) The licensee, applicant for a license, certificate holder, and 
applicant

[[Page 380]]

for a CoC, or a designee of either, shall assess the effectiveness of 
the control of quality by contractors and subcontractors at intervals 
consistent with the importance, complexity, and quantity of the product 
or services.



Sec. 72.156  Identification and control of materials, parts, and components.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures for the identification and 
control of materials, parts, and components. These measures must ensure 
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, 
installation, and use of the item. These identification and control 
measures must be designed to prevent the use of incorrect or defective 
materials, parts, and components.



Sec. 72.158  Control of special processes.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures to ensure 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.



Sec. 72.160  Licensee and certificate holder inspection.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish and execute a program for inspection 
of activities affecting quality by or for the organization performing 
the activity to verify conformance with the documented instructions, 
procedures, and drawings for accomplishing the activity. The inspection 
must be performed by individuals other than those who performed the 
activity being inspected. Examinations, measurements, or tests of 
material or products processed must be performed for each work operation 
where necessary to assure quality. If direct inspection of processed 
material or products cannot be carried out, indirect control by 
monitoring processing methods, equipment, and personnel must be 
provided. Both inspection and process monitoring must be provided when 
quality control is inadequate without both. If mandatory inspection hold 
points that require witnessing or inspecting by the licensee's or 
certificate holder's designated representative, and beyond which work 
should not proceed without the consent of its designated representative, 
are required, the specific hold points must be indicated in appropriate 
documents.



Sec. 72.162  Test control.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish a test program to ensure that all 
testing, required to demonstrate that the structures, systems, and 
components will perform satisfactorily in service, is identified and 
performed in accordance with written test procedures that incorporate 
the requirements of this part and the requirements and acceptance limits 
contained in the ISFSI, MRS, or spent fuel storage cask license or CoC. 
The test procedures must include provisions to ensure that all 
prerequisites for the given test are met, that adequate test 
instrumentation is available and used, and that the test is performed 
under suitable environmental conditions. The licensee, applicant for a 
license, certificate holder, and applicant for a CoC shall document and 
evaluate the test results to ensure that test requirements have been 
satisfied.



Sec. 72.164  Control of measuring and test equipment.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures to ensure that tools, 
gauges, 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.



Sec. 72.166  Handling, storage, and shipping control.

    The licensee, applicant for a license, certificate holder, and 
applicant for a

[[Page 381]]

CoC shall establish measures to control, in accordance with work and 
inspection instructions, the handling, storage, shipping, cleaning, and 
preservation of materials and equipment to prevent damage or 
deterioration. When necessary for particular products, special 
protective environments, such as inert gas atmosphere, and specific 
moisture content and temperature levels must be specified and provided.



Sec. 72.168  Inspection, test, and operating status.

    (a) The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures 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 ISFSI, MRS, or spent fuel storage cask. These measures must 
provide for the identification of items which have satisfactorily passed 
required inspections and tests where necessary to preclude inadvertent 
bypassing of the inspections and tests.
    (b) The licensee shall establish measures to identify the operating 
status of structures, systems, and components of the ISFSI or MRS, such 
as tagging valves and switches, to prevent inadvertent operation.



Sec. 72.170  Nonconforming materials, parts, or components.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures to control materials, 
parts, or components that do not conform to their requirements in order 
to prevent their inadvertent use or installation. These measures must 
include, as appropriate, procedures for identification, documentation, 
segregation, disposition, and notification to affected organizations. 
Nonconforming items must be reviewed and accepted, rejected, repaired, 
or reworked in accordance with documented procedures.



Sec. 72.172  Corrective action.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall establish measures to ensure 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 a significant 
condition identified as adverse to quality, the measures must ensure 
that the cause of the condition is determined and corrective action is 
taken to preclude repetition. The identification of the significant 
condition adverse to quality, the cause of the condition, and the 
corrective action taken must be documented and reported to appropriate 
levels of management.



Sec. 72.174  Quality assurance records.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall maintain sufficient records to furnish 
evidence of activities affecting quality. The records must include the 
following: design records, records of use, and the results of reviews, 
inspections, tests, audits, monitoring of work performance, and 
materials analyses. The records must include closely related data such 
as qualifications of personnel, procedures, and equipment. Inspection 
and test records must, at a minimum, identify the inspector or data 
recorder, the type of observation, the results, the acceptability, and 
the action taken in connection with any noted deficiencies. Records must 
be identifiable and retrievable. Records pertaining to the design, 
fabrication, erection, testing, maintenance, and use of structures, 
systems, and components important to safety must be maintained by or 
under the control of the licensee or certificate holder until the NRC 
terminates the license or CoC.



Sec. 72.176  Audits.

    The licensee, applicant for a license, certificate holder, and 
applicant for a CoC shall carry out a comprehensive system of planned 
and periodic audits to verify compliance with all aspects of the quality 
assurance program and to determine the effectiveness of the program. The 
audits must be performed in accordance with written procedures or 
checklists by appropriately trained personnel not having direct 
responsibilities in the areas being audited. Audited results must be 
documented and reviewed by management having

[[Page 382]]

responsibility in the area audited. Follow-up action, including reaudit 
of deficient areas, must be taken where indicated.



                     Subpart H--Physical Protection



Sec. 72.180  Physical protection plan.

    The licensee shall establish, maintain, and follow a detailed plan 
for physical protection as described in Sec. 73.51 of this chapter. The 
licensee shall retain a copy of the current plan as a record until the 
Commission terminates the license for which the procedures were 
developed and, if any portion of the plan is superseded, retain the 
superseded material for 3 years after each change or until termination 
of the license. The plan must describe how the applicant will meet the 
requirements of Sec. 73.51 of this chapter and provide physical 
protection during on-site transportation to and from the proposed ISFSI 
or MRS and include within the plan the design for physical protection, 
the licensee's safeguards contingency plan, and the security 
organization personnel training and qualification plan. The plan must 
list tests, inspections, audits, and other means to be used to 
demonstrate compliance with such requirements.

[63 FR 26961, May 15, 1998]



Sec. 72.182  Design for physical protection.

    The design for physical protection must show the site layout and the 
design features provided to protect the ISFSI or MRS from sabotage. It 
must include:
    (a) The design criteria for the physical protection of the proposed 
ISFSI or MRS;
    (b) The design bases and the relation of the design bases to the 
design criteria submitted pursuant to paragraph (a) of this section; and
    (c) Information relative to materials of construction, equipment, 
general arrangement, and proposed quality assurance program sufficient 
to provide reasonable assurance that the final security system will 
conform to the design bases for the principal design criteria submitted 
pursuant to paragraph (a) of this section.



Sec. 72.184  Safeguards contingency plan.

    (a) The requirements of the licensee's safeguards contingency plan 
for responding to threats and radiological sabotage must be as defined 
in appendix C to part 73 of this chapter. This plan must include 
Background, Generic Planning Base, Licensee Planning Base, and 
Responsibility Matrix, the first four categories of information relating 
to nuclear facilities licensed under part 50 of this chapter. (The fifth 
and last category of information, Procedures, does not have to be 
submitted for approval.)
    (b) The licensee shall prepare and maintain safeguards contingency 
plan procedures in accordance with appendix C to 10 CFR part 73 for 
effecting the actions and decisions contained in the Responsibility 
Matrix of the licensee's safeguards contingency plan. The licensee shall 
retain a copy of the current procedures as a record until the Commission 
terminates the license for which the procedures were developed and, if 
any portion of the procedures is superseded, retain the superseded 
material for three years after each change.

[53 FR 31658, Aug. 19, 1988, as amended at 57 FR 33429, July 29, 1992]



Sec. 72.186  Change to physical security and safeguards contingency plans.

    (a) The licensee shall make no change that would decrease the 
safeguards effectiveness of the physical security plan, guard training 
plan or the first four categories of information (Background, Generic 
Planning Base, Licensee Planning Base, and Responsibility Matrix) 
contained in the licensee safeguards contingency plan without prior 
approval of the Commission. A licensee desiring to make a change must 
submit an application for a license amendment pursuant to Sec. 72.56.
    (b) The licensee may, without prior Commission approval, make 
changes to the physical security plan, guard training plan, or the 
safeguards contingency plan, if the changes do not decrease the 
safeguards effectiveness of these plans. The licensee shall maintain 
records of changes to any such plan made without prior approval for a 
period of three years from the date of the change and

[[Page 383]]

shall furnish to the Director, Spent Fuel Project Office, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, a report containing a 
description of each change within two months after the change is made.

[53 FR 31658, Aug. 19, 1988, as amended at 67 FR 3586, Jan. 25, 2002]



           Subpart I--Training and Certification of Personnel



Sec. 72.190  Operator requirements.

    Operation of equipment and controls that have been identified as 
important to safety in the Safety Analysis Report and in the license 
must be limited to trained and certified personnel or be under the 
direct visual supervision of an individual with training and 
certification in the operation. Supervisory personnel who personally 
direct the operation of equipment and controls that are important to 
safety must also be certified in such operations.



Sec. 72.192  Operator training and certification program.

    The applicant for a license under this part shall establish a 
program for training, proficiency testing, and certification of ISFSI or 
MRS personnel. This program must be submitted to the Commission for 
approval with the license application.



Sec. 72.194  Physical requirements.

    The physical condition and the general health of personnel certified 
for the operation of equipment and controls that are important to safety 
must not be such as might cause operational errors that could endanger 
other in-plant personnel or the public health and safety. Any condition 
that might cause impaired judgment or motor coordination must be 
considered in the selection of personnel for activities that are 
important to safety. These conditions need not categorically disqualify 
a person, if appropriate provisions are made to accommodate such defect.



Subpart J--Provision of MRS Information to State Governments and Indian 
                                 Tribes



Sec. 72.200  Provision of MRS information.

    (a) The Director, Office of Nuclear Material Safety and Safeguards, 
or the Director's designee shall provide to the Governor and legislature 
of any State in which an MRS authorized under the Nuclear Waste Policy 
Act of 1982, as amended, is or may be located, to the Governors of any 
contiguous States, to each affected unit of local government and to the 
governing body of any affected Indian tribe, timely and complete 
information regarding determinations or plans made by the Commission 
with respect to siting, development, design, licensing, construction, 
operation, regulation or decommissioning of such monitored retrievable 
storage facility.
    (b) Notwithstanding paragraph (a) of this section, the Director or 
the Director's designee is not required to distribute any document to 
any entity if, with respect to such document, that entity or its counsel 
is included on a service list prepared pursuant to part 2 of this 
chapter.
    (c) Copies of all communications by the Director or the Director's 
designee under this section must be made available at the NRC Web site, 
http://www.nrc.gov, and/or at the NRC Public Document Room, and must be 
furnished to DOE.

[53 FR 31658, Aug. 19, 1988, as amended at 64 FR 48954, Sept. 9, 1999]



Sec. 72.202  Participation in license reviews.

    State and local governments and affected Indian tribes may 
participate in license reviews as provided in subpart G of part 2 of 
this chapter.



Sec. 72.204  Notice to States.

    If the Governor and legislature of a State have jointly designated 
on their behalf a single person or entity to receive notice and 
information from the Commission under this part, the Commission will 
provide such notice and information to the jointly designated

[[Page 384]]

person or entity instead of the Governor and the legislature separately.



Sec. 72.206  Representation.

    Any person who acts under this subpart as a representative for a 
State (or for the Governor or legislature thereof) or for an affected 
Indian tribe shall include in the request or other submission, or at the 
request of the Commission, a statement of the basis of his or her 
authority to act in such representative capacity.



 Subpart K--General License for Storage of Spent Fuel at Power Reactor 
                                  Sites

    Source: 55 FR 29191, July 18, 1990, unless otherwise noted.



Sec. 72.210  General license issued.

    A general license is hereby issued for the storage of spent fuel in 
an independent spent fuel storage installation at power reactor sites to 
persons authorized to possess or operate nuclear power reactors under 
part 50 of this chapter.



Sec. 72.212  Conditions of general license issued under Sec. 72.210.

    (a)(1) The general license is limited to that spent fuel which the 
general licensee is authorized to possess at the site under the specific 
license for the site.
    (2) This general license is limited to storage of spent fuel in 
casks approved under the provisions of this part.
    (3) The general license for the storage of spent fuel in each cask 
fabricated under a Certificate of Compliance terminates 20 years after 
the date that the particular cask is first used by the general licensee 
to store spent fuel, unless the cask's Certificate of Compliance is 
renewed, in which case the general license terminates 20 years after the 
cask's Certificate of Compliance renewal date. In the event that a cask 
vendor does not apply for a cask model reapproval under Sec. 72.240, any 
cask user or user's representative may apply for a cask design 
reapproval. If a Certificate of Compliance expires, casks of that design 
must be removed from service after a storage period not to exceed 20 
years.
    (b) The general licensee shall:
    (1)(i) Notify the Nuclear Regulatory Commission using instructions 
in Sec. 72.4 at least 90 days prior to first storage of spent fuel under 
this general license. The notice may be in the form of a letter, but 
must contain the licensee's name, address, reactor license and docket 
numbers, and the name and means of contacting a person responsible for 
providing additional information concerning spent fuel under this 
general license. A copy of the submittal must be sent to the 
administrator of the appropriate Nuclear Regulatory Commission regional 
office listed in appendix D to part 20 of this chapter.
    (ii) Register use of each cask with the Nuclear Regulatory 
Commission no later than 30 days after using that cask to store spent 
fuel. This registration may be accomplished by submitting a letter using 
instructions in Sec. 72.4 containing the following information: the 
licensee's name and address, the licensee's reactor license and docket 
numbers, the name and title of a person responsible for providing 
additional information concerning spent fuel storage under this general 
license, the cask certificate and model numbers, and the cask 
identification number. A copy of each submittal must be sent to the 
administrator of the appropriate Nuclear Regulatory Commission regional 
office listed in appendix D to part 20 of this chapter.
    (iii) Fee. Fees for inspections related to spent fuel storage under 
this general license are those shown in Sec. 170.31 of this chapter.
    (2)(i) Perform written evaluations, prior to use, that establish 
that:
    (A) conditions set forth in the Certificate of Compliance have been 
met;
    (B) cask storage pads and areas have been designed to adequately 
support the static load of the stored casks; and
    (C) the requirements of Sec. 72.104 have been met. A copy of this 
record shall be retained until spent fuel is no longer stored under the 
general license issued under Sec. 72.210.

[[Page 385]]

    (ii) The licensee shall evaluate any changes to the written 
evaluations required by this paragraph using the requirements of 
Sec. 72.48(c). A copy of this record shall be retained until spent fuel 
is no longer stored under the general license issued under Sec. 72.210.
    (3) Review the Safety Analysis Report (SAR) referenced in the 
Certificate of Compliance and the related NRC Safety Evaluation Report, 
prior to use of the general license, to determine whether or not the 
reactor site parameters, including analyses of earthquake intensity and 
tornado missiles, are enveloped by the cask design bases considered in 
these reports. The results of this review must be documented in the 
evaluation made in paragraph (b)(2) of this section.
    (4) Prior to use of this general license, determine whether 
activities related to storage of spent fuel under this general license 
involve a change in the facility Technical Specifications or require a 
license amendment for the facility pursuant to Sec. 50.59(c)(2) of this 
chapter. Results of this determination must be documented in the 
evaluation made in paragraph (b)(2) of this section.
    (5) Protect the spent fuel against the design basis threat of 
radiological sabotage in accordance with the same provisions and 
requirements as are set forth in the licensee's physical security plan 
pursuant to Sec. 73.55 of this chapter with the following additional 
conditions and exceptions.
    (i) The physical security organization and program for the facility 
must be modified as necessary to assure that activities conducted under 
this general license do not decrease the effectiveness of the protection 
of vital equipment in accordance with Sec. 73.55 of this chapter.
    (ii) Storage of spent fuel must be within a protected area, in 
accordance with Sec. 73.55(c) of this chapter, but need not be within a 
separate vital area. Existing protected areas may be expanded or new 
protected areas added for the purpose of storage of spent fuel in 
accordance with this general license.
    (iii) For purposes of this general license, searches required by 
Sec. 73.55(d)(1) of this chapter before admission to a new protected 
area may be performed by physical pat-down searches of persons in lieu 
of firearms and explosives detection equipment.
    (iv) The observational capability required by Sec. 73.55(h)(6) of 
this chapter as applied to a new protected area may be provided by a 
guard or watchman on patrol in lieu of closed circuit television.
    (v) For the purpose of this general license, the licensee is exempt 
from Secs. 73.55(h)(4)(iii)(A) and 73.55(h)(5) of this chapter.
    (6) Review the reactor emergency plan, quality assurance program, 
training program, and radiation protection program to determine if their 
effectiveness is decreased and, if so, prepare the necessary changes and 
seek and obtain the necessary approvals.
    (7) Maintain a copy of the Certificate of Compliance and documents 
referenced in the certificate for each cask model used for storage of 
spent fuel, until use of the cask model is discontinued. The licensee 
shall comply with the terms and conditions of the certificate.
    (8)(i) Accurately maintain the record provided by the cask supplier 
for each cask that shows, in addition to the information provided by the 
cask vendor, the following:
    (A) The name and address of the cask vendor or lessor;
    (B) The listing of spent fuel stored in the cask; and
    (C) Any maintenance performed on the cask.
    (ii) This record must include sufficient information to furnish 
documentary evidence that any testing and maintenance of the cask has 
been conducted under an NRC-approved quality assurance program.
    (iii) In the event that a cask is sold, leased, loaned, or otherwise 
transferred to another registered user, this record must also be 
transferred to and must be accurately maintained by the new registered 
user. This record must be maintained by the current cask user during the 
period that the cask is used for storage of spent fuel and retained by 
the last user until decommissioning of the cask is complete.

[[Page 386]]

    (9) Conduct activities related to storage of spent fuel under this 
general license only in accordance with written procedures.
    (10) Make records and casks available to the Commission for 
inspection.

[55 FR 29191, July 18, 1990, as amended at 64 FR 53616, Oct. 4, 1999]



Sec. 72.214  List of approved spent fuel storage casks.

    The following casks are approved for storage of spent fuel under the 
conditions specified in their Certificates of Compliance.

Certificate Number: 1000
SAR Submitted by: General Nuclear Systems, Inc.
SAR Title: Topical Safety Analysis Report for the Castor V/21 Cask 
Independent Spent Fuel Storage Installation (Dry Storage)
Docket Number: 72-1000
Certification Expiration Date: August 17, 2010
Model Number: CASTOR V/21

Certificate Number: 1002
SAR Submitted by: Nuclear Assurance Corporation
SAR Title: Topical Safety Analysis Report for the NAC Storage/Transport 
Cask for Use at an Independent Spent Fuel Storage Installation
Docket Number: 72-1002
Certification Expiration Date: August 17, 2010
Model Number: NAC S/T

Certificate Number: 1003
SAR Submitted by: Nuclear Assurance Corporation
SAR Title: Topical Safety Analysis Report for the NAC Storage/Transport 
Cask Containing Consolidated Fuel for Use at an Independent Spent Fuel 
Storage Installation
Docket Number: 72-1003
Certification Expiration Date: August 17, 2010
Model Number: NAC-C28 S/T

Certificate Number: 1004.
Initial Certificate Effective Date: January 23, 1995.
Amendment Number 1 Effective Date: April 27, 2000.
Amendment Number 2 Effective Date: September 5, 2000.
Amendment Number 3 Effective Date: September 12, 2001.
Amendment Number 4 Effective Date: February 12, 2002.
SAR Submitted by: Transnuclear Inc.
SAR Title: Final Safety Analysis Report for the Standardized NUHOMS[reg] 
Horizontal Modular Storage System for Irradiated Nuclear Fuel.
Docket Number: 72-1004.
Certificate Expiration Date: January 23, 2015.
Model Number: Standardized NUHOMS[reg]-24P, NUHOMS[reg]-52B, and 
NUHOMS[reg]-61BT.

Certificate Number: 1005
SAR Submitted by: Transnuclear, Inc.
SAR Title: TN-24 Dry Storage Cask Topical Report.
Docket Number: 72-1005
Certification Expiration Date: November 4, 2013.
Model Number: TN-24.

Certificate Number: 1007.
Initial Certificate Effective Date: May 7, 1993.
Amendment Number 1 Effective Date: May 30, 2000.
Amendment Number 2 Effective Date: September 5, 2000.
Amendment Number 3 Effective Date: May 21, 2001.
SAR Submitted by: Pacific Sierra Nuclear Associates.
SAR Title: Final Safety Analysis Report for the Ventilated Storage Cask 
System.
Docket Number: 72-1007.
Certificate Expiration Date: May 7, 2013.
Model Number: VSC-24.

Certificate Number: 1008.
Initial Certificate Effective Date: October 4, 1999.
Amendment Number 1 Effective Date: December 26, 2000.
Amendment Number 2 Effective Date: May 29, 2001.
SAR Submitted by: Holtec International.
SAR Title: Final Safety Analysis Report for the HI-STAR 100 Cask System.
Docket Number: 72-1008.
Certificate Expiration Date: October 4, 2019.
Model Number: HI-STAR 100.

Certificate Number: 1014
Initial Certificate Effective Date: June 1, 2000
Amendment Number 1 Effective Date: July 15, 2002.
SAR Submitted by: Holtec International
SAR Title: Final Safety Analysis Report for the HI-STORM 100 Cask System
Docket Number: 72-1014
Certificate Expiration Date: June 1, 2020
Model Number: HI-STORM 100

Certificate Number: 1015.
Initial Certificate Effective Date: November 20, 2000.
Amendment Number 1 Effective Date: February 20, 2001.
Amendment Number 2 Effective Date: December 31, 2001.
SAR Submitted by: NAC International, Inc.
SAR Title: Final Safety Analysis Report for the NAC-UMS Universal 
Storage System.

[[Page 387]]

Docket Number: 72-1015.
Certificate Expiration Date: November 20, 2020.
Model Number: NAC-UMS.

Certificate Number: 1021.
Initial Certificate Effective Date: April 19, 2000.
Amendment Number 1 Effective Date: February 20, 2001.
SAR Submitted by: Transnuclear, Inc.
SAR Title: Final Safety Analysis Report for the TN-32 Dry Storage Cask.
Docket Number: 72-1021.
Certificate Expiration Date: April 19, 2020.
Model Number: TN-32, TN-32A, TN-32B.

Certificate Number: 1025.
Initial Certificate Effective Date: April 10, 2000.
Amendment Number 1 Effective Date: November 13, 2001.
Amendment Number 2 Effective Date: May 29, 2002.
SAR Submitted by: NAC International.
SAR Title: Final Safety Analysis Report for the NAC-Multipurpose 
Canister System (NAC-MPC System).
Docket Number: 72-1025.
Certificate Expiration Date: April 10, 2020.
Model Number: NAC-MPC.

Certificate Number: 1026.
Initial Certificate Effective Date: February 15, 2001.
Amendment Number 1 Effective Date: May 14, 2001.
Amendment Number 2 Effective Date: January 28, 2002.
SAR Submitted by: BNFL Fuel Solutions.
SAR Title: Final Safety Analysis Report for the FuelSolutions\TM\ Spent 
Fuel Management System.
Docket Number: 72-1026.
Certificate Expiration Date: February 15, 2021.
Model Number: WSNF-220, WSNF-221, and WSNF-223 systems; W-150 storage 
cask; W-100 transfer cask; and the W-21 and W-74 canisters.

Certificate Number: 1027.
SAR Submitted by: Transnuclear, Inc.
SAR Title: Final Safety Analysis Report for the TN-68 Dry Storage Cask.
Docket Number: 72-1027.
Certificate Expiration Date: May 28, 2020.
Model Number: TN-68.

[55 FR 29191, July 18, 1990, as amended at 58 FR 17967, Apr. 7, 1993; 58 
FR 51770, Oct. 5, 1993; 59 FR 65920, Dec. 22, 1994; 64 FR 48274, Sept. 
3, 1999; 64 FR 50872, Sept. 20, 1999; 65 FR 11459, Mar. 3, 2000; 65 FR 
12460, Mar. 9, 2000; 65 FR 14810, Mar. 20, 2000; 65 FR 16302, Mar. 28, 
2000; 65 FR 17552, Apr. 3, 2000; 65 FR 24630, Apr. 27, 2000; 65 FR 
24870, Apr. 28, 2000; 65 FR 25265, May 1, 2000; 65 FR 38717, 38720, June 
22, 2000; 65 FR 62599, Oct. 19, 2000; 65 FR 60342, Oct. 11, 2000; 65 FR 
75855, Dec. 5, 2000; 65 FR 76898, Dec. 7, 2000; 66 FR 12437, Feb. 27, 
2001; 66 FR 13409, Mar. 6, 2001; 66 FR 14486, Mar. 13, 2001; 66 FR 
34525, June 29, 2001; 66 FR 43763, Aug. 21, 2001; 66 FR 45752, Aug. 30, 
2001; 66 FR 52489, Oct. 16, 2001; 66 FR 56985, Nov. 14, 2001; 66 FR 
59534, Nov. 29, 2001; 67 FR 11569, Mar. 15, 2002; 67 FR 46372, July 15, 
2002]

    Effective Date Note: At 67 FR 69989, Nov. 20, 2002, Sec. 72.214 was 
amended by revising Certificate of Compliance 1007, effective Feb. 3, 
2002. At 67 FR 70638, Nov. 25, 2002, the effective date was corrected to 
Feb. 3, 2003. For the convenience of the user, the revised text is set 
forth as follows:

Sec. 72.214  List of approved spent fuel storage casks.

                                * * * * *

    Certificate Number: 1007.
    Initial Certificate Effective Date: May 7, 1993.
    Amendment Number 1 Effective Date: May 30, 2000.
    Amendment Number 2 Effective Date: September 5, 2000.
    Amendment Number 3 Effective Date: May 21, 2001.
    Amendment Number 4 Effective Date: February 3, 2003.
    SAR Submitted by: Pacific Sierra Nuclear Associates.
    SAR Title: Final Safety Analysis Report for the Ventilated Storage 
Cask System.
    Docket Number: 72-1007.
    Certificate Expiration Date: May 7, 2013.
    Model Number: VSC-24.

                                * * * * *



Sec. 72.216  Reports.

    (a)-(b) [Reserved]
    (c) The general licensee shall make initial and written reports in 
accordance with Secs. 72.74 and 72.75.

[65 FR 63788, Oct. 25, 2000]

[[Page 388]]



Sec. 72.218  Termination of licenses.

    (a) The notification regarding the program for the management of 
spent fuel at the reactor required by Sec. 50.54(bb) of this chapter 
must include a plan for removal of the spent fuel stored under this 
general license from the reactor site. The plan must show how the spent 
fuel will be managed before starting to decommission systems and 
components needed for moving, unloading, and shipping this spent fuel.
    (b) An application for termination of the reactor operating license 
submitted under Sec. 50.82 of this chapter must contain a description of 
how the spent fuel stored under this general license will be removed 
from the reactor site.
    (c) The reactor licensee shall send a copy of submittals under 
Sec. 72.218(a) and (b) to the administrator of the appropriate Nuclear 
Regulatory Commission regional office shown in appendix D to part 20 of 
this chapter.



Sec. 72.220  Violations.

    This general license is subject to the provisions of Sec. 72.84 for 
violation of the regulations under this part.



             Subpart L--Approval of Spent Fuel Storage Casks

    Source: 55 FR 29193, July 18, 1990, unless otherwise noted.



Sec. 72.230  Procedures for spent fuel storage cask submittals.

    (a) An application for approval of a spent fuel storage cask design 
must be submitted in accordance with the instructions contained in 
Sec. 72.4. A safety analysis report describing the proposed cask design 
and how the cask should be used to store spent fuel safely must be 
included with the application.
    (b) Casks that have been certified for transportation of spent fuel 
under part 71 of this chapter may be approved for storage of spent fuel 
under this subpart. An application must be submitted in accordance with 
the instructions contained in Sec. 72.4. A copy of the Certificate of 
Compliance issued for the cask under part 71 of this chapter, and 
drawings and other documents referenced in the certificate, must be 
included with the application. A safety analysis report showing that the 
cask is suitable for storage of spent fuel for a period of at least 20 
years must also be included.
    (c) Public inspection. An application for the approval of a cask for 
storage of spent fuel may be made available for public inspection under 
Sec. 72.20.
    (d) Fees. Fees for reviews and evaluations related to issuance of a 
spent fuel storage cask Certificate of Compliance and inspections 
related to storage cask fabrication are those shown in Sec. 170.31 of 
this chapter.



Sec. 72.232  Inspection and tests.

    (a) The certificate holder and applicant for a CoC shall permit, and 
make provisions for, the NRC to inspect the premises and facilities 
where a spent fuel storage cask is designed, fabricated, and tested.
    (b) The certificate holder and applicant for a CoC shall make 
available to the NRC for inspection, upon reasonable notice, records 
kept by them pertaining to the design, fabrication, and testing of spent 
fuel storage casks.
    (c) The certificate holder and applicant for a CoC shall perform, 
and make provisions that permit the NRC to perform, tests that the 
Commission deems necessary or appropriate for the administration of the 
regulations in this part.
    (d) The certificate holder and applicant for a CoC shall submit a 
notification under Sec. 72.4 at least 45 days prior to starting 
fabrication of the first spent fuel storage cask under a Certificate of 
Compliance.

[64 FR 56126, Oct. 15, 1999]



Sec. 72.234  Conditions of approval.

    (a) The certificate holder and applicant for a CoC shall ensure that 
the design, fabrication, testing, and maintenance of a spent fuel 
storage cask comply with the requirements in Sec. 72.236.
    (b) The certificate holder and applicant for a CoC shall ensure that 
the design, fabrication, testing, and maintenance of spent fuel storage 
casks are conducted under a quality assurance program that meets the 
requirements of subpart G of this part.
    (c) An applicant for a CoC may begin fabrication of spent fuel 
storage casks

[[Page 389]]

before the Commission issues a CoC for the cask; however, applicants who 
begin fabrication of casks without a CoC do so at their own risk. A cask 
fabricated before the CoC is issued shall be made to conform to the 
issued CoC before being placed in service or before spent fuel is 
loaded.
    (d)(1) The certificate holder shall ensure that a record is 
established and maintained for each spent fuel storage cask fabricated 
under the CoC.
    (2) This record must include:
    (i) The NRC CoC number;
    (ii) The spent fuel storage cask model number;
    (iii) The spent fuel storage cask identification number;
    (iv) Date fabrication was started;
    (v) Date fabrication was completed;
    (vi) Certification that the spent fuel storage cask was designed, 
fabricated, tested, and repaired in accordance with a quality assurance 
program accepted by NRC;
    (vii) Certification that inspections required by Sec. 72.236(j) were 
performed and found satisfactory; and
    (viii) The name and address of the licensee using the spent fuel 
storage cask.
    (3) The certificate holder shall supply the original of this record 
to the licensees using the spent fuel storage cask. A current copy of a 
composite record of all spent fuel storage casks manufactured under a 
CoC, showing the information in paragraph (d)(2) of this section, must 
be initiated and maintained by the certificate holder for each model 
spent fuel storage cask. If the certificate holder permanently ceases 
production of spent fuel storage casks under a CoC, the certificate 
holder shall send this composite record to the Commission using 
instructions in Sec. 72.4.
    (e) The certificate holder and the licensees using the spent fuel 
storage cask shall ensure that the composite record required by 
paragraph (d) of this section is available to the Commission for 
inspection.
    (f) The certificate holder shall ensure that written procedures and 
appropriate tests are established prior to use of the spent fuel storage 
casks. A copy of these procedures and tests must be provided to each 
licensee using the spent fuel storage cask.

[64 FR 56126, Oct. 15, 1999, as amended at 65 FR 50617, Aug. 21, 2000]



Sec. 72.236  Specific requirements for spent fuel storage cask approval and fabrication.

    The certificate holder and applicant for a CoC shall ensure that the 
requirements of this section are met.
    (a) Specifications must be provided for the spent fuel to be stored 
in the spent fuel storage cask, such as, but not limited to, type of 
spent fuel (i.e., BWR, PWR, both), maximum allowable enrichment of the 
fuel prior to any irradiation, burn-up (i.e., megawatt-days/MTU), 
minimum acceptable cooling time of the spent fuel prior to storage in 
the spent fuel storage cask, maximum heat designed to be dissipated, 
maximum spent fuel loading limit, condition of the spent fuel (i.e., 
intact assembly or consolidated fuel rods), the inerting atmosphere 
requirements.
    (b) Design bases and design criteria must be provided for 
structures, systems, and components important to safety.
    (c) The spent fuel storage cask must be designed and fabricated so 
that the spent fuel is maintained in a subcritical condition under 
credible conditions.
    (d) Radiation shielding and confinement features must be provided 
sufficient to meet the requirements in Secs. 72.104 and 72.106.
    (e) The spent fuel storage cask must be designed to provide 
redundant sealing of confinement systems.
    (f) The spent fuel storage cask must be designed to provide adequate 
heat removal capacity without active cooling systems.
    (g) The spent fuel storage cask must be designed to store the spent 
fuel safely for a minimum of 20 years and permit maintenance as 
required.
    (h) The spent fuel storage cask must be compatible with wet or dry 
spent fuel loading and unloading facilities.
    (i) The spent fuel storage cask must be designed to facilitate 
decontamination to the extent practicable.
    (j) The spent fuel storage cask must be inspected to ascertain that 
there are no cracks, pinholes, uncontrolled voids,

[[Page 390]]

or other defects that could significantly reduce its confinement 
effectiveness.
    (k) The spent fuel storage cask must be conspicuously and durably 
marked with--
    (1) A model number;
    (2) A unique identification number; and
    (3) An empty weight.
    (l) The spent fuel storage cask and its systems important to safety 
must be evaluated, by appropriate tests or by other means acceptable to 
the NRC, to demonstrate that they will reasonably maintain confinement 
of radioactive material under normal, off-normal, and credible accident 
conditions.
    (m) To the extent practicable in the design of spent fuel storage 
casks, consideration should be given to compatibility with removal of 
the stored spent fuel from a reactor site, transportation, and ultimate 
disposition by the Department of Energy.

[64 FR 56126, Oct. 15, 1999, as amended at 65 FR 50617, Aug. 21, 2000]



Sec. 72.238  Issuance of an NRC Certificate of Compliance.

    A Certificate of Compliance for a cask model will be issued by NRC 
on a finding that the requirements in Sec. 72.236 (a) through (i) are 
met.



Sec. 72.240  Conditions for spent fuel storage cask reapproval.

    (a) The certificate holder, a licensee using a spent fuel storage 
cask, or the representative of a licensee using a spent fuel storage 
cask shall apply for reapproval of the design of a spent fuel storage 
cask.
    (b) The application for reapproval of the design of a spent fuel 
storage cask must be submitted not less than 30 days prior to the 
expiration date of the CoC. When the applicant has submitted a timely 
application for reapproval, the existing CoC will not expire until the 
application for reapproval has been determined by the NRC. The 
application must be accompanied by a safety analysis report (SAR). The 
new SAR may reference the SAR originally submitted for the approved 
spent fuel storage cask design.
    (c) The design of a spent fuel storage cask will be reapproved if 
the conditions in Sec. 72.238 are met, and the application includes a 
demonstration that the storage of spent fuel has not significantly 
adversely affected structures, systems, and components important to 
safety.

[64 FR 56127, Oct. 15, 1999]



Sec. 72.242  Recordkeeping and reports.

    (a) Each certificate holder or applicant shall maintain any records 
and produce any reports that may be required by the conditions of the 
CoC or by the rules, regulations, and orders of the NRC in effectuating 
the purposes of the Act.
    (b) Records that are required by the regulations in this part or by 
conditions of the CoC must be maintained for the period specified by the 
appropriate regulation or the CoC conditions. If a retention period is 
not specified, the records must be maintained until the NRC terminates 
the CoC.
    (c) Any record maintained under this part may be either the original 
or a reproduced copy by any state-of-the-art method provided that any 
reproduced copy is duly authenticated by authorized personnel and is 
capable of producing a clear and legible copy after storage for the 
period specified by NRC regulations.
    (d) Each certificate holder shall submit a written report to the NRC 
within 30 days of discovery of a design or fabrication deficiency, for 
any spent fuel storage cask which has been delivered to a licensee, when 
the design or fabrication deficiency affects the ability of structures, 
systems, and components important to safety to perform their intended 
safety function. The written report shall be sent to the NRC in 
accordance with the requirements of Sec. 72.4. The report shall include 
the following:
    (1) A brief abstract describing the deficiency, including all 
component or system failures that contributed to the deficiency and 
corrective action taken or planned to prevent recurrence;
    (2) A clear, specific, narrative description of what occurred so 
that knowledgeable readers familiar with the design of the spent fuel 
storage cask, but not familiar with the details of a particular cask, 
can understand

[[Page 391]]

the deficiency. The narrative description shall include the following 
specific information as appropriate for the particular event:
    (i) Dates and approximate times of discovery;
    (ii) The cause of each component or system failure, if known;
    (iii) The failure mode, mechanism, and effect of each failed 
component, if known;
    (iv) A list of systems or secondary functions that were also 
affected for failures of components with multiple functions;
    (v) The method of discovery of each component or system failure;
    (vi) The manufacturer and model number (or other identification) of 
each component that failed during the event;
    (vii) The model and serial numbers of the affected spent fuel 
storage casks;
    (viii) The licensees that have affected spent fuel storage casks;
    (3) An assessment of the safety consequences and implications of the 
deficiency. This assessment shall include the availability of other 
systems or components that could have performed the same function as the 
components and systems that were affected;
    (4) A description of any corrective actions planned as a result of 
the deficiency, including those to reduce the probability of similar 
occurrences in the future;
    (5) Reference to any previous similar deficiencies at the same 
facility that are known to the certificate holder; and
    (6) The name and telephone number of a person within the certificate 
holder's organization who is knowledgeable about the deficiency and can 
provide additional information.

[64 FR 56127, Oct. 15, 1999]



Sec. 72.244  Application for amendment of a certificate of compliance.

    Whenever a certificate holder desires to amend the CoC (including a 
change to the terms, conditions or specifications of the CoC), an 
application for an amendment shall be filed with the Commission fully 
describing the changes desired and the reasons for such changes, and 
following as far as applicable the form prescribed for original 
applications.

[64 FR 53617, Oct. 4, 1999]



Sec. 72.246  Issuance of amendment to a certificate of compliance.

    In determining whether an amendment to a CoC will be issued to the 
applicant, the Commission will be guided by the considerations that 
govern the issuance of an initial CoC.

[64 FR 53617, Oct. 4, 1999]



Sec. 72.248  Safety analysis report updating.

    (a) Each certificate holder for a spent fuel storage cask design 
shall update periodically, as provided in paragraph (b) of this section, 
the final safety analysis report (FSAR) to assure that the information 
included in the report contains the latest information developed.
    (1) Each certificate holder shall submit an original FSAR to the 
Commission, in accordance with Sec. 72.4, within 90 days after the spent 
fuel storage cask design has been approved pursuant to Sec. 72.238.
    (2) The original FSAR shall be based on the safety analysis report 
submitted with the application and reflect any changes and applicant 
commitments developed during the cask design review process. The 
original FSAR shall be updated to reflect any changes to requirements 
contained in the issued Certificate of Compliance (CoC).
    (b) Each update shall contain all the changes necessary to reflect 
information and analyses submitted to the Commission by the certificate 
holder or prepared by the certificate holder pursuant to Commission 
requirement since the submission of the original FSAR or, as 
appropriate, the last update to the FSAR under this section. The update 
shall include the effects \1\ of:
---------------------------------------------------------------------------

    \1\ Effects of changes includes appropriate revisions of 
descriptions in the FSAR such that the FSAR (as updated) is complete and 
accurate.
---------------------------------------------------------------------------

    (1) All changes made in the spent fuel storage cask design or 
procedures as described in the FSAR;

[[Page 392]]

    (2) All safety analyses and evaluations performed by the certificate 
holder either in support of approved CoC amendments, or in support of 
conclusions that changes did not require a CoC amendment in accordance 
with Sec. 72.48; and
    (3) All analyses of new safety issues performed by or on behalf of 
the certificate holder at Commission request. The information shall be 
appropriately located within the updated FSAR.
    (c)(1) The update of the FSAR shall be filed in accordance with 
Sec. 72.4, on a replacement-page basis;
    (2) The update shall include a list that identifies the current 
pages of the FSAR following page replacement;
    (3) 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);
    (4) The update shall include:
    (i) A certification by a duly authorized officer of the certificate 
holder that either the information accurately presents changes made 
since the previous submittal, or that no such changes were made; and
    (ii) An identification of changes made by the certificate holder 
under the provisions of Sec. 72.48, but not previously submitted to the 
Commission;
    (5) The update shall reflect all changes implemented up to a maximum 
of 6 months prior to the date of filing;
    (6) Updates shall be filed every 24 months from the date of issuance 
of the CoC; and
    (7) The certificate holder shall provide a copy of the updated FSAR 
to each general and specific licensee using its cask design.
    (d) The updated FSAR shall be retained by the certificate holder 
until the Commission terminates the certificate.
    (e) A certificate holder who permanently ceases operation, shall 
provide the updated FSAR to the new certificate holder or to the 
Commission, as appropriate, in accordance with Sec. 72.234(d)(3).

[64 FR 53617, Oct. 4, 1999]



PART 73--PHYSICAL PROTECTION OF PLANTS AND MATERIALS--Table of Contents




                           General Provisions

Sec.
73.1  Purpose and scope.
73.2  Definitions.
73.3  Interpretations.
73.4  Communications.
73.5  Specific exemptions.
73.6  Exemptions for certain quantities and kinds of special nuclear 
          material.
73.8  Information collection requirements: OMB approval.
73.20  General performance objective and requirements.
73.21  Requirements for the protection of safeguards information.
73.24  Prohibitions.

       Physical Protection of Special Nuclear Material in Transit

73.25  Performance capabilities for physical protection of strategic 
          special nuclear material in transit.
73.26  Transportation physical protection systems, subsystems, 
          components, and procedures.
73.27  Notification requirements.
73.37  Requirements for physical protection of irradiated reactor fuel 
          in transit.

             Physical Protection Requirements at Fixed Sites

73.40  Physical protection: General requirements at fixed sites.
73.45  Performance capabilities for fixed site physical protection 
          systems.
73.46  Fixed site physical protection systems, subsystems, components, 
          and procedures.
73.50  Requirements for physical protection of licensed activities.
73.51  Requirements for the physical protection of stored spent nuclear 
          fuel and high-level radioactive waste.
73.55  Requirements for physical protection of licensed activities in 
          nuclear power reactors against radiological sabotage.
73.56  Personnel access authorization requirements for nuclear power 
          plants.
73.57  Requirements for criminal history checks of individuals granted 
          unescorted access to a nuclear power facility or access to 
          Safeguards Information by power reactor licensees.
73.60  Additional requirements for physical protection at nonpower 
          reactors.

  Physical Protection of Special Nuclear Material of Moderate and Low 
                         Strategic Significance

73.67  Licensee fixed site and in-transit requirements for the physical 
          protection of

[[Page 393]]

          special nuclear material of moderate and low strategic 
          significance.

                           Records and Reports

73.70  Records.
73.71  Reporting of safeguards events.
73.72  Requirement for advance notice of shipment of formula quantities 
          of strategic special nuclear material, special nuclear 
          material of moderate strategic significance, or irradiated 
          reactor fuel.
73.73  Requirement for advance notice and protection of export shipments 
          of special nuclear material of low strategic significance.
73.74  Requirement for advance notice and protection of import shipments 
          of nuclear material from countries that are not party to the 
          Convention on the Physical Protection of Nuclear Material.

                               Enforcement

73.80  Violations.
73.81  Criminal penalties.

Appendix A to Part 73--U.S. Nuclear Regulatory Commission Regional 
          Offices
Appendix B to Part 73--General Criteria for Security Personnel
Appendix C to Part 73--Licensee Safeguards Contingency Plans
Appendix D to Part 73--Physical Protection of Irradiated Reactor Fuel in 
          Transit, Training Program Subject Schedule
Appendix E to Part 73--Levels of Physical Protection To Be Applied in 
          International Transport of Nuclear Material
Appendix F to Part 73--Nations That Are Parties to the Convention on the 
          Physical Protection of Nuclear Material
Appendix G to Part 73--Reportable Safeguards Events
Appendix H to Part 73--Weapons Qualification Criteria

    Authority: Secs. 53, 161, 68 Stat. 930, 948, as amended, sec. 147, 
94 Stat. 780 (42 U.S.C. 2073, 2167, 2201); sec. 201, as amended, 204, 88 
Stat. 1242, as amended, 1245, sec. 1701, 106 Stat. 2951, 2952, 2953 (42 
U.S.C. 5841, 5844, 2297f).
    Section 73.1 also issued under secs. 135, 141, Pub. L. 97-425, 96 
Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section 73.37(f) also issued 
under sec. 301, Pub. L. 96-295, 94 Stat. 789 (42 U.S.C. 5841 note). 
Section 73.57 is issued under sec. 606, Pub. L. 99-399, 100 Stat. 876 
(42 U.S.C. 2169).

    Source: 38 FR 35430, Dec. 28, 1973, unless otherwise noted.

                           General Provisions



Sec. 73.1  Purpose and scope.

    (a) Purpose. This part prescribes requirements for the establishment 
and maintenance of a physical protection system which will have 
capabilities for the protection of special nuclear material at fixed 
sites and in transit and of plants in which special nuclear material is 
used. The following design basis threats, where referenced in ensuing 
sections of this part, shall be used to design safeguards systems to 
protect against acts of radiological sabotage and to prevent the theft 
of special nuclear material. Licensees subject to the provisions of 
Sec. 72.182, Sec. 72.212, Sec. 73.20, Sec. 73.50, and Sec. 73.60 are 
exempt from Sec. 73.1(a)(1)(i)(E) and Sec. 73.1(a)(1)(iii).
    (1) Radiological sabotage. (i) A determined violent external 
assault, attack by stealth, or deceptive actions, of several persons 
with the following attributes, assistance and equipment:
    (A) Well-trained (including military training and skills) and 
dedicated individuals,
    (B) inside assistance which may include a knowledgeable individual 
who attempts to participate in a passive role (e.g., provide 
information), an active role (e.g., facilitate entrance and exit, 
disable alarms and communications, participate in violent attack), or 
both,
    (C) suitable weapons, up to and including hand-held automatic 
weapons, equipped with silencers and having effective long range 
accuracy,
    (D) hand-carried equipment, including incapacitating agents and 
explosives for use as tools of entry or for otherwise destroying 
reactor, facility, transporter, or container integrity or features of 
the safeguards system, and
    (E) a four-wheel drive land vehicle used for transporting personnel 
and their hand-carried equipment to the proximity of vital areas, and
    (ii) An internal threat of an insider, including an employee (in any 
position), and
    (iii) A four-wheel drive land vehicle bomb.
    (2) Theft or diversion of formula quantities of strategic special 
nuclear material. (i) A determined, violent, external assault, attack by 
stealth, or deceptive actions by a small group with the following 
attributes, assistance, and equipment:

[[Page 394]]

    (A) Well-trained (including military training and skills) and 
dedicated individuals;
    (B) Inside assistance that may include a knowledgeable individual 
who attempts to participate in a passive role (e.g., provide 
information), an active role (e.g., facilitate entrance and exit, 
disable alarms and communications, participate in violent attack), or 
both;
    (C) Suitable weapons, up to and including hand-held automatic 
weapons, equipped with silencers and having effective long-range 
accuracy;
    (D) Hand-carried equipment, including incapacitating agents and 
explosives for use as tools of entry or for otherwise destroying 
reactor, facility, transporter, or container integrity or features of 
the safe-guards system;
    (E) Land vehicles used for transporting personnel and their hand-
carried equipment; and
    (F) the ability to operate as two or more teams.
    (ii) An individual, including an employee (in any position), and
    (iii) A conspiracy between individuals in any position who may have:
    (A) Access to and detailed knowledge of nuclear power plants or the 
facilities referred to in Sec. 73.20(a), or
    (B) items that could facilitate theft of special nuclear material 
(e.g., small tools, substitute material, false documents, etc.), or 
both.
    (b) Scope. (1) This part prescribes requirements for:
    (i) The physical protection of production and utilization facilities 
licensed pursuant to part 50 of this chapter,
    (ii) The physical protection of plants in which activities licensed 
pursuant to part 70 of this chapter are conducted, and
    (iii) The physical protection of special nuclear material by any 
person who, pursuant to the regulations in part 61 or 70 of this 
chapter, possesses or uses at any site or contiguous sites subject to 
the control by the licensee, formula quantities of strategic special 
nuclear material or special nuclear material of moderate strategic 
significance or special nuclear material of low strategic significance.
    (2) This part prescribes requirements for the physical protection of 
special nuclear material in transportation by any person who is licensed 
pursuant to the regulations in parts 70 and 110 of this chapter who 
imports, exports, transports, delivers to a carrier for transport in a 
single shipment, or takes delivery of a single shipment free on board 
(F.O.B.) where it is delivered to a carrier, formula quantities of 
strategic special nuclear material, special nuclear material of moderate 
strategic significance or special nuclear material of low strategic 
significance.
    (3) This part also applies to shipments by air of special nuclear 
material in quantities exceeding: (i) 20 grams or 20 curies, whichever 
is less, of plutonium or uranium-233, or (ii) 350 grams of uranium-235 
(contained in uranium enriched to 20 percent or more in the U-235 
isotope).
    (4) Special nuclear material subject to this part may also be 
protected pursuant to security procedures prescribed by the Commission 
or another Government agency for the protection of classified materials. 
The provisions and requirements of this part are in addition to, and not 
in substitution for, any such security procedures. Compliance with the 
requirements of this part does not relieve any licensee from any 
requirement or obligation to protect special nuclear material pursuant 
to security procedures prescribed by the Commission or other Government 
agency for the protection of classified materials.
    (5) This part also applies to the shipment of irradiated reactor 
fuel in quantities that in a single shipment both exceed 100 grams in 
net weight of irradiated fuel, exclusive of cladding or other structural 
or packaging material, and have a total radiation dose in excess of 100 
rems per hour at a distance of 3 feet from any accessible surface 
without intervening shielding.
    (6) This part prescribes requirements for the physical protection of 
spent nuclear fuel and high-level radioactive waste stored in either an 
independent spent fuel storage installation (ISFSI) or a monitored 
retrievable storage (MRS) installation licensed under part 72 of this 
chapter, or stored at the geologic repository operations area licensed 
under part 60 or part 63 of this chapter.

[[Page 395]]

    (7) This part prescribes requirements for the protection of 
Safeguards Information in the hands of any person, whether or not a 
licensee of the Commission, who produces, receives, or acquires 
Safeguards Information.
    (8) This part prescribes requirements for advance notice of export 
and import shipments of special nuclear material, including irradiated 
reactor fuel.
    (9) As provided in part 76 of this chapter, the regulations of this 
part establish procedures and criteria for physical security for the 
issuance of a certificate of compliance or the approval of a compliance 
plan.

[44 FR 68186, Nov. 28, 1979, as amended at 45 FR 67645, Oct. 14, 1980; 
45 FR 80271, Dec. 4, 1980; 46 FR 51724, Oct. 22, 1981; 47 FR 57482, Dec. 
27, 1982; 52 FR 9653, Mar. 26, 1987; 53 FR 31683, Aug. 19, 1988; 53 FR 
45451, Nov. 10, 1988; 59 FR 38899, Aug. 1, 1994; 59 FR 48960, Sept. 23, 
1994; 63 FR 26962, May 15, 1998; 66 FR 55816, Nov. 2, 2001]



Sec. 73.2  Definitions.

    As used in this part:
    (a) Terms defined in parts 50 and 70 of this chapter have the same 
meaning when used in this part.
    Appropriate Nuclear Regulatory Commission Regional Office listed in 
appendix A means:
    (1) For domestic shipments--the Regional Office within whose region 
the licensee who is responsible for the physical protection arrangements 
of the shipment is located.
    (2) For export shipments--the Regional Office within whose region 
the licensee who is responsible for the physical protection arrangements 
of the shipment is located, and the Regional Office for the region in 
which the last point of exit of the shipment from the U.S. is located.
    (3) For import shipments--the Regional Office within whose region 
the licensee who is responsible for the physical protection arrangements 
of the shipment is located, and the Regional Office for the region in 
which the first point of entry of the shipment into the U.S. is located.
    Armed escort means an armed person, not necessarily uniformed, whose 
primary duty is to accompany shipments of special nuclear material for 
the protection of such shipments against theft or radiological sabotage.
    Armed response personnel means persons, not necessarily uniformed, 
whose primary duty in the event of attempted theft of special nuclear 
material or radiological sabotage shall be to respond, armed and 
equipped, to prevent or delay such actions.
    Authorized individual means any individual, including an employee, a 
student, a consultant, or an agent of a licensee who has been designated 
in writing by a licensee to have responsibility for surveillance of or 
control over special nuclear material or to have unescorted access to 
areas where special nuclear material is used or stored.
    Bullet/resisting means protection against complete penetration, 
passage of fragments of projectiles, and spalling (fragmentation) of the 
protective material that could cause injury to a person standing 
directly behind the bullet-resisting barrier.
    Contiguous sites means licensee controlled locations, deemed by the 
Commission to be in close enough proximity to each other, that the 
special nuclear material must be considered in the aggregate for the 
purpose of physical protection.
    Continuous visual surveillance means unobstructed view at all times 
of a shipment of special nuclear material, and of all access to a 
temporary storage area or cargo compartment containing the shipment.
    Controlled access area means any temporarily or permanently 
established area which is clearly demarcated, access to which is 
controlled and which affords isolation of the material or persons within 
it.
    Deceit means methods used to attempt to gain unauthorized access, 
introduce unauthorized materials, or remove strategic special nuclear 
materials, where the attempt involves falsification to present the 
appearance of authorized access.
    DOE 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

[[Page 396]]

formerly vested in the U.S. Atomic Energy Commission, its Chairman, 
members, officers and components and transfered 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).
    Force means violent methods used by an adversary to attempt to steal 
strategic special nuclear material or to sabotage a nuclear facility or 
violent methods used by response personnel to protect against such 
adversary actions.
    Formula quantity means strategic special nuclear material in any 
combination in a quantity of 5,000 grams or more computed by the 
formula, grams = (grams contained U-235) + 2.5 (grams U-233 + grams 
plutonium). This class of material is sometimes referred to as a 
Category I quantity of material.
    Guard means a uniformed individual armed with a firearm whose 
primary duty is the protection of special nuclear material against 
theft, the protection of a plant against radiological sabotage, or both.
    Incendiary device means any self-contained device intended to create 
an intense fire that can damage normally flame-resistant or retardant 
materials.
    Intrusion alarm means a tamper indicating electrical, 
electromechanical, electrooptical, electronic or similar device which 
will detect intrusion by an individual into a building, protected area, 
vital area, or material access area, and alert guards or watchmen by 
means of actuated visible and audible signals.
    Isolation zone means any area adjacent to a physical barrier, clear 
of all objects which could conceal or shield an individual.
    Lock in the case of vaults or vault type rooms means a three-
position, manipulation resistant, dial type, built-in combination lock 
or combination padlock and in the case of fences, walls, and buildings 
means an integral door lock or padlock which provides protection 
equivalent to a six-tumbler cylinder lock. Lock in the case of a vault 
or vault type room also means any manipulation resistant, 
electromechanical device which provides the same function as a built-in 
combination lock or combination padlock, which can be operated remotely 
or by the reading or insertion of information, which can be uniquely 
characterized, and which allows operation of the device. Locked means 
protected by an operable lock.
    Material access area means any location which contains special 
nuclear material, within a vault or a building, the roof, walls, and 
floor of which each constitute a physical barrier.
    Movement control center means an operations center which is remote 
from transport activity and which maintains periodic position 
information on the movement of strategic special nuclear material, 
receives reports of attempted attacks or thefts, provides a means for 
reporting these and other problems to appropriate agencies and can 
request and coordinate appropriate aid.
    Need to know means a determination by a person having responsibility 
for protecting Safeguards Information that a proposed recipient's access 
to Safeguards Information is necessary in the performance of official, 
contractual, or licensee duties of employment.
    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 political 
subdivision of a state, or any political subdivision of any government 
or nation, or other entity; and (2) any legal successor, representative, 
agent, or agency of the foregoing.
    Physical barrier means:
    (1) Fences constructed of No. 11 American wire gauge, or heavier 
wire fabric, topped by three strands or more of barbed wire or similar 
material on

[[Page 397]]

brackets angled inward or outward between 30 deg. and 45 deg. from the 
vertical, with an overall height of not less than eight feet, including 
the barbed topping;
    (2) Building walls, ceilings and floors constructed of stone, brick, 
cinder block, concrete, steel or comparable materials (openings in which 
are secured by grates, doors, or covers of construction and fastening of 
sufficient strength such that the integrity of the wall is not lessened 
by any opening), or walls of similar construction, not part of a 
building, provided with a barbed topping described in paragraph (1) of 
this definition of a height of not less than 8 feet; or
    (3) Any other physical obstruction constructed in a manner and of 
materials suitable for the purpose for which the obstruction is 
intended.
    Protected area means an area encompassed by physical barriers and to 
which access is controlled.
    Radiological sabotage means any deliberate act directed against a 
plant or transport in which an activity licensed pursuant to the 
regulations in this chapter is conducted, or against a component of such 
a plant or transport which could directly or indirectly endanger the 
public health and safety by exposure to radiation.
    Safeguards Information means information not otherwise classified as 
National Security Information or Restricted Data which specifically 
identifies a licensee's or applicant's detailed, (1) security measures 
for the physical protection of special nuclear material, or (2) security 
measures for the physical protection and location of certain plant 
equipment vital to the safety of production or utilization facilities.
    Security management means persons responsible for security at the 
policy and general management level.
    Security Storage Container includes any of the following 
repositories: (1) For storage in a building located within a protected 
or controlled access area, a steel filing cabinet equipped with a steel 
locking bar and a three position, changeable combination, GSA approved 
padlock; (2) A security filing cabinet that bears a Test Certification 
Label on the side of the locking drawer, or interior plate, and is 
marked, General Services Administration Approved Security Container on 
the exterior of the top drawer or door; (3) A bank safe-deposit box; and 
(4) Other repositories which in the judgement of the NRC, would provide 
comparable physical protection.
    Security supervision means persons, not necessarily uniformed or 
armed, whose primary duties are supervision and direction of security at 
the day-to-day operating level.
    Special nuclear material of low strategic significance means:
    (1) Less than an amount of special nuclear material of moderate 
strategic significance as defined in paragraph (1) of the definition of 
strategic nuclear material of moderate strategic significance in this 
section, but more than 15 grams of uranium-235 (contained in uranium 
enriched to 20 percent or more in U-235 isotope) or 15 grams of uranium-
233 or 15 grams of plutonium or the combination of 15 grams when 
computed by the equation, grams = (grams contained U-235) + (grams 
plutonium) + (grams U-233); or
    (2) Less than 10,000 grams but more than 1,000 grams of uranium-235 
(contained in uranium enriched to 10 percent or more but less than 20 
percent in the U-235 isotope); or
    (3) 10,000 grams or more of uranium-235 (contained in uranium 
enriched above natural but less than 10 percent in the U-235 isotope).

This class of material is sometimes referred to as a Category III 
quantity of material.
    Special nuclear material of moderate strategic significance means:
    (1) Less than a formula quantity of strategic special nuclear 
material but more than 1,000 grams of uranium-235 (contained in uranium 
enriched to 20 percent or more in the U-235 isotope) or more than 500 
grams of uranium-233 or plutonium, or in a combined quantity of more 
than 1,000 grams when computed by the equation, grams = (grams contained 
U-235) + 2 (grams U-233 + grams plutonium); or
    (2) 10,000 grams or more of uranium-235 (contained in uranium 
enriched to 10 percent or more but less than 20 percent in the U-235 
isotope).

[[Page 398]]


This class of material is sometimes referred to as a Category II 
quantity of material.
    Stealth means methods used to attempt to gain unauthorized access, 
introduce unauthorized materials, or remove strategic special nuclear 
material, where the fact of such attempt is concealed or an attempt is 
made to conceal it.
    Strategic special nuclear material means uranium-235 (contained in 
uranium enriched to 20 percent or more in the U-235 isotope), uranium-
233, or plutonium.
    Tactical Response Team means the primary response force for each 
shift which can be identified by a distinctive item of uniform, armed 
with specified weapons, and whose other duties permit immediate 
response.
    Transport means any land, sea, or air conveyance or modules for 
these conveyances such as rail cars or standardized cargo containers.
    Undergoing processing means performing active operations on material 
such as chemical transformation, physical transformation, or transit 
between such operations, to be differentiated from storage or packaging 
for shipment.
    Vault means a windowless enclosure with walls, floor, roof and 
door(s) designed and constructed to delay penetration from forced entry.
    Vault-type room means a room with one or more doors, all capable of 
being locked, protected by an intrusion alarm which creates an alarm 
upon the entry of a person anywhere into the room and upon exit from the 
room or upon movement of an individual within the room.
    Vital area means any area which contains vital equipment.
    Vital equipment means any equipment, system, device, or material, 
the failure, destruction, or release of which could directly or 
indirectly endanger the public health and safety by exposure to 
radiation. Equipment or systems which would be required to function to 
protect public health and safety following such failure, destruction, or 
release are also considered to be vital.
    Watchman means an individual, not necessarily uniformed or armed 
with a firearm, who provides protection for a plant and the special 
nuclear material therein in the course of performing other duties.

[38 FR 35430, Dec. 28, 1973, as amended at 39 FR 2352, Jan. 21, 1974; 40 
FR 52841, Nov. 13, 1975; 42 FR 10838, Feb. 24, 1977; 43 FR 37425, Aug. 
23, 1978; 44 FR 43282, July 24, 1979; 44 FR 68187, Nov. 28, 1979; 45 FR 
14201, Mar. 5, 1980; 46 FR 51724, Oct. 22, 1981; 53 FR 45451, Nov. 10, 
1988; 55 FR 51401, Dec. 14, 1990; 57 FR 33429, July 29, 1992]



Sec. 73.3  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretations 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 as binding upon 
the Commission.



Sec. 73.4  Communications.

    Except where otherwise specified, all communications and reports 
concerning the regulations in this part should be addressed to the 
Director of Nuclear Material Safety and Safeguards or the Director of 
Nuclear Reactor Regulation, as appropriate, U.S Nuclear Regulatory 
Commission, Washington, DC 20555, or may be delivered in person at the 
Commission's offices at 2120 L Street NW, Washington, DC, or at 11555 
Rockville Pike, Rockville, MD.

[53 FR 6139, Mar. 1, 1988, as amended at 53 FR 43422, Oct. 27, 1988]



Sec. 73.5  Specific 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.



Sec. 73.6  Exemptions for certain quantities and kinds of special nuclear material.

    A licensee is exempt from the requirements of 10 CFR part 26 and 
Secs. 73.20, 73.25, 73.26, 73.27, 73.45, 73.46, 73.70 and 73.72 with 
respect to the following special nuclear material:

[[Page 399]]

    (a) Uranium-235 contained in uranium enriched to less than 20 
percent in the U-235 isotope:
    (b) Special nuclear material which is not readily separable from 
other radioactive material and which has a total external radiation dose 
rate in excess of 100 rems per hour at a distance of 3 feet from any 
accessible surface without intervening shielding; and
    (c) Special nuclear material in a quantity not exceeding 350 grams 
of uranium-235, uranium-233, plutonium, or a combination thereof, 
possessed in any analytical, research, quality control, metallurgical or 
electronic laboratory.
    (d) Special nuclear material that is being transported by the United 
States Department of Energy transport system.
    (e) Special nuclear material at non-power reactors.

Licensees subject to Sec. 73.60 are not exempted from Secs. 73.70 and 
73.72, and licensees subject to Sec. 73.67(e) are not exempted from 
Sec. 73.72 of this part.

[40 FR 52841, Nov. 13, 1975, as amended at 44 FR 68187, Nov. 28, 1979; 
58 FR 31471, June 3, 1993]



Sec. 73.8  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information is it does not display a currently valid OMB control number. 
OMB has approved the information collection requirements contained in 
this part under control number 3150-0002.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 73.5, 73.20, 73.21, 73.24, 73.25, 73.26, 
73.27, 73.37, 73.40, 73.45, 73.46, 73.50, 73.55, 73.56, 73.57, 73.60, 
73.67, 73.70, 73.71, 73.72, 73.73, 73.74, and appendices B, C, and G to 
this part.

[62 FR 52189, Oct. 6, 1997, as amended at 67 FR 67101, Nov. 4, 2002]



Sec. 73.20  General performance objective and requirements.

    (a) In addition to any other requirements of this part, each 
licensee who is authorized to operate a fuel reprocessing plant pursuant 
to part 50 of this chapter; possesses or uses formula quantities of 
strategic special nuclear material at any site or contiguous sites 
subject to control by the licensee; is authorized to transport or 
deliver to a carrier for transportation pursuant to part 70 of this 
chapter formula quantities of strategic special nuclear material; takes 
delivery of formula quantities of strategic special nuclear material 
free on board (f.o.b.) the point at which it is delivered to a carrier 
for transportation; or imports or exports formula quantities of 
strategic special nuclear material, shall establish and maintain or make 
arrangements for a physical protection system which will have as its 
objective to provide high assurance that activities involving special 
nuclear material are not inimical to the common defense and security, 
and do not constitute an unreasonable risk to the public health and 
safety. The physical protection system shall be designed to protect 
against the design basis threats of theft or diversion of strategic 
special nuclear material and radiological sabotage as stated in 
Sec. 73.1(a).
    (b) To achieve the general performance objective of paragraph (a) of 
this section a licensee shall establish and maintain, or arrange for, a 
physical protection system that:
    (1) Provides the performance capabilities described in Sec. 73.25 
for in-transit protection or in Sec. 73.45 for fixed site protection 
unless otherwise authorized by the Commission;
    (2) Is designed with sufficient redundancy and diversity to ensure 
maintenance of the capabilities described in Secs. 73.25 and 73.45;
    (3) Includes a safeguards contingency capability that can meet the 
criteria in appendix C to this part ``Licensee Safeguards Contingency 
Plans;'' and
    (4) Includes a testing and maintenance program to assure control 
over all activities and devices affecting the effectiveness, 
reliability, and availability of the physical protection system, 
including a demonstration that

[[Page 400]]

any defects of such activities and devices will be promptly detected and 
corrected for the total period of time they are required as a part of 
the physical protection system.
    (c) Each licensee subject to the requirements of paragraphs (a) and 
(b) of this section shall establish, maintain, and follow NRC-approved 
safeguards physical protection and safeguards contingency plans that 
describe how the licensee will comply with the requirements of 
paragraphs (a) and (b) of this section.

[44 FR 68188, Nov. 28, 1979, as amended at 57 FR 33430, July 29, 1992]



Sec. 73.21  Requirements for the protection of safeguards information.

    (a) General performance requirement. Each licensee who (1) possesses 
a formula quantity of strategic special nuclear material, or (2) is 
authorized to operate a nuclear power reactor, or (3) transports, or 
delivers to a carrier for transport, a formula quantity of strategic 
special nuclear material or more than 100 grams of irradiated reactor 
fuel, and each person who produces, receives, or acquires Safeguards 
Information shall ensure that Safeguards Information is protected 
against unauthorized disclosure. To meet this general performance 
requirement, licensees and persons subject to this section shall 
establish and maintain an information protection system that includes 
the measures specified in paragraphs (b) through (i) of this section. 
Information protection procedures employed by State and local police 
forces are deemed to meet these requirements.
    (b) Information to be protected. The specific types of information, 
documents, and reports that shall be protected are as follows:
    (1) Physical protection at fixed sites. Information not otherwise 
classified as Restricted Data or National Security Information relating 
to the protection of facilities that possess formula quantities of 
strategic special nuclear material, and power reactors. Specifically:
    (i) The composite physical security plan for the nuclear facility or 
site.
    (ii) Site specific drawings, diagrams, sketches, or maps that 
substantially represent the final design features of the physical 
protection system.
    (iii) Details of alarm system layouts showing location of intrusion 
detection devices, alarm assessment equipment, alarm system wiring, 
emergency power sources, and duress alarms.
    (iv) Written physical security orders and procedures for members of 
the security organization, duress codes, and patrol schedules.
    (v) Details of the on-site and off-site communications systems that 
are used for security purposes.
    (vi) Lock combinations and mechanical key design.
    (vii) Documents and other matter that contain lists or locations of 
certain safety-related equipment explicity identified in the documents 
as vital for purposes of physical protection, as contained in physical 
security plans, safeguards contingency plans, or plant specific 
safeguards analyses for production or utilization facilities.
    (viii) The composite safeguards contingency plan for the facility or 
site.
    (ix) Those portions of the facility guard qualification and training 
plan which disclose features of the physical security system or response 
procedures.
    (x) Response plans to specific threats detailing size, disposition, 
response times, and armament of responding forces.
    (xi) Size, armament, and disposition of on-site reserve forces.
    (xii) Size, identity, armament, and arrival times of off-site forces 
committed to respond to safeguards emergencies.
    (xiii) Information required by the Commission pursuant to 10 CFR 
73.55 (c) (8) and (9).
    (2) Physical protection in transit. Information not otherwise 
classified as Restricted Data or National Security Information relative 
to the protection of shipments of formula quantities of strategic 
special nuclear material and spent fuel. Specifically:
    (i) The composite transportation physical security plan.
    (ii) Schedules and itineraries for specific shipments. (Routes and 
quantities for shipments of spent fuel are not withheld from public 
disclosure. Schedules for spent fuel shipments may be

[[Page 401]]

released 10 days after the last shipment of a current series.)
    (iii) Details of vehicle immobilization features, intrusion alarm 
devices, and communication systems.
    (iv) Arrangements with and capabilities of local police response 
forces, and locations of safe havens.
    (v) Details regarding limitations of radio-telephone communications.
    (vi) Procedures for response to safeguards emergencies.
    (3) Inspections, audits and evaluations. Information not otherwise 
classified as National Security Information or Restricted Data relating 
to safeguards inspections and reports. Specifically:
    (i) Portions of safeguards inspection reports, evaluations, audits, 
or investigations that contain details of a licensee's or applicant's 
physical security system or that disclose uncorrected defects, 
weaknesses, or vulnerabilities in the system. Information regarding 
defects, weaknesses or vulnerabilities may be released after corrections 
have been made. Reports of investigations may be released after the 
investigation has been completed, unless withheld pursuant to other 
authorities, e.g., the Freedom of Information Act (5 U.S.C. 552).
    (4) Correspondence. Portions of correspondence insofar as they 
contain Safeguards Information specifically defined in paragraphs (b)(1) 
through (b)(3) of this paragraph.
    (c) Access to Safeguards Information. (1) Except as the Commission 
may otherwise authorize, no person may have access to Safeguards 
Information unless the person has an established ``need to know'' for 
the information and is:
    (i) An employee, agent, or contractor of an applicant, a licensee, 
the Commission, or the United States Government. However, an individual 
to be authorized access to Safeguards Information by a nuclear power 
reactor applicant or licensee must undergo a Federal Bureau of 
Investigation criminal history check to the extent required by 10 CFR 
73.57;
    (ii) A member of a duly authorized commmittee of the Congress;
    (iii) The Governor of a State or designated representatives;
    (iv) A representative of the International Atomic Energy Agency 
(IAEA) engaged in activities associated with the U.S./IAEA Safeguards 
Agreement who has been certified by the NRC;
    (v) A member of a state or local law enforcement authority that is 
responsible for responding to requests for assistance during safeguards 
emergencies; or
    (vi) An individual to whom disclosure is ordered pursuant to 
Sec. 2.744(e) of this chapter.
    (2) Except as the Commission may otherwise authorize, no person may 
disclose Safeguards Information to any other person except as set forth 
in paragraph (c)(1) of this section.
    (d) Protection while in use or storage. (1) While in use, matter 
containing Safeguards Information shall be under the control of an 
authorized individual.
    (2) While unattended, Safeguards Information shall be stored in a 
locked security storage container. Knowledge of lock combinations 
protecting Safeguards Information shall be limited to a minimum number 
of personnel for operating purposes who have a ``need to know'' and are 
otherwise authorized access to Safeguards Information in accordance with 
the provisions of this section.
    (e) Preparation and marking of documents. Each document or other 
matter that contains Safeguards Information as defined in paragraph (b) 
in this section shall be marked ``Safeguards Information'' in a 
conspicuous manner to indicate the presence of protected information 
(portion marking is not required for the specific items of information 
set forth in paragraph Sec. 73.21(b) other than guard qualification and 
training plans and correspondence to and from the NRC). Documents and 
other matter containing Safeguards Information in the hands of 
contractors and agents of licensees that were produced more than one 
year prior to the effective date of this amendment need not be marked 
unless they are removed from storage containers for use.
    (f) Reproduction and destruction of matter containing Safeguards 
Information. (1) Safeguards Information may be reproduced to the minimum 
extent

[[Page 402]]

necessary consistent with need without permission of the originator.
    (2) Documents or other matter containing Safeguards Information may 
be destroyed by any method that assures complete destruction of the 
Safeguards Information they contain.
    (g) External transmission of documents and material. (1) Documents 
or other matter containing Safeguards Information, when transmitted 
outside an authorized place of use or storage, shall be packaged to 
preclude disclosure of the presence of protected information.
    (2) Safeguards Information may be transported by messenger-courier, 
United States first class, registered, express, or certified mail, or by 
any individual authorized access pursuant to Sec. 73.21(c).
    (3) Except under emergency or extraordinary conditions, Safeguards 
Information shall be transmitted only by protected telecommunications 
circuits (including facsimile) approved by the NRC. Physical security 
events required to be reported pursuant to Sec. 73.71 are considered to 
be extraordinary conditions.
    (h) Use of automatic data processing (ADP) systems. Safeguards 
Information may be processed or produced on an ADP system provided that 
the system is self-contained within the licensee's or his contractor's 
facility and requires the use of an entry code for access to stored 
information. Other systems may be used if approved for security by the 
NRC.
    (i) Removal from Safeguards Information category. Documents 
originally containing Safeguards Information shall be removed from the 
Safeguards Information category whenever the information no longer meets 
the criteria contained in this section.

[46 FR 51724, Oct. 22, 1981, as amended at 54 FR 17704, Apr. 25, 1989; 
59 FR 38899, Aug. 1, 1994]



Sec. 73.24  Prohibitions.

    (a) Except as specifically approved by the Nuclear Regulatory 
Commission, no shipment of special nuclear material shall be made in 
passenger aircraft in excess of (1) 20 grams or 20 curies, whichever is 
less, of plutonium or uranium-233, or (2) 350 grams of uranium-235 
(contained in uranium enriched to 20 percent or more in the U-235 
isotope).
    (b) Unless otherwise approved by the Nuclear Regulatory Commission, 
no licensee may make shipments of special nuclear material in which 
individual shipments are less than a formula quantity, but the total 
quantity in shipments in transit at the same time could equal or exceed 
a formula quantity, unless either of the following conditions are met:
    (1) The licensee shall confirm and log the arrival at the final 
destination of each individual shipment and retain the log for three 
years from the date of the last entry in the log. The licensee shall 
also schedule shipments to ensure that the total quantity for two or 
more shipments in transit at the same time does not equal or exceed the 
formula quantity, or
    (2) Physical protection in accordance with the requirements of 
Secs. 73.20, 73.25, and 73.26 is provided by the licensee for such 
shipments as appropriate so that the total quantity of special nuclear 
material in the remaining shipments not so protected, and in transit at 
the same time, does not equal or exceed a formula quantity.

[44 FR 68188, Nov. 28, 1979, as amended at 53 FR 19257, May 27, 1988]

       Physical Protection of Special Nuclear Material in Transit



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

    (a) To meet the general performance objective and requirements of 
Sec. 73.20 an in-transit physical protection system shall include the 
performance capabilities described in paragraphs (b) through (d) of this 
section unless otherwise authorized by the Commission.
    (b) Restrict access to and activity in the vicinity of transports 
and strategic special nuclear material. To achieve this capability the 
physical protection system shall:
    (1) Minimize the vulnerability of the strategic special nuclear 
material by using the following subfunctions and procedures:
    (i) Preplanning itineraries for the movement of strategic special 
nuclear material;

[[Page 403]]

    (ii) Periodically updating knowledge of route conditions for the 
movement of strategic special nuclear material;
    (iii) Maintaining knowledge of the status and position of the 
strategic special nuclear material en route; and
    (iv) Determining and communicating alternative itineraries en route 
as conditions warrant.
    (2) Detect and delay any unauthorized attempt to gain access or 
introduce unauthorized materials by stealth or force into the vicinity 
of transports and strategic special nuclear material using the following 
subsystems and subfunctions:
    (i) Controlled access areas to isolate strategic special nuclear 
material and transports to assure that unauthorized persons shall not 
have direct access to, and unauthorized materials shall not be 
introduced into the vicinity of, the transports and strategic special 
nuclear material, and
    (ii) Access detection subsystems and procedures to detect, assess 
and communicate any unauthorized penetration (or such attempts) of a 
controlled access area by persons, vehicles or materials so that the 
response will satisfy the general performance objective and requirements 
of Sec. 73.20(a).
    (3) Detect attempts to gain unauthorized access or introduce 
unauthorized materials into the vicinity of transports by deceit using 
the following subsystems and subfunctions:
    (i) Access authorization controls and procedures to provide current 
authorization schedules and access criteria for persons, materials and 
vehicles; and
    (ii) Access controls and procedures to verify the identity of 
persons, materials and vehicles, to assess such identity against current 
authorization schedules and access criteria before permitting access, 
and to initiate response measures to deny unauthorized entries.
    (c) Prevent or delay unauthorized entry or introduction of 
unauthorized materials into, and unauthorized removal of, strategic 
special nuclear material from transports. To achieve this capability the 
physical protection system shall:
    (1) Detect attempts to gain unauthorized entry or introduce 
unauthorized materials into transports by deceit using the following 
subsystems and subfunctions:
    (i) Access authorization controls and procedures to provide current 
authorization schedules and entry criteria for access into transports 
for both persons and materials; and
    (ii) Entry controls and procedures to verify the identity of persons 
and materials and to permit transport entry only to those persons and 
materials specified by the current authorization schedules and entry 
criteria.
    (2) Detect attempts to gain unauthorized entry or introduce 
unauthorized material into transports by stealth or force using the 
following subsystems and subfunctions:
    (i) Transport features to delay access to strategic special nuclear 
material sufficient to permit the detection and response systems to 
function so as to satisfy the general performance objective and 
requirements of Sec. 73.20(a);
    (ii) Inspection and detection subsystems and procedures to detect 
unauthorized tampering with transports and cargo containers; and
    (iii) Surveillance subsystems and procedures to detect, assess and 
communicate any unauthorized presence of persons or materials and any 
unauthorized attempt to penetrate the transport so that the response 
will satisfy the general performance objective and requirements of 
Sec. 73.20(a).
    (3) Prevent unauthorized removal of strategic special nuclear 
material from transports by deceit using the following subsystems and 
subfunctions:
    (i) Authorization controls and procedures to provide current 
schedules for authorized removal of strategic special nuclear material 
which specify the persons authorized to remove and receive the material, 
the authorized times for such removal and receipt and authorized places 
for such removal and receipt.
    (ii) Removal controls and procedures to establish activities for 
transferring cargo in emergency situations; and
    (iii) Removal controls and procedures to permit removal of strategic 
special nuclear material only after verification of the identity of 
persons removing or receiving the strategic special nuclear material, 
and after

[[Page 404]]

verification of the identity and integrity of the strategic special 
nuclear material being removed from transports.
    (4) Detect attempts to remove strategic special nuclear material 
from transports by stealth or force using the following subsystems and 
subfunctions:
    (i) Transport features to delay unauthorized strategic special 
nuclear material removal attempts sufficient to assist detection and 
permit a response to satisfy the general performance objective and 
requirements of Sec. 73.20(a); and
    (ii) Detection subsystems and procedures to detect, assess and 
communicate any attempts at unauthorized removal of strategic special 
nuclear material so that response to the attempt can be such as to 
satisfy the general performance objective and requirements of 
Sec. 73.20(a).
    (d) Respond to safeguards contingencies and emergencies to assure 
that the two capabilities in paragraphs (b) and (c) of this section are 
achieved, and to engage and impede adversary forces until local law 
enforcement forces arrive. To achieve this capability, the physical 
protection system shall:
    (1) Respond rapidly and effectively to safeguards contingencies and 
emergencies using the following subsystems and subfunctions:
    (i) A security organization composed of trained and qualifed 
personnel, including armed escorts, one of whom is designated as escort 
commander, with procedures for command and control, to execute response 
functions.
    (ii) Assessment procedures to assess the nature and extent of 
security related incidents.
    (iii) A predetermined plan to respond to safeguards contingency 
events.
    (iv) Equipment and procedures to enable responses to security 
related incidents sufficiently rapid and effective to achieve the 
predetermined objective of each action.
    (v) Equipment, vehicle design features, and procedures to protect 
security organization personnel, including those at the movement control 
center, in their performance of assessment and response related 
functions.
    (2) Transmit detection, assessment and other response related 
information using the following subsystems and subfunctions:
    (i) Communications equipment and procedures to rapidly and 
accurately transmit security information among armed escorts.
    (ii) Equipment and procedures for two-way communications between the 
escort commander and the movement control center to rapidly and 
accurately transmit assessment information and requests for assistance 
by local law enforcement forces, and to coordinate such assistance.
    (iii) Communications equipment and procedures for the armed escorts 
and the movement control center personnel to notify local law 
enforcement forces of the need for assistance.
    (3) Establish liaisons with local law enforcement authorities to 
arrange for assistance en route.
    (4) Assure that a single adversary action cannot destroy the 
capability of armed escorts to notify the local law enforcement forces 
of the need for assistance.

[44 FR 68188, Nov. 28, 1979]



Sec. 73.26  Transportation physical protection systems, subsystems, components, and procedures.

    (a) A transportation physical protection system established pursuant 
to the general performance objectives and requirements of Sec. 73.20 and 
performance capability requirements of Sec. 73.25 shall include, but are 
not necessarily limited to, the measures specified in paragraphs (b) 
through (l) of this section. The Commission may require, depending on 
the individual transportation conditions or circumstances, alternate or 
additional measures deemed necessary to meet the general performance 
objectives and requirements of Sec. 73.20. The Commission also may 
authorize protection measures other than those required by this section 
if, in its opinion, the overall level of performance meets the general 
performance objectives and requirements of Sec. 73.20 and the 
performance capability requirements of Sec. 73.25.
    (b) Planning and scheduling. (1) Shipments shall be scheduled to 
avoid regular patterns and preplanned to avoid areas of natural disaster 
or civil disorders, such as strikes or riots. Such

[[Page 405]]

shipments shall be planned in order to avoid storage times in excess of 
24 hours and to assure that deliveries occur at a time when the receiver 
at the final delivery point is present to accept the shipment.
    (2) Arrangements shall be made with law enforcement authorities 
along the route of shipments for their response to an emergency or a 
call for assistance.
    (3) Security arrangements for each shipment shall be approved by the 
Nuclear Regulatory Commission prior to the time for the seven-day notice 
required by Sec. 73.72. Information to be supplied to the Commission in 
addition to the general security plan information is as follows:
    (i) Shipper, consignee, carriers, transfer points, modes of 
shipment,
    (ii) Point where escorts will relinquish responsibility or will 
accept responsibility for the shipment,
    (iii) Arrangements made for transfer of shipment security, and
    (iv) Security arrangements at point where escorts accept 
responsibility for an import shipment.
    (4) Hand-to-hand receipts shall be completed at origin and 
destination and at all points enroute where there is a transfer of 
custody.
    (c) Export/import shipments. (1) A licensee who imports a formula 
quantity of strategic special nuclear material shall make arrangements 
to assure that the material will be protected in transit as follows:
    (i) An individual designated by the licensee or his agent, or as 
specified by a contract of carriage, shall confirm the container count 
and examine locks and/or seals for evidence of tampering, at the first 
place in the United States at which the shipment is discharged from the 
arriving carrier.
    (ii) The shipment must be protected at all times within the 
geographical limits of the United States as provided in this section and 
Secs. 73.25 and 73.27. The licensee shall retain each record required by 
these sections for three years after the close of period for which the 
licensee possesses the special nuclear material under each license 
authorizing the licensee to ship this material, and superseded material 
for three years after each change.
    (2) A licensee who exports a formula quantity of strategic special 
nuclear material shall comply with the requirements of this section and 
Secs. 73.25 and 73.27, as applicable, up to the first point where the 
shipment is taken off the transport outside the United States. The 
licensee shall retain each record required by these sections for three 
years after the close of period for which the licensee possesses the 
special nuclear material under each license authorizing the licensee to 
export this material, and superseded material for three years after each 
change.
    (d) Security organization. (1) The licensee or his agent shall 
establish a transportation security organization, including armed 
escorts, armed response personnel or guards, and a movement control 
center manned and equipped to monitor and control shipments, to 
communicate with local law enforcement authorities, and to respond to 
safeguards contingencies.
    (2) At least one full time member of the security organization who 
has the authority to direct the physical protection activities of the 
security organization shall be on duty at the movement control center 
during the course of any shipment.
    (3) The licensee or the licensee's agent shall establish, maintain, 
and follow a written management system to provide for the development, 
revision, implementation, and enforcement of transportation physical 
protection procedures. The licensee or the agent shall retain as a 
record the current management system for three years after the close of 
period for which the licensee possesses the special nuclear material 
under the license for which the system was developed and, if any portion 
of the system is superseded, retain the superseded material for three 
years after each change. The system shall include:
    (i) Written security procedures which document the structure of the 
transportation security organization and which detail the duties of 
drivers and escorts and other individuals responsible for security; and
    (ii) Provision for written approval of such procedures and any 
revisions thereto by the individual with overall

[[Page 406]]

responsibility for the security function.
    (4) Neither the licensee nor the licensee's agent shall permit an 
individual to act as an escort or other security organization member 
unless the individual has been trained, equipped, and qualified to 
perform each assigned security job duty in accordance with appendix B, 
of this part, ``General Criteria for Security Personnel.'' Upon the 
request of an authorized representative of the Commission, the licensee 
or the agent shall demonstrate the ability of the physical security 
personnel to carry out their assigned duties and responsibilities. Armed 
escorts shall requalify in accordance with appendix B to this part at 
least every 12 months. Each requalification must be documented. The 
licensee or the agent shall retain documentation of the initial 
qualification for the term of employment and of each requalification as 
a record for three years from the date of the requalification.
    (5) Armed escort and armed response force personnel armament shall 
include handguns, shotguns, and semiautomatic rifles, as described in 
appendix B to this part.
    (e) Contingency and Response Plans and Procedures. (1) The licensee 
or the licensee's agent shall establish, maintain, and follow a written 
safeguards contingency plan for dealing with threats, thefts, and 
radiological sabotage related to strategic special nuclear material in 
transit subject to the provisions of this section. This safeguards 
contingency plan must be in accordance with the criteria in appendix C 
of this part, ``Licensee Safeguards Contingency Plan.'' The licensee or 
the agent shall retain the contingency plan as a record for three years 
after the close of period for which the licensee possesses the special 
nuclear material under each license for which the plan is used and 
superseded material for three years after each change.
    (2) Upon detection of abnormal presence or activity of persons or 
vehicles attempting to penetrate a moving convoy or persons attempting 
to gain access to a parked cargo vehicle or upon evidence or indication 
of penetration of the cargo vehicle the armed escorts or other armed 
response personnel shall:
    (i) Determine whether or not a threat exists;
    (ii) Assess the extent of the threat, if any;
    (iii) Take immediate concurrent measures to neutralize the threat 
by:
    (A) Making the necessary tactical moves to prevent or impede acts of 
radiological sabotage or theft of strategic special nuclear material, 
and
    (B) Informing local law enforcement agencies of the threat and 
requesting assistance.
    (3) The licensee or his agent shall instruct every armed escort and 
all armed response personnel to prevent or impede acts of radiological 
sabotage or theft of strategic special material by using sufficient 
force to counter the force directed at him including the use of deadly 
force when armed escorts or armed response personnel have a reasonable 
belief that it is necessary in self-defense or in the defense of others.
    (f) Transfer and storage of strategic special nuclear material for 
domestic shipments. (1) Strategic special nuclear material shall be 
placed in a protected area at transfer points if transfer is not 
immediate from one transport to another. Where a protected area is not 
available a controlled access area shall be established for the 
shipment. The transport may serve as a controlled access area.
    (2) All transfers shall be protected by at least seven armed escorts 
or other armed personnel--one of whom shall serve as commander. At least 
five of the armed personnel (including the commander) shall be available 
to protect the shipment and at least three of the five shall keep the 
strategic special nuclear material under continuous surveillance while 
it is at the transfer point. The two remaining armed personnel shall 
take up positions at a remote monitoring location. The remote location 
may be a radio-equipped vehicle or a nearby place, apart from the 
shipment area, so that a single act cannot remove the capability of the 
personnel protecting the shipment for calling for assistance. Each of 
the seven armed escorts or other armed personnel shall be capable of 
maintaining communication with each other.

[[Page 407]]

The commander shall have the capability to communicate with the 
personnel at the remote location and with local law enforcement agencies 
for emergency assistance. In addition, the armed escort personnel at the 
remote location shall have the capability to communicate with the law 
enforcement agencies and with the shipment movement control center. The 
commander shall call the remote location at least every 30 minutes to 
report the status of the shipment. If the calls are not received within 
the prescribed time, the personnel in the remote location shall request 
assistance from the law enforcement authorities, notify the shipment 
movement control center and initiate the appropriate contingency plans. 
Armed escorts or other armed personnel shall observe the opening of the 
cargo compartment of the incoming transport and ensure that the shipment 
is complete by checking locks and seals. A shipment loaded onto or 
transferred to another transport shall be checked to assure complete 
loading or transfer. Continuous visual surveillance of the cargo 
compartment shall be maintained up to the time the transport departs 
from the terminal. The escorts shall observe the transport until it has 
departed and shall notify the licensee or his agent of the latest status 
immediately thereafter.
    (g) Access control subsystems and procedures. (1) A numbered picture 
badge identification procedure shall be used to identify all individuals 
who will have custody of a shipment. The identification procedure shall 
require that the individual who has possession of the strategic special 
nuclear material shall have, in advance, identification picture badges 
of all individuals who are to assume custody for the shipment. The 
shipment shall be released only when the individual who has possession 
of strategic special nuclear material has assured positive 
identification of all of the persons assuming custody for the shipment 
by comparing the copies of the identification badges that have been 
received in advance to the identification badges carried by the 
individuals who will assume custody of the shipment.
    (2) Access to protected areas, controlled access areas, transports, 
escort vehicles, aircraft, rail cars, and containers where strategic 
special nuclear material is located shall be limited to individuals who 
have been properly identified and have been authorized access to these 
areas.
    (3) Strategic special nuclear material shall be shipped in 
containers that are protected by tamper-indicating seals. The containers 
also shall be locked if they are not in another locked container or 
transport. The outermost container or transport also shall be protected 
by tamper-indicating seals.
    (h) Test and maintenance programs. The licensee or his agent shall 
establish, maintain and follow a test and maintenance program for 
communications equipment and other physical protection related devices 
and equipment used pursuant to this section which shall include the 
following:
    (1) Tests and inspections shall be conducted during the 
installation, and construction of physical protection related subsystems 
and components to assure that they comply with their respective design 
criteria and performance specifications.
    (2) Preoperational tests and inspections shall be conducted for 
physical protection related subsystems and components to demonstrate 
their effectiveness, availability, and reliability with respect to their 
respective design criteria and performance specifications.
    (3) Operational tests and inspections shall be conducted for 
physical protection related subsystems and components to assure their 
maintenance in an operable and effective condition.
    (4) Preventive maintenance programs shall be established for 
physical protection related subsystems and components to assure their 
continued maintenance in an operable and effective condition.
    (5) All physical protection related subsystems and components shall 
be maintained in operable condition. Corrective action procedures and 
compensatory measures shall be developed and employed to assure that the 
effectiveness of the physical protection system is not reduced by any 
single failure or other contingencies affecting the operation of the 
physical protection related equipment or structures.

[[Page 408]]

    (6) The transportation security program must be reviewed at least 
every 12 months by individuals independent of both security program 
management and personnel who have direct responsibility for 
implementation of the security program. The review must include an audit 
of transportation security procedures and practices, an evaluation of 
the effectiveness of the transportation physical protection system, an 
audit of the transportation physical protection system testing and 
maintenance program, and an audit of commitments established for 
response by local law enforcement authorities. The results and 
recommendations of the review, management's findings on whether the 
transportation security program is currently effective, and any actions 
taken as a result of recommendations from prior reviews, must be 
documented in a report to the responsible organization management and to 
corporate management at least one level higher than that having 
responsibility for the day-to-day plant operation. These reports must be 
maintained in an auditable form, available for inspection for a period 
of 3 years.
    (i) Shipment by road. (1) A detailed route plan shall be prepared 
which shows the routes to be taken, the refueling and rest stops, and 
the call-in times to the movement control center. All shipments shall be 
made on primary highways with minimum use of secondary roads. All 
shipments shall be made without intermediate stops except for refueling, 
rest or emergency stops.
    (2) Cargo compartments of the trucks or trailers shall be locked and 
protected by tamper-indicating seals.
    (3) The shipment shall be protected by one of the following methods:
    (i) A specially designed cargo vehicle truck or trailer that reduces 
the vulnerability to theft. Design features of the truck or trailer 
shall permit immobilization of the truck or of the cargo-carrying 
portion of the vehicle and shall provide a deterrent to physical 
penetration of the cargo compartment. Two separate escort vehicles shall 
accompany the cargo vehicle. There shall be a total of seven armed 
escorts with at least two in the cargo vehicle. Escorts may also operate 
the cargo and escort vehicles.
    (ii) An armored car cargo vehicle. Three separate escort vehicles 
shall accompany such a cargo vehicle. There shall be a total of seven 
armed escorts, with at least two in the cargo vehicle. Escorts may also 
operate the cargo and escort vehicles.
    (4) All escort vehicles shall be bullet-resisting.
    (5) Procedures shall be established to assure that no unauthorized 
persons or materials are on the cargo vehicle before strategic special 
nuclear material is loaded, or on the escort vehicles, immediately 
before the trip begins.
    (6) Cargo and escort vehicles shall maintain continuous intraconvoy 
two-way communication. In addition at least two of the vehicles shall be 
equipped with radio telephones having the capability of communicating 
with the movement control center. A redundant means of communication 
shall also be available. Calls to the movement control center shall be 
made at least every half hour to convey the status and position of the 
shipment. In the event no call is received in accordance with these 
requirements, the licensee or his agent shall immediately notify the law 
enforcement authorities and the Director, Spent Fuel Project Office and 
initiate the appropriate contingency plan.
    (7) At refueling, rest, or emergency stops at least seven armed 
escorts or other armed personnel shall be available to protect the 
shipment and at least three armed escorts or other armed personnel shall 
maintain continuous visual surveillance of the cargo compartment.
    (8) Transfers to and from other modes of transportation shall be in 
accordance with paragraph (f) of this section.
    (j) Shipment by air. (1) All shipments on commercial cargo aircraft 
shall be accompanied by two armed escorts who shall be able to converse 
in a common language with the captain of the aircraft.
    (2) Transfers of these shipments shall be minimized and shall be 
conducted in accordance with paragraph (f) of this

[[Page 409]]

section. Such shipments shall be scheduled so that the strategic special 
nuclear material is loaded last and unloaded first.
    (3) At scheduled stops, at least seven armed escorts or other armed 
personnel shall be available to protect the shipment and at least three 
armed escorts or other armed personnel shall maintain continuous visual 
surveillance of the cargo compartment.
    (4) Export shipments shall be accompanied by two armed escorts from 
the last terminal in the United States until the shipment is unloaded at 
a foreign terminal and primary responsibility for physical protection is 
assumed by agents of the consignee. While on foreign soil, the escorts 
may surrender their weapons to legally constituted local authorities. 
After leaving the last terminal in the United States the shipment shall 
be scheduled with no intermediate stops.
    (5) Import shipments shall be accompanied by two armed escorts at 
all times within the geographical limits of the United States. These 
escorts shall provide physical protection for the shipment until 
relieved by verified agents of the U.S. consignee.
    (6) Procedures shall be established to assure that no unauthorized 
persons or material are on the aircraft before strategic special nuclear 
material is loaded on board.
    (7) Arrangements shall be made at all domestic airports to assure 
that the seven required armed escorts or other armed personnel are 
available and that the required security measures will be taken upon 
landing.
    (8) Arrangements shall be made at the foreign terminal at which the 
shipment is to be unloaded to assure that security measures will be 
taken on arrival.
    (k) Shipment by rail. (1) A shipment by rail shall be escorted by 
seven armed escorts in the shipment car or an escort car next to the 
shipment car of the train. At least three escorts shall keep the 
shipment car under continuous visual surveillance. Escorts shall detrain 
at stops when practicable and time permits to maintain the shipment cars 
under continuous visual surveillance and to check car or container locks 
and seals.
    (2) Procedures shall be established to assure that no unauthorized 
persons or materials are on the shipment or escort car before strategic 
special nuclear material is loaded on board.
    (3) Only containers weighing 5,000 lbs or more shall be shipped on 
open rail cars.
    (4) A voice communication capability between the escorts and the 
movement control center shall be maintained. A redundant means of 
continuous communication also shall be available. Calls to the movement 
control center shall be made at least every half hour to convey the 
status and position of the shipment. In the event no call is received in 
accordance with these requirements, the licensee or his agent shall 
immediately notify the law enforcement authorities and the appropriate 
Nuclear Regulatory Commission Regional Office listed in appendix A of 
this part and initiate their contingency plan.
    (5) Transfer to and from other modes of transportation shall be in 
accordance with paragraph (f) of this section.
    (l) Shipment by sea. (1) Shipments shall be made only on container-
ships. The strategic special nuclear material container(s) shall be 
loaded into exclusive use cargo containers conforming to American 
National Standards Institute (ANSI) Standard MH5.1--``Basic Requirements 
for Cargo Containers'' (1971) or International Standards Organization 
(ISO) 1496, ``General Cargo Containers'' (1978). Locks and seals shall 
be inspected by the escorts whenever access is possible. The ANSI 
Standard MH5.1 (1971) and the (ISO) 1496 (1978), have been approved for 
incorporation by reference by the Director of the Federal Register. A 
copy of each of these standards is available for inspection at the NRC 
Library, 11545 Rockville Pike, Rockville, Maryland 20852-2738.
    (2) All shipments shall be accompanied by two armed escorts who 
shall be able to converse in a common language with the captain of the 
ship.
    (3) Minimum domestic ports of call shall be scheduled and there 
shall be no scheduled transfer to other vessels after the shipment 
leaves the last port in the United States. Transfer to and from other 
modes of transportation

[[Page 410]]

shall be in accordance with paragraph (f) of this section.
    (4) At all ports of call the escorts shall ensure that the shipment 
is not removed. At least two armed escorts or other armed personnel 
shall maintain continuous visual surveillance of the cargo area where 
the container is stored up to the time the ship departs.
    (5) Export shipments shall be accompanied by two armed escorts from 
the last port in the United States until the shipment is unloaded at a 
foreign terminal and prime responsibility for physical protection is 
assumed by agents of the consignee. While on foreign soil, the escorts 
may surrender their weapons to legally constituted local authorities.
    (6) Import shipments shall be accompanied by two armed escorts at 
all times within the geographical limits of the United States. These 
escorts shall provide physical protection for the shipment until 
relieved by verified agents of the U.S. consignee.
    (7) Ship-to-shore communications shall be available, and a ship-to-
shore contact shall be made every six hours to relay position 
information, and the status of the shipment.
    (8) Arrangements shall be made at the foreign terminals at which the 
shipment is to be unloaded to assure that security measures will be 
taken upon arrival.

[44 FR 68190, Nov. 28, 1979, as amended at 46 FR 2025, Jan. 8, 1981; 53 
FR 19257, May 27, 1988; 57 FR 33430, July 29, 1992; 57 FR 61787, Dec. 
29, 1992; 59 FR 50689, Oct. 5, 1994; 67 FR 3586, Jan. 25, 2002]



Sec. 73.27  Notification requirements.

    (a)(1) A licensee who delivers formula quantities of strategic 
special nuclear material to a carrier for transport shall immediately 
notify the consignee by telephone, telegraph, or teletype, of the time 
of departure of the shipment, and shall notify or confirm with the 
consignee the method of transportation, including the names of carriers, 
and the estimated time of arrival of the shipment at its destination.
    (2) In the case of a shipment (f.o.b.) the point where it is 
delivered to a carrier for transport, a licensee shall, before the 
shipment is delivered to the carrier, obtain written certification from 
the licensee who is to take delivery of the shipment at the f.o.b. point 
that the physical protection arrangements required by Secs. 73.25 and 
73.26 for licensed shipments have been made. When a contractor exempt 
from the requirements for a Commission license is the consignee of a 
shipment, the licensee shall, before the shipment is delivered to the 
carrier, obtain written certification from the contractor who is to take 
delivery of the shipment at the f.o.b. point that the physical 
protection arrangements required by the United States Department of 
Energy Order Nos. 5632.1 or 5632.2, as appropriate, have been made.
    (3) A licensee who delivers formula quantities of strategic special 
nuclear material to a carrier for transport or releases such special 
nuclear material f.o.b. at the point where it is delivered to a carrier 
for transport shall also make arrangements with the consignee to be 
notified immediately by telephone and telegraph, teletype, or cable, of 
the arrival of the shipment at its destination or of any such shipment 
that is lost or unaccounted for after the estimated time of arrival at 
its destination.
    (b) Each licensee who receives a shipment of formula quantities of 
strategic special nuclear material shall immediately notify by telephone 
and telegraph or teletype, the person who delivered the material to a 
carrier for transport and the Director, Spent Fuel Project Office of the 
arrival of the shipment at its destination. When a United States 
Department of Energy license-exempt contractor is the consignee, the 
licensee who is the consignor shall notify by telephone and telegraph, 
or teletype, the Director, Spent Fuel Project Office of the arrival of 
the shipment at its destination immediately upon being notified of the 
receipt of the shipment by the license-exempt contractor as arranged 
pursuant to paragraph (a)(3) of this section. In the event such a 
shipment fails to arrive at its destination at the estimated time, or in 
the case of an export shipment, the licensee who exported the shipment, 
shall immediately notify by telephone and telegraph or teletype, the 
Director, Spent Fuel Project Office, and the licensee or other person

[[Page 411]]

who delivered the material to a carrier for transport. The licensee who 
made the physical protection arrangements shall also immediately notify 
by telephone and telegraph, or teletype, the Director, Spent Fuel 
Project Office of the action being taken to trace the shipment.
    (c) Each licensee who makes arrangements for physical protection of 
a shipment of formula quantities of strategic special nuclear material 
as required by Secs. 73.25 and 73.26 shall immediately conduct a trace 
investigation of any shipment that is lost or unaccounted for after the 
estimated arrival time and file a report with the Commission as 
specified in Sec. 73.71.

[44 FR 68192, Nov. 28, 1979, as amended at 67 FR 3586, Jan. 25, 2002]



Sec. 73.37  Requirements for physical protection of irradiated reactor fuel in transit.

    (a) Performance objectives. (1) Each licensee who transports, or 
delivers to a carrier for transport, in a single shipment, a quantity of 
irradiated reactor fuel in excess of 100 grams in net weight of 
irradiated fuel, exclusive of cladding or other structural or packaging 
material, which has a total external radiation dose rate in excess of 
100 rems per hour at a distance of 3 feet from any accessible surface 
without intervening shielding, shall establish and maintain, or make 
arrangements for, and assure the proper implementation of, a physical 
protection system for shipments of such material that will achieve the 
following objectives:
    (i) Minimize the possibilities for radiological sabotage of spent 
fuel shipments, especially within heavily populated areas; and
    (ii) Facilitate the location and recovery of spent fuel shipments 
that may have come under the control of unauthorized persons.
    (2) To achieve these objectives, the physical protection shall:
    (i) Provide for early detection and assessment of attempts to gain 
unauthorized access to, or control over, spent fuel shipments;
    (ii) Provide for notification to the appropriate response forces of 
any spent fuel shipment sabotage attempts; and
    (iii) Impede attempts at radiological sabotage or spent fuel 
shipments within heavily populated areas, or attempts to illicitly move 
such shipments into heavily populated areas, until response forces 
arrive.
    (b) General requirements. To achieve the performance objectives of 
paragraph (a) of this section, a physical protection system established 
and maintained, or arranged for, by the licensee shall:
    (1) Provide for notification of the Nuclear Regulatory Commission in 
advance of each shipment, in accordance with Sec. 73.72 of this part.
    (2) Include and retain a copy of current procedures for coping with 
circumstances that threaten deliberate damage to a spent fuel shipment 
and with other safeguards emergencies as a record for three years after 
the close of period for which the licensee possesses the special nuclear 
material under each license for which the procedures were developed and, 
if any portion of the procedures is superseded, retain the superseded 
material for three years after each change.
    (3) Include instructions for each escort and retain a copy of the 
current instructions as a record for three years after the close of 
period for which the licensee possesses the special nuclear material 
under each license that authorizes the activity that requires the 
instruction and retain any superseded material for three years after 
each change. The instructions must direct that, upon detection of the 
abnormal presence of unauthorized persons, vehicles, or vessels in the 
vicinity of a spent fuel shipment or upon detection of a deliberately 
induced situation that has the potential for damaging a spent fuel 
shipment, the escort will:
    (i) Determine whether or not a threat exists;
    (ii) Assess the extent of the threat, if any;
    (iii) Inform local law enforcement agencies of the threat and 
request assistance; and
    (iv) Implement the procedures developed in accordance with paragraph 
(b)(2) of this section.
    (4) Include a communications center at a designated location, which 
will be

[[Page 412]]

staffed continuously by at least one individual who will monitor the 
progress of the spent fuel shipment and will notify the appropriate 
agencies in the event a safeguards emergency should arise.
    (5) Provide for maintenance of a written log by the escorts and 
communications center personnel for each spent fuel shipment, which will 
include information describing the shipment and significant events that 
occur during the shipment, and will be available for review by 
authorized NRC personnel for a period of at least three years following 
completion of the shipment.
    (6) Provide that arrangements have been made with local law 
enforcement agencies along the routes of road and rail shipments, and at 
U.S. ports where vessels carrying spent fuel shipments are docked, for 
their response to an emergency or a call for assistance.
    (7) Provide for advance approval by the NRC of the routes used for 
road and rail shipments of spent fuel, and of any U.S. ports where 
vessels carrying spent fuel shipments are scheduled to stop.
    (8) Provide that shipments are planned so that scheduled 
intermediate stops are avoided to the extent practicable.
    (9) Provide that at least one escort maintains visual surveillance 
of the shipment during periods when the shipment vehicle is stopped, or 
the shipment vessel is docked.
    (10) Provide that escorts (other than members of local law 
enforcement agencies, or ship's officers serving as unarmed escorts) 
have successfully completed the training required by appendix D of this 
part.
    (11) Provide that shipment escorts make calls to the communications 
center at least every 2 hours to advise of the status of the shipment 
for road and rail shipments, and for sea shipments while shipment 
vessels are docked at U.S. ports.
    (c) Shipments by road. In addition to the provisions of paragraph 
(b), the physical protection system for any portion of a spent fuel 
shipment that is by road shall provide that:
    (1) A transport vehicle within a heavily populated area is:
    (i) Occupied by at least two individuals, one of whom serves as 
escort, and escorted by an armed member of the local law enforcement 
agency in a mobile unit of such agency; or
    (ii) Led by a separate vehicle occupied by at least one armed 
escort, and trailed by a third vehicle occupied by at least one armed 
escort.
    (2) A transport vehicle not within any heavily populated area is:
    (i) Occupied by at least one driver and one other individual who 
serves as escort; or
    (ii) Occupied by a driver and escorted by a separate vehicle 
occupied by at least two escorts; or
    (iii) Escorted as set forth in paragraph (c)(1) of this section.
    (3) Escorts have the capability of communicating with the 
communications center, local law enforcement agencies, and one another, 
through the use of:
    (i) A citizens band (CB) radio available in the transport vehicle 
and in each escort vehicle;
    (ii) A radiotelephone or other NRC-approved equivalent means of two-
way voice communications available in the transport vehicle or in an 
escort vehicle committed to travel the entire route; and
    (iii) Citizens band (CB) radio and normal local law enforcement 
agency radio communications in any local law enforcement agency mobile 
units used for escort purposes.
    (4) The transport is equipped with NRC-approved features that permit 
immobilization of the cab or cargo-carrying portion of the vehicle.
    (5) The transport vehicle driver has been familiarized with, and is 
capable of implementing, transport vehicle immobilization, 
communications, and other security procedures.
    (d) Shipments by rail. In addition to the provisions of paragraph 
(b), the physical protection system for any portion of a spent fuel 
shipment that is by rail shall provide that:
    (1) A shipment car within a heavily populated area is accompanied by 
two armed escorts (who may be members of a local law enforcement 
agency), at least one of whom is stationed at a location on the train 
that will permit observation of the shipment car while in motion.

[[Page 413]]

    (2) A shipment car not within any heavily populated area is 
accompanied by at least one escort stationed at a location on the train 
that will permit observation of the shipment car while in motion.
    (3) Escorts have the capability of communicating with the 
communications center and local law enforcement agencies through the use 
of a radiotelephone, or other NRC-approved equivalent means of two-way 
voice communications, which shall be available on the train.
    (e) Shipments by sea. In addition to the provisions of paragraph 
(b), the physical protection system for any portion of a spent fuel 
shipment that is by sea shall provide that:
    (1) A shipment vessel, while docked at a U.S. port within a heavily 
populated area, is protected by:
    (i) Two armed escorts stationed on board the shipment vessel, or 
stationed on the dock at a location that will permit observation of the 
shipment vessel; or
    (ii) A member of a local law enforcement agency, equipped with 
normal LLEA radio communications, who is stationed on board the shipment 
vessel, or on the dock at a location that will permit observation of the 
shipment vessel.
    (2) A shipment vessel, while within U.S. territorial waters, or 
while docked at a U.S. port not within a heavily populated area, is 
accompanied by an escort, who may be an officer of the shipment vessel's 
crew, who will assure that the shipment is unloaded only as authorized 
by the licensee.
    (3) Escorts have the capability of communicating with the 
communications center and local law enforcement agencies through the use 
of a radiotelephone, or other NRC-approved equivalent means of two-way 
voice communications.
    (f) Prior to the transport of spent fuel within or through a state a 
licensee subject to this section shall notify the governor or the 
governor's designee. The licensee shall comply with the following 
criteria in regard to a notification:
    (1) The notification must be in writing and sent to the office of 
each appropriate governor or the governor's designee. A notification 
delivered by mail must be postmarked at least 7 days before transport of 
a shipment within or through the state. A notification delivered by 
messenger must reach the office of the governor or the governor's 
designee at least 4 days before transport of a shipment within or 
through the state. A list of the mailing addresses of governors and 
governors' designees is available upon request from the Director, Office 
of Public Affairs, U.S. Nuclear Regulatory Commission, Washington, DC 
20555.
    (2) The notification must include the following information:
    (i) The name, address, and telephone number of the shipper, carrier 
and receiver.
    (ii) A description of the shipment as specified by the Department of 
Transportation in 49 CFR Sec. 172.202 and Sec. 172.203(d).
    (iii) A listing of the routes to be used within the state.
    (iv) A statement that the information described below in 
Sec. 73.37(f)(3) is required by NRC regulations to be protected in 
accordance with the requirements of Sec. 73.21.
    (3) The licensee shall provide the following information on a 
separate enclosure to the written notification:
    (i) The estimated date and time of departure from the point of 
origin of the shipment.
    (ii) The estimated date and time of entry into the governor's state.
    (iii) For the case of a single shipment whose schedule is not 
related to the schedule of any subsequent shipment, a statement that 
schedule information must be protected in accordance with the provisions 
of Sec. 73.21 until at least 10 days after the shipment has entered or 
originated within the state.
    (iv) For the case of a shipment in a series of shipments whose 
schedules are related, a statement that schedule information must be 
protected in accordance with the provisions of Sec. 73.21 until 10 days 
after the last shipment in the series has entered or originated within 
the state and an estimate of the date on which the last shipment in the 
series will enter or originate within the state.

[[Page 414]]

    (4) A licensee shall notify by telephone or other means a 
responsible individual in the office of the governor or in the office of 
the governor's designee of any schedule change that differs by more than 
6 hours from the schedule information previously furnished in accordance 
with Sec. 73.37(f)(3), and shall inform that individual of the number of 
hours of advance or delay relative to the written schedule information 
previously furnished.
    (g) State officials, state employees, and other individuals, whether 
or not licensees of the Commission, who receive schedule information of 
the kind specified in Sec. 73.37(f)(3) shall protect that information 
against unauthorized disclosure as specified in Sec. 73.21.

[45 FR 37408, June 3, 1980, as amended at 47 FR 603, Jan. 6, 1982; 52 FR 
31613, Aug. 21, 1987; 53 FR 19257, May 27, 1988; 60 FR 24552, May 9, 
1995]

             Physical Protection Requirements at Fixed Sites



Sec. 73.40  Physical protection: General requirements at fixed sites.

    Each licensee shall provide physical protection at a fixed site, or 
contiguous sites where licensed activities are conducted, against 
radiological sabotage, or against theft of special nuclear material, or 
against both, in accordance with the applicable sections of this Part 
for each specific class of facility or material license. If applicable, 
the licensee shall establish and maintain physical security in 
accordance with security plans approved by the Nuclear Regulatory 
Commission.

[58 FR 13700, Mar. 15, 1993]



Sec. 73.45  Performance capabilities for fixed site physical protection systems.

    (a) To meet the general performance requirements of Sec. 73.20 a 
fixed site physical protection system shall include the performance 
capabilities described in paragraphs (b) through (g) of this section 
unless otherwise authorized by the Commission.
    (b) Prevent unauthorized access of persons, vehicles and materials 
into material access areas and vital areas. To achieve this capability 
the physical protection system shall:
    (1) Detect attempts to gain unauthorized access or introduce 
unauthorized material across material access or vital area boundaries by 
stealth or force using the following subsystems and subfunctions:
    (i) Barriers to channel persons and material to material access and 
vital area entry control points and to delay any unauthorized 
penetration attempts by persons or materials sufficient to assist 
detection and permit a response that will prevent the penetration; and
    (ii) Access detection subsystems and procedures to detect, assess 
and communicate any unauthorized penetration attempts by persons or 
materials at the time of the attempt so that the response can prevent 
the unauthorized access or penetration.
    (2) Detect attempts to gain unauthorized access or introduce 
unauthorized materials into material access areas or vital areas by 
deceit using the following subsystems and subfunctions:
    (i) Access authorization controls and procedures to provide current 
authorization schedules and entry criteria for both persons and 
materials; and
    (ii) Entry controls and procedures to verify the identity of persons 
and materials and assess such identity against current authorization 
schedules and entry criteria before permitting entry and to initiate 
response measures to deny unauthorized entries.
    (c) Permit only authorized activities and conditions within 
protected areas, material access areas, and vital areas. To achieve this 
capability the physical protection system shall:
    (1) Detect unauthorized activities or conditions within protected 
areas, material access areas and vital areas using the following 
subsystems and subfunctions:
    (i) Controls and procedures that establish current schedules of 
authorized activities and conditions in defined areas;
    (ii) Boundaries to define areas within which the authorized 
activities and conditions are permitted; and
    (iii) Detection and surveillance subsystems and procedures to 
discover and assess unauthorized activities and conditions and 
communicate them so that

[[Page 415]]

response can be such as to stop the activity or correct the conditions 
to satisfy the general performance objective and requirements of 
Sec. 73.20(a).
    (d) Permit only authorized placement and movement of strategic 
special nuclear material within material access areas. To achieve this 
capability the physical protection system shall:
    (1) Detect unauthorized placement and movement of strategic special 
nuclear material within the material access area using the following 
subsystems and subfunctions:
    (i) Controls and procedures to delineate authorized placement and 
control for strategic special nuclear material;
    (ii) Controls and procedures to establish current authorized 
placement and movement of all strategic special nuclear material within 
material access areas;
    (iii) Controls and procedures to maintain knowledge of the identity, 
quantity, placement, and movement of all strategic special nuclear 
material within material access areas; and
    (iv) Detection and monitoring subsystems and procedures to discover 
and assess unauthorized placement and movement of strategic special 
nuclear material and communicate them so that response can be such as to 
return the strategic special nuclear material to authorized placement or 
control.
    (e) Permit removal of only authorized and confirmed forms and 
amounts of strategic special nuclear material from material access 
areas. To achieve this capability the physical protection system shall:
    (1) Detect attempts at unauthorized removal of strategic special 
nuclear material from material access areas by stealth or force using 
the following subsystems and subfunctions:
    (i) Barriers to channel persons and materials exiting a material 
access area to exit control points and to delay any unauthorized 
strategic special nuclear material removal attempts sufficient to assist 
detection and assessment and permit a response that will prevent the 
removal; and satisfy the general performance objective and requirements 
of Sec. 73.20(a); and
    (ii) Detection subsystems and procedures to detect, assess and 
communicate any attempts at unauthorized removal of strategic special 
nuclear material so that response to the attempt can be such as to 
prevent the removal and satisfy the general performance objective and 
requirements of Sec. 73.20(a).
    (2) Confirm the identity and quantity of strategic special nuclear 
material presented for removal from a material access area and detect 
attempts at unauthorized removal of strategic special nuclear material 
from material access areas by deceit using the following subsystems and 
subfunctions:
    (i) Authorization controls and procedures to provide current 
schedules for authorized removal of strategic special nuclear material 
which specify the authorized properties and quantities of material to be 
removed, the persons authorized to remove the material, and the 
authorized time schedule;
    (ii) Removal controls and procedures to identify and confirm the 
properties and quantities of material being removed and verify the 
identity of the persons making the removal and time of removal and 
assess these against the current authorized removal schedule before 
permitting removal; and
    (iii) Communications subsystems and procedures to provide for 
notification of an attempted unauthorized or unconfirmed removal so that 
response can be such as to prevent the removal and satisfy the general 
performance objective and requirements of Sec. 73.20(a).
    (f) Provide for authorized access and assure detection of and 
response to unauthorized penetrations of the protected area to satisfy 
the general performance objective and requirements of Sec. 73.20(a). To 
achieve this capability the physical protection system shall:
    (1) Detect attempts to gain unauthorized access or introduce 
unauthorized persons, vehicles, or materials into the protected area by 
stealth or force using the following subsystems and subfunctions:
    (i) Barriers to channel persons, vehicles, and materials to 
protected area entry control points; and to delay any unauthorized 
penetration attempts or the introduction of unauthorized vehicles or 
materials sufficient to assist detection and assessment and permit a 
response that will prevent the penetration or prevent such penetration 
and

[[Page 416]]

satisfy the general performance objective and requirements of 
Sec. 73.20(a); and
    (ii) Access detection subsystems and procedures to detect, assess 
and communicate any unauthorized access or penetrations or such attempts 
by persons, vehicles, or materials at the time of the act or the attempt 
so that the response can be such as to prevent the unauthorized access 
or penetration, and satisfy the general performance objective and 
requirements of Sec. 73.20(a).
    (2) Detect attempts to gain unauthorized access or introduce 
unauthorized persons, vehicles, or materials into the protected area by 
deceit using the following subsystems and subfunctions:
    (i) Access authorization controls and procedures to provide current 
authorization schedules and entry criteria for persons, vehicles, and 
materials; and
    (ii) Entry controls and procedures to verify the identity of 
persons, materials and vehicles and assess such identity against current 
authorization schedules before permitting entry and to initiate response 
measures to deny unauthorized access.
    (g) Response. Each physical protection program shall provide a 
response capability to assure that the five capabilities described in 
paragraphs (b) through (f) of this section are achieved and that 
adversary forces will be engaged and impeded until offsite assistance 
forces arrive. To achieve this capability a licensee shall:
    (1) Establish a security organization to:
    (i) Provide trained and qualified personnel to carry out assigned 
duties and responsibilities; and
    (ii) Provide for routine security operations and planned and 
predetermined response to emergencies and safeguards contingencies.
    (2) Establish a predetermined plan to respond to safeguards 
contingency events.
    (3) Provide equipment for the security organization and facility 
design features to:
    (i) Provide for rapid assessment of safeguards contingencies;
    (ii) Provide for response by assigned security organization 
personnel which is sufficiently rapid and effective to achieve the 
predetermined objective of the response; and
    (iii) Provide protection for the assessment and response personnel 
so that they can complete their assigned duties.
    (4) Provide communications networks to:
    (i) Transmit rapid and accurate security information among onsite 
forces for routine security operation, assessment of a contingency, and 
response to a contingency; and
    (ii) Transmit rapid and accurate detection and assessment 
information to offsite assistance forces.
    (5) Assure that a single adversary action cannot destroy the 
capability of the security organization to notify offsite response 
forces of the need for assistance.

[44 FR 68193, Nov. 28, 1979]



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

    (a) A licensee physical protection system established pursuant to 
the general performance objective and requirements of Sec. 73.20(a) and 
the performance capability requirements of Sec. 73.45 shall include, but 
are not necessarily limited to, the measures specified in paragraphs (b) 
through (h) of this section. The Commission may require, depending on 
individual facility and site conditions, alternate or additional 
measures deemed necessary to meet the general performance objective and 
requirements of Sec. 73.20. The Commission also may authorize protection 
measures other than those required by this section if, in its opinion, 
the overall level of performance meets the general performance objective 
and requirements of Sec. 73.20 and the performance capability 
requirements of Sec. 73.45.
    (b) Security organization. (1) The licensee shall establish a 
security organization, including guards. If a contract guard force is 
utilized for site security, the licensee's written agreement with the 
contractor will clearly show that (i) the licensee is responsible to the 
Commission for maintaining safeguards in accordance with Commission 
regulations and the licensee's security plan, (ii) the NRC may inspect, 
copy, and take away copies of all reports and documents required to be

[[Page 417]]

kept by Commission regulations, orders, or applicable license conditions 
whether such reports and documents are kept by the licensee or the 
contractor, (iii) the requirement, in Sec. 73.46(b)(4) of this section 
that the licensee demonstrate the ability of physical security personnel 
to perform their assigned duties and responsibilities, include 
demonstration of the ability of the contractor's physical security 
personnel to perform their assigned duties and responsibilities in 
carrying out the provisions of the Security Plan and these regulations, 
and (iv) the contractor will not assign any personnel to the site who 
have not first been made aware of these responsibilities.
    (2) The licensee shall have onsite at all times at least one full 
time member of the security organization with authority to direct the 
physical protection activities of the security organization.
    (3) The licensee shall have a management system to provide for the 
development, revision, implementation, and enforcement of security 
procedures. The system shall include:
    (i) Written security procedures which document the structure of the 
security organization and which detail the duties of the Tactical 
Response Team, guards, watchmen, and other individuals responsible for 
security. The licensee shall retain a copy of the current procedures as 
a record until the Commission terminates the license for which these 
procedures were developed and, if any portion of these procedures is 
superseded, retain the superseded material for three years after each 
change; and
    (ii) Provision for written approval of such procedures and any 
revisions thereto by the individual with overall responsibility for the 
security function.
    (4) The licensee may not permit an individual to act as a Tactical 
Response Team member, armed response person, guard, or other member of 
the security organization unless the individual has been trained, 
equipped, and qualified to perform each assigned security duty in 
accordance with Appendix B of this part, ``General Criteria for Security 
Personnel.'' In addition, Tactical Response Team members, armed response 
personnel, and guards shall be trained, equipped, and qualified for use 
of their assigned weapons in accordance with paragraphs (b)(6) and 
(b)(7) of this section. Tactical Response Team members, armed response 
personnel, and guards shall also be trained and qualified in accordance 
with either paragraphs (b)(10) and (b)(11) or paragraph (b)(12) of this 
section. Upon the request of an authorized representative of the 
Commission, the licensee shall demonstrate the ability of the physical 
security personnel, whether licensee or contractor employees, to carry 
out their assigned duties and responsibilities. Each Tactical Response 
Team member, armed response person, and guard, whether a licensee or 
contractor employee, shall requalify in accordance with Appendix B of 
this part. Tactical Response Team members, armed response personnel, and 
guards shall also requalify in accordance with paragraph (b)(7) of this 
section at least once every 12 months. The licensee shall document the 
results of the qualification and requalification. The licensee shall 
retain the documentation of each qualification and requalification as a 
record for 3 years after each qualification and requalification.
    (5) Within any given period of time, a member of the security 
organization may not be assigned to, or have direct operational control 
over, more than one of the redundant elements of a physical protection 
subsystem if such assignment or control could result in the loss of 
effectiveness of the subsystem.
    (6) Each guard shall be armed with a handgun, as described in 
appendix B of this part. Each Tactical Response Team member shall be 
armed with a 9mm semiautomatic pistol. All but one member of the 
Tactical Response Team shall be armed additionally with either a shotgun 
or semiautomatic rifle, as described in appendix B of this part. The 
remaining member of the Tactical Response Team shall carry, as an 
individually assigned weapon, a rifle of no less caliber than .30 inches 
or 7.62mm.
    (7) In addition to the weapons qualification and requalification 
criteria of appendix B of this part, Tactical Response Team members, 
armed response personnel, and guards shall qualify and

[[Page 418]]

requalify, at least every 12 months, for day and night firing with 
assigned weapons in accordance with Appendix H of this part. Tactical 
Response Team members, armed response personnel, and guards shall be 
permitted to practice fire prior to qualification and requalification 
but shall be given only one opportunity to fire for record on the same 
calendar day. If a Tactical Response Team member, armed response person, 
or guard fails to qualify or requalify, the licensee shall remove the 
individual from security duties which require the use of firearms and 
retrain the individual prior to any subsequent attempt to qualify or 
requalify. If an individual fails to qualify or requalify on two 
successive attempts, he or she shall be required to receive additional 
training and successfully fire two consecutive qualifying scores prior 
to being reassigned to armed security duties.
    (i) In addition, Tactical Response Team members, armed response 
personnel, and guards shall be prepared to demonstrate day and night 
firing qualification with their assigned weapons at any time upon 
request by an authorized representative of the NRC.
    (ii) The licensee or the licensee's agent shall document the results 
of weapons qualification and requalification for day and night firing. 
The licensee shall retain the documentation of each qualification and 
requalification as a record for 3 years after each qualification and 
requalification.
    (8) In addition to the training requirements contained in appendix B 
of this part, Tactical Response Team members shall successfully complete 
training in response tactics. The licensee shall document the completion 
of training. The licensee shall retain the documentation of training as 
a record for three years after training is completed.
    (9) The licensee shall conduct Tactical Response Team and guard 
exercises to demonstrate the overall security system effectiveness and 
the ability of the security force to perform response and contingency 
plan responsibilities and to demonstrate individual skills in assigned 
team duties. During the first 12-month period following the date 
specified in paragraph (i)(2)(ii) of this section, an exercise must be 
carried out at least every three months for each shift, half of which 
are to be force-on-force. Subsequently, during each 12-month period 
commencing on the anniversary of the date specified in paragraph 
(i)(2)(ii) of this section, an exercise must be carried out at least 
every four months for each shift, one third of which are to be force-on-
force. The licensee shall use these exercises to demonstrate its 
capability to respond to attempts to steal strategic special nuclear 
material. During each of the 12-month periods, the NRC shall observe one 
of the force-on-force exercises which demonstrates overall security 
system performance. The licensee shall notify the NRC of the scheduled 
exercise 60 days prior to that exercise. The licensee shall document the 
results of all exercises. The licensee shall retain the documentation of 
each exercise as a record for three years after each exercise is 
completed.
    (10) In addition to the medical examinations and physical fitness 
requirements of paragraph I.C of Appendix B of this part, each Tactical 
Response Team member, armed response person, and guard, except as 
provided in paragraph (b)(10)(v) of this section, shall participate in a 
physical fitness training program on a continuing basis.
    (i) The elements of the physical fitness training program must 
include, but not necessarily be limited to, the following:
    (A) Training sessions of sufficient frequency, duration, and 
intensity to be of aerobic benefit, e.g., normally a frequency of three 
times per week, maintaining an intensity of approximately 75 percent of 
maximum heart rate for 20 minutes;
    (B) Activities that use large muscle groups, that can be maintained 
continuously, and that are rhythmical and aerobic in nature, e.g., 
running, bicycling, rowing, swimming, or cross-country skiing; and
    (C) Musculoskeletal training exercises that develop strength, 
flexibility, and endurance in the major muscle groups, e.g., legs, arms, 
and shoulders.

[[Page 419]]

    (ii) The licensee shall assess Tactical Response Team members, armed 
response personnel, and guards for general fitness once every 4 months 
to determine the effectiveness of the continuing physical fitness 
training program. Assessments must include a recent health history, 
measures of cardiovascular fitness, percent of body fat, flexibility, 
muscular strength, and endurance. Individual exercise programs must be 
modified to be consistent with the needs of each participating Tactical 
Response Team member, armed response person, and guard and consistent 
with the environments in which they must be prepared to perform their 
duties. Individuals who exceed 4 months without being assessed for 
general fitness due to excused time off from work must be assessed 
within 15 calendar days of returning to duty as a Tactical Response Team 
member, armed response person, or guard.
    (iii) Within 30 days prior to participation in the physical fitness 
training program, the licensee shall give Tactical Response Team 
members, armed response personnel, and guards a medical examination 
including a determination and written certification by a licensed 
physician that there are no medical contraindications, as disclosed by 
the medical examination, to participation in the physical fitness 
training program.
    (iv) Licensees may temporarily waive an individual's participation 
in the physical fitness training program on the advice of the licensee's 
examining physician, during which time the individual may not be 
assigned duties as a Tactical Response Team member.
    (v) Guards whose duties are to staff the central or secondary alarm 
station and those who control exit or entry portals are exempt from the 
physical fitness training program specified in paragraph (b)(10) of this 
section, provided that they are not assigned temporary response guard 
duties.
    (11) In addition to the physical fitness demonstration contained in 
paragraph I.C of Appendix B of this part, Tactical Response Team 
members, armed response personnel, and guards shall meet or exceed the 
requirements in paragraphs (b)(11)(i) through (b)(11)(v) of this 
section, except as provided in paragraph (b)(11)(vi) of this section, 
initially and at least once every 12 months thereafter.
    (i) For Tactical Response Team members the criteria are a 1-mile run 
in 8 minutes and 30 seconds or less and a 40-yard dash starting from a 
prone position in 8 seconds or less. For armed response personnel and 
guards that are not members of the Tactical Response Team the criteria 
are a one-half mile run in 4 minutes and 40 seconds or less and a 40-
yard dash starting from a prone position in 8.5 seconds or less. The 
test may be taken in ordinary athletic attire under the supervision of 
licensee designated personnel. The licensee shall retain a record of 
each individual's performance for 3 years.
    (ii) Incumbent Tactical Response Team members, armed response 
personnel, and guards shall meet or exceed the qualification criteria 
within 12 months of NRC approval of the licensee's revised Fixed Site 
Physical Protection Plan. New employees hired after the approval date 
shall meet or exceed the qualification criteria prior to assignment as a 
Tactical Response Team member, armed response person, or guard.
    (iii) Tactical Response Team members, armed response personnel, and 
guards shall be given a medical examination including a determination 
and written certification by a licensed physician that there are no 
medical contraindications, as disclosed by the medical examination, to 
participation in the physical fitness performance testing. The medical 
examination must be given within 30 days prior to the first 
administration of the physical fitness performance test, and on an 
annual basis thereafter.
    (iv) The licensee shall place Tactical Response Team members, armed 
response persons, and guards, who do not meet or exceed the 
qualification criteria, in a monitored remedial physical fitness 
training program and relieve them of security duties until they 
satisfactorily meet or exceed the qualification criteria.
    (v) Licensees may temporarily waive the annual performance testing 
for an individual on the advice of the licensee's examining physician, 
during which

[[Page 420]]

time the individual may not be assigned duties as a Tactical Response 
Team member.
    (vi) Guards whose duties are to staff the central or secondary alarm 
station and those who control exit or entry portals are exempt from the 
annual performance testing specified in paragraph (b)(11) of this 
section, provided that they are not assigned temporary response guard 
duties.
    (12) The licensee may elect to comply with the requirements of this 
paragraph instead of the requirements of paragraphs (b)(10) and (b)(11) 
of this section. In addition to the physical fitness qualifications of 
paragraph I.C of Appendix B of this part, each licensee subject to the 
requirements of this section shall develop and submit to the NRC for 
approval site specific, content-based, physical fitness performance 
tests which will--when administered to each Tactical Response Team 
member, armed response person, or guard--duplicate the response duties 
these individuals may need to perform during a strenuous tactical 
engagement.
    (i) The test must be administered to each Tactical Response Team 
member, armed response person, and guard once every 3 months. The test 
must specifically address the physical capabilities needed by armed 
response personnel during a strenuous tactical engagement at the 
licensed facility. Individuals who exceed 3 months without having been 
administered the test due to excused time off from work must be tested 
within 15 calendar days of returning to duty as a Tactical Response Team 
member, armed response person, or guard.
    (ii) Within 30 days before the first administration of the physical 
fitness performance test, and on an annual basis thereafter, Tactical 
Response Team members, armed response personnel, and guards shall be 
given a medical examination including a determination and written 
certification by a licensed physician that there are no medical 
contraindications, as disclosed by the medical examination, to 
participation in the physical fitness performance test.
    (iii) Guards whose duties are to staff the central or secondary 
alarm station and those who control exit or entry portals are exempt 
from the performance test specified in paragraph (b)(12) of this 
section, provided that they are not assigned temporary response guard 
duties.
    (c) Physical barrier subsystems. (1) vital equipment must be located 
only within a vital area, and strategic special nuclear material must be 
stored or processed only in a material access area. Both vital areas and 
material access areas must be located within a protected area so that 
access to vital equipment and to strategic special nuclear material 
requires passage through at least three physical barriers. The perimeter 
of the protected area must be provided with two separated physical 
barriers with an intrusion detection system placed between the two. The 
inner barrier must be positioned and constructed to enhance assessment 
of penetration attempts and to delay attempts at unauthorized exit from 
the protected area. The perimeter of the protected area must also 
incorporate features and structures that prevent forcible vehicle entry. 
More than one vital area or material access area may be located within a 
single protected area.
    (2) The physical barriers at the perimeter of the protected area 
shall be separated from any other barrier designated as a physical 
barrier for a vital area or material access area within the protected 
area.
    (3) Isolation zones shall be maintained in outdoor areas adjacent to 
the physical barrier at the perimeter of the protected area and shall be 
large enough to permit observation of the activities of people on either 
side of that barrier in the event of its penetration. If parking 
facilities are provided for employees or visitors, they shall be located 
outside the isolation zone and exterior to the protected area.
    (4) 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), (e)(8), (h)(4) and (h)(6) 
of this section, but not less than 0.2 footcandle measured horizontally 
at ground level.
    (5) Strategic special nuclear material, other than alloys, fuel 
elements or fuel assemblies, shall:

[[Page 421]]

    (i) Be stored in a vault when not undergoing processing if the 
material can be used directly in the manufacture of a nuclear explosive 
device. Vaults used to protect such material shall be capable of 
preventing entry to stored SSNM by a single action in a forced entry 
attempt, except as such single action would both destroy the barrier and 
render contained SSNM incapable of being removed, and shall provide 
sufficient delay to prevent removal of stored SSNM prior to arrival of 
response personnel capable of neutralizing the design basis threat 
stated in Sec. 73.1.
    (ii) Be stored in tamper-indicating containers;
    (iii) Be processed only in material access areas constructed with 
barriers that provide significant delay to penetration; and
    (iv) Be kept in locked compartments or locked process equipment 
while undergoing processing except when personally attended.
    (6) Enriched uranium scrap (enriched to 20% or greater) in the form 
of small pieces, cuttings, chips, solutions or in other forms which 
result from a manufacturing process, contained in 30 gallon or larger 
containers with a uranium-235 content of less than 0.25 grams per liter, 
may be stored within a locked and separately fenced area within a larger 
protected area provided that the storage area fence is no closer than 25 
feet to the perimeter of the protected area. The storage area when 
unoccupied shall be protected by a guard or watchman who shall patrol at 
intervals not exceeding 4 hours, or by intrusion alarms.
    (d) Access control subsystems and procedures. (1) A numbered picture 
badge identification subsystem shall be used for all individuals who are 
authorized access to protected areas without escort. An individual not 
employed by the licensee but who requires frequent and extended access 
to protected, material access, or vital areas may be authorized access 
to such areas without escort provided that he receives a picture badge 
upon entrance into the protected area and returns the badge upon exit 
from the protected area, and that the badge indicates, (i) Non-employee-
-no escort required; (ii) areas to which access is authorized and (iii) 
the period for which access has been authorized. Badges shall be 
displayed by all individuals while inside the protected areas.
    (2) Unescorted access to vital areas, material access areas and 
controlled access areas shall be limited to individuals who are 
authorized access to the material and equipment in such areas, and who 
require such access to perform their duties. Access to material access 
areas shall include at least two individuals. Authorization for such 
individuals shall be indicated by the issuance of specially coded 
numbered badges indicating vital areas, material access areas, and 
controlled access areas to which access is authorized. No activities 
other than those which require access to strategic special nuclear 
material or to equipment used in the processing, use, or storage of 
strategic special nuclear material, or necessary maintenance, shall be 
permitted within a material access area.
    (3) The licensee shall establish and follow written procedures that 
will permit access control personnel to identify those vehicles that are 
authorized and those materials that are not authorized entry to 
protected, material access, and vital areas. The licensee shall retain a 
copy of the current procedures as a record until the Commission 
terminates each license for which the procedures were developed and, if 
any portion of the procedures is superseded, retain the superseded 
material for three years after each change.
    (4)(i) The licensee shall control all points of personnel and 
vehicle access into a protected area. Identification and search of all 
individuals for firearms, explosives, and incendiary devices must be 
made and authorization must be checked at these points except for 
Federal, State, and local law enforcement personnel on official duty and 
United States Department of Energy couriers engaged in the transport of 
special nuclear material. The search function for detection of firearms, 
explosives, and incendiary devices must be accomplished through the use 
of detection equipment capable of detecting both firearms and 
explosives. The individual responsible for the last access control 
function (controlling admission

[[Page 422]]

to the protected area) shall be isolated within a structure with bullet 
resisting walls, doors, ceiling, floor, and windows.
    (ii) When the licensee has cause to suspect that an individual is 
attempting to introduce firearms, explosives, or incendiary devices into 
a protected area, the licensee shall conduct a physical pat-down search 
of that individual. Whenever firearms or explosives detection equipment 
at a portal is out of service or not operating satisfactorily, the 
licensee shall conduct a physical pat-down search of all persons who 
would otherwise have been subject to search using the equipment.
    (5) At the point of personnel and vehicle access into a protected 
area, all hand-carried packages except those carried by individuals 
exempted from personal search under the provisions of paragraph 
(d)(4)(i) of this part must be searched for firearms, explosives, and 
incendiary devices.
    (6) All packages and material for delivery into a protected area 
must be checked for proper identification and authorization and searched 
for firearms, explosives, and incendiary devices prior to admittance 
into the protected area, except those Commission-approved delivery and 
inspection activities specifically designated by the licensee to be 
carried out within material access, vital, or protected areas for 
reasons of safety, security, or operational necessity.
    (7) All vehicles, except United States Department of Energy vehicles 
engaged in transporting special nuclear material and emergency vehicles 
under emergency conditions, shall be searched for firearms, explosives, 
and incendiary devices prior to entry into the protected area. Vehicle 
areas to be searched shall include the cab, engine compartment, 
undercarriage, and cargo area.
    (8) All vehicles, except designated licensee vehicles, requiring 
entry into the protected area shall be escorted by a member of the 
security organization while within the protected area, and to the extent 
practicable shall be off-loaded in an area that is not adjacent to a 
vital area. Designated licensee vehicles shall be limited in their use 
to onsite plant functions and shall remain in the protected area except 
for operational, maintenance, security and emergency purposes. The 
licensee shall exercise positive control over all such designated 
vehicles to assure that they are used only by authorized persons and for 
authorized purposes.
    (9) The licensee shall control all points of personnel and vehicle 
access to material access areas, vital areas, and controlled access 
areas. At least two armed guards trained in accordance with the 
provisions contained in paragraph (b)(7) of this section and appendix B 
of this part shall be posted at each material access area control point 
whenever in use. Identification and authorization of personnel and 
vehicles must be verified at the material access area control point. 
Prior to entry into a material access area, packages must be searched 
for firearms, explosives, and incendiary devices. All vehicles, 
materials and packages, including trash, wastes, tools, and equipment 
exiting from a material access area must be searched for concealed 
strategic special nuclear material by a team of at least two individuals 
who are not authorized access to that material access area. Each 
individual exiting a material access area shall undergo at least two 
separate searches for concealed strategic special nuclear material. For 
individuals exiting an area that contains only alloyed or encapsulated 
strategic special nuclear material, the second search may be conducted 
in a random manner.
    (10) Before exiting from a material access area, containers of 
contaminated wastes must be drum scanned and tamper sealed by at least 
two individuals, working and recording their findings as a team, who do 
not have access to material processing and storage areas. The licensee 
shall retain the records of these findings for three years after the 
record is made.
    (11) Strategic special nuclear material being prepared for shipment 
offsite, including product, samples and scrap, shall be packed and 
placed in sealed containers in the presence of at least two individuals 
working as a team who shall verify and certify the content of each 
shipping container through the witnessing of gross weight measurements 
and nondestructive

[[Page 423]]

assay, and through the inspection of tamper seal integrity and 
associated seal records.
    (12) Areas used for preparing strategic special nuclear material for 
shipment and areas used for packaging and screening trash and wastes 
shall be controlled access areas and shall be separated from processing 
and storage areas.
    (13) Individuals not permitted by the licensee to enter protected 
areas without escort must be escorted by a watchman or other individual 
designated by the licensee while in a protected area and must be badged 
to indicate that an escort is required. In addition, the individual 
shall be required to register his or her name, date, time, purpose of 
visit and employment affiliation, citizenship, and name of the 
individual to be visited in a log. The licensee shall retain each log as 
a record for three years after the last entry is made in the log.
    (14) All keys, locks, combinations and related equipment used to 
control access to protected, material access, vital, and controlled 
access areas shall be controlled to reduce the probability of 
compromise. Whenever there is evidence that a key, lock, combination, or 
related equipment may have been compromised it shall be changed. Upon 
termination of employment of any employee, keys, locks, combinations, 
and related equipment to which that employee had access, shall be 
changed.
    (15) The licensee may not announce or otherwise communicate to its 
employees or site contractors the arrival or presence of an NRC 
safeguards inspector unless specifically requested to do so by the NRC 
safeguards inspector.
    (e) Detection, surveillance and alarm subsystems and procedures. (1) 
The licensee shall provide an intrusion alarm subsystem with a 
capability to detect penetration through the isolation zone and to 
permit response action.
    (2) All emergency exits in each protected, material access, and 
vital area shall be locked to prevent entry from the outside and alarmed 
to provide local visible and audible alarm annunciation.
    (3) All unoccupied vital areas and material access areas shall be 
locked and protected by an intrusion alarm subsystem which will alarm 
upon the entry of a person anywhere into the area, upon exit from the 
area, and upon movement of an individual within the area, except that 
for process material access areas only the location of the strategic 
special nuclear material within the area is required to be so alarmed. 
Vaults and process areas that contain strategic special nuclear material 
that has not been alloyed or encapsulated shall also be under the 
surveillance of closed circuit television that is monitored in both 
alarm stations. Additionally, means shall be employed which require that 
an individual other than an alarm station operator be present at or have 
knowledge of access to such unoccupied vaults or process areas.
    (4) All manned access control points in the protected area barrier, 
all security patrols and guard stations within the protected area, and 
both alarm stations shall be provided with duress alarms.
    (5) All alarms required pursuant to this section shall annunciate in 
a continuously manned central alarm station located within the protected 
area and in at least one other independent continuously manned onsite 
station not necessarily within the protected area, so that a single act 
cannot remove the capability of calling for assistance or responding to 
an alarm. The alarm stations shall be controlled access areas and their 
walls, doors, ceiling, floor, and windows shall be bullet-resisting. The 
central alarm station shall be located within a building so that the 
interior of the central alarm station is not visible from the perimeter 
of the protected area. This station may not contain any operational 
activities that would interfere with the execution of the alarm response 
function.
    (6) All alarms required by this section shall remain operable from 
independent power sources in the event of the loss of normal power. 
Switchover to standby power shall be automatic and shall not cause false 
alarms on annunciator modules.
    (7) All alarm devices including transmission lines to annunciators 
shall be tamper indicating and self-checking e.g., an automatic 
indication shall be

[[Page 424]]

provided when a failure of the alarm system or a component occurs, when 
there is an attempt to compromise the system, or when the system is on 
standby power. The annunciation of an alarm at the alarm stations shall 
indicate the type of alarm (e.g., intrusion alarm, emergency exit alarm, 
etc.) and location. The status of all alarms and alarm zones shall be 
indicated in the alarm stations.
    (8) All exterior areas within the protected area shall be monitored 
or periodically checked to detect the presence of unauthorized persons, 
vehicles, materials, or unauthorized activities.
    (9) Methods to observe individuals within material access areas to 
assure that strategic special nuclear material is not moved to 
unauthorized locations or in an unauthorized manner shall be provided 
and used on a continuing basis.
    (f) Communication subsystems. (1) Each guard, watchman, or armed 
response individual on duty shall be capable of maintaining continuous 
communication with an individual in each continuously manned alarm 
station required by paragraph (e)(5) of this section, who shall be 
capable of calling for assistance from other guards, watchmen, and armed 
response personnel and from law enforcement authorities.
    (2) Each alarm station required by paragraph (e)(5) of this section 
shall have both conventional telephone service and radio or microwave 
transmitted two-way voice communication, either directly or through an 
intermediary, for the capability of communication with the law 
enforcement authorities.
    (3) Non-portable communications equipment controlled by the licensee 
and required by this section shall remain operable from independent 
power sources in the event of the loss of normal power.
    (g) Test and maintenance programs. The licensee shall have a test 
and maintenance program for intrusion alarms, emergency exit alarms, 
communications equipment, physical barriers, and other physical 
protection related devices and equipment used pursuant to this section 
that shall provide for the following:
    (1) Tests and inspections during the installation and construction 
of physical protection related subsystems and components to assure that 
they comply with their respective design criteria and performance 
specifications.
    (2) Preoperational tests and inspections of physical protection 
related subsystems and components to demonstrate their effectiveness and 
availability with respect to their respective design criteria and 
performance specifications.
    (3) Operational tests and inspections of physical protection related 
subsystems and components to assure their maintenance in an operable and 
effective condition, including:
    (i) Testing of each intrusion alarm at the beginning and end of any 
period that it is used. If the period of continuous use is longer than 
seven days, the intrusion alarm shall also be tested at least once every 
seven days.
    (ii) Testing of communications equipment required for communications 
onsite, including duress alarms, for performance not less frequently 
than once at the beginning of each security personnel work shift. 
Communications equipment required for communications offsite shall be 
tested for performance not less than once a day.
    (4) Preventive maintenance programs shall be established for 
physical protection related subsystems and components to assure their 
continued maintenance in an operable and effective condition.
    (5) All physical protection related subsystems and components shall 
be maintained in operable condition. The licensee shall develop and 
employ corrective action procedures and compensatory measures to assure 
that the effectiveness of the physical protection system is not reduced 
by failure or other contingencies affecting the operation of the 
security related equipment or structures. Repairs and maintenance shall 
be performed by at least two individuals working as a team who have been 
trained in the operation and performance of the equipment. The security 
organization shall be notified before and after service is performed and 
shall conduct performance verification tests after the service has been 
completed.

[[Page 425]]

    (6) The security program must be reviewed at least every 12 months 
by individuals independent of both security program management and 
personnel who have direct responsibility for implementation of the 
security program. The security program review must include an audit of 
security procedures and practices, an evaluation of the effectiveness of 
the physical protection system, an audit of the physical protection 
system testing and maintenance program, and an audit of commitments 
established for response by local law enforcement authorities. The 
results and recommendations of the security program review, and any 
actions taken, must be documented in a report to the licensee's plant 
manager and to corporate management at least one level higher than that 
having responsibility for the day-to-day plant operations. These reports 
must be maintained in an auditable form, available for inspection for a 
period of 3 years.
    (h) Contingency and response plans and procedures. (1) The licensee 
shall establish, maintain, and follow an NRC-approved safeguards 
contingency plan for responding to threats, thefts, and radiological 
sabotage related to the strategic special nuclear material and nuclear 
facilities subject to the provisions of this section. Safeguards 
contingency plans must be in accordance with the criteria in appendix C 
to this part, ``Licensee Safeguards Contingency Plans.'' Contingency 
plans must include, but not limited to, the response requirements listed 
in paragraphs (h)(2) through (h)(5) of this section. The licensee shall 
retain the current safeguards contingency plan as a record until the 
Commission terminates the license and, if any portion of the plan is 
superseded, retain that superseded portion for 3 years after the 
effective date of change.
    (2) The licensee shall establish and document response arrangements 
that have been made with local law enforcement authorities. The licensee 
shall retain documentation of the current arrangements as a record until 
the Commission terminates each license requiring the arrangements and, 
if any arrangement is superseded, retain the superseded material for 
three years after each change.
    (3) A Tactical Response Team consisting of a minimum of five (5) 
members must be available at the facility to fulfill assessment and 
response requirements. In addition, a force of guards or armed response 
personnel also must be available to provide assistance as necessary. The 
size and availability of the additional force must be determined on the 
basis of site-specific considerations that could affect the ability of 
the total onsite response force to engage and impede the adversary force 
until offsite assistance arrives. The rationale for the total number and 
availabiliy of onsite armed response personnel must be included in the 
physical protection plans submitted to the Commission for approval.
    (4) Upon detection of abnormal presence or activity of persons or 
vehicles within an isolation zone, a protected area, a material access 
area, or a vital area, or upon evidence or indication of intrusion into 
a protected area, a material access area, or a vital area, the licensee 
security organization shall:
    (i) Determine whether or not a threat exists,
    (ii) Assess the extent of the threat, if any,
    (iii) Take immediate concurrent measures to neutralize the threat 
by:
    (A) Requiring responding guards or other armed response personnel to 
interpose themselves between vital areas and material access areas and 
any adversary attempting entry for purposes of radiological sabotage or 
theft of strategic special nuclear material and to intercept any person 
exiting with special nuclear material, and
    (B) Informing local law enforcement agencies of the threat and 
requesting assistance.
    (5) The licensee shall instruct every guard and all armed response 
personnel to prevent or impede acts of radiological sabotage or theft of 
strategic special nuclear material by using force sufficient to counter 
the force directed at him including the use of deadly force when the 
guard or other armed response person has a reasonable belief that it is 
necessary in self-defense or in the defense of others.

[[Page 426]]

    (6) To facilitate initial response to detection of penetration of 
the protected area and assessment of the existence of a threat, a 
capability of observing the isolation zones and the physical barrier at 
the perimeter of the protected area shall be provided, preferably by 
means of closed circuit television or by other suitable means which 
limit exposure of responding personnel to possible attack.
    (7) Alarms occurring within unoccupied vaults and unoccupied 
material access areas containing unalloyed or unencapsulated strategic 
special nuclear material shall be assessed by at least two security 
personnel using closed circuit television (CCTV) or other remote means.
    (8) Alarms occurring within unoccupied material access areas that 
contain only alloyed or encapsulated strategic special nuclear material 
shall be assessed as in paragraph (h)(7) of this section or by at least 
two security personnel who shall undergo a search before exiting the 
material access area.
    (i) Implementation schedule for revisions to physical protection 
plans. (1) By November 28, 1994, each licensee shall submit a revised 
Fixed Site Physical Protection Plan to the NRC for approval. The revised 
plan must describe how the licensee will comply with the requirements of 
paragraphs (b)(10) and (b)(11) of this section or the requirements of 
(b)(12) of this section. Revised plans must be mailed to the Director, 
Division of Fuel Cycle Safety and Safeguards, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555.
    (2) Each licensee shall implement the approved plan pursuant to 
paragraphs (b)(10) and (b)(11) of this section or (b)(12) of this 
section within 1 year after NRC approval of the revised Fixed Site 
Physical Protection Plan.

[44 FR 68194, Nov. 28, 1979, as amended at 53 FR 19258, May 27, 1988; 53 
FR 23383, June 22, 1988; 53 FR 45452, Nov. 10, 1988; 57 FR 33430, July 
29, 1992; 58 FR 29522, May 21, 1993; 58 FR 45784, Aug. 31, 1993; 59 FR 
38348, July 28, 1994]



Sec. 73.50  Requirements for physical protection of licensed activities.

    Each licensee who is not subject to Sec. 73.51, but who possesses, 
uses, or stores formula quantities of strategic special nuclear material 
that are not readily separable from other radioactive material and which 
have total external radiation dose rates in excess of 100 rems per hour 
at a distance of 3 feet from any accessible surfaces without intervening 
shielding other than at a nuclear reactor facility licensed pursuant to 
part 50 of this chapter, shall comply with the following:
    (a) Physical security organization. (1) The licensee shall establish 
a security organization, including guards, to protect his facility 
against radiological sabotage and the special nuclear material in his 
possession against theft.
    (2) At least one supervisor of the security organization shall be on 
site at all times.
    (3) The licensee shall establish, maintain, and follow written 
security procedures that document the structure of the security 
organization and detail the duties of guards, watchmen, and other 
individuals responsible for security. The licensee shall retain a copy 
of the current procedures as a record until the Commission terminates 
each license for which the procedures were developed and, if any portion 
of the procedures is superseded, retain the superseded material for 
three years after each change.
    (4) The licensee may not permit an individual to act as a guard, 
watchman, armed response person, or other member of the security 
organization unless the individual has been trained, equipped, and 
qualified to perform each assigned security job duty in accordance with 
appendix B, ``General Criteria for Security Personnel,'' to this part. 
Upon the request of an authorized representative of the Commission, the 
licensee shall demonstrate the ability of the physical security 
personnel to carry out their assigned duties and responsibilities. Each 
guard, watchman, armed response person, and other member of the security 
organization shall requalify in accordance with appendix B to this part 
at least every 12 months. This requalification must be documented. The 
licensee shall retain the documentation of each requalification as a 
record for three years after the requalification.

[[Page 427]]

    (b) Physical barriers. (1) The licensee shall locate vital equipment 
only within a vital area, which, in turn, shall be located within a 
protected area such that access to vital equipment requires passage 
through at least two physical barriers. More than one vital area may be 
within a single protected area.
    (2) The licensee shall locate material access areas only within 
protected areas such that access to the material access area requires 
passage through at least two physical barriers. More than one material 
access area may be within a single protected area.
    (3) The physical barrier at the perimeter of the protected area 
shall be separated from any other barrier designated as a physical 
barrier within the protected area, and the intervening space monitored 
or periodically checked to detect the presence of persons or vehicles so 
that the facility security organization can respond to suspicious 
activity or to the breaching of any physical barrier.
    (4) An isolation zone shall be maintained around the physical 
barrier at the perimeter of the protected area and any part of a 
building used as part of that physical barrier. The isolation zone shall 
be monitored to detect the presence of individuals or vehicles within 
the zone so as to allow response by armed members of the license 
security organization to be initiated at the time of penetration of the 
protected area. Parking facilities, both for employees and visitors, 
shall be located outside the isolation zone.
    (5) Isolation zones and clear areas between barriers shall be 
provided with illumination sufficient for the monitoring required by 
paragraphs (b) (3) and (4) of this section, but not less than 0.2 foot 
candles.
    (c) Access requirements. The licensee shall control all points of 
personnel and vehicle access into a protected area, including shipping 
or receiving areas, and into each vital area. Identification of 
personnel and vehicles shall be made and authorization shall be checked 
at such points.
    (1) At the point of personnel and vehicle access into a protected 
area, all individuals, except employees who possess a NRC or United 
States Department of Energy access authorization, and all hand-carried 
packages shall be searched for devices such as firearms, explosives, and 
incendiary devices, or other items which could be used for radiological 
sabotage. The search shall be conducted either by a physical search or 
by the use of equipment capable of detecting such devices. Employees who 
possess an NRC or Department of Energy access authorization shall be 
searched at random intervals. Subsequent to search, drivers of delivery 
and service vehicles shall be escorted at all times while within the 
protection area.
    (2) All packages being delivered into the protected area shall be 
checked for proper identification and authorization. Packages other than 
hand-carried packages shall be searched at random intervals.
    (3) A picture badge identification system shall be used for all 
individuals who are authorized access to protected areas without escort.
    (4) Access to vital areas and material access areas shall be limited 
to individuals who are authorized access to vital equipment or special 
nuclear material and who require such access to perform their duties. 
Authorization for such individuals shall be provided by the issuance of 
specially coded numbered badges indicating vital areas and material 
access areas to which access is authorized. Unoccupied vital areas and 
material access areas shall be protected by an active intrusion alarm 
system.
    (5) Individuals not employed by the licensee must be escorted by a 
watchman, or other individual designated by the licensee, while in a 
protected area and must be badged to indicate that an escort is 
required. In addition, the licensee shall require that each individual 
not employed by the licensee register his or her name, date, time, 
purpose of visit, employment affiliation, citizenship, name and badge 
number of the escort, and name of the individual to be visited. The 
licensee shall retain the register of information for three years after 
the last entry is made in the register. Except for a driver of a 
delivery or service vehicle, an individual not employed by the licensee 
who requires frequent and extended access to a protected area or a vital 
area need not be escorted if the

[[Page 428]]

individual is provided with a picture badge, which the individual must 
receive upon entrance into the protected area and return each time he or 
she leaves the protected area, that indicates--
    (i) Nonemployee-no escort required,
    (ii) Areas to which access is authorized, and
    (iii) The period for which access has been authorized.
    (6) No vehicles used primarily for the conveyance of individuals 
shall be permitted within a protected area except under emergency 
conditions.
    (7) Keys, locks, combinations, and related equipment shall be 
controlled to minimize the possibility of compromise and promptly 
changed whenever there is evidence that they have been compromised. Upon 
termination of employment of any employee, keys, locks, combinations, 
and related equipment to which that employee had access shall be 
changed.
    (d) Detection aids. (1) All alarms required pursuant to this part 
shall annunciate in a continuously manned central alarm station located 
within the protected area and in at least one other continuously manned 
station, not necessarily within the protected area, such that a single 
act cannot remove the capability of calling for assistance or otherwise 
responding to an alarm. All alarms shall be self-checking and tamper 
indicating. The annunciation of an alarm at the onsite central alarm 
station shall indicate the type of alarm (e.g., intrusion alarm, 
emergency exit alarm, etc.) and location. All intrusion alarms, 
emergency exit alarms, alarm systems, and line supervisory systems shall 
at minimum meet the performance and reliability levels indicated by GSA 
Interim Federal Specification W-A-00450 B (GSA-FSS). The GSA Interim 
Federal Specification has been approved for incorporation by reference 
by the Director of the Federal Register. A copy of the material is 
available for inspection at the NRC Library, 11545 Rockville Pike, 
Rockville, Maryland 20852-2738.
    (2) All emergency exits in each protected area and each vital area 
shall be alarmed.
    (e) Communication requirements. (1) Each guard or watchman on duty 
shall be capable of maintaining continuous communication with an 
individual in a continuously manned central alarm station within the 
protected area, who shall be capable of calling for assistance from 
other guards and watchmen and from local law enforcement authorities.
    (2) The alarm stations required by paragraph (d)(1) of this section 
shall have conventional telephone service for communication with the law 
enforcement authorities as described in paragraph (e)(1) of this 
section.
    (3) To provide the capability of continuous communication, two-way 
radio voice communication shall be established in addition to 
conventional telephone service between local law enforcement authorities 
and the facility and shall terminate at the facility in a continuously 
manned central alarm station within the protected area.
    (4) All communications equipment, including offsite equipment, shall 
remain operable from independent power sources in the event of loss of 
primary power.
    (f) Testing and maintenance. Each licensee shall test and maintain 
intrusion alarms, emergency alarms, communications equipment, physical 
barriers, and other security related devices or equipment utilized 
pursuant to this section as follows:
    (1) All alarms, communications equipment, physical barriers, and 
other security related devices or equipment shall be maintained in 
operable and effective condition.
    (2) Each intrusion alarm shall be functionally tested for 
operability and required performance at the beginning and end of each 
interval during which it is used for security, but not less frequently 
than once every seven (7) days.
    (3) Communications equipment shall be tested for operability and 
performance not less frequently than once at the beginning of each 
security personnel work shift.
    (g) Response requirement. (1) The licensee shall establish, 
maintain, and follow an NRC-approved safeguards contingency plan for 
responding to threats, thefts, and radiological sabotage related to the 
special nuclear material and nuclear facilities subject to

[[Page 429]]

the provisions of this section. Safeguards contingency plans must be in 
accordance with the criteria in appendix C to this part, ``Licensee 
Safeguards Contingency Plans.'' The licensee shall retain the current 
safeguards contingency plan as a record until the Commission terminates 
the license and, if any portion of the plan is superseded, retain the 
superseded portion for 3 years after the effective date of the change.
    (2) The licensee shall establish and document liaison with law 
enforcement authorities. The licensee shall retain the documentation of 
the current liaison as a record until the Commission terminates each 
license for which the liaison was developed and, if any portion of the 
liaison documentation is superseded, retain the superseded material for 
three years after each change.
    (3) Upon detection of abnormal presence or activity of persons or 
vehicles within an isolation zone, a protected area, a material access 
area, or a vital area; or upon evidence or indication of intrusion into 
a protected area, material access area, or vital area, the licensee 
security organization shall:
    (i) Determine whether or not a threat exists,
    (ii) Assess the extent of the threat, if any, and
    (iii) Take immediate concurrent measures to neutralize the threat, 
by:
    (A) Requiring responding guards to interpose themselves between 
material access areas and vital areas and any adversary attempting entry 
for the purpose of theft of special nuclear material or radiological 
sabotage and to intercept any person exiting with special nuclear 
material, and,
    (B) Informing local law enforcement agencies of the threat and 
requesting assistance.
    (4) The licensee shall instruct every guard to prevent or impede 
attempted acts of theft or radiological sabotage by using force 
sufficient to counter the force directed at him including deadly force 
when the guard has a reasonable belief it is necessary in self-defense 
or in the defense of others.
    (h) Each licensee shall establish, maintain, and follow an NRC-
approved training and qualifications plan outlining the processes by 
which guards, watchmen, armed response persons, and other members of the 
security organization will be selected, trained, equipped, tested, and 
qualified to ensure that these individuals meet the requirements of 
paragraph (a)(4) of this section.

(Sec. 161i, Pub. L. 83-703, 68 Stat. 948, Pub. L. 93-377, 88 Stat. 475; 
secs. 201, 204(b)(1), Pub. L. 93-438, 88 Stat. 1242-1243, 1245, Pub. L. 
94-79, 89 Stat. 413 (42 U.S.C. 2201, 5841, 5844))

[38 FR 35430, Dec. 28, 1973, as amended at 42 FR 64103, Dec. 22, 1977; 
43 FR 11965, Mar. 23, 1978; 43 FR 37426, Aug. 23, 1978; 44 FR 68198, 
Nov. 28, 1979; 53 FR 19259, May 27, 1988; 57 FR 33430, July 29, 1992; 57 
FR 61787, Dec. 29, 1992; 59 FR 50689, Oct. 5, 1994; 63 FR 26962, May 15, 
1998]



Sec. 73.51  Requirements for the physical protection of stored spent nuclear fuel and high-level radioactive waste.

    (a) Applicability. Notwithstanding the provisions of Secs. 73.20, 
73.50, or 73.67, the physical protection requirements of this section 
apply to each licensee that stores spent nuclear fuel and high-level 
radioactive waste pursuant to paragraphs (a)(1)(i), (ii), and (2) of 
this section. This includes--
    (1) Spent nuclear fuel and high-level radioactive waste stored under 
a specific license issued pursuant to part 72 of this chapter:
    (i) At an independent spent fuel storage installation (ISFSI) or
    (ii) At a monitored retrievable storage (MRS) installation; or
    (2) Spent nuclear fuel and high-level radioactive waste at a 
geologic repository operations area (GROA) licensed pursuant to part 60 
or 63 of this chapter;
    (b) General performance objectives. (1) Each licensee subject to 
this section shall establish and maintain a physical protection system 
with the objective of providing high assurance that activities involving 
spent nuclear fuel and high-level radioactive waste do not constitute an 
unreasonable risk to public health and safety.
    (2) To meet the general objective of paragraph (b)(1) of this 
section, each licensee subject to this section shall meet the following 
performance capabilities.

[[Page 430]]

    (i) Store spent nuclear fuel and high-level radioactive waste only 
within a protected area;
    (ii) Grant access to the protected area only to individuals who are 
authorized to enter the protected area;
    (iii) Detect and assess unauthorized penetration of, or activities 
within, the protected area;
    (iv) Provide timely communication to a designated response force 
whenever necessary; and
    (v) Manage the physical protection organization in a manner that 
maintains its effectiveness.
    (3) The physical protection system must be designed to protect 
against loss of control of the facility that could be sufficient to 
cause a radiation exposure exceeding the dose as described in 
Sec. 72.106 of this chapter.
    (c) Plan retention. Each licensee subject to this section shall 
retain a copy of the effective physical protection plan as a record for 
3 years or until termination of the license for which procedures were 
developed.
    (d) Physical protection systems, components, and procedures. A 
licensee shall comply with the following provisions as methods 
acceptable to NRC for meeting the performance capabilities of 
Sec. 73.51(b)(2). The Commission may, on a specific basis and upon 
request or on its own initiative, authorize other alternative measures 
for the protection of spent fuel and high-level radioactive waste 
subject to the requirements of this section, if after evaluation of the 
specific alternative measures, it finds reasonable assurance of 
compliance with the performance capabilities of paragraph (b)(2) of this 
section.
    (1) Spent nuclear fuel and high-level radioactive waste must be 
stored only within a protected area so that access to this material 
requires passage through or penetration of two physical barriers, one 
barrier at the perimeter of the protected area and one barrier offering 
substantial penetration resistance. The physical barrier at the 
perimeter of the protected area must be as defined in Sec. 73.2. 
Isolation zones, typically 20 feet wide each, on both sides of this 
barrier, must be provided to facilitate assessment. The barrier offering 
substantial resistance to penetration may be provided by an approved 
storage cask or building walls such as those of a reactor or fuel 
storage building.
    (2) Illumination must be sufficient to permit adequate assessment of 
unauthorized penetrations of or activities within the protected area.
    (3) The perimeter of the protected area must be subject to continual 
surveillance and be protected by an active intrusion alarm system which 
is capable of detecting penetrations through the isolation zone and that 
is monitored in a continually staffed primary alarm station and in one 
additional continually staffed location. The primary alarm station must 
be located within the protected area; have bullet-resisting walls, 
doors, ceiling, and floor; and the interior of the station must not be 
visible from outside the protected area. A timely means for assessment 
of alarms must also be provided. Regarding alarm monitoring, the 
redundant location need only provide a summary indication that an alarm 
has been generated.
    (4) The protected area must be monitored by daily random patrols.
    (5) A security organization with written procedures must be 
established. The security organization must include sufficient personnel 
per shift to provide for monitoring of detection systems and the conduct 
of surveillance, assessment, access control, and communications to 
assure adequate response. Members of the security organization must be 
trained, equipped, qualified, and requalified to perform assigned job 
duties in accordance with appendix B to part 73, sections I.A, (1) (a) 
and (b), B(1)(a), and the applicable portions of II.
    (6) Documented liaison with a designated response force or local law 
enforcement agency (LLEA) must be established to permit timely response 
to unauthorized penetration or activities.
    (7) A personnel identification system and a controlled lock system 
must be established and maintained to limit access to authorized 
individuals.
    (8) Redundant communications capability must be provided between 
onsite security force members and designated response force or LLEA.
    (9) All individuals, vehicles, and hand-carried packages entering 
the

[[Page 431]]

protected area must be checked for proper authorization and visually 
searched for explosives before entry.
    (10) Written response procedures must be established and maintained 
for addressing unauthorized penetration of, or activities within, the 
protected area including Category 5, ``Procedures,'' of appendix C to 
part 73. The licensee shall retain a copy of response procedures as a 
record for 3 years or until termination of the license for which the 
procedures were developed. Copies of superseded material must be 
retained for 3 years after each change or until termination of the 
license.
    (11) All detection systems and supporting subsystems must be tamper 
indicating with line supervision. These systems, as well as 
surveillance/assessment and illumination systems, must be maintained in 
operable condition. Timely compensatory measures must be taken after 
discovery of inoperability, to assure that the effectiveness of the of 
the security system is not reduced.
    (12) The physical protection program must be reviewed once every 24 
months by individuals independent of both physical protection program 
management and personnel who have direct responsibility for 
implementation of the physical protection program. The physical 
protection program review must include an evaluation of the 
effectiveness of the physical protection system and a verification of 
the liaison established with the designated response force or LLEA.
    (13) The following documentation must be retained as a record for 3 
years after the record is made or until termination of the license. 
Duplicate records to those required under Sec. 72.180 of part 72 and 
Sec. 73.71 of this part need not be retained under the requirements of 
this section:
    (i) A log of individuals granted access to the protected area;
    (ii) Screening records of members of the security organization;
    (iii) A log of all patrols;
    (iv) A record of each alarm received, identifying the type of alarm, 
location, date and time when received, and disposition of the alarm; and
    (v) The physical protection program review reports.
    (e) A licensee that operates a GROA is exempt from the requirements 
of this section for that GROA after permanent closure of the GROA.

[63 FR 26962, May 15, 1998, as amended at 63 FR 49414, Sept. 16, 1998; 
66 FR 55816, Nov. 2, 2001]



Sec. 73.55  Requirements for physical protection of licensed activities in nuclear power reactors against radiological sabotage.

    By Dec. 2, 1986 each licensee, as appropriate, shall submit proposed 
amendments to its security plan which define how the amended 
requirements of paragraphs (a), (d)(7), (d)(9), and (e)(1) will be met. 
Each submittal must include a proposed implementation schedule for 
Commission approval. The amended safeguards requirements of these 
paragraphs must be implemented by the licensee within 180 days after 
Commission approval of the proposed security plan in accordance with the 
approved schedule.
    (a) General performance objective and requirements. The licensee 
shall establish and maintain an onsite physical protection system and 
security organization which will have as its objective to provide high 
assurance that activities involving special nuclear material are not 
inimical to the common defense and security and do not constitute an 
unreasonable risk to the public health and safety. The physical 
protection system shall be designed to protect against the design basis 
threat of radiological sabotage as stated in Sec. 73.1(a). To achieve 
this general performance objective, the onsite physical protection 
system and security organization must include, but not necessarily be 
limited to, the capabilities to meet the specific requirements contained 
in paragraphs (b) through (h) of this section. The Commission may 
authorize an applicant or licensee to provide measures for protection 
against radiological sabotage other than those required by this section 
if the applicant or licensee demonstrates that the measures have the 
same high assurance objective as specified in this paragraph and that 
the overall level of system performance provides protection against 
radiological sabotage equivalent to that which would be provided

[[Page 432]]

by paragraphs (b) through (h) of this section and meets the general 
performance requirements of this section. Specifically, in the special 
cases of licensed operating reactors with adjacent reactor power plants 
under construction, the licensee shall provide and maintain a level of 
physical protection of the operating reactor against radiological 
sabotage equivalent to the requirements of this section. In accordance 
with Secs. 50.54(x) and 50.54(y) of part 50, the licensee may suspend 
any safeguards measures pursuant to Sec. 73.55 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 specification 
that can provide adequate or equivalent protection is immediately 
apparent. This suspension must be approved as a minimum by a licensed 
senior operator prior to taking the action. The suspension of safeguards 
measures must be reported in accordance with the provisions of 
Sec. 73.71. Reports made under Sec. 50.72 need not be duplicated under 
Sec. 73.71.
    (b) Physical Security Organization. (1) The licensee shall establish 
a security organization, including guards, to protect his facility 
against radiological sabotage. If a contract guard force is utilized for 
site security, the licensee's written agreement with the contractor that 
must be retained by the licensee as a record for the duration of the 
contract will clearly show that:
    (i) The licensee is responsible to the Commission for maintaining 
safeguards in accordance with Commission regulations and the licensee's 
security plan,
    (ii) The NRC may inspect, copy, and take away copies of all reports 
and documents required to be kept by Commission regulations, orders, or 
applicable license conditions whether the reports and documents are kept 
by the licensee or the contractor,
    (iii) The requirement in paragraph (b)(4) of this section that the 
licensee demonstrate the ability of physical security personnel to 
perform their assigned duties and responsibilities, includes 
demonstration of the ability of the contractor's physical security 
personnel to perform their assigned duties and responsibilities in 
carrying out the provisions of the Security Plan and these regulations, 
and
    (iv) The contractor will not assign any personnel to the site who 
have not first been made aware of these responsibilities.
    (2) At least one full time member of the security organization who 
has the authority to direct the physical protection activities of the 
security organization shall be onsite at all times.
    (3) The licensee shall have a management system to provide for the 
development, revision, implementation, and enforcement of security 
procedures. The system shall include:
    (i) Written security procedures that document the structure of the 
security organization and detail the duties of guards, watchmen, and 
other individuals responsible for security. The licensee shall maintain 
a copy of the current procedures as a record until the Commission 
terminates each license for which the procedures were developed and, if 
any portion of the procedure is superseded, retain the superseded 
material for three years after each change.
    (ii) Provision for written approval of these procedures and any 
revisions to the procedures by the individual with overall 
responsibility for the security functions. The licensee shall retain 
each written approval as a record for three years from the date of the 
approval.
    (4)(i) The licensee may not permit an individual to act as a guard, 
watchman armed response person, or other member of the security 
organization unless the individual has been trained, equipped, and 
qualified to perform each assigned security job duty in accordance with 
appendix B, ``General Criteria for Security Personnel,'' to this part. 
Upon the request of an authorized representative of the Commission, the 
licensee shall demonstrate the ability of the physical security 
personnel to carry out their assigned duties and responsibilities. Each 
guard, watchman, armed response person, and other member of the security 
organization shall requalify in accordance with appendix B to this part 
at least every 12 months. This requalification must be documented. The 
licensee shall retain the

[[Page 433]]

documentation of each requalification as a record for three years after 
the requalification.
    (ii) Each licensee shall establish, maintain, and follow an NRC-
approved training and qualifications plan outlining the processes by 
which guards, watchmen, armed response persons, and other members of the 
security organization will be selected, trained, equipped, tested, and 
qualified to ensure that these individuals meet the requirements of this 
paragraph. The licensee shall maintain the current training and 
qualifications plan as a record until the Commission terminates the 
license for which the plan was developed and, if any portion of the plan 
is superseded, retain that superseded portion for 3 years after the 
effective date of the change. The training and qualifications plan must 
include a schedule to show how all security personnel will be qualified 
2 years after the submitted plan is approved. The training and 
qualifications plan must be followed by the licensee 60 days after the 
submitted plan is approved by the NRC.
    (c) Physical barriers. (1) The licensee shall locate vital equipment 
only within a vital area, which in turn, shall be located within a 
protected area such that access to vital equipment requires passage 
through at least two physical barriers of sufficient strength to meet 
the performance requirements of paragraph (a) of this section. More than 
one vital area may be located within a single protected area.
    (2) The physical barriers at the perimeter of the protected area 
shall be separated from any other barrier designated as a physical 
barrier for a vital area within the protected area.
    (3) Isolation zones shall be maintained in outdoor areas adjacent to 
the physical barrier at the perimeter of the protected area and shall be 
of sufficient size to permit observation of the activities of people on 
either side of that barrier in the event of its penetration. If parking 
facilities are provided for employees or visitors, they shall be located 
outside the isolation zone and exterior to the protected area barrier.
    (4) Detection of penetration or attempted penetration of the 
protected area or the isolation zone adjacent to the protected area 
barrier shall assure that adequate response by the security organization 
can be initiated. All exterior areas within the protected area shall be 
periodically checked to detect the presence of unauthorized persons, 
vehicles, or materials.
    (5) 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 0.2 footcandle measured horizontally at 
ground level.
    (6) The walls, doors, ceiling, floor, and any windows in the walls 
and in the doors of the reactor control room shall be bullet-resisting.
    (7) Vehicle control measures, including vehicle barrier systems, 
must be established to protect against use of a land vehicle, as 
specified by the Commission, as a means of transportation to gain 
unauthorized proximity to vital areas.
    (8) Each licensee shall compare the vehicle control measures 
established in accordance with 10 CFR 73.55 (c)(7) to the Commission's 
design goals (i.e., to protect equipment, systems, devices, or material, 
the failure of which could directly or indirectly endanger public health 
and safety by exposure to radiation) and criteria for protection against 
a land vehicle bomb. Each licensee shall either:
    (i) Confirm to the Commission that the vehicle control measures meet 
the design goals and criteria specified; or
    (ii) Propose alternative measures, in addition to the measures 
established in accordance with 10 CFR 73.55 (c)(7), describe the level 
of protection that these measures would provide against a land vehicle 
bomb, and compare the costs of the alternative measures with the costs 
of measures necessary to fully meet the design goals and criteria. The 
Commission will approve the proposed alternative measures if they 
provide substantial protection against a land vehicle bomb, and it is 
determined by an analysis, using the essential elements of 10 CFR 
50.109, that the costs of fully meeting the design goals and criteria 
are not justified by the added protection that would be provided.

[[Page 434]]

    (9) Each licensee authorized to operate a nuclear power reactor 
shall:
    (i) By February 28, 1995 submit to the Commission a summary 
description of the proposed vehicle control measures as required by 10 
CFR 73.55 (c)(7) and the results of the vehicle bomb comparison as 
required by 10 CFR 73.55 (c)(8). For licensees who choose to propose 
alternative measures as provided for in 10 CFR 73.55 (c)(8), the 
proposal must be submitted in accordance with 10 CFR 50.90 and include 
the analysis and justification for the proposed alternatives.
    (ii) By February 29, 1996 fully implement the required vehicle 
control measures, including site-specific alternative measures as 
approved by the Commission.
    (iii) Protect as Safeguards Information, information required by the 
Commission pursuant to 10 CFR 73.55(c) (8) and (9).
    (iv) Retain, in accordance with 10 CFR 73.70, all comparisons and 
analyses prepared pursuant to 10 CFR 73.55 (c) (7) and (8).
    (10) Each applicant for a license to operate a nuclear power reactor 
pursuant to 10 CFR 50.21(b) or 10 CFR 50.22, whose application was 
submitted prior to August 31, 1994, shall incorporate the required 
vehicle control program into the site Physical Security Plan and 
implement it by the date of receipt of the operating license.
    (d) Access Requirements. (1) The licensee shall control all points 
of personnel and vehicle access into a protected area. Identification 
and search of all individuals unless otherwise provided in this section 
must be made and authorization must be checked at these points. The 
search function for detection of firearms, explosives, and incendiary 
devices must be accomplished through the use of both firearms and 
explosive detection equipment capable of detecting those devices. The 
licensee shall subject all persons except bona fide Federal, State, and 
local law enforcement personnel on official duty to these equipment 
searches upon entry to a protected area. Armed security guards who are 
on duty and have exited the protected area may reenter the protected 
area without being searched for firearms. When the licensee has cause to 
suspect that an individual is attempting to introduce firearms, 
explosives, or incendiary devices into protected areas, the licensee 
shall conduct a physical pat-down search of that individual. Whenever 
firearms or explosives detection equipment at a portal is out of service 
or not operating satisfactorily, the licensee shall conduct a physical 
pat-down search of all persons who would otherwise have been subject to 
equipment searches. The individual responsible for the last access 
control function (controlling admission to the protected area) must be 
isolated within a bullet-resisting structure as described in paragraph 
(c)(6) of this section to assure his or her ability to respond or to 
summon assistance.
    (2) At the point of personnel and vehicle access into a protected 
area, all hand-carried packages shall be searched for devices such as 
firearms, explosives, and incendiary devices, or other items which could 
be used for radiological sabotage.
    (3) All packages and material for delivery into the protected area 
shall be checked for proper identification and authorization and 
searched for devices such as firearms, explosives and incendiary devices 
or other items which could be used for radiological sabotage, prior to 
admittance into the protected area, except those Commission approved 
delivery and inspection activities specifically designated by the 
licensee to be carried out within vital or protected areas for reasons 
of safety, security or operational necessity.
    (4) All vehicles, except under emergency conditions, must be 
searched for items which could be used for sabotage purposes prior to 
entry into the protected area. Vehicle areas to be searched must include 
the cab, engine compartment, undercarriage, and cargo area. All 
vehicles, except as indicated in this paragraph, requiring entry into 
the protected area must be escorted by a member of the security 
organization while within the protected area and, to the extent 
practicable, must be off loaded in the protected area at a specific 
designated material receiving area that is not adjacent to a vital area. 
Escort is not required for designated licensee vehicles or licensee-
owned or leased vehicles entering the

[[Page 435]]

protected area and driven by personnel having unescorted access. 
Designated licensee vehicles shall be limited in their use to onsite 
plant functions and shall remain in the protected area except for 
operational, maintenance, repair, security, and emergency purposes. The 
licensee shall exercise positive control over all such designated 
vehicles to assure that they are used only by authorized persons and for 
authorized purposes.
    (5)(i) A numbered picture badge identification system must be used 
for all individuals who are authorized access to protected areas without 
escort. An individual not employed by the licensee but who requires 
frequent and extended access to protected and vital areas may be 
authorized access to such areas without escort provided that he or she 
displays a licensee-issued picture badge upon entrance into the 
protected area which indicates:
    (A) Non-employee no escort required;
    (B) Areas to which access is authorized; and
    (C) The period for which access has been authorized.
    (ii) Badges shall be displayed by all individuals while inside the 
protected area. Badges may be removed from the protected area when 
measures are in place to confirm the true identity and authorization for 
access of the badge holder upon entry to the protected area.
    (6) Individuals not authorized by the licensee to enter protected 
areas without escort shall be escorted by a watchman or other individual 
designated by the licensee while in a protected area and shall be badged 
to indicate that an escort is required. In addition, the licensee shall 
require that each individual register his or her name, date, time, 
purpose of visit, employment affiliation, citizenship, and name of the 
individual to be visited. The licensee shall retain the register of 
information for three years after the last entry in the register.
    (7) The licensee shall:
    (i) Establish an access authorization system to limit unescorted 
access to vital areas during nonemergency conditions to individuals who 
require access in order to perform their duties. To achieve this, the 
licensee shall:
    (A) Establish a current authorization access list for all vital 
areas. The access list must be updated by the cognizant licensee manager 
or supervisor at least once every 31 days and must be reapproved at 
least quarterly. The licensee shall include on the access list only 
individuals whose specific duties require access to vital areas during 
nonemergency conditions.
    (B) Positively control, in accordance with the access list 
established pursuant to paragraph (d)(7)(i) of this section, all points 
of personnel and vehicle access to vital areas.
    (C) Revoke, in the case of an individual's involuntary termination 
for cause, the individual's unescorted facility access and retrieve his 
or her identification badge and other entry devices, as applicable, 
prior to or simultaneously with notifying this individual of his or her 
termination.
    (D) Lock and protect by an activated intrusion alarm system all 
unoccupied vital areas.
    (ii) Design the access authorization system to accommodate the 
potential need for rapid ingress or egress of individuals during 
emergency conditions or situations that could lead to emergency 
conditions. To help assure this, the licensee shall:
    (A) Ensure prompt access to vital equipment.
    (B) Periodically review physical security plans and contingency 
plans and procedures to evaluate their potential impact on plant and 
personnel safety.
    (8) All keys, locks, combinations, and related access control 
devices used to control access to protected areas must be controlled to 
reduce the probability of compromise. Whenever there is evidence or 
suspicion that any key, lock, combination, or related access control 
devices may have been compromised, it must be changed or rotated. The 
licensee shall issue keys, locks, combinations and other access control 
devices to protected areas and vital areas only to persons granted 
unescorted facility access. Whenever an individual's unescorted access 
is revoked due to his or her lack of trustworthiness, reliability, or 
inadequate work performance, key, locks, combinations, and related 
access control devices to which

[[Page 436]]

that person had access, must be changed or rotated.
    (e) Detection aids. (1) All alarms required pursuant to this part 
must annunciate in a continuously manned central alarm station located 
within the protected area and in at least one other continuously manned 
station not necessarily onsite, so that a single act cannot remove the 
capability of calling for assistance or otherwise responding to an 
alarm. The onsite central alarm station must be considered a vital area 
and its walls, doors, ceiling, floor, and any windows in the walls and 
in the doors must be bullet-resisting. The onsite central alarm station 
must be located within a building in such a manner that the interior of 
the central alarm station is not visible from the perimeter of the 
protected area. This station must not contain any operational activities 
that would interfere with the execution of the alarm response function. 
Onsite secondary power supply systems for alarm annunciator equipment 
and non-portable communications equipment as required in paragraph (f) 
of this section must be located within vital areas.
    (2) All alarm devices including transmission lines to annunciators 
shall be tamper indicating and self-checking e.g., an automatic 
indication is provided when failure of the alarm system or a component 
occurs, or when the system is on standby power. The annunciation of an 
alarm at the alarm stations shall indicate the type of alarm (e.g., 
intrusion alarms, emergency exit alarm, etc.) and location.
    (3) All emergency exits in each protected area and each vital area 
shall be alarmed.
    (f) Communication requirements. (1) Each guard, watchman or armed 
response individual on duty shall be capable of maintaining continuous 
communication with an individual in each continuously manned alarm 
station required by paragraph (e)(1) of this section, who shall be 
capable of calling for assistance from other guards, watchmen, and armed 
response personnel and from local law enforcement authorities.
    (2) The alarm stations required by paragraph (e)(1) of this section 
shall have conventional telephone service for communication with the law 
enforcement authorities as described in paragraph (f)(1) of this 
section.
    (3) To provide the capability of continuous communication, radio or 
microwave transmitted two-way voice communication, either directly or 
through an intermediary, shall be established, in addition to 
conventional telephone service, between local law enforcement 
authorities and the facility and shall terminate in each continuously 
manned alarm station required by paragraph (e)(1) of this section.
    (4) Non-portable communications equipment controlled by the licensee 
and required by this section shall remain operable from independent 
power sources in the event of the loss of normal power.
    (g) Testing and maintenance. Each licensee shall test and maintain 
intrusion alarms, emergency alarms, communications equipment, physical 
barriers, and other security related devices or equipment utilized 
pursuant to this section as follows:
    (1) All alarms, communication equipment, physical barriers, and 
other security related devices or equipment shall be maintained in 
operable condition. The licensee shall develop and employ compensatory 
measures including equipment, additional security personnel and specific 
procedures to assure that the effectiveness of the security system is 
not reduced by failure or other contingencies affecting the operation of 
the security related equipment or structures.
    (2) Each intrusion alarm shall be tested for performance at the 
beginning and end of any period that it is used for security. If the 
period of continuous use is longer than seven days, the intrusion alarm 
shall also be tested at least once every seven (7) days.
    (3) Communications equipment required for communications onsite 
shall be tested for performance not less frequently than once at the 
beginning of each security personnel work shift. Communications 
equipment required for communications offsite shall be tested for 
performance not less than once a day.
    (4)(i) The licensee shall review implementation of the security 
program by

[[Page 437]]

individuals who have no direct responsibility for the security program 
either:
    (A) At intervals not to exceed 12 months, or
    (B) As necessary, based on an assessment by the licensee against 
performance indicators and as soon as reasonably practicable after a 
change occurs in personnel, procedures, equipment, or facilities that 
potentially could adversely affect security but no longer than 12 months 
after the change. In any case, each element of the security program must 
be reviewed at least every 24 months.
    (ii) The security program review must include an audit of security 
procedures and practices, an evaluation of the effectiveness of the 
physical protection system, an audit of the physical protection system 
testing and maintenance program, and an audit of commitments established 
for response by local law enforcement authorities. The results and 
recommendations of the security program review, management's findings on 
whether the security program is currently effective, and any actions 
taken as a result of recommendations from prior program reviews must be 
documented in a report to the licensee's plant manager and to corporate 
management at least one level higher than that having responsibility for 
the day-to-day plant operation. These reports must be maintained in an 
auditable form, available for inspection, for a period of 3 years.
    (h) Response requirement. (1) The licensee shall establish, 
maintain, and follow an NRC-approved safeguards contingency plan for 
responding to threats, thefts, and radiological sabotage related to the 
nuclear facilities subject to the provisions of this section. Safeguards 
contingency plans must be in accordance with the criteria in appendix C 
to this part, ``Licensee Safeguards Contingency Plans.''
    (2) The licensee shall establish and document liaison with local law 
enforcement authorities. The licensee shall retain documentation of the 
current liaison as a record until the Commission terminates each license 
for which the liaison was developed and, if any portion of the liaison 
documentation is superseded, retain the superseded material for three 
years after each change.
    (3) The total number of guards, and armed, trained personnel 
immediately available at the facility to fulfill these response 
requirements shall nominally be ten (10), unless specifically required 
otherwise on a case by case basis by the Commission; however, this 
number may not be reduced to less than five (5) guards.
    (4) Upon detection of abnormal presence or activity of persons or 
vehicles within an isolation zone, a protected area, material access 
area, or a vital area; or upon evidence or indication of intrusion into 
a protected area, a material access area, or a vital area, the licensee 
security organization shall:
    (i) Determine whether or not a threat exists,
    (ii) Assess the extent of the threat, if any,
    (iii) Take immediate concurrent measures to neutralize the threat 
by:
    (A) Requiring responding guards or other armed response personnel to 
interpose themselves between vital areas and material access areas and 
any adversary attempting entry for the purpose of radiological sabotage 
or theft of special nuclear material and to intercept any person exiting 
with special nuclear material, and,
    (B) Informing local law enforcement agencies of the threat and 
requesting assistance.
    (5) The licensee shall instruct every guard and all armed response 
personnel to prevent or impede attempted acts of theft or radiological 
sabotage by using force sufficient to counter the force directed at him 
including the use of deadly force when the guard or other armed response 
person has a reasonable belief it is necessary in self-defense or in the 
defense of others.
    (6) To facilitate initial response to detection of penetration of 
the protected area and assessment of the existence of a threat, a 
capability of observing the isolation zones and the physical barrier at 
the perimeter of the protected area shall be provided, preferably by 
means of closed circuit television or by other suitable means

[[Page 438]]

which limit exposure of responding personnel to possible attack.

(Sec. 161i, Pub. L. 83-703, 68 Stat. 948, Pub. L. 93-377, 88 Stat. 475; 
secs. 201, 204(b)(1), Pub. L. 93-438, 88 Stat. 1242-1243, 1245, Pub. L. 
94-79, 89 Stat. 413 (42 U.S.C. 2201, 5841))

[42 FR 10838, Feb. 24, 1977, as amended at 42 FR 51607, Sept. 29, 1977; 
43 FR 11965, Mar. 23, 1978; 43 FR 34766, Aug. 7, 1978; 44 FR 65970, Nov. 
16, 1979; 44 FR 68198, Nov. 28, 1979; 45 FR 79410, Dec. 1, 1980; 45 FR 
83196, Dec. 18, 1980; 51 FR 27821, 27825, Aug. 4, 1986; 51 FR 30054, 
Aug. 22, 1986; 52 FR 12365, Apr. 16, 1987; 53 FR 19259, May 27, 1988; 57 
FR 33431, July 29, 1992; 59 FR 38900, Aug. 1, 1994; 60 FR 46498, Sept. 
7, 1995; 62 FR 63643, Dec. 2, 1997; 64 FR 14818, Mar. 29, 1999; 64 FR 
17947, Apr. 13, 1999]



Sec. 73.56  Personnel access authorization requirements for nuclear power plants.

    (a) General. (1) Each licensee who is authorized on April 25, 1991, 
to operate a nuclear power reactor pursuant to Secs. 50.21(b) or 50.22 
of this chapter shall comply with the requirements of this section. By 
April 27, 1992, the required access authorization program must be 
incorporated into the site Physical Security Plan as provided for by 10 
CFR 50.54(p)(2) and implemented. By April 27, 1992, each licensee shall 
certify to the NRC that it has implemented an access authorization 
program that meets the requirements of this part.
    (2) Each applicant for a license to operate a nuclear power reactor 
pursuant to Secs. 50.21(b) or 50.22 of this chapter, whose application 
was submitted prior to April 25, 1991, shall either by April 27, 1992, 
or the date of receipt of the operating license, whichever is later, 
incorporate the required access authorization program into the site 
Physical Security Plan and implement it.
    (3) Each applicant for a license to operate a nuclear power reactor 
pursuant to Secs. 50.21(b) or 50.22 of this chapter and each applicant 
for a combined construction permit and operating license pursuant to 
part 52 of this chapter, whose application is submitted after April 25, 
1991, shall include the required access authorization program as part of 
its Physical Security Plan. The applicant, upon receipt of an operating 
license or upon receipt of operating authorization, shall implement the 
required access authorization program as part of its site Physical 
Security Plan.
    (4) The licensee may accept an access authorization program used by 
its contractors or vendors for their employees provided it meets the 
requirements of this section. The licensee may accept part of an access 
authorization program used by its contractors, vendors, or other 
affected organizations and substitute, supplement, or duplicate any 
portion of the program as necessary to meet the requirements of this 
section. In any case, the licensee is responsible for granting, denying, 
or revoking unescorted access authorization to any contractor, vendor, 
or other affected organization employee.
    (b) General performance objective and requirements. (1) The licensee 
shall establish and maintain an access authorization program granting 
individuals unescorted access to protected and vital areas with the 
objective of providing high assurance that individuals granted 
unescorted access are trustworthy and reliable, and do not constitute an 
unreasonable risk to the health and safety of the public including a 
potential to commit radiological sabotage.
    (2) Except as provided for in paragraphs (c) and (d) of this 
section, the unescorted access authorization program must include the 
following:
    (i) A background investigation designed to identify past actions 
which are indicative of an individual's future reliability within a 
protected or vital area of a nuclear power reactor. As a minimum, the 
background investigation must verify an individual's true identity, and 
develop information concerning an individual's employment history, 
education history, credit history, criminal history, military service, 
and verify an individual's character and reputation.
    (ii) A psychological assessment designed to evaluate the possible 
impact of any noted psychological characteristics which may have a 
bearing on trustworthiness and reliability.
    (iii) Behavioral observation, conducted by supervisors and 
management personnel, designed to detect individual behavioral changes 
which, if left unattended, could lead to acts detrimental to the public 
health and safety.

[[Page 439]]

    (3) The licensee shall base its decision to grant, deny, revoke, or 
continue an unescorted access authorization on review and evaluation of 
all pertinent information developed.
    (4) Failure by an individual to report any previous suspension, 
revocation, or denial of unescorted access to nuclear power reactors is 
considered sufficient cause for denial of unescorted access 
authorization.
    (c) Existing, reinstated, transferred, and temporary access 
authorization. (1) Individuals who have had an uninterrupted unescorted 
access authorization for at least 180 days on April 25, 1991 need not be 
further evaluated. Such individuals shall be subject to the behavioral 
observation requirements of this section.
    (2) The access authorization program may specify conditions for 
reinstating an interrupted access authorization, for transferring an 
access authorization from another licensee, and for permitting temporary 
unescorted access authorization.
    (3) The licensee shall grant unescorted access authorization to all 
individuals who have been certified by the Nuclear Regulatory Commission 
as suitable for such access.
    (d) Requirements during cold shutdown. (1) The licensee may grant 
unescorted access during cold shutdown to an individual who does not 
possess an access authorization granted in accordance with paragraph (b) 
of this section provided the licensee develops and incorporates into its 
Physical Security Plan measures to be taken to ensure that the 
functional capability of equipment in areas for which the access 
authorization requirement has been relaxed has not been impaired by 
relaxation of that requirement.
    (2) Prior to incorporating such measures into its Physical Security 
Plan the licensee shall submit those plan changes to the NRC for review 
and approval pursuant to Sec. 50.90.
    (3) Any provisions in licensees' security plans that allow for 
relaxation of access authorization requirements during cold shutdown are 
superseded by this rule. Provisions in licensees' Physical Security 
Plans on April 25, 1991 that provide for devitalization (that is, a 
change from vital to protected area status) during cold shutdown are not 
affected.
    (e) Review procedures. Each licensee implementing an unescorted 
access authorization program under the provisions of this section shall 
include a procedure for the review, at the request of the affected 
employee, of a denial or revocation by the licensee of unescorted access 
authorization of an employee of the licensee, contractor, or vendor, 
which adversely affects employment. The procedure must provide that the 
employee is informed of the grounds for denial or revocation and allow 
the employee an opportunity to provide additional relevant information, 
and provide an opportunity for an objective review of the information on 
which the denial or revocation was based. The procedure may be an 
impartial and independent internal management review. Unescorted access 
may not be granted to the individual during the review process.
    (f) Protection of information. (1) Each licensee, contractor, or 
vendor who collects personal information on an employee for the purpose 
of complying with this section shall establish and maintain a system of 
files and procedures for the protection of the personal information.
    (2) Licensees, contractors, and vendors small make available such 
personal information to another licensee, contractor, or vendor provided 
that the request is accompanied by a signed release from the individual.
    (3) Licensees, contractors, and vendors may not disclose the 
personal information collected and maintained to persons other than:
    (i) Other licensees, contractors, or vendors, or their authorized 
representatives, legitimately seeking the information as required by 
this section for unescorted access decisions and who have obtained a 
signed release from the individual.
    (ii) NRC representatives;
    (iii) Appropriate law enforcement officials under court order;
    (iv) The subject individual or his or her representative;
    (v) Those licensee representatives who have a need to have access to 
the

[[Page 440]]

information in performing assigned duties, including audits of 
licensee's, contractor's, and vendor's programs;
    (vi) Persons deciding matters on review or appeal; or
    (vii) 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.
    (g) Audits. (1) Each licensee shall audit its access authorization 
program within 12 months of the effective date of implementation of this 
program and at least every 24 months thereafter to ensure that the 
requirements of this section are satisfied.
    (2) Each licensee who accepts the access authorization program of a 
contractor or vendor as provided for by paragraph (a)(4) of this section 
shall have access to records and shall audit contractor or vendor 
programs every 12 months to ensure that the requirements of this section 
are satisfied. Licensees may accept audits of contractors and vendors 
conducted by other licensees. Each sharing utility shall maintain a copy 
of the audit report, to include findings, recommendations and corrective 
actions. Each licensee retains responsibility for the effectiveness of 
any contractor and vendor program it accepts and the implementation of 
appropriate corrective action.
    (h) Records. (1) Each licensee who issues an individual unescorted 
access authorization shall retain the records on which the authorization 
is based for the duration of the unescorted access authorization and for 
a five-year period following its termination. Each licensee who denies 
an individual unescorted access shall retain the records on which the 
denial is based for 5 years.
    (2) Each licensee shall retain records of results of audits, 
resolution of the audit findings and corrective actions for three years.

(Approved by the Office of Management and Budget under OMB control 
number 3150-0002)

[56 FR 19007, Apr. 25, 1991, as amended at 56 FR 24239, May 29, 1991]



Sec. 73.57  Requirements for criminal history checks of individuals granted unescorted access to a nuclear power facility or access to Safeguards Information by 
          power reactor licensees.

    (a) General. (1) Each licensee who is authorized to operate a 
nuclear power reactor under part 50 shall comply with the requirements 
of this section.
    (2) Each applicant for a license to operate a nuclear power reactor 
pursuant to part 50 of this chapter shall submit fingerprint cards for 
those individuals who have or will have access to Safeguards 
Information.
    (3) Each applicant for a license to operate a nuclear power reactor 
pursuant to part 50 of this chapter may submit fingerprint cards prior 
to receiving its operating license for those individuals who will 
require unescorted access to the nuclear power facility.
    (b) General performance objective and requirements. (1) Except those 
listed in paragraph (b)(2) of this section, each licensee subject to the 
provisions of this section shall fingerprint each individual who is 
permitted unescorted access to the nuclear power facility or access to 
Safeguards Information. Individuals who have unescorted access 
authorization on April 1, 1987 will retain such access pending licensee 
receipt of the results of the criminal history check on the individual's 
fingerprints, so long as the cards were submitted by September 28, 1987. 
The licensee will then review and use the information received from the 
Federal Bureau of Investigation (FBI), and based on the provisions 
contained in this rule, determine either to continue to grant or to deny 
further unescorted access to the facility or Safeguards Information for 
that individual. Individuals who do not have unescorted access or access 
to Safeguards Information after April 1, 1987 shall be fingerprinted by 
the licensee and the results of the criminal history records check shall 
be used prior to making a determination for granting unescorted access 
to the nuclear power facility or access to Safeguards Information.
    (2) Licensees need not fingerprint in accordance with the 
requirements of

[[Page 441]]

this section for the following categories:
    (i) For unescorted access to the nuclear power facility or for 
access to Safeguards Information (but must adhere to provisions 
contained in Sec. 73.21): NRC employees and NRC contractors on official 
agency business; individuals responding to a site emergency in 
accordance with the provisions of Sec. 73.55(a); a representative of the 
International Atomic Energy Agency (IAEA) engaged in activities 
associated with the U.S./IAEA Safeguards Agreement at designated 
facilities who has been certified by the NRC; law enforcement personnel 
acting in an official capacity; State or local government employees who 
have had equivalent reviews of FBI criminal history data; and 
individuals employed at a facility who possess ``Q'' or ``L'' clearances 
or possess another active government granted security clearance, i.e., 
Top Secret, Secret, or Confidential;
    (ii) For access to Safeguards Information only but must adhere to 
provisions contained in Sec. 73.21: Employees of other agencies of the 
United States Government; a member of a duly authorized committee of the 
Congress; the Governor of a State or his/her designated representative; 
individuals to whom disclosure is ordered pursuant to Sec. 2.744(e);
    (iii) Any licensee currently processing criminal history requests 
through the FBI pursuant to Executive Order 10450 need not also submit 
such requests to the NRC under this section; and
    (iv) Upon further notice to licensees and without further 
rulemaking, the Commission may waive certain requirements of this 
section on a temporary basis.
    (3) The licensee shall notify each affected individual that the 
fingerprints will be used to secure a review of his/her criminal history 
record, and inform the individual of proper procedures for revising the 
record or including explanation in the record.
    (4) Fingerprinting is not required if the utility is reinstating the 
unescorted access to the nuclear power facility or access to Safeguards 
Information granted an individual if:
    (i) The individual returns to the same nuclear power utility that 
granted access and such access has not been interrupted for a continuous 
period of more than 365 days; and
    (ii) The previous access was terminated under favorable conditions.
    (5) Fingerprints need not be taken, in the discretion of the 
licensee, if an individual who is an employee of a licensee, contractor, 
manufacturer, or supplier has been granted unescorted access to a 
nuclear power facility or to Safeguards Information by another licensee, 
based in part on a criminal history records check under this section. 
The criminal history check file may be transferred to the gaining 
licensee in accordance with the provisions of paragraph (f)(3) of this 
section.
    (6) All fingerprints obtained by the licensee under this section 
must be submitted to the Attorney General of the United States through 
the Commission.
    (7) The licensee shall review the information received from the 
Attorney General and consider it in making a determination for granting 
unescorted access to the individual or access to Safeguards Information.
    (8) A licensee shall use the information obtained as part of a 
criminal history records check solely for the purpose of determining an 
individual's suitability for unescorted access to the nuclear power 
facility or access to Safeguards Information.
    (c) Prohibitions. (1) A licensee may not base a final determination 
to deny an individual unescorted access to the nuclear power facility or 
access to Safeguards Information solely on the basis of information 
received from the FBI involving:
    (i) An arrest more than 1 year old for which there is no information 
of the disposition of the case; or
    (ii) An arrest that resulted in dismissal of the charge or an 
acquittal.
    (2) A licensee may not use information received from a criminal 
history check obtained under this section in a manner that would 
infringe upon the rights of any individual under the First Amendment to 
the Constitution of the United States, nor shall the licensee use the 
information in any way which would discriminate among individuals

[[Page 442]]

on the basis of race, religion, national origin, sex, or age.
    (d) Procedures for processing of fingerprint checks. (1) For the 
purpose of complying with this section, licensees shall submit one 
completed, legible standard fingerprint card (Form FD-258, ORIMDNRCOOOZ, 
NRC Division of Security, Rockville, MD) which may be obtained from the 
NRC for each individual requiring unescorted access to the nuclear power 
facility or access to Safeguards Information to the Director, Division 
of Security, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Attention: Criminal History Check Section. Copies of these forms may be 
obtained by writing to: Information and Records Management Branch, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555. The licensee shall 
establish procedures to ensure that the quality of the fingerprints 
taken results in minimizing the rejection rate of fingerprint cards due 
to illegible or incomplete cards.
    (2) The Commission will review applications for criminal history 
checks for completeness. Any Form FD-258 containing omissions or evident 
errors will be returned to the licensee for corrections. The fee for 
processing fingerprint checks includes one free resubmission if the 
initial submission is returned by the FBI because the fingerprint 
impressions cannot be classified. The one free resubmission must have 
the initial (rejected) fingerprint cards attached. If additional 
submissions are necessary, they will be treated as an initial submittal 
and require a second payment of the processing fee. The payment of a new 
processing fee entitles the submitter to an additional free resubmittal, 
if necessary. Previously rejected submissions may not be included with 
the third submission because the submittal will be rejected 
automatically.
    (3) Fees for the processing of fingerprint checks are due upon 
application. Licensees shall submit payment with the application for the 
processing of fingerprints through corporate check, certified check, 
cashier's check, or money order made payable to ``U.S. NRC.'' The amount 
of the fee is the user fee for processing fingerprint cards submitted by 
the Nuclear Regulatory Commission on behalf of nuclear power plants 
charged by the FBI for each card. Combined payment for multiple 
applications is acceptable. The Commission will publish the user fee 
charged by the FBI in the Federal Register whenever the fee changes. The 
Commission will directly notify licensees who are subject to this 
regulation of any fee changes.
    (4) The Commission will forward to the submitting licensee all data 
received from the FBI as a result of the licensee's application(s) for 
criminal history checks, including the individual's fingerprint card.
    (e) Right to correct and complete information. (1) Prior to any 
final adverse determination, the licensee shall make available to the 
individual the contents of records obtained from the FBI for the purpose 
of assuring correct and complete information. Confirmation of receipt by 
the individual of this notification must be maintained by the licensee 
for a period of 1 year from the date of the notification.
    (2) If after reviewing the record, an individual believes that it is 
incorrect or incomplete in any respect and wishes changes, corrections, 
or updating (of the alleged deficiency), or to explain any matter in the 
record, the individual may initiate challenge procedures. These 
procedures include direct application by the individual challenging the 
record to the agency, i.e., law enforcement agency, that contributed the 
questioned information or direct challenge as to the accuracy or 
completeness of any entry on the criminal history record to the 
Assistant Director, Federal Bureau of Investigation Identification 
Division, Washington, DC 20537-9700 as set forth in 28 CFR 16.30 through 
16.34. In the latter case, the FBI then forwards the challenge to the 
agency that submitted the data requesting that agency to verify or 
correct the challenged entry. Upon receipt of an official communication 
directly from the agency that contributed the original information, the 
FBI Identification Division makes any changes necessary in accordance 
with the information supplied by that agency. Licensees must provide at 
least 10 days for an individual to initiate action to challenge the 
results of an FBI

[[Page 443]]

criminal history records check after the record being made available for 
his/her review. The licensee may make a final adverse determination 
based upon the criminal history record, if applicable, only upon receipt 
of the FBI's confirmation or correction of the record.
    (f) Protection of information. (1) Each licensee who obtains a 
criminal history record on an individual under this section shall 
establish and maintain a system of files and procedures for protection 
of the record and the personal information from unauthorized disclosure.
    (2) The licensee may not disclose the record or personal information 
collected and maintained to persons other than the subject individual, 
his/her representative, or to those who have a need to have access to 
the information in performing assigned duties in the process of granting 
or denying unescorted access to the nuclear power facility or access to 
Safeguards Information. No individual authorized to have access to the 
information may re-disseminate the information to any other individual 
who does not have a need to know.
    (3) The personal information obtained on an individual from a 
criminal history record check may be transferred to another licensee:
    (i) Upon the individual's written request to the licensee holding 
the data to re-disseminate the information contained in his/her file; 
and
    (ii) The gaining licensee verifies information such as name, date of 
birth, social security number, sex, and other applicable physical 
characteristics for identification.
    (4) The licensee shall make criminal history records obtained under 
this section available for examination by an authorized representative 
of the NRC to determine compliance with the regulations and laws.
    (5) The licensee shall retain all fingerprint cards and criminal 
history records received from the FBI, or a copy if the individual's 
file has been transferred, on an individual (including data indicating 
no record) for 1 year after termination or denial of unescorted access 
to the nuclear power facility or access to Safeguards Information.

[52 FR 6314, Mar. 2, 1987; 52 FR 7821, Mar. 13, 1987, as amended at 53 
FR 52994, Dec. 30, 1988; 55 FR 35563, Aug. 31, 1990; 56 FR 19008, Apr. 
25, 1991; 57 FR 7645, Mar. 4, 1992; 59 FR 662, Jan. 6, 1994; 59 FR 
38554, July 29, 1994; 60 FR 24552, May 9, 1995]



Sec. 73.60  Additional requirements for physical protection at nonpower reactors.

    Each nonpower reactor licensee who, pursuant to the requirements of 
part 70 of this chapter, possesses at any site or contiguous sites 
subject to control by the licensee uranium-235 (contained in uranium 
enriched to 20 percent or more in the U-235 isotope), uranium-233, or 
plutonium, alone or in any combination in a quantity of 5000 grams or 
more computed by the formula, grams=(grams contained U-235)+2.5 (grams 
U-233+grams plutonium), shall protect the special nuclear material from 
theft or diversion pursuant to the requirements of paragraphs 73.67 (a), 
(b), (c), and (d), in addition to this section, except that a licensee 
is exempt from the requirements of paragraphs (a), (b), (c), (d), and 
(e) of this section to the extent that it possesses or uses special 
nuclear material that is not readily separable from other radioactive 
material and that has a total external radiation dose rate in excess of 
100 rems per hour at a distance of 3 feet from any accessible surface 
without intervening shielding.
    (a) Access requirements. (1) Special nuclear material shall be 
stored or processed only in a material access area. No activities other 
than those which require access to special nuclear material or equipment 
employed in the process, use, or storage of special nuclear material, 
shall be permitted within a material access area.
    (2) Material access areas shall be located only within a protected 
area to which access is controlled.
    (3) Special nuclear material not in process shall be stored in a 
vault equipped with an intrusion alarm or in a vault-type room, and each 
such vault or vault-type room shall be controlled as a separate material 
access area.
    (4) Enriched uranium scrap in the form of small pieces, cuttings, 
chips,

[[Page 444]]

solutions or in other forms which result from a manufacturing process, 
contained in 30-gallon or larger containers, with a uranium-235 content 
of less than 0.25 grams per liter, may be stored within a locked and 
separately fenced area which is within a larger protected area provided 
that the storage area is no closer than 25 feet to the perimeter of the 
protected area. The storage area when unoccupied shall be protected by a 
guard or watchman who shall patrol at intervals not exceeding 4 hours, 
or by intrusion alarms.
    (5) Admittance to a material access area shall be under the control 
of authorized individuals and limited to individuals who require such 
access to perform their duties.
    (6) Prior to entry into a material access area, packages shall be 
searched for devices such as firearms, explosives, incendiary devices, 
or counterfeit substitute items which could be used for theft or 
diversion of special nuclear material.
    (7) Methods to observe individuals within material access areas to 
assure that special nuclear material is not diverted shall be provided 
and used on a continuing basis.
    (b) Exit requirement. Each individual, package, and vehicle shall be 
searched for concealed special nuclear material before exiting from a 
material access area unless exit is into a contiguous material access 
area. The search may be carried out by a physical search or by use of 
equipment capable of detecting the presence of concealed special nuclear 
material.
    (c) Detection aid requirement. Each unoccupied material access area 
shall be locked and protected by an intrusion alarm on active status. 
All emergency exits shall be continuously alarmed.
    (d) Testing and maintenance. Each licensee shall test and maintain 
intrusion alarms, physical barriers, and other devices utilized pursuant 
to the requirements of this section as follows:
    (1) Intrusion alarms, physical barriers, and other devices used for 
material protection shall be maintained in operable condition.
    (2) Each intrusion alarm shall be inspected and tested for 
operability and required functional performance at the beginning and end 
of each interval during which it is used for material protection, but 
not less frequently than once every seven (7) days.
    (e) Response requirement. Each licensee shall establish, maintain, 
and follow an NRC-approved safeguards contingency plan for responding to 
threats, thefts, and radiological sabotage related to the special 
nuclear material and nuclear facilities subject to the provisions of 
this section. Safeguards contingency plans must be in accordance with 
the criteria in Appendix C to this part, ``Licensee Safeguards 
Contingency Plans.''
    (f) In addition to the fixed-site requirements set forth in this 
section and in Sec. 73.67, the Commission may require, depending on the 
individual facility and site conditions, any alternate or additional 
measures deemed necessary to protect against radiological sabotage at 
nonpower reactors licensed to operate at or above a power level of 2 
megawatts thermal.

[38 FR 35430, Dec. 28, 1973, as amended at 44 FR 68199, Nov. 28, 1979; 
57 FR 33431, July 29, 1992; 58 FR 13700, Mar. 15, 1993]

  Physical Protection of Special Nuclear Material of Moderate and Low 
                         Strategic Significance



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

    (a) General performance objectives. (1) Each licensee who possesses, 
uses or transports special nuclear material of moderate or low strategic 
significance shall establish and maintain a physical protection system 
that will achieve the following objectives:
    (i) Minimize the possibilities for unauthorized removal of special 
nuclear material consistent with the potential consequences of such 
actions; and
    (ii) Facilitate the location and recovery of missing special nuclear 
material.
    (2) To achieve these objectives, the physical protection system 
shall provide:
    (i) Early detection and assessment of unauthorized access or 
activities by an external adversary within the controlled access area 
containing special nuclear material;

[[Page 445]]

    (ii) Early detection of removal of special nuclear material by an 
external adversary from a controlled access area;
    (iii) Assure proper placement and transfer of custody of special 
nuclear material; and
    (iv) Respond to indications of an unauthorized removal of special 
nuclear material and then notify the appropriate response forces of its 
removal in order to facilitate its recovery.
    (b)(1) A licensee is exempt from the requirements of this section to 
the extent that he possesses, uses, or transports:
    (i) Special nuclear material which is not readily separable from 
other radioactive material and which has a total external radiation dose 
rate in excess of 100 rems per hour at a distance of 3 feet from any 
accessible surface without intervening shielding, or
    (ii) Sealed plutonium-beryllium neutron sources totaling 500 grams 
or less contained plutonium at any one site or contiguous sites, or
    (iii) Plutonium with an isotopic concentration exceeding 80 percent 
in plutonium-238.
    (2) A licensee who has quantities of special nuclear material 
equivalent to special nuclear material of moderate strategic 
significance distributed over several buildings may, for each building 
which contains a quantity of special nuclear material less than or equal 
to a level of special nuclear material of low strategic significance, 
protect the material in that building under the lower classification 
physical security requirements.
    (c) Each licensee who possesses, uses, transports, or delivers to a 
carrier for transport special nuclear material of moderate strategic 
significance, or 10 kg or more of special nuclear material of low 
strategic significance shall:
    (1) Submit a security plan or an amended security plan describing 
how the licensee will comply with all the requirements of paragraphs 
(d), (e), (f), and (g) of this section, as appropriate, including 
schedules of implementation. The licensee shall retain a copy of the 
effective security plan as a record for three years after the close of 
period for which the licensee possesses the special nuclear material 
under each license for which the original plan was submitted. Copies of 
superseded material must be retained for three years after each change.
    (2) Within 30 days after the plan submitted pursuant to paragraph 
(c)(1) of this section is approved, or when specified by the NRC in 
writing, implement the approved security plan.
    (d) Fixed site requirements for special nuclear material of moderate 
strategic significance. Each licensee who possesses, stores, or uses 
quantities and types of special nuclear material of moderate strategic 
significance at a fixed site or contiguous sites, except as allowed by 
paragraph (b)(2) of this section and except those who are licensed to 
operate a nuclear power reactor pursuant to part 50, shall:
    (1) Use the material only within a controlled access area which is 
illuminated sufficiently to allow detection and surveillance of 
unauthorized penetration or activities,
    (2) Store the material only within a controlled access area such as 
a vault-type room or approved security cabinet or their equivalent which 
is illuminated sufficiently to allow detection and surveillance of 
unauthorized penetration or activities,
    (3) Monitor with an intrusion alarm or other device or procedures 
the controlled access areas to detect unauthorized penetration or 
activities,
    (4) Conduct screening prior to granting an individual unescorted 
access to the controlled access area where the material is used or 
stored, in order to obtain information on which to base a decision to 
permit such access,
    (5) Develop and maintain a controlled badging and lock system to 
identify and limit access to the controlled access areas to authorized 
individuals,
    (6) Limit access to the controlled access areas to authorized or 
escorted individuals who require such access in order to perform their 
duties,
    (7) Assure that all visitors to the controlled access areas are 
under the constant escort of an individual who has been authorized 
access to the area,

[[Page 446]]

    (8) Establish a security organization or modify the current security 
organization to consist of at least one watchman per shift able to 
assess and respond to any unauthorized penetrations or activities in the 
controlled access areas,
    (9) Provide a communication capability between the security 
organization and appropriate response force,
    (10) Search on a random basis vehicles and packages leaving the 
controlled access areas, and
    (11) Establish and maintain written response procedures for dealing 
with threats of thefts or thefts of these materials. The licensee shall 
retain a copy of the response procedures as a record for the period 
during which the licensee possesses the appropriate type and quantity of 
special nuclear material requiring this record under each license for 
which the original procedures were developed and, for three years 
thereafter. Copies of superseded material must be retained for three 
years after each change.
    (e) In-transit requirements for special nuclear material of moderate 
strategic significance. (1) Each licensee who transports, exports or 
delivers to a carrier for transport special nuclear material of moderate 
strategic significance shall:
    (i) Provide advance notification to the receiver of any planned 
shipments specifying the mode of transport, estimated time of arrival, 
location of the nuclear material transfer point, name of carrier and 
transport identification,
    (ii) Receive confirmation from the receiver prior to the 
commencement of the planned shipment that the receiver will be ready to 
accept the shipment at the planned time and location and acknowledges 
the specified mode of transport,
    (iii) Check the integrity of the container and locks or seals prior 
to shipment, and
    (iv) Arrange for the in-transit physical protection of the materials 
in accordance with the requirements of Sec. 73.67(e)(3) unless the 
receiver is a licensee and has agreed in writing to arrange for the in-
transit physical protection.
    (2) Each licensee who receives special nuclear material of moderate 
strategic significance shall:
    (i) Check the integrity of the containers and seals upon receipt of 
the shipment,
    (ii) Notify the shipper of receipt of the material as required in 
Sec. 70.54 of this chapter, and
    (iii) Arrange for the in-transit physical protection of the material 
in accordance with the requirements of Sec. 73.67(e)(3) unless the 
shipper is a licensee and has agreed in writing to arrange for the in-
transit physical protection.
    (3) Each licensee who arranges for the in-transit physical 
protection of special nuclear material of moderate strategic 
significance, or who takes delivery of this material free on board 
(f.o.b.) the point at which it is delivered to a carrier for transport 
shall:
    (i) Arrange for telephone or radio communications between the 
transport and the licensee or its designee: (A) To periodically confirm 
the status of the shipment (B) for notification of any delays in the 
scheduled shipment, and (C) to request appropriate local law enforcement 
agency response in the event of an emergency.
    (ii) Minimize the time that the material is in transit by reducing 
the number and duration of nuclear material transfers and by routing the 
material in the most safe and direct manner,
    (iii) Conduct screening of all licensee employees involved in the 
transportation of the material in order to obtain information on which 
to base a decision to permit them control over the material,
    (iv) Establish and maintain written response procedures for dealing 
with threats of thefts or thefts of this material. The licensee shall 
retain a copy of the current response procedures as a record for three 
years after the close of period for which the licensee possesses the 
special nuclear material under each license for which the original 
procedures were developed and copies of superseded material must be 
retained for three years after each change.
    (v) Make arrangements to be notified immediately of the arrival of 
the shipment at its destination, or of any such shipment that is lost or 
unaccounted

[[Page 447]]

for after the estimated time of arrival at its destination, and
    (vi) Initiate immediately a trace investigation of any shipment that 
is determined to be lost or unaccounted for after a reasonable time 
beyond the estimated arrival time.
    (vii) Notify the NRC Operations Center \1\ within one hour after the 
discovery of the loss of the shipment and within one hour after recovery 
of or accounting for such lost shipment in accordance with the 
provisions of Sec. 73.71 of this part.
---------------------------------------------------------------------------

    \1\ Commercial telephone number of the NRC Operations Center is 
(301) 816-5100.
---------------------------------------------------------------------------

    (4) Each licensee who arranges the physical protection of strategic 
special nuclear material in quantities of moderate strategic 
significance while in transit or who takes delivery of this material 
free on board (f.o.b.) the point at which it is delivered to a carrier 
for transport shall comply with the requirements of paragraphs (e) (1), 
(2), and (3) of this section. The licensee shall retain each record 
required by paragraphs (e) (1), (2), (3), and (4) (i) and (ii) of this 
section for three years after close of period licensee possesses special 
nuclear material under each license that authorizes these licensee 
activities. Copies of superseded material must be retained for three 
years after each change. In addition, the licensee shall--
    (i) Make all shipments of the material either (A) in dedicated 
transports with no intermediate stops to load or unload other cargo and 
with no carrier or vehicle transfers or temporary storage in-transit, or 
(B) under arrangements whereby the custody of the shipment and all 
custody transfers are acknowledged by signature, and
    (ii) Maintain the material under lock or under the control of an 
individual who has acknowledged acceptance of custody of the material by 
signature.
    (5) Each licensee who exports special nuclear material of moderate 
strategic significance shall comply with the requirements specified in 
paragraphs (c) and (e) (1), (3), and (4) of this section. The licensee 
shall retain each record required by these sections for three years 
after the close of period for which the licensee possesses the special 
nuclear material under each license that authorizes the licensee to 
export this material. Copies of superseded material must be retained for 
three years after each change.
    (6) Each licensee who imports special nuclear material of moderate 
strategic significance shall,
    (i) Comply with the requirements specified in paragraphs (c) and (e) 
(2), (3), and (4) of this section. The licensee shall retain each record 
required by these sections for three years after the close of period for 
which the licensee possesses the special nuclear material under each 
license that authorizes the licensee to import this material. Copies of 
superseded material must be retained for three years after each change.
    (ii) Notify the exporter who delivered the material to a carrier for 
transport of the arrival of such material.
    (7) If, after receiving advance notice pursuant to Sec. 73.72 from a 
licensee planning to import, export, transport, deliver to a carrier for 
transport in a single shipment, or take delivery at the point where it 
is delivered to a carrier, special nuclear material of moderate 
strategic significance containing in any part strategic special nuclear 
material, it appears to the Commission that two or more shipments of 
special nuclear material of moderate strategic significance, 
constituting in the aggregate an amount equal to or greater than a 
formula quantity of strategic special nuclear material, may be en route 
at the same time, the Commission may order one or more of the shippers 
to delay shipment according to the following provisions:
    (i) The shipper shall provide to the Commission, upon request, such 
additional information regarding a planned shipment as the Commission 
considers pertinent to the decision on whether to delay such shipment.
    (ii) The receiver of each shipment, or the shipper if the receiver 
is not a licensee, shall notify the Director, Spent Fuel Project Office 
by telephone, no later than 24 hours after arrival of such shipment at 
its final destination, or after such shipment has left the United States 
as an export, to confirm the integrity of the shipment at the time of 
receipt or exit from the United States.

[[Page 448]]

    (iii) The Commission shall notify the affected shippers no later 
than two days before the scheduled shipment date that a given shipment 
is to be delayed.
    (iv) Shipments of special nuclear material of moderate strategic 
significance which are protected in accordance with the provisions of 
Secs. 73.20, 73.25, and 73.26 shall not be subject to orders to delay 
shipment nor considered to constitute a portion of an aggregate formula 
quantity of strategic special nuclear material for the purposes of 
determining whether any shipments must delayed.
    (f) Fixed site requirements for special nuclear material of low 
strategic significance. Each licensee who possesses, stores, or uses 
special nuclear material of low strategic significance at a fixed site 
or contiguous sites, except those who are licensed to operate a nuclear 
power reactor pursuant to part 50, shall:
    (1) Store or use the material only within a controlled access area,
    (2) Monitor with an intrusion alarm or other device or procedures 
the controlled access areas to detect unauthorized penetrations or 
activities,
    (3) Assure that a watchman or offsite response force will respond to 
all unauthorized penetrations or activities, and
    (4) Establish and maintain response procedures for dealing with 
threats of thefts or thefts of this material. The licensee shall retain 
a copy of the current response procedures as a record for three years 
after the close of period for which the licensee possesses the special 
nuclear material under each license for which the procedures were 
established. Copies of superseded material must be retained for three 
years after each change.
    (g) In-transit requirements for special nuclear material of low 
strategic significance. (1) Each licensee who transports or who delivers 
to a carrier for transport special nuclear material of low strategic 
significance shall:
    (i) Provide advance notification to the receiver of any planned 
shipments specifying the mode of transport, estimated time of arrival, 
location of the nuclear material transfer point, name of carrier and 
transport identification,
    (ii) Receive confirmation from the receiver prior to commencement of 
the planned shipment that the receiver will be ready to accept the 
shipment at the planned time and location and acknowledges the specified 
mode of transport,
    (iii) Transport the material in a tamper indicating sealed 
container,
    (iv) Check the integrity of the containers and seals prior to 
shipment, and
    (v) Arrange for the in-transit physical protection of the material 
in accordance with the requirements of Sec. 73.67(g)(3) of this part, 
unless the receiver is a licensee and has agreed in writing to arrange 
for the in-transit physical protection.
    (2) Each licensee who receives quantities and types of special 
nuclear material of low strategic significance shall:
    (i) Check the integrity of the containers and seals upon receipt of 
the shipment,
    (ii) Notify the shipper of receipt of the material as required in 
Sec. 70.54 of part 70 of this chapter, and
    (iii) Arrange for the in-transit physical protection of the material 
in accordance with the requirements of Sec. 73.67(g)(3) of this part, 
unless the shipper is a licensee and has agreed in writing to arrange 
for the in-transit physical protection.
    (3) Each licensee, either shipper or receiver, who arranges for the 
physical protection of special nuclear material of low strategic 
significance while in transit or who takes delivery of such material 
free on board (f.o.b.) the point at which it is delivered to a carrier 
for transport shall:
    (i) Establish and maintain response procedures for dealing with 
threats or thefts of this material. The licensee shall retain a copy of 
the current response procedures as a record for three years after the 
close of period for which the licensee possesses the special nuclear 
material under each license for which the procedures were established. 
Copies of superseded material must be retained for three years after 
each change.
    (ii) Make arrangements to be notified immediately of the arrival of 
the shipment at its destination, or of any such

[[Page 449]]

shipment that is lost or unaccounted for after the estimated time of 
arrival at its destination, and
    (iii) Conduct immediately a trace investigation of any shipment that 
is lost or unaccounted for after the estimated arrival time and notify 
the NRC Operations Center \1\ within one hour after the discovery of the 
loss of the shipment and within one hour after recovery of or accounting 
for such lost shipment in accordance with the provisions of Sec. 73.71 
of this part.
---------------------------------------------------------------------------

    \1\ Commercial telephone number of the NRC Operation Center is (301) 
816-5100.
---------------------------------------------------------------------------

    (4) Each licensee who exports special nuclear material of low 
strategic significance shall comply with the appropriate requirements 
specified in paragraphs (c) and (g) (1) and (3) of this section. The 
licensee shall retain each record required by these sections for three 
years after the close of period for which the licensee possesses the 
special nuclear material under each license that authorizes the licensee 
to export this material. Copies of superseded material must be retained 
for three years after each change.
    (5) Each licensee who imports special nuclear material of low 
strategic significance shall:
    (i) Comply with the requirements specified in paragraphs (c) and (g) 
(2) and (3) of this section and retain each record required by these 
paragraphs for three years after the close of period for which the 
licensee possesses the special nuclear material under each license that 
authorizes the licensee to import this material. Copies of superseded 
material must be retained for three years after each change.
    (ii) Notify the person who delivered the material to a carrier for 
transport of the arrival of such material.

[44 FR 43283, July 24, 1979. Redesignated at 44 FR 68198, Nov. 28, 1979, 
and amended at 45 FR 19215, Mar. 25, 1980; 47 FR 19114, May 4, 1982; 52 
FR 21657, June 9, 1987; 53 FR 19260, May 27, 1988; 57 FR 33431, July 29, 
1992, 59 FR 14087, Mar. 25, 1994; 67 FR 3586, Jan. 25, 2002]

    Effective Date Note: At 67 FR 78143, Dec. 23, 2002, Sec. 73.67 was 
amended by revising paragraph (e)(2)(ii), effective Mar. 24, 2003. For 
the convenience of the user, the revised text is set forth as follows:

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

                                * * * * *

    (e) * * *
    (2) * * *
    (ii) Notify the shipper of receipt of the material as required in 
Sec. 74.15 of this chapter, and

                                * * * * *

                           Records and Reports



Sec. 73.70  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. Each licensee 
subject to the provisions of Secs. 73.20, 73.25, 73.26, 73.27, 73.45, 
73.46, 73.55, or 73.60 shall keep the following records:
    (a) Names and addresses of all individuals who have been designated 
as authorized individuals. The licensee shall retain this record of 
currently designated authorized individuals for the period during which 
the licensee possesses the appropriate type and quantity of special 
nuclear material requiring this record under each license that 
authorizes the activity that is subject to the recordkeeping requirement 
and, for three years thereafter. Copies of superseded material must be 
retained for three years after each change.
    (b) Names, addresses, and badge numbers of all individuals 
authorized to have access to vital equipment or special nuclear 
material, and the vital

[[Page 450]]

areas and material access areas to which authorization is granted. The 
licensee shall retain the record of individuals currently authorized 
this access for the period during which the licensee possesses the 
appropriate type and quantity of special nuclear material requiring this 
record under each license that authorizes the activity that is subject 
to the recordkeeping requirement and, for three years thereafter. Copies 
of superseded material must be retained for three years after each 
change.
    (c) A register of visitors, vendors, and other individuals not 
employed by the licensee pursuant to Secs. 73.46(d)(13), 73.55(d)(6), or 
73.60. The licensee shall retain this register as a record, available 
for inspection, for 3 years after the last entry is made in the 
register.
    (d) A log indicating name, badge number, time of entry, and time of 
exit of all individuals granted access to a vital area except those 
individuals entering or exiting the reactor control room. The licensee 
shall retain this log as a record for three years after the last entry 
is made in the log.
    (e) Documentation of all routine security tours and inspections, and 
of all tests, inspections, and maintenance performed on physical 
barriers, intrusion alarms, communications equipment, and other security 
related equipment used pursuant to the requirements of this part. The 
licensee shall retain the documentation for these events for three years 
from the date of documenting each event.
    (f) A record at each onsite alarm annunciation location of each 
alarm, false alarm, alarm check, and tamper indication that identifies 
the type of alarm, location, alarm circuit, date, and time. In addition, 
details of response by facility guards and watchmen to each alarm, 
intrusion, or other security incident shall be recorded. The license 
shall retain each record for three years after the record is made.
    (g) Shipments of special nuclear material subject to the 
requirements of this part, including names of carriers, major roads to 
be used, flight numbers in the case of air shipments, dates and expected 
times of departure and arrival of shipments, vertification of 
communication equipment on board the transfer vehicle, names of 
individuals who are to communicate with the transport vehicle, container 
seal descriptions and identification, and any other information to 
confirm the means utilized to comply with Secs. 73.25, 73.26, and 73.27. 
This information must be recorded prior to shipment. Information 
obtained during the course of the shipment such as reports of all 
communications, change of shipping plan, including monitor changes, 
trace investigations, and others must also be recorded. The licensee 
shall retain each record about a shipment required by this paragraph (g) 
for three years after the record is made.
    (h) Procedures for controlling access to protected areas and for 
controlling access to keys for locks used to protect special nuclear 
material. The licensee shall retain a copy of the current procedures as 
a record until the Commission terminates each license for which the 
procedures were developed and, if any portion of the procedure is 
superseded, retain the superseded material for three years after each 
change.

[53 FR 19261, May 27, 1988, as amended at 57 FR 33431, July 29, 1992]



Sec. 73.71  Reporting of safeguards events.

    (a)(1) Each licensee subject to the provisions of Secs. 73.25, 
73.26, 73.27(c), 73.37, 73.67(e), or 73.67(g) shall notify the NRC 
Operations Center \1\ within one hour after discovery of the loss of any 
shipment of SNM or spent fuel, and within one hour after recovery of or 
accounting for such lost shipment.
---------------------------------------------------------------------------

    \1\ Commercial telephone number of the NRC Operation Center is (301) 
816-5100.
---------------------------------------------------------------------------

    (2) This notification must be made to the NRC Operations Center via 
the Emergency Notification System, if the licensee is party to that 
system. If the Emergency Notification System is inoperative or 
unavailable, the licensee shall make the required notification via 
commercial telephonic service or other dedicated telephonic system or 
any other methods that will ensure that a report is received by the NRC 
Operations Center within one hour. The exemption of Sec. 73.21(g)(3) 
applies to all telephonic reports required by this section.

[[Page 451]]

    (3) The licensee shall, upon request to the NRC, maintain an open 
and continuous communication channel with the NRC Operations Center.
    (4) The initial telephonic notification must be followed within a 
period of 30 days by a written report submitted to the U.S. Nuclear 
Regulatory Commission, Document Control Desk, Washington, DC 20555. The 
licensee shall also submit one copy to the Director, Spent Fuel Project 
Office. The report must include sufficient information for NRC analysis 
and evaluation.
    (5) Significant supplemental information which becomes available 
after the initial telephonic notification to the NRC Operations Center 
or after the submission of the written report must be telephonically 
reported to the NRC Operations Center and also submitted in a revised 
written report (with the revisions indicated) to the Regional Office and 
the Document Control Desk. Errors discovered in a written report must be 
corrected in a revised report with revisions indicated. The revised 
report must replace the previous report; the update must be a complete 
entity and not contain only supplementary or revised information. Each 
licensee shall maintain a copy of the written report of an event 
submitted under this section as record for a period of three years from 
the date of the report.
    (b)(1) Each licensee subject to the provisions of Secs. 73.20, 
73.37, 73.50, 73.51, 73.55, 73.60, or 73.67 shall notify the NRC 
Operations Center within 1 hour of discovery of the safeguards events 
described in paragraph I(a)(1) of appendix G to this part. Licensees 
subject to the provisions of Secs. 73.20, 73.37, 73.50, 73.51, 73.55, 
73.60, or each licensee possessing strategic special nuclear material 
and subject to Sec. 73.67(d) shall notify the NRC Operations Center 
within 1 hour after discovery of the safeguards events described in 
paragraphs I(a)(2), (a)(3), (b), and (c) of appendix G to this part. 
Licensees subject to the provisions of Secs. 73.20, 73.37, 73.50, 73.51, 
73.55, or 73.60 shall notify the NRC Operations Center within 1 hour 
after discovery of the safeguards events described in paragraph I(d) of 
appendix G to this part.
    (2) This notification must be made in accordance with the 
requirements of paragraphs (a) (2), (3), (4), and (5) of this section.
    (c) Each licensee subject to the provisions of Secs. 73.20, 73.37, 
73.50, 73.51, 73.55, 73.60, or each licensee possessing SSNM and subject 
to the provisions of Sec. 73.67(d) shall maintain a current log and 
record the safeguards events described in paragraphs II (a) and (b) of 
appendix G to this part within 24 hours of discovery by a licensee 
employee or member of the licensee's contract security organization. The 
licensee shall retain the log of events recorded under this section as a 
record for 3 years after the last entry is made in each log or until 
termination of the license.
    (d) Each licensee shall submit to the Commission the 30-day written 
reports required under the provisions of this section that are of a 
quality which will permit legible reproduction and processing. If the 
facility is subject to Sec. 50.73 of this chapter, the licensee shall 
prepare the written report on NRC Form 366. If the facility is not 
subject to Sec. 50.73 of this chapter, the licensee shall not use this 
form but shall prepare the written report in letter format. The report 
must include sufficient information for NRC analysis and evaluation.
    (e) Duplicate reports are not required for events that are also 
reportable in accordance with Secs. 50.72 and 50.73 of this chapter.

[52 FR 21658, June 9, 1987; 52 FR 23257, June 18, 1987, as amended at 59 
FR 14087, Mar. 25, 1994; 60 FR 13617, Mar. 14, 1995; 63 FR 26963, May 
15, 1998; 67 FR 3586, Jan. 25, 2002]



Sec. 73.72  Requirement for advance notice of shipment of formula quantities of strategic special nuclear material, special nuclear material of moderate 
          strategic significance, or irradiated reactor fuel.

    (a) A licensee, other than one specified in paragraph (b) of this 
section, who, in a single shipment, plans to deliver to a carrier for 
transport, to take delivery at the point where a shipment is delivered 
to a carrier for transport, to import, to export, or to transport a 
formula quantity of strategic special nuclear material, special nuclear 
material of moderate strategic significance, or irradiated reactor fuel 
required to be

[[Page 452]]

protected in accordance with Sec. 73.37, shall:
    (1) Notify in writing the Director, Spent Fuel Project Office, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555;
    (2) Assure that the notification will be received at least 10 days 
before transport of the shipment commences at the shipping facility;
    (3) Include the following information in the notification:
    (i) The name(s), address(es), and telephone number(s) of the 
shipper, receiver, and carrier(s);
    (ii) A physical description of the shipment:
    (A) For a shipment other than irradiated fuel, the elements, 
isotopes, enrichment, and quantity;
    (B) For a shipment of irradiated fuel, the physical form, quantity, 
type of reactor, and original enrichment;
    (iii) A listing of the mode(s) of shipment, transfer point(s), and 
route(s) to be used;
    (iv) The estimated time and date that shipment will commence and 
that each country along the route is scheduled to be entered; and
    (v) The estimated time and date of arrival of the shipment at the 
destination;
    (4) Notify the Director, Spent Fuel Project Office by telephone at 
301-415-8500 at least 10 days before the shipment commences at the 
shipping facility that an advance notice has been sent; and
    (5) Notify the Director, Spent Fuel Project Office by telephone at 
301-415-8500 of any changes to the shipment itinerary.
    (b) A licensee who makes a road shipment or transfer with one-way 
transit times of one hour or less in duration between installations of 
the licensee is exempt from the requirements of this section for that 
shipment or transfer.

[52 FR 9653, Mar. 26, 1987, as amended at 53 FR 4111, Feb. 12, 1988; 60 
FR 24552, May 9, 1995; 67 FR 3586, Jan. 25, 2002]



Sec. 73.73  Requirement for advance notice and protection of export shipments of special nuclear material of low strategic significance.

    (a) A licensee authorized to export special nuclear material of low 
strategic significance shall:
    (1) Notify in writing the Director, Spent Fuel Project Office, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555;
    (2) Assure that the notification will be received at least 10 days 
before transport of the shipment commences at the shipper's facility;
    (3) Include the following information in the notification:
    (i) The name(s), address(es), and telephone number(s) of the 
shipper, receiver, and carrier(s);
    (ii) A physical description of the shipment (the elements, isotopes, 
form, etc.);
    (iii) A listing of the mode(s) of shipment, transfer points, and 
routes to be used;
    (iv) The estimated time and date that shipment will commence and 
that each country along the route is scheduled to be entered; and
    (v) The estimated time and date of arrival of the shipment at the 
destination;
    (4) Assure that during transport outside the United States, the 
shipment will be protected in accordance with Annex I to the Convention 
on the Physical Protection of Nuclear Material (see appendix E of this 
part).
    (b) A licensee who needs to amend a written advance notification 
required by paragraph (a) of this section may do so by telephoning the 
Director, Spent Fuel Project Office at (301) 415-8500.

[52 FR 9653, Mar. 26, 1987, as amended at 53 FR 4112, Feb. 12, 1988; 60 
FR 24553, May 9, 1995; 67 FR 3586, Jan. 25, 2002]



Sec. 73.74  Requirement for advance notice and protection of import shipments of nuclear material from countries that are not party to the Convention on the 
          Physical Protection of Nuclear Material.

    (a) A licensee authorized to import special nuclear material of low 
strategic significance from a country not a party to the Convention on 
the Physical Protection of Nuclear Material

[[Page 453]]

(i.e., not listed in appendix F of this part) shall:
    (1) Notify in writing the Director, Spent Fuel Project Office, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555;
    (2) Assure that the notification will be received at least 10 days 
before transport of the shipment commences at the shipper's facility; 
and
    (3) Include the following information in the notification:
    (i) The name(s), address(es) and telephone number(s) of the shipper, 
receiver, and carrier(s);
    (ii) A physical description of the shipment (the isotopes, 
enrichment, quantity, etc.);
    (iii) A listing of mode(s) of shipment, transfer points, and routes 
to be used;
    (iv) The estimated time and date that shipment will commence and 
that each country along the route is scheduled to be entered; and
    (v) The estimated time and date of arrival of the shipment at the 
destination.
    (b) A licensee who needs to amend a written advance notification 
required by paragraph (a) of this section may do so by telephoning the 
Director, Spent Fuel Project Office at (301) 415-8500.
    (c) A licensee authorized to import from a country not a party to 
the Convention on the Physical Protection of Nuclear Material (i.e., not 
listed in appendix F of this part) a formula quantity of special nuclear 
material, special nuclear material of moderate strategic significance, 
special nuclear material of low strategic significance, or irradiated 
reactor fuel shall assure that during transport outside the United 
States the shipment will be protected in accordance with Annex I to the 
Convention on the Physical Protection of Nuclear Material (see appendix 
E of this part).

[52 FR 9654, Mar. 26, 1987, as amended at 53 FR 4112, Feb. 12, 1988; 60 
FR 24553, May 9, 1995; 67 FR 3586, Jan. 25, 2002]

                               Enforcement



Sec. 73.80  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 55078, Nov. 24, 1992]



Sec. 73.81  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 73 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 73 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 73.1, 73.2, 73.3, 73.4, 73.5, 73.6, 73.8, 73.25, 73.45, 73.80, and 
73.81.

[57 FR 55079, Nov. 24, 1992]

[[Page 454]]

   Appendix A to Part 73--U.S. Nuclear Regulatory Commission Regional 
                                 Offices

------------------------------------------------------------------------
                                                         Telephone (24
                                        Addresses            hours)
------------------------------------------------------------------------
NRC Operations Center (via NRC     USNRC, Incident        (301) 415-7000
 Operator).                         Response
                                    Operations,
                                    Washington, DC
                                    20555.
Region I: Connecticut, Delaware,   USNRC, 475             (610) 337-5000
 District of Columbia, Maine,       Allendale Road,       (FTS) 346-5000
 Maryland, Massachusetts, New       King of Prussia,
 Hampshire, New Jersey, New York,   PA 19406.
 Pennsylvania, Rhode Island, and
 Vermont.
Region II: Alabama, Florida,       USNRC, Sam Nunn        (404) 562-4400
 Georgia, Kentucky, Mississippi,    Atlanta Federal       (FTS) 242-4503
 North Carolina, Puerto Rico,       Center, 61
 South Carolina, Tennessee,         Forsyth Street,
 Virginia, Virgin Islands, and      SW., Suite 23T85,
 West Virginia.                     Atlanta, GA 30303.
Region III: Illinois, Indiana,     USNRC, 801             (630) 829-9500
 Iowa, Michigan, Minnesota,         Warrenville Road,     (FTS) 829-9500
 Missouri, Ohio, and Wisconsin.     Lisle, Illinois
                                    60532-4351.
Region IV: Alaska, Arizona,        USNRC, 611 Ryan        (817) 860-8100
 Arkansas, California, Colorado,    Plaza Drive,          (FTS) 728-8100
 Hawaii, Idaho, Kansas,             Suite 400,
 Louisiana, Montana, Nebraska,      Arlington, TX
 Nevada, New Mexico, North          76011.
 Dakota, Oklahoma, Oregon, South
 Dakota, Texas, Utah, Washington,
 Wyoming, and the U.S.
 territories and possessions in
 the Pacific.
------------------------------------------------------------------------


[49 FR 47824, Dec. 7, 1984, as amended at 50 FR 46631, Nov. 12, 1985; 51 
FR 35500, Oct. 6, 1986; 52 FR 31613, Aug. 21, 1987; 53 FR 3863, Feb. 10, 
1988; 54 FR 42288, Oct. 16, 1989; 56 FR 19254, Apr. 26, 1991; 56 FR 
41449, Aug. 21, 1991; 58 FR 64112, Dec. 6, 1993; 59 FR 17466, Apr. 13, 
1994; 60 FR 24553, May 9, 1995; 62 FR 22880, Apr. 28, 1997; 67 FR 3586, 
Jan. 25, 2002; 67 FR 77653, Dec. 19, 2002]

     Appendix B to Part 73--General Criteria for Security Personnel

                            Table of Contents

Introduction.
Definitions.
Criteria.
I. Employment suitability and qualification.
    A. Suitability.
B. Physical and mental qualifications.
C. Medical examination and physical fitness qualifications.
D. Contract security personnel.
E. Physical and medical requalification.
F. Documentation.
II. Training and qualifications.
A. Training requirements.
B. Qualification requirements.
C. Contract personnel.
D. Security knowledge, skills, and abilities.
E. Requalification.
III. Weapons training and qualification.
IV. Weapons qualification and requalification program.
V. Guard, armed response personnel, and armed escort equipment.
A. Fixed site.
B. Transportation.

                              Introduction

    Security personnel who are responsible for the protection of special 
nuclear material on site or in transit and for the protection of the 
facility or shipment vehicle against radiological sabotage should, like 
other elements of the physical security system, be required to meet 
minimum criteria to ensure that they will effectively perform their 
assigned security-related job duties. In order to ensure that those 
individuals responsible for security are properly equipped and qualified 
to execute the job duties prescribed for them, the NRC has developed 
general criteria that specify security personnel qualification 
requirements.
    These general criteria establish requirements for the selection, 
training, equipping, testing, and qualification of individuals who will 
be responsible for protecting special nuclear materials, nuclear 
facilities, and nuclear shipments.
    When required to have security personnel that have been trained, 
equipped, and qualified to perform assigned security job duties in 
accordance with the criteria in this appendix, the licensee must 
establish, maintain, and follow a plan that shows how the criteria will 
be met. The plan must be submitted to the NRC for approval and must be 
implemented within 30 days after approval by the NRC unless otherwise 
specified by the NRC in writing.

                               Definitions

    Terms defined in parts 50, 70, and 73 of this chapter have the same 
meaning when used in this appendix.

                                Criteria

I. Employment suitability and qualification.
    A. Suitability: 1. Prior to employment, or assignment to the 
security organization, an individual shall meet the following 
suitability criteria:
    a. Educational development--Possess a high school diploma or pass an 
equivalent

[[Page 455]]

performance examination designed to measure basic job-related 
mathematical, language, and reasoning skills, ability, and knowledge, 
required to perform security job duties.
    b. Felony convictions--Have no felony convictions involving the use 
of a weapon and no felony convictions that reflect on the individual's 
reliability.
    2. Prior to employment or assignment to the security organization in 
an armed capacity, the individual, in addition to (a) and (b) above, 
must be 21 years of age or older.
    B. Physical and mental qualifications. 1. Physical qualifications:
    a. Individuals whose security tasks and job duties are directly 
associated with the effective implementation of the licensee physical 
security and contingency plans shall have no physical weaknesses or 
abnormalities that would adversely affect their performance of assigned 
security job duties.
    b. In addition to a. above, guards, armed response personnel, armed 
escorts, and central alarm station operators shall successfully pass a 
physical examination administered by a licensed physician. The 
examination shall be designed to measure the individual's physical 
ability to perform assigned security job duties as identified in the 
licensee physical security and contingency plans. Armed personnel shall 
meet the following additional physical requirements:
    (1) Vision: (a) For each individual, distant visual acuity in each 
eye shall be correctable to 20/30 (Snellen or equivalent) in the better 
eye and 20/40 in the other eye with eyeglasses or contact lenses. If 
uncorrected distance vision is not at least 20/40 in the better eye, the 
individual shall carry an extra pair of corrective lenses. Near visual 
acuity, corrected or uncorrected, shall be at least 20/40 in the better 
eye. Field of vision must be at least 70 deg. horizontal meridian in 
each eye. The ability to distinguish red, green, and yellow colors is 
required. Loss of vision in one eye is disqualifying. Glaucoma shall be 
disqualifying, unless controlled by acceptable medical or surgical 
means, provided such medications as may be used for controlling glaucoma 
do not cause undesirable side effects which adversely affect the 
individual's ability to perform assigned security job duties, and 
provided the visual acuity and field of vision requirements stated above 
are met. On-the-job evaluation shall be used for individuals who exhibit 
a mild color vision defect.
    (b) Where corrective eyeglasses are required, they shall be of the 
safety glass type.
    (c) The use of corrective eyeglasses or contact lenses shall not 
interfere with an individual's ability to effectively perform assigned 
security job duties during normal or emergency operations.
    (2) Hearing: (a) Individuals shall have no hearing loss in the 
better ear greater than 30 decibels average at 500 Hz, 1,000 Hz, and 
2,000 Hz with no level greater that 40 decibels at any one frequency (by 
ISO 389 ``Standard Reference Zero for the Calibration of Puritone 
Audiometer'' (1975) or ANSI S3.6-1969 (R. 1973) ``Specifications for 
Audiometers''). ISO 389 and ANSI S3.6-1969 have been approved for 
incorporation by reference by the Director of the Federal Register. A 
copy of each standard is available for inspection at the NRC Library, 
11545 Rockville Pike, Rockville, Maryland 20852-2738.
    (b) A hearing aid is acceptable provided suitable testing procedures 
demonstrate auditory acuity equivalent to the above stated requirement.
    (c) The use of a hearing aid shall not decrease the effective 
performance of the individual's assigned security job duties during 
normal or emergency operations.
    (3) Diseases--Individuals shall have no established medical history 
or medical diagnosis of epilepsy or diabetes, or, where such a condition 
exists, the individual shall provide medical evidence that the condition 
can be controlled with proper medication so that the individual will not 
lapse into a coma or unconscious state while performing assigned 
security job duties.
    (4) Addiction-Individuals shall have no established medical history 
or medical diagnosis of habitual alcoholism or drug addiction, or, where 
such a condition has existed, the individual shall provide certified 
documentation of having completed a rehabilitation program which would 
give a reasonable degree of confidence that the individual would be 
capable of performing assigned security job duties.
    (5) Other physical requirements--An individual who has been 
incapacitated due to a serious illness, injury, disease, or operation, 
which could interfere with the effective performance of assigned 
security job duties shall, prior to resumption of such duties, provide 
medical evidence of recovery and ability to perform such security job 
duties.
    2. Mental qualifications: a. Individuals whose security tasks and 
job duties are directly associated with the effective implementation of 
the licensee physical security and contingency plans shall demonstrate 
mental alertness and the capability to exercise good judgment, implement 
instructions, assimilate assigned security tasks, and possess the acuity 
of senses and ability of expression sufficient to permit accurate 
communication by written, spoken, audible, visible, or other signals 
required by assigned job duties.
    b. Armed individuals, and central alarm station operators, in 
addition to meeting the requirement stated in paragraph a. above, shall 
have no emotional instability that would interfere with the effective 
performance of assigned security job duties. The determination shall be 
made by a licensed psychologist or psychiatrist, or physician, or

[[Page 456]]

other person professionally trained to identify emotional instability.
    c. The licensee shall arrange for continued observation of security 
personnel and for appropriate corrective measures by responsible 
supervisors for indications of emotional instability of individuals in 
the course of performing assigned security job duties. Identification of 
emotional instability by responsible supervisors shall be subject to 
verification by a licensed, trained person.
    C. Medical examinations and physical fitness qualifications--Guards, 
armed response personnel, armed escorts and other armed security force 
members shall be given a medical examination including a determination 
and written certification by a licensed physician that there are no 
medical contraindications as disclosed by the medical examination to 
participation by the individual in physical fitness tests. Subsequent to 
this medical examination, guards, armed response personnel, armed 
escorts and other armed security force members shall demonstrate 
physical fitness for assigned security job duties by performing a 
practical physical exercise program within a specific time period. The 
exercise program performance objectives shall be described in the 
license training and qualifications plan and shall consider job-related 
functions such as strenuous activity, physical exertion, levels of 
stress, and exposure to the elements as they pertain to each 
individual's assigned security job duties for both normal and emergency 
operations. The physical fitness qualification of each guard, armed 
response person, armed escort, and other security force member shall be 
documented and attested to by a licensee security supervisor. The 
licensee shall retain this documentation as a record for three years 
from the date of each qualification.
    D. Contract security personnel--Contract security personnel shall be 
required to meet the suitability, physical, and mental requirements as 
appropriate to their assigned security job duties in accordance with 
section I of this appendix.
    E. Physical requalification--At least every 12 months, central alarm 
station operators shall be required to meet the physical requirements of 
B.1.b of this section, and guards, armed response personnel, and armed 
escorts shall be required to meet the physical requirements of 
paragraphs B.1.b (1) and (2), and C of this section. The licensee shall 
document each individual's physical requalification and shall retain 
this documentation of requalification as a record for three years from 
the date of each requalification.
    F. Documentation--The results of suitability, physical, and mental 
qualifications data and test results must be documented by the licensee 
or the licensee's agent. The licensee or the agent shall retain this 
documentation as a record for three years from the date of obtaining and 
recording these results.
    G. Nothing herein authorizes or requires a licensee to investigate 
into or judge the reading habits, political or religious beliefs, or 
attitudes on social, economic, or political issues of any person.
II. Training and qualifications.
    A. Training requirements--Each individual who requires training to 
perform assigned security-related job tasks or job duties as identified 
in the licensee physical security or contingency plans shall, prior to 
assignment, be trained to perform these tasks and duties in accordance 
with the licensee or the licensee's agent's documented training and 
qualifications plan. The licensee or the agent shall maintain 
documentation of the current plan and retain this documentation of the 
plan as a record for three years after the close of period for which the 
licensee possesses the special nuclear material under each license for 
which the plan was developed and, if any portion of the plan is 
superseded, retain the material that is superseded for three years after 
each change.
    B. Qualification requirements--Each person who performs security-
related job tasks or job duties required to implement the licensee 
physical security or contingency plan shall, prior to being assigned to 
these tasks or duties, be qualified in accordance with the licensee's 
NRC-approved training and qualifications plan. The qualifications of 
each individual must be documented and attested by a licensee security 
supervisor. The licensee shall retain this documentation of each 
individual's qualifications as a record for three years after the 
employee ends employment in the security-related capacity and for three 
years after the close of period for which the licensee possesses the 
special nuclear material under each license, and superseded material for 
three years after each change.
    C. Contract personnel--Contract personnel shall be trained, 
equipped, and qualified as appropriate to their assigned security-
related job tasks or job duties, in accordance with sections II, III, 
IV, and V of this appendix. The qualifications of each individual must 
be documented and attested by a licensee security supervisor. The 
licensee shall retain this documentation of each individual's 
qualifications as a record for three years after the employee ends 
employment in the security-related capacity and for three years after 
the close of period for which the licensee possesses the special nuclear 
material under each license, and superseded material for three years 
after each change.
    D. Security knowledge, skills, and abilities--Each individual 
assigned to perform the security related task identified in the licensee 
physical security or contingency plan shall demonstrate the required 
knowledge, skill, and ability in accordance with

[[Page 457]]

the specified standards for each task as stated in the NRC approved 
licensee training and qualifications plan. The areas of knowledge, 
skills, and abilities that shall be considered in the licensee's 
training and qualifications plan are as follows:
    1. Protection of nuclear facilities, transport vehicles, and special 
nuclear material.
    2. NRC requirements and guidance for physical security at nuclear 
facilities and for transportation.
    3. The private security guard's role in providing physical 
protection for the nuclear industry.
    4. The authority of private guards.
    5. The use of nonlethal weapons.
    6. The use of deadly force.
    7. Power of arrest and authority to detain individuals.
    8. Authority to search individuals and seize property.
    9. Adversary group operations.
    10. Motivation and objectives of adversary groups.
    11. Tactics and force that might be used by adversary groups to 
achieve their objectives.
    12. Recognition of sabotage related devices and equipment that might 
be used against the licensee's facility or shipment vehicle.
    13. Facility security organization and operation.
    14. Types of physical barriers.
    15. Weapons, lock and key control system operation.
    16. Location of SNM and/or vital areas within a facility.
    17. Protected area security and vulnerability.
    18. Types of alarm systems used.
    19. Response and assessment to alarm annunciations and other 
indications of intrusion.
    20. Familiarization with types of special nuclear material 
processed.
    21. General concepts of fixed site security systems.
    22. Vulnerabilities and consequences of theft of special nuclear 
material or radiological sabotage of a facility.
    23. Protection of security system information.
    24. Personal equipment use and operation for normal and contingency 
operations.
    25. Surveillance and assessment systems and techniques.
    26. Communications systems operation, fixed site.
    27. Access control systems and operation for individuals, packages, 
and vehicles.
    28. Contraband detection systems and techniques.
    29. Barriers and other delay systems around material access or vital 
areas.
    30. Exterior and interior alarm systems operation.
    31. Duress alarm operation.
    32. Alarm stations operation.
    33. Response force organization.
    34. Response force mission.
    35. Response force operation.
    36. Response force engagement.
    37. Security command and control system during normal operation.
    38. Security command and control system during contingency 
operation.
    39. Transportation systems security organization and operation.
    40. Types of SNM transport vehicles.
    41. Types of SNM escort vehicles.
    42. Modes of transportation for SNM.
    43. Road transport security system command and control structure.
    44. Use of weapons.
    45. Communications systems operation for transportation, shipment to 
control center and intraconvoy.
    46. Vulnerabilities and consequences of theft of special nuclear 
material or radiological sabotage of a transport vehicle.
    47. Protection of transport system security information.
    48. Control of area around transport vehicle.
    49. Normal convoy techniques and operations.
    50. Familiarization with types of special nuclear materials shipped.
    51. Fixed post station operations.
    52. Access control system operation.
    53. Search techniques and systems for individuals, packages and 
vehicles.
    54. Escort and patrol responsibilities and operation.
    55. Contengency response to confirmed intrusion or attempted 
intrusion.
    56. Security system operation after component failure.
    57. Fixed site security information protection.
    58. Security coordination with local law enforcement agencies.
    59. Security and situation reporting, documentation and report 
writing.
    60. Contingency duties.
    61. Self defense.
    62. Use of and defenses against incapacitating agents.
    63. Security equipment testing.
    64. Contingency procedures.
    65. Night vision devices and systems.
    66. Mechanics of detention.
    67. Basic armed and unarmed defensive tactics.
    68. Response force deployment.
    69. Security alert procedures.
    70. Security briefing procedures.
    71. Response force tactical movement.
    72. Response force withdrawal.
    73. Reponse force use of support fire.
    74. Response to bomb and attack threats.
    75. Response to civil disturbances (e.g., strikes, demonstrators).

[[Page 458]]

    76. Response to confirmed attempted theft of special nuclear 
material and/or radiological sabotage of facilities.
    77. Response to hostage situations.
    78. Site specific armed tactical procedures and operation.
    79. Security response to emergency situations other than security 
incidents.
    80. Basic transportation defensive response tactics.
    81. Armed escort deployment.
    82. Armed escort adversary engagement.
    83. Armed escort formations.
    84. Armed escort use of weapons fire (tactical and combat).
    85. Armed escort and shipment movement under fire.
    86. Tactical convoying techniques and operations.
    87. Armed escort tactical exercises.
    88. Armed escort response to bomb and attack threats.
    89. Verification of shipment documentation and contents.
    90. Continuous surveillance of shipment vehicle.
    91. Normal and contingency operation for shipment mode transfer.
    92. Armed personnel procedures and operation during temporary 
storage between mode transfers of shipments.
    93. Armed escort threat assessment and response.
    94. System for and operation of shipment vehicle lock and key 
control.
    95. Techniques and procedures for isolation of shipment vehicle 
during a contingency situation.
    96. Transportation coordination with local law enforcement agencies.
    97. Procedures for verification of shipment locks and seals.
    98. Transportation security and situation reporting, documentation, 
and report writing.
    99. Procedures for shipment delivery and pickup.
    100. Transportation security system for escort by road, rail, air 
and sea.
    E. Requalification--Security personnel shall be requalified at least 
every 12 months to perform assigned security-related job tasks and 
duties for both normal and contingency operations. Requalification shall 
be in accordance with the NRC-approved licensee training and 
qualifications plan. The results of requalification must be documented 
and attested by a licensee security supervisor. The licensee shall 
retain this documentation of each individual's requalification as a 
record for three years from the date of each requalification.
III. Weapons training.
    A. Guards, armed response personnel and armed escorts requiring 
weapons training to perform assigned security related job tasks or job 
duties shall be trained in accordance with the licensees' documented 
weapons training programs. Each individual shall be proficient in the 
use of his assigned weapon(s) and shall meet prescribed standards in the 
following areas:
    1. Mechanical assembly, dissasembly, range penetration capability of 
weapon, and bullseye firing.
    2. Weapons cleaning and storage.
    3. Combat firing, day and night.
    4. Safe weapons handling.
    5. Clearing, loading, unloading, and reloading.
    6. When to draw and point a weapon.
    7. Rapid fire techniques.
    8. Close quarter firing.
    9. Stress firing.
    10. Zeroing assigned weapon(s).
IV. Weapons qualification and requalification program.
    Qualification firing for the handgun and the rifle must be for 
daylight firing, and each individual shall perform night firing for 
familiarization with assigned weapon(s). The results of weapons 
qualification and requalification must be documented by the licensee or 
the licensee's agent. Each individual shall be requalified at least 
every 12 months. The licensee shall retain this documentation of each 
qualification and requalification as a record for three years from the 
date of the qualification or requalification, as appropriate.
    A. Handgun--Guards, armed escorts and armed response personnel shall 
qualify with a revolver or semiautomatic pistol firing the national 
police course, or an equivalent nationally recognized course. Qualifying 
score shall be an accumulated total of 70 percent of the maximum 
obtainable score.
    B. Semiautomatic Rifle--Guards, armed escorts and armed response 
personnel, assigned to use the semiautomatic rifle by the licensee 
training and qualifications plan, shall qualify with a semiautomatic 
rifle by firing the 100-yard course of fire specified in section 17.5(1) 
of the National Rifle Association, High Power Rifle Rules book 
(effective March 15, 1976), \1\ or a nationally recognized equivalent 
course of fire. Targets used shall be as stated in section 17.5 for the 
100-yard course. Time limits for individuals shall be as specified in 
section 8.2 of the NRA rule book, regardless of the course fired. 
Qualifying score shall be an accumulated total of 80 percent of the 
maximum obtainable score.
---------------------------------------------------------------------------

    \1\ Copies of the ``NRA High Power Rifle Rules'' may be examined at, 
or obtained from, the National Rifle Association, 1600 Rhode Island 
Avenue NW., Washington, DC 20036.
---------------------------------------------------------------------------

    C. Shotgun--Guards, armed escorts, and armed response personnel 
assigned to use the 12 gauge shotgun by the licensee training and 
qualifications plan shall qualify with a

[[Page 459]]

full choke or improved modified choke 12 gauge shotgun firing the 
following course:

------------------------------------------------------------------------
                                                  No. Rounds
            Range                  Position          \1\      Target \2\
------------------------------------------------------------------------
15 yds.......................  Hip fire point..            4       B-27
25 yds.......................  Shoulder........            4       B-27
------------------------------------------------------------------------
\1\ The 4 rounds shall be fired at 4 separate targets within 10 seconds
  using 00 gauge (9 pellet) shotgun shells.
\2\ As set forth by the National Rifle Association (NRA) in its official
  rules and regulations, ``NRA Target Manufacturers Index,'' December
  1976. The Index has been approved for incorporation by reference by
  the Director of the Federal Register. A copy of the index is available
  for inspection at the NRC Library, 11545 Rockville Pike, Rockville,
  Maryland 20852-2738.

    To qualify the individual shall be required to place 50 percent of 
all pellets (36 pellets) within the black silhouette.
    D. Requalification--Individuals shall be weapons requalified at 
least every 12 months in accordance with the NRC approved licensee 
training and qualifications plan, and in accordance with the 
requirements stated in A, B, and C of this section.
V. Guard, armed response personnel, and armed escort equipment.
    A. Fixed Site--Fixed site guards and armed response personnel shall 
either be equipped with or have available the following security 
equipment appropriate to the individual's assigned contingency security 
related tasks or job duties as described in the licensee physical 
security and contingency plans:
    1. Semiautomatic rifles with following nominal minimum 
specifications:
    (a) .223 caliber.
    (b) Muzzle velocity, 1980 ft/sec.
    (c) Muzzle energy, 955 foot-pounds.
    (d) Magazine or clip load of 10 rounds.
    (e) Magazine reload, < 10 seconds.
    (f) Operable in any environment in which it will be used.
    2. 12 gauge shotguns with the following capabilities:
    (a) 4 round pump or semiautomatic.
    (b) Operable in any environment in which it will be used.
    (c) Full or modified choke.
    3. Semiautomatic pistols or revolvers with the following nominal 
minimum specifications:
    (a) .354 caliber.
    (b) Muzzle energy, 250 foot-pounds.
    (c) Full magazine or cylinder reload capability < 6 seconds.
    (d) Muzzle velocity, 850 ft/sec.
    (e) Full cylinder or magazine capacity, 6 rounds.
    (f) Operable in any environment in which it will be used.
    4. Ammunition:
    (a) For each assigned weapon as appropriate to the individual's 
assigned contingency security job duties and as readily available as the 
weapon:
    (1) 18 rounds per handgun.
    (2) 100 rounds per semiautomatic rifle.
    (3) 12 rounds each per shotgun (00 gauge and slug).
    (b) Ammunition available on site--two (2) times the amount stated in 
(a) above for each weapon.
    5. Personal equipment to be readily available for individuals whose 
assigned contingency security job duties, as described in the licensee 
physical security and contingency plans, warrant such equipment:
    (a) Helmet, combat.
    (b) Gas mask, full face.
    (c) Body armor (bullet-resistant vest).
    (d) Flashlights and batteries.
    (e) Baton.
    (f) Handcuffs.
    (g) Ammunition/equipment belt.
    6. Binoculars.
    7. Night vision aids, i.e., hand-fired illumination flares or 
equivalent.
    8. Tear gas or other nonlethal gas.
    9. Duress alarms.
    10. Two-way portable radios (handi-talkie) 2 channels minimum, 1 
operating and 1 emergency.
    B. Transportation--Armed escorts shall either be equipped with or 
have readily available the following security equipment appropriate to 
the individual's assigned contingency security related tasks or job 
duties, as described in the licensee physical security and contingency 
plans:
    1. Semiautomatic rifles with the following nominal minimum 
specifications:
    (a) .223 caliber.
    (b) Muzzle velocity, 1,980 ft/sec.
    (c) Muzzle energy, 955 foot-pounds.
    (d) Magazine or clip of 10 rounds.
    (e) Reload capability, 10 seconds.
    (f) Operable in any environment in which it will be used.
    2. 12 gauge shotguns.
    (a) 4 round pump or semiautomatic.
    (b) Operable in any environment in which it will be used.
    (c) Full or modified choke.
    3. Semiautomatic pistols or revolvers with the following nominal 
minimum specifications:
    (a) .354 caliber.
    (b) Muzzle energy, 250 foot-pounds.
    (c) Full magazine or cylinder reload capability 6 seconds.
    (d) Muzzle velocity, 850 ft/sec.
    (e) Full cylinder or magazine capacity, 6 rounds.
    (f) Operable in any environment in which it will be used.
    4. Ammunition for each shipment.
    (a) For each assigned weapon as appropriate to the individual's 
assigned contingency security job duties and as readily available as the 
weapon:
    (1) 36 rounds per handgun.
    (2) 120 rounds per semiautomatic rifle.
    (3) 12 rounds each per shotgun (00 gauge and slug).

[[Page 460]]

    5. Escort vehicles, bullet resisting, equipped with communications 
systems, red flares, first aid kit, emergency tool kit, tire changing 
equipment, battery chargers for radios (where appropriate, for 
recharging portable radio batteries).
    6. Personal equipment to be readily available for individuals whose 
assigned contingency security job duties, as described in the licensee 
physical security and contingency plans, warrant such equipment:
    (a) Helmet, combat.
    (b) Gas mask, full face.
    (c) Body armor (bullet-resistant vest).
    (d) Flashlights and batteries.
    (e) Baton.
    (f) Ammunition/equipment belt.
    (g) Pager/duress alarms.
    7. Binoculars.
    8. Night vision aids, i.e., hand-fired illumination flares or 
equivalent.
    9. Tear gas or other nonlethal gas.

[43 FR 37426, Aug. 23, 1978, as amended at 46 FR 2026, Jan. 8, 1981; 53 
FR 405, Jan. 7, 1988; 53 FR 19261, May 27, 1988; 57 FR 33432, July 29, 
1992; 57 FR 61787, Dec. 29, 1992; 59 FR 50689, Oct. 5, 1994]

      Appendix C to Part 73--Licensee Safeguards Contingency Plans

                              Introduction

    A licensee safeguards contingency plan is a documented plan to give 
guidance to licensee personnel in order to accomplish specific defined 
objectives in the event of threats, thefts, or radiological sabotage 
relating to special nuclear material or nuclear facilities licensed 
under the Atomic Energy Act of 1954, as amended. An acceptable 
safeguards contingency plan must contain: (1) a predetermined set of 
decisions and actions to satisfy stated objectives, (2) an 
identification of the data, criteria, procedures, and mechanisms 
necessary to efficiently implement the decisions, and (3) a stipulation 
of the individual, group, or organizational entity responsible for each 
decision and action.
    The goals of licensee safeguards contingency plans for responding to 
threats, thefts, and radiological sabotage are:
    (1) to organize the response effort at the licensee level,
    (2) to provide predetermined, structured responses by licensees to 
safeguards contingencies,
    (3) to ensure the integration of the licensee response with the 
responses by other entities, and
    (4) to achieve a measurable performance in response capability.

Licensee safeguards contingency planning should result in organizing the 
licensee's resources in such a way that the participants will be 
identified, their several responsibilities specified, and the responses 
coordinated. The responses should be timely.
    It is important to note that a licensee's safeguards contingency 
plan is intended to be complementary to any emergency plans developed 
pursuant to appendix E to part 50 or to Sec. 70.22(i) of this chapter.

                          contents of the plan

    Each licensee safeguards contingency plan shall include five 
categories of information:
1. Background
2. Generic Planning Base
3. Licensee Planning Base
4. Responsibility Matrix
5. Procedures
    Although the implementing procedures (the fifth category of Plan 
information) are the culmination of the planning process, and therefore 
are an integral and important part of the safeguards contingency plan, 
they entail operating details subject to frequent changes. They need not 
be submitted to the Commission for approval, but will be inspected by 
NRC staff on a periodic basis. The licensee is responsible for ensuring 
that the implementing procedures reflect the information in the 
Responsibility Matrix, appropriately summarized and suitably presented 
for effective use by the responding entities.
    The following paragraphs describe the contents of the safeguards 
contingency plan.
    1. Background. Under the following topics, this category of 
information shall identify and define the perceived dangers and 
incidents with which the plan will deal and the general way it will 
handle these:
    a. Perceived Danger--A statement of the perceived danger to the 
security of special nuclear material, licensee personnel, and licensee 
property, including covert diversion of special nuclear material, 
radiological sabotage, and overt attacks. The statement of perceived 
danger should conform with that promulgated by the Nuclear Regulatory 
Commission. (The statement contained in 10 CFR 73.55(a) or subsequent 
Commission statements will suffice.)
    b. Purpose of the Plan--A discussion of the general aims and 
operational concepts underlying implementation of the plan.
    c. Scope of the Plan--A delineation of the types of incidents 
covered in the plan.
    d. Definitions--A list of terms and their definitions used in 
describing operational and technical aspects of the plan.
    2. Generic Planning Base. Under the following topics, this category 
of information shall define the criteria for initiation and termination 
of responses to safeguards contingencies together with the specific 
decisions, actions, and supporting information needed to bring about 
such responses:
    a. Identification of those events that will be used for signaling 
the beginning or aggravation of a safeguards contingency according

[[Page 461]]

to how they are perceived initially by licensee's personnel. Such events 
may include alarms or other indications signaling penetration of a 
protected area, vital area, or material access area; material control or 
material accounting indications of material missing or unaccounted for; 
or threat indications--either verbal, such as telephoned threats, or 
implied, such as escalating civil disturbances.
    b. Definition of the specific objective to be accomplished relative 
to each identified event. The objective may be to obtain a level of 
awareness about the nature and severity of the safeguards contingency in 
order to prepare for further responses; to establish a level of response 
preparedness; or to successfully nullify or reduce any adverse 
safeguards consequences arising from the contingency.
    3. Licensee Planning Base. This category of information shall 
include the factors affecting contingency planning that are specific for 
each facility or means of transportation. To the extent that the topics 
are treated in adequate detail in the licensee's approved physical 
security plan, they may be incorporated by cross reference to that plan. 
The following topics should be addressed:
    a. Licensee's Organizational Structure for Contingency Responses--A 
delineation of the organization's chain of command and delegation of 
authority as these apply to safeguards contingencies.
    b. Physical Layout--(i) Fixed Sites--A description of the physical 
structures and their location on the site, and a description of the site 
in relation to nearby town, roads, and other environmental features 
important to the effective coordination of response operations. 
Particular emphasis should be placed on main and alternate entry routes 
for law-enforcement assistance forces and the location of control points 
for marshalling and coordinating response activities.
    (ii) Transportation--A description of the vehicles, shipping routes, 
preplanned alternate routes, and related features.
    c. Safeguards Systems Hardware--A description of the physical 
security and accounting system hardware that influence how the licensee 
will respond to an event. Examples of systems to be discussed are 
communications, alarms, locks, seals, area access, armaments, and 
surveillance.
    d. Law Enforcement Assistance--A listing of available local law 
enforcement agencies and a description of their response capabilities 
and their criteria for response; and a discussion of working agreements 
or arrangements for communicating with these agencies.
    e. Policy Constraints and Assumptions--A discussion of State laws, 
local ordinances, and company policies and practices that govern 
licensee response to incidents. Examples that may be discussed include:
Use of deadly force;
Use of employee property;
Use of off-duty employees;
Site security jurisdictional boundaries.
    f. Administrative and Logistical Considerations--Descriptions of 
licensee practices that may have an influence on the response to 
safeguards contingency events. The considerations shall include a 
description of the procedures that will be used for ensuring that all 
equipment needed to effect a successful response to a safeguards 
contingency will be easily accessible, in good working order, and in 
sufficient supply to provide redundancy in case of equipment failure.
    4. Responsibility Matrix. This category of information consists of 
detailed identification of the organizational entities responsible for 
each decision and action associated with specific responses to 
safeguards contingencies. For each initiating event, a tabulation shall 
be made for each response entity depicting the assignment of 
responsibilities for all decisions and actions to be taken in response 
to the initiating event. (Not all entities will have assigned 
responsibilities for any given initiating event.) The tabulations in the 
Responsibility Matrix shall provide an overall picture of the response 
actions and their interrelationships. Safeguards responsibilities shall 
be assigned in a manner that precludes conflict in duties or 
responsibilities that would prevent the execution of the plan in any 
safeguards contingency.
    5. Procedures. In order to aid execution of the detailed plan as 
developed in the Responsibility Matrix, this category of information 
shall detail the actions to be taken and decisions to be made by each 
member or unit of the organization as planned in the Responsibility 
Matrix.

                            Audit and Review

    (1) For nuclear facilities subject to the requirements of 
Sec. 73.46, the licensee shall provide for a review of the safeguards 
contingency plan at intervals not to exceed 12 months. For nuclear power 
reactor licensees subject to the requirements of Sec. 73.55, the 
licensee shall provide for a review of the safeguards contingency plan 
either:
    (i) At intervals not to exceed 12 months, or
    (ii) As necessary, based on an assessment by the licensee against 
performance indicators, and as soon as reasonably practicable after a 
change occurs in personnel, procedures, equipment, or facilities that 
potentially could adversely affect security, but no longer than 12 
months after the change. In any case, each element of the safeguards 
contingency plan must be reviewed at least every 24 months.
    (2) A licensee subject to the requirements of either Sec. 73.46 or 
Sec. 73.55 shall ensure that the review of the safeguards contingency 
plan is by individuals independent of both security program management 
and personnel who

[[Page 462]]

have direct responsibility for implementation of the security program. 
The review must include an audit of safeguards contingency procedures 
and practices, and an audit of commitments established for response by 
local law enforcement authorities.
    (3) The licensee shall document the results and the recommendations 
of the safeguards contingency plan review, management findings on 
whether the safeguards contingency plan is currently effective, and any 
actions taken as a result of recommendations from prior reviews in a 
report to the licensee's plant manager and to corporate management at 
least one level higher than that having responsibility for the day-to-
day plant operation. The report must be maintained in an auditable form, 
available for inspection for a period of 3 years.

(Sec. 161i, Pub. L. 83-703, 68 Stat. 948, secs. 201, 204(b)(1), Pub L. 
93-438, 88 Stat. 1243, 1245 (42 U.S.C. 2201, 5841, 5844))

[43 FR 11965, Mar. 23, 1978; 43 FR 14007, Apr. 4, 1978, as amended at 57 
FR 33432, July 29, 1992; 64 FR 14818, Mar. 29, 1999]

Appendix D to Part 73--Physical Protection of Irradiated Reactor Fuel in 
               Transit, Training Program Subject Schedule

    Pursuant to the provision of Sec. 73.37 of 10 CFR part 73, each 
licensee who transports or delivers to a carrier for transport 
irradiated reactor fuel is required to assure that individuals used as 
shipment escorts have completed a training program. The subjects that 
are to be included in this training program are as follows:

                            Security Enroute

--Route planning and selection
--Vehicle operation
--Procedures at stops
--Detours and use of alternate routes

                             Communications

--Equipment operation
--Status reporting
--Contacts with law enforcement units
--Communications discipline
--Procedures for reporting incidents

                       Radiological Considerations

--Description of the radioactive cargo
--Function and characteristics of the shipping casks
--Radiation hazards
--Federal, State and local ordinances relative to the shipment of 
          radioactive materials
--Responsible agencies

                        Response to Contingencies

--Accidents
--Severe weather conditions
--Vehicle breakdown
--Communications problems
--Radioactive ``spills''
--Use of special equipment (flares, emergency lighting, etc.)

                           Response to Threats

--Reporting
--Calling for assistance
--Use of immobilization features
--Hostage situations
--Avoiding suspicious situations
    The licensee is also required to assure that armed individuals 
serving as shipment escorts, other than members of local law enforcement 
agencies, have completed a weapons training and qualifications program 
equivalent to that required of guards, as described in III and IV of 
appendix B of this part, to assure that each such individual is fully 
qualified to use weapons assigned him.

[44 FR 34468, June 15, 1979, as amended at 45 FR 34710, June 3, 1980]

 Appendix E to Part 73--Levels of Physical Protection To Be Applied in 
             International Transport of Nuclear Material \1\

    Category I is a formula quantity of strategic special nuclear 
material;
---------------------------------------------------------------------------

    \1\ See appendix C to part 110 of this chapter from the physical 
description of the categories of nuclear material as set forth in Annex 
I to the Convention. For the purposes of this part, the following 
categories of nuclear material are synonymous:
    Category II is special nuclear material of moderate strategic 
significance or irradiated fuel; and
    Category III is special nuclear material of low strategic 
significance.
---------------------------------------------------------------------------

    (Verbatim from Annex I to the Convention on the Physical Protection 
of Nuclear Material)
    (a) Levels of physical protection for nuclear material during 
storage incidental to international nuclear transport include:
    (1) For Category III materials, storage within an area to which 
access is controlled;
    (2) For Category II materials, storage within an area under constant 
surveillance by guards or electronic devices, surrounded by a physical 
barrier with a limited number of points of entry under appropriate 
control or any area with an equivalent level of physical protection;
    (3) For Category I material, storage within a protected area as 
defined for Category II, to which, in addition, access is restricted to 
persons whose trustworthiness has been determined, and which is under 
surveillance by guards who are in close communication with

[[Page 463]]

appropriate response forces. Specific measures taken in this context 
should have as their objective the detection and prevention of any 
assault, unauthorized access, or unauthorized removal of material.
    (b) Levels of physical protection for nuclear material during 
international transport include:
    (1) For Category II and III materials, transportation shall take 
place under special precautions including prior arrangements among 
sender, receiver, and carrier, and prior agreement between natural or 
legal persons subject to the jurisdiction and regulation of exporting 
and importing States, specifying time, place and procedures for 
transferring transport responsibility;
    (2) For Category I materials, transportation shall take place under 
special precautions identified for transportation of Category II and III 
materials, and in addition, under constant surveillance by escorts and 
under conditions which assure close communication with appropriate 
response forces;
    (3) For natural uranium other than in the form of ore or ore 
residue, transportation protection for quantities exceeding 500 
kilograms U shall include advance notification of shipment specifying 
mode of transport, expected time of arrival and [shall provide for] 
confirmation of receipt of shipment.

[52 FR 9654, Mar. 26, 1987]

Appendix F to Part 73--Nations That Are Parties to the Convention on the 
               Physical Protection of Nuclear Material \1\

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

    \1\ \1\ An update list of party nations will appear annually in the 
Department of State's publication, Treaties in Force. Appendix F will be 
amended as required to maintain its currency.

------------------------------------------------------------------------
                                                 Date of deposit of
                  Nation                     instrument of ratification
                                                    with the IAEA
------------------------------------------------------------------------
Brazil....................................  Oct. 17, 1985.
Bulgaria..................................  May 2, 1984.
Canada....................................  Mar. 21, 1986.
Czechoslovakia............................  Apr. 23, 1982.
German Democratic Republic (E. Germany)...  Feb. 5, 1981.
Guatemala.................................  Apr. 23, 1985.
Hungary...................................  May 4, 1984.
Indonesia.................................  Nov. 5, 1986.
Korea, Republic of........................  Apr. 7, 1982.
Liechtenstein.............................  Nov. 25, 1986.
Mongolia..................................  May 28, 1986.
Norway....................................  Aug. 15, 1985.
Paraguay..................................  Feb. 6, 1985.
Philippines...............................  Sept. 22, 1981.
Poland....................................  Oct. 5, 1983.
Sweden....................................  Aug. 1, 1980.
Switzerland...............................  Jan. 9, 1987.
Turkey....................................  Feb. 27, 1985.
Yugoslavia................................  May 14, 1986.
Union of Soviet Socialist Republic........  May 25, 1983.
United States of America..................  Dec. 13, 1982.
------------------------------------------------------------------------


[52 FR 9654, Mar. 26, 1987]

           Appendix G to Part 73--Reportable Safeguards Events

    Pursuant to the provisions of 10 CFR 73.71 (b) and (c), licensees 
subject to the provisions of 10 CFR 73.20, 73.37, 73.50, 73.55, 73.60, 
and 73.67 shall report or record, as appropriate, the following 
safeguards events.
    I. Events to be reported within one hour of discovery, followed by a 
written report within 30 days.
    (a) Any event in which there is reason to believe that a person has 
commited or caused, or attempted to commit or cause, or has made a 
credible threat to commit or cause:
    (1) A theft or unlawful diversion of special nuclear material; or
    (2) Significant physical damage to a power reactor or any facility 
possessing SSNM or its equipment or carrier equipment transporting 
nuclear fuel or spent nuclear fuel, or to the nuclear fuel or spent 
nuclear fuel a facility or carrier possesses; or
    (3) Interruption of normal operation of a licensed nuclear power 
reactor through the unauthorized use of or tampering with its machinery, 
components, or controls including the security system.
    (b) An actual entry of an unauthorized person into a protected area, 
material access area, controlled access area, vital area, or transport.
    (c) Any failure, degradation, or the discovered vulnerability in a 
safeguard system that could allow unauthorized or undetected access to a 
protected area, material access area, controlled access area, vital 
area, or transport for which compensatory measures have not been 
employed.
    (d) The actual or attempted introduction of contraband into a 
protected area, material access area, vital area, or transport.
    II. Events to be recorded within 24 hours of discovery in the 
safeguards event log.
    (a) Any failure, degradation, or discovered vulnerability in a 
safeguards system that could have allowed unauthorized or undetected 
access to a protected area, material access area, controlled access 
area, vital area, or transport had compensatory measures not been 
established.
    (b) Any other threatened, attempted, or committed act not previously 
defined in appendix G with the potential for reducing the effectiveness 
of the safeguards system below

[[Page 464]]

that committed to in a licensed physical security or contingency plan or 
the actual condition of such reduction in effectiveness.

[52 FR 21658, June 9, 1987, as amended at 60 FR 13618, Mar. 14, 1995]

               Appendix H--Weapons Qualification Criteria

    The B-27 Target or a target of equivalent difficulty will be used 
for all weapon qualification testing.

                                                       Table H-1--Minimum Day Firing Criteria \1\
                                                           [see footnotes at end of Table H-1]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                          Number of
              Weapon                 Stage  String \2\      Distance        rounds         Timing \3\              Position               Scoring
--------------------------------------------------------------------------------------------------------------------------------------------------------
Handgun...........................       1         1    3 yards.........          6  9 seconds............  Draw and fire 2        Minimum qualifying =
                                                   2                                                         rounds (repeat 2       70%.
                                                   3                                                         times) 3 seconds
                                                                                                             each string.
                                         2         1    7 yards.........          6  10 seconds...........  Draw and fire 2
                                                   2                                                         rounds at center
                                                                                                             mass and 1 round at
                                                                                                             the head (repeat
                                                                                                             once) 5 seconds each
                                                                                                             string.
                                         3         1    7 yards.........          6  12 seconds (4 seconds  Using weaker hand
                                                   2                                  each string).          only, from the low
                                                   3                                                         ready position, fire
                                                                                                             2 rounds (repeat
                                                                                                             twice).
                                         4         1    10 yards........          2  4 seconds............  Draw and fire 2
                                                                                                             rounds, come to low
                                                                                                             ready position.
                                                   2    10 yards........          2  3 seconds............  Fire 2 rounds from
                                                                                                             low ready position
                                                                                                             and reholster.
                                                   3    10 yards........          4  12 seconds (revolver)  Draw and fire 2
                                                                                      10 seconds             rounds, reload, fire
                                                                                      (semiautomatic).       2 rounds and
                                                                                                             reholster.
                                                   4    10 yards........          2  4 seconds............  Draw and fire 2
                                                                                                             rounds, come to low
                                                                                                             ready position.
                                                   5    10 yards........          2  3 seconds............  Fire 2 rounds from
                                                                                                             low ready position
                                                                                                             and reholster.
                                         5         1    15 yards........          2  5 seconds............  Standing, draw
                                                                                                             weapon, move to
                                                                                                             kneeling position,
                                                                                                             then fire 2 rounds
                                                                                                             and reholster.
                                                   2    15 yards........          2  5 seconds............  Standing, draw
                                                                                                             weapon, move to
                                                                                                             kneeling position,
                                                                                                             then fire 2 rounds
                                                                                                             and reholster.
                                         5         3    15 yards........          4  14 seconds (revolver)  Standing, draw         Minimum qualifying =
                                                                                      12 seconds             weapon, fire 2         70%.
                                                                                      (semiautomatic).       rounds, move to
                                                                                                             kneeling position
                                                                                                             and fire 2 rounds,
                                                                                                             reload and reholster.
                                                   4    15 yards........          2  5 seconds............  Draw weapon and fire
                                                                                                             2 rounds standing,
                                                                                                             come to low ready
                                                                                                             position and....
                                                   5    15 yards........          2  3 seconds............  Fire 2 rounds from
                                                                                                             low ready.
                                         6         1    25 yards........          2  5 seconds............  Draw and fire 2
                                                                                                             rounds, standing,
                                                                                                             left side of
                                                                                                             barricade.
                                                   2    25 yards........          2  5 seconds............  Draw and fire 2
                                                                                                             rounds, right side
                                                                                                             of barricade
                                                                                                             (standing).
                                                   3    25 yards........          4  15 seconds (revolver)  Draw weapon and move
                                                                                      12 seconds (semi-      from standing to
                                                                                      automatic).            kneeling position,
                                                                                                             fire 2 rounds, left
                                                                                                             side of barricade,
                                                                                                             reload, and from the
                                                                                                             kneeling position,
                                                                                                             fire 2 rounds, right
                                                                                                             side of barricade.
                                                   4    25 yards........          2  10 seconds...........  Draw weapon and move
                                                                                                             from standing to
                                                                                                             prone, fire 2 rounds.
                                                   5    25 yards........          2  10 seconds...........  Draw weapon and move
                                                                                                             from standing to
                                                                                                             prone, fire 2 rounds.
                                         7         1    50 yards........          2  8 seconds............  Draw weapon and fire
                                                                                                             2 rounds from a
                                                                                                             standing barricade
                                                                                                             position (right or
                                                                                                             left side, shooter's
                                                                                                             option).
                                                   2    50 yards........          2  10 seconds...........  Draw weapon and fire
                                                                                                             2 rounds from a
                                                                                                             kneeling barricade
                                                                                                             position (right or
                                                                                                             left side, shooter's
                                                                                                             option).
                                                   3    50 yards........          2  12 seconds...........  Draw weapon and fire
                                                                                                             2 rounds from prone
                                                                                                             position.

[[Page 465]]

 
Shotgun...........................       1         1    7 yards.........   2 Double  4 seconds............  At low ready position  Minimum qualifying =
                                                                            0 buck-                          fire 2 rounds          70%.
                                                                               shot                          standing.
                                         2         1    15 yards........   4 Double  15 seconds...........  At low ready position
                                                   2                        0 buck-                          fire 2 rounds
                                                                               shot                          standing, reload and
                                                                                                             fire 2 rounds.
                                         3         1    25 yards........   4 rifled  20 seconds...........  On command, load 4
                                                   2                       slugs or                          rounds and fire 2
                                                                           00 buck-                          rounds standing and
                                                                               shot                          2 rounds kneeling.
Rifle.............................       1         1    15 yards........          6  10 seconds (4 seconds  Standing in low ready  Minimum qualifying =
                                                   2                                  for 1st string, 3      position, move to      70%.
                                                   3                                  seconds for each of    standing point
                                                                                      2nd and 3rd string).   shoulder position (1
                                                                                                             magazine loaded with
                                                                                                             6 rounds, weapon in
                                                                                                             half-load
                                                                                                             configuration), fire
                                                                                                             2 rounds per string.
                                         2         1    25 yards........          6  11 seconds (5 seconds  Standing in low ready
                                                   2                                  for 1st string, 3      position, move to
                                                   3                                  seconds for each of    standing point
                                                                                      2nd and 3rd string).   shoulder position (1
                                                                                                             magazine loaded with
                                                                                                             6 rounds, weapon in
                                                                                                             half-load
                                                                                                             configuration), fire
                                                                                                             2 rounds per string.
                                         3         1    25 yards........          6  17 seconds (7 seconds  Standing in low ready
                                                   2                                  for 1st string, 5      position, move to
                                                   3                                  seconds for each of    kneeling point
                                                                                      2nd and 3rd string).   shoulder position (1
                                                                                                             magazine loaded with
                                                                                                             6 rounds, weapon in
                                                                                                             half-load
                                                                                                             configuration), fire
                                                                                                             2 rounds per string.
                                         4         1    50 yards........          4  16 seconds (9 seconds  Standing in low ready
                                                   2                                  for 1st string, 7      position, move to
                                                                                      second for 2nd         kneeling point
                                                                                      string).               shoulder position (1
                                                                                                             magazine loaded with
                                                                                                             4 rounds, weapon in
                                                                                                             half-load
                                                                                                             configuration), fire
                                                                                                             2 rounds per string.
                                      \4\5         1    50 yards........          4  20 seconds...........  Standing in low ready  Minimum qualifying =
                                                                                                             position, move to      70%.
                                                                                                             prone (weapon in
                                                                                                             half-load
                                                                                                             configuration) with
                                                                                                             two magazines each
                                                                                                             loaded with 2
                                                                                                             rounds, fire 2
                                                                                                             rounds, reload with
                                                                                                             2nd magazine and
                                                                                                             fire 2 rounds.
                                      \4\6         1    100 yards.......          4  25 seconds...........  Standing in low ready
                                                                                                             position, move to
                                                                                                             prone (weapon in
                                                                                                             half-load
                                                                                                             configuration) two
                                                                                                             magazines each
                                                                                                             loaded with 2
                                                                                                             rounds, fire 2
                                                                                                             rounds, reload with
                                                                                                             2nd magazine and
                                                                                                             fire 2 rounds.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Footnotes:
\1\ This day firing qualifications course is to be used by all TRT members, armed response personnel, and guards.
\2\ A string is one of the different phases within a single stage.
\3\ Security personnel will be timed as shown.
\4\ Stages 5 and 6 are to be used for .30 caliber or larger rifles.


                                                        Table H-2--Minimum Night Firing Criteria
--------------------------------------------------------------------------------------------------------------------------------------------------------
             Weapon               Stage      Distance        No. of rounds         Timing             Position           Scoring            Lighting
--------------------------------------------------------------------------------------------------------------------------------------------------------
Handgun (Rev.).................       1  7 yds...........  12..............  35 seconds........  Standing-no        Minimum            For all courses
                                                                                                  artificial         qualifying=70%.    0.2 footcandles
                                                                                                  support.                              at center mass
                                                                                                                                        of target area.
                                      2  15 yds..........  12..............  45 seconds........
Handgun (Semi-)................       1  7 yds...........  2+clip..........  30 seconds........  Standing-no
                                                                                                  artificial
                                                                                                  support.
                                      2  15 yds..........  2+clip..........  40 seconds........

[[Page 466]]

 
Shotgun........................       1  25 yds..........  2 rifled slugs..  30 seconds (Load 2  Standing-strong    Rifled slug
                                                                              slugs--chamber      shoulder.          hits=strike area
                                                                              empty--Time                            on target (10,
                                                                              starts--Commence                       9, 7).
                                                                              firing).
                                      1  15 yds..........  5 Double 0        10 seconds (Load    Standing-strong    Double 0
                                                            buckshot.         5rds Buckshot--     shoulder.          Buckshot: Hits
                                                                              chamber, empty--                       in black=2 pts
                                                                              Time starts--                          (5rds x 9
                                                                              Commence firing).                      pellets/rd x 2
                                                                                                                     pts=90) Minimum
                                                                                                                     qualifying=70%.
Rifle..........................       1  25 yds..........  1-5rd mag.......  45 sec............  Standing-          Minimum
                                                                                                  barricade.         qualifying=70%.
                                      2  25 yds..........  1-5rd mag.......  45 sec............  Standing.........
                                      3  25 yds..........  1-5rd mag.......  45 sec............  Kneeling.........
                                      4  25 yds..........  1-5rd mag.......  45 sec............  Prone ...........
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note.--All firing is to be done only at night. Use of night simulation equipment during daylight is not allowable. Use of site specific devices (i.e.,
  laser, etc.) should be included in the licensee amended security plan for NRC approval.


[58 FR 45785, Aug. 31, 1993]



PART 74--MATERIAL CONTROL AND ACCOUNTING OF SPECIAL NUCLEAR MATERIAL--Table of Contents




                      Subpart A--General Provisions

Sec.
74.1  Purpose.
74.2  Scope.
74.4  Definitions.
74.5  Interpretations.
74.6  Communications.
74.7  Specific exemptions.
74.8  Information collection requirements: OMB approval.

                      Subpart B--General Reporting

74.11  Reports of loss or theft or attempted theft or unauthorized 
          production of special nuclear material.
74.13  Material status reports.
74.15  Nuclear material transfer reports.
74.17  Special nuclear material physical inventory summary report.
74.19  Recordkeeping

    Subpart C--Special Nuclear Material of Low Strategic Significance

74.31  Nuclear material control and accounting for special nuclear 
          material of low strategic significance.
74.33  Nuclear material control and accounting for uranium enrichment 
          facilities authorized to produce special nuclear material of 
          low strategic significance.

 Subpart D--Special Nuclear Material of Moderate Strategic Significance

74.41  Nuclear material control and accounting for special nuclear 
          material of moderate strategic significance.
74.43  Internal controls, inventory, and records.
74.45  Measurements and measurement control.

   Subpart E--Formula Quantities of Strategic Special Nuclear Material

74.51  Nuclear material control and accounting for strategic special 
          nuclear material.
74.53  Process monitoring.
74.55  Item monitoring.
74.57  Alarm resolution.
74.59  Quality assurance and accounting requirements.

                         Subpart F--Enforcement

74.81  Inspections.
74.82  Tests.
74.83  Violations.
74.84  Criminal penalties.

    Authority: Secs. 53, 57, 161, 182, 183, 68 Stat. 930, 932, 948, 953, 
954, as amended, sec. 234, 83 Stat. 444, as amended, sec. 1701, 106 
Stat. 2951, 2952, 2953 (42 U.S.C. 2073, 2077, 2201, 2232, 2233, 2282, 
2297f); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 
1244, 1246 (42 U.S.C. 5841, 5842, 5846).

    Source: 50 FR 7579, Feb. 25, 1985, unless otherwise noted.

[[Page 467]]



                      Subpart A--General Provisions



Sec. 74.1  Purpose.

    (a) This part has been established to contain the requirements for 
the control and accounting of special nuclear material at fixed sites 
and for documenting the transfer of special nuclear materials. General 
reporting requirements as well as specific requirements for certain 
licensees possessing special nuclear material of low strategic 
significance and formula quantities of strategic special nuclear 
material are included. Requirements for the control and accounting of 
source material at enrichment facilities are also included. The specific 
control and accounting requirements for other licensees are contained in 
Secs. 70.51, 70.57, and 70.58 of this chapter.
    (b) The general conditions and procedures for the submittal of a 
license application for the activities covered in this part are detailed 
in Sec. 70.22 of this chapter.

[50 FR 7579, Feb. 25, 1985, as amended at 56 FR 55998, Oct. 31, 1991]

    Effective Date Note: At 67 FR 78144, Dec. 23, 2002, Sec. 74.1 was 
amended by revising paragraph (a), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 74.1  Purpose.

    (a) This part has been established to contain the requirements for 
the control and accounting of special nuclear material at fixed sites 
and for documenting the transfer of special nuclear material. General 
reporting requirements as well as specific requirements for certain 
licensees possessing special nuclear material of low strategic 
significance, special nuclear material of moderate strategic 
significance, and formula quantities of strategic special nuclear 
material are included. Requirements for the control and accounting of 
source material at enrichment facilities are also included.

                                * * * * *



Sec. 74.2  Scope.

    (a) The general requirements of this part apply to each person 
licensed pursuant to part 70 or 72 of this chapter, who possesses 
special nuclear material in a quantity greater than 350 grams of 
contained uranium-235, uranium-233, or plutonium, or any combination 
thereof; or who transfers or receives a quantity of special nuclear 
material of 1 gram or more of contained uranium-235, uranium-233, or 
plutonium.
    (b) In addition, specific control and accounting requirements are 
included for certain licensees who:
    (1) possess and use formula quantities of strategic special nuclear 
material,
    (2) possess and use special nuclear material of low strategic 
significance, or
    (3) possess uranium source material and equipment capable of 
producing enriched uranium.
    (c) Specific control and accounting requirements for special nuclear 
material of moderate strategic significance and for miscellaneous 
categories of licensees who possess special nuclear material are 
contained in Secs. 70.51, 70.57, and 70.58 of this chapter.
    (d) As provided in part 76 of this chapter, the regulations of this 
part establish procedures and criteria for material control and 
accounting for the issuance of a certificate of compliance or the 
approval of a compliance plan.

[50 FR 7579, Feb. 25, 1985, as amended at 56 FR 55998, Oct. 31, 1991; 59 
FR 48960, Sept. 23, 1994]

    Effective Date Note: At 67 FR 78144, Dec. 23, 2002, Sec. 74.2 was 
revised, effective Mar. 24, 2003. For the convenience of the user, the 
revised text is set forth as follows:

Sec. 74.2  Scope.

    (a) The general reporting and recordkeeping requirements of subpart 
B of this part apply to each person licensed pursuant to this chapter 
who possess special nuclear material in a quantity greater than 350 
grams of contained uranium-235, uranium-233, or plutonium, or any 
combination thereof; or who transfers or receives a quantity of special 
nuclear material of 1 gram or more of contained uranium-235, uranium-
233, or plutonium. The general reporting and recordkeeping requirements 
of subpart B of this part do not apply to licensees whose MC&A reporting 
and recordkeeping requirements are covered by Secs. 72.72, 72.76, and 
72.78 of this chapter.
    (b) In addition, specific control and accounting requirements are 
included in subparts C, D, and E for certain licensees who:
    (1) Possess and use formula quantities of strategic special nuclear 
material;
    (2) Possess and use special nuclear material of moderate strategic 
significance;
    (3) Possess and use special nuclear material of low strategic 
significance; or

[[Page 468]]

    (4) Possess uranium source material and equipment capable of 
producing enriched uranium.
    (c) As provided in part 76 of this chapter, the regulations of this 
part establish procedures and criteria for material control and 
accounting for the issuance of a certificate of compliance or the 
approval of a compliance plan.



Sec. 74.4  Definitions.

    As used in this part:
    Abrupt loss means a loss occurring in the time interval between 
consecutive sequential performances of a material control test which is 
designed to detect anomalies potentially indicative of a loss of 
strategic special nuclear material from a specific unit of SSNM (i.e., a 
quantity characterized by a unique measurement) introduced into a 
process.
    Accessible location means a process location at which SSNM could be 
acquired without leaving evidence of the acquisition, i.e., without 
tools or other equipment to obviously violate the integrity of the 
containment.
    Act means the Atomic Energy Act of 1954 (68 Stat. 919), including 
any amendments thereto.
    Active inventory means the sum of additions to inventory, beginning 
inventory, ending inventory, and removals from inventory, after all 
common terms have been excluded. Common terms are any material values 
which appear in the active inventory calculation more than once and come 
from the same measurement.
    Additions to material in process means: (1) Receipts that are 
opened, except for receipts opened only for sampling and subsequently 
maintained under tamper-safing; (2) opened sealed sources; and (3) 
material removed from process for nonconformance with chemical or 
physical specifications that is subsequently reprocessed, measured for 
contained SSNM, and reintroduced to process.
    Alarm Threshold means a predetermined quantity of SSNM calculated 
from the specified probability of detection for a given loss and the 
standard deviation associated with a material control test. An alarm 
threshold serves to trigger a response action.
    Batch means a portion of source material or special nuclear material 
handled as a unit for accounting purposes at a key measurement point and 
for which the composition and quantity are defined by a single set of 
measurements. The source material or special nuclear material may be in 
bulk form or contained in a number of separate items.
    Bias means the deviation of the expected value of a random variable 
from the corresponding correct or assigned value.
    Calibration means the process of determining the numerical 
relationship between the observed output of a measurement system and the 
value, based upon reference standards, of the characteristic being 
measured.
    Category IA material means SSNM directly useable in the manufacture 
of a nuclear explosive device, except if:
    (1) The dimensions are large enough (at least two meters in one 
dimension, greater than one meter in each of two dimensions, or greater 
than 25cm in each of three dimensions) to preclude hiding the item on an 
individual;
    (2) The total weight of five 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 kilograms) in each 
container requires protracted diversions in order to accumulate five 
formula kilograms.
    Category IB material means all SSNM material other than Category IA.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Continuous process means a unit process in which feed material must 
be introduced in a systematic manner in order to maintain equilibrium 
conditions.
    Controlled access area means any temporarily or permanently 
established area which is clearly demarcated, access to which is 
controlled, and which affords isolation of the material or persons 
within it.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Effective kilograms of special nuclear material means:
    (1) For plutonium and uranium-233 their weight in kilograms;

[[Page 469]]

    (2) For uranium with an enrichment in the isotope U235 of 
0.01 (1 percent) and above, its element weight in kilograms multiplied 
by the square of its enrichment expressed as a decimal weight fraction; 
and
    (3) For uranium with an enrichment in the isotope U235 
below 0.01 (1 percent), its element weight in kilograms multiplied by 
0.0001.
    Element means uranium or plutonium.
    Estimate means a specific numerical value arrived at by the 
application of an estimator.
    Estimator means a function of a sample measurement used to estimate 
a population parameter.
    Fissile isotope means: (1) Uranium U-233, or (2) uranium-235 by 
enrichment category, (3) plutonium-239, and (4) plutonium-241.
    Formula kilogram means SSNM in any combination in a quantity of 1000 
grams computed by the formula, grams=(grams contained U-235) + 2.5 
(grams U-233 + grams plutonium).
    Formula quantity means strategic special nuclear material in any 
combination in a quantity of 5,000 grams or more computed by the 
formula, grams=(grams contained U235)+2.5 (grams 
U233+grams plutonium).
    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.
    High enriched uranium means uranium enriched to 20 percent or 
greater in the isotope uranium-235.
    Inventory difference (ID) means the quantity obtained by subtracting 
ending inventory (EI) and removals (R) from beginning inventory (BI) and 
additions to inventory (A). Mathematically,

ID=BI+A-EI-R


ID is sometimes also referred to as material unaccounted for (MUF) in 
this chapter.
    Item means any discrete quantity or container of special nuclear 
material or source material, not undergoing processing, having an unique 
identity and also having an assigned element and isotope quantity.
    License, except where otherwise specified, means a license issued 
pursuant to part 70 of this chapter.
    Low enriched uranium means uranium enriched below 20 percent in the 
isotope uranium-235.
    Material means special nuclear material.
    Material access area means any location which contains special 
nuclear material, within a vault or a building, the roof, walls, and 
floor of which constitute a physical barrier.
    Material balance means the determination of an inventory difference 
(ID).
    MC&A alarm means a situation in which there is: (1) an out-of-
location item or an item whose integrity has been violated, (2) an 
indication of a flow of SSNM where there should be none, or (3) a 
difference between a measured or observed amount or property of material 
and its corresponding predicted or property value that exceeds a 
threshold established to provide the detection capability required by 
Sec. 74.53.
    Material control test means a comparison of a pre-established alarm 
threshold with the results of a process difference or process yield 
performed on a unit process.
    Material in process means any special nuclear material possessed by 
the licensee except in unopened receipts, sealed sources, measured waste 
discards, and ultimate product maintained under tamper-safing.
    Measurement includes sampling and means the determination of mass, 
volume, quantity, composition or other property of a material where such 
determinations are used for special nuclear material control and 
accounting purposes.
    Measurement system means all of the apparatus, equipment, 
instruments and procedures used in performing a measurement.
    Person means:
    (1) Any individual, corporation, partnership, firm, association, 
trust, estate, public or private institution, group, Government agency 
other than

[[Page 470]]

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), any state or any political subdivision of 
or any political entity within a state, any foreign government or nation 
or political subdivision of any such government or nation, or other 
entity; and
    (2) Any legal successor, representative, agent, or agency of the 
foregoing.
    Physical inventory means determination on a measured basis of the 
quantity of special nuclear material on hand at a given time. The 
methods of physical inventory and associated measurements will vary 
depending on the material to be inventoried and the process involved.
    Power of detection means the probability that the critical value of 
a statistical test will be exceeded when there is an actual loss of a 
specific SSNM quantity.
    Process difference (PD) means the determination of an ID on a unit 
process level with the additional qualification that difficult to 
measure components may be modeled.
    Process yield means the quantity of SSNM actually removed from a 
unit process compared with the quantity predicted (based on a measured 
input) to be available for removal. Process yield differs from a process 
difference in that holdup and sidestreams are not measured or modeled.
    Produce when used in relation to special nuclear material, means: 
(1) To 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.
    Random error means the deviation of a random variable from its 
expected value.
    Receipt means special nuclear material received by a licensee from 
an off-site source.
    Reference standard means a material, device, or instrument whose 
assigned value is known relative to national standards or nationally 
accepted measurement systems. This is also commonly referred to as a 
traceable standard.
    Removals means measured quantities of special nuclear material 
disposed of as discards, encapsulated as a sealed source, or in ultimate 
product placed under tamper-safing or shipped offsite.
    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.
    Scrap means the various forms of special nuclear material generated 
during chemical and mechanical processing, other than recycle material 
and normal process intermediates, which are unsuitable for continued 
processing, but all or part of which will be converted to useable 
material by appropriate recovery operations.
    Sealed source means any special nuclear material that is physically 
encased in a capsule, rod, element, etc. that prevents the leakage or 
escape of the special nuclear material and that prevents removal of the 
special nuclear material without penetration of the casing.
    Source material means source material as defined in section 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 
U233 or in the isotope U235, and any other 
material which the Commission, pursuant to the provisions of section 51 
of the Atomic Energy Act of 1954, as amended, 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.
    Special nuclear material of low strategic significance means:

[[Page 471]]

    (1) Less than an amount of special nuclear material of moderate 
strategic significance, but more than 15 grams of uranium-235 (contained 
in uranium enriched to 20 percent or more in the U235 
isotope) or 15 grams of uranium-233 or 15 grams of plutonium or the 
combination of 15 grams when computed by the equation, grams=grams 
contained U235+grams plutonium+grams U233; or
    (2) Less than 10,000 grams but more than 1,000 grams of uranium-235 
(contained in uranium enriched to 10 percent or more, but less than 20 
percent in the U235 isotope); or
    (3) 10,000 grams or more of uranium-235 contained in uranium 
enriched above natural, but less than 10 percent in the U235 
isotope.
    Special nuclear material of moderate strategic significance means:
    (1) Less than a formula quantity of strategic special nuclear 
material but more than 1,000 grams of uranium-235 (contained in uranium 
enriched to 20 percent or more in the U235 isotope) or more 
than 500 grams of uranium-233 or plutonium or in a combined quantity of 
more than 1,000 grams when computed by the equation, grams=(grams 
contained U235)+2 (grams U233+grams plutonium); or
    (2) 10,000 grams or more or uranium-235 (contained in uranium 
enriched to 10 percent or more but less than 20 percent in the 
U235 isotope).
    Standard Error of the Inventory Difference (SEID) means the standard 
deviation of an inventory difference that takes into account all 
measurement error contributions to the components of the ID.
    Standard Error of the Process Difference means the standard 
deviation of a process difference value that takes into account both 
measurement and nonmeasurement contributions to the components of PD.
    Strategic special nuclear material means uranium-235 (contained in 
uranium enriched to 20 percent or more in the U235 isotope), 
uranium-233, or plutonium.
    Tamper-safing means the use of devices on containers or vaults in a 
manner and at a time that ensures a clear indication of any violation of 
the integrity of previouly made measurements of special nuclear material 
within the container or vault.
    Traceability means the ability to relate individual measurement 
results to national standards or nationally accepted measurement systems 
through an unbroken chain of comparisons.
    Ultimate product means any special nuclear material in the form of a 
product that would not be further processed at that licensed location.
    Unit process means an identifiable segment or segments of processing 
activities for which the amounts of input and output SSNM are based on 
measurements.
    Unopened receipts means receipts not opened by the licensee, 
including receipts of sealed sources, and receipts opened only for 
sampling and subsequently maintained under tamper-safing.
    Vault means a windowless enclosure with walls, floor, roof and 
door(s) designed and constructed to delay penetration from forced entry.

[50 FR 7579, Feb. 25, 1985, as amended at 52 FR 10039, Mar. 30, 1987; 56 
FR 55998, Oct. 31, 1991]

    Effective Date Note: At 67 FR 78144, Dec. 23, 2002, Sec. 74.4 was 
amended by removing the definition for ``Removals''; by revising the 
definitions of ``Category IA material'' and ``Inventory difference 
(ID)''; and by adding the definitions for ``Beginning inventory (BI),'' 
``Plant,'' ``Removals from inventory,'' and ``Removals of material from 
process'', effective Mar. 24, 2003. For the convenience of the user, the 
revised and added text is set forth as follows:

Sec. 74.4  Definitions.

                                * * * * *

    Beginning inventory (BI) means the book inventory quantity at the 
beginning of an inventory period, and is the reconciled physical 
inventory entered into the books as an adjusted inventory at the 
completion of the prior inventory period.

                                * * * * *

    Category IA material means SSNM directly useable in the manufacture 
of a nuclear explosive device, except if:
    (1) The dimensions are large enough (at least two meters in one 
dimension, greater than one meter in each of two dimensions, or greater 
than 25cm in each of three dimensions) to preclude hiding the item on an 
individual;

[[Page 472]]

    (2) The total weight of an encapsulated item of SSNM is such that it 
cannot be carried inconspicuously by one person (i.e., at least 50 
kilograms gross weight); or
    (3) The quantity of SSNM (less than 0.05 formula kilograms) in each 
container requires protracted diversions to accumulate five formula 
kilograms.

                                * * * * *

    Inventory difference (ID) means the arithmetic difference obtained 
by subtracting the quantity of SNM tabulated from a physical inventory 
from the book inventory quantity. Book inventory quantity is equivalent 
to the beginning inventory (BI) plus additions to inventory (A) minus 
removals from inventory (R), while the physical inventory quantity is 
the ending inventory (EI) for the material balance period in question 
(as physically determined). Thus mathematically, ID = (BI + A-R) -EI or 
ID = BI + A-R-EI

                                * * * * *

    Plant means a set of processes or operations (on the same site, but 
not necessarily all in the same building) coordinated into a single 
manufacturing, R&D, or testing effort. A scrap recovery operation, or an 
analytical laboratory, serving both onsite and offsite customers (or 
more than one onsite manufacturing effort) should be treated as a 
separate plant.

                                * * * * *

    Removals from inventory means measured quantities of special nuclear 
material contained in:
    (1) Shipments;
    (2) Waste materials transferred to an onsite holding account via a 
DOE/NRC Form 741 transaction;
    (3) Measured discards transported offsite; and
    (4) Effluents released to the environment.
    Removals of material from process (or Removals from process) means 
measured quantities of special nuclear material contained in:
    (1) Effluents released to the environment;
    (2) Previously unencapsulated materials that have been encapsulated 
as sealed sources;
    (3) Waste materials that will not be subject to further onsite 
processing and which are under tamper-safing;
    (4) Ultimate product placed under tamper-safing; and
    (5) Any materials (not previously designated as removals from 
process) shipped offsite.

                                * * * * *



Sec. 74.5  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretations 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 as binding on 
the Commission.



Sec. 74.6  Communications.

    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:
    (a) By mail addressed to--Director of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555.
    (b) By delivery in person to the Commission offices at--
    (1) 2120 L Street NW, Washington, DC; or
    (2) 11555 Rockville Pike, One White Flint North, Rockville, MD.

[50 FR 7579, Feb. 25, 1985, as amended at 53 FR 4112, Feb. 12, 1988; 53 
FR 43422, Oct. 27, 1988]



Sec. 74.7  Specific 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.



Sec. 74.8  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 (44 
U.S.C. 3501 et seq.). The NRC may not conduct or sponsor, and a person 
is not required to respond to, a collection of information if it does 
not display a currently valid OMB control number. OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0123.

[[Page 473]]

    (b) The approved information collection requirements contained in 
this part appear in Secs. 74.11, 74.13, 74.15, 74.17, 74.31, 74.33, 
74.51, 74.57, and 74.59.
    (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. 74.15, DOE/NRC Form-741 is approved under Control No. 
3150-0003.
    (2) In Sec. 74.13, DOE/NRC Form-742 is approved under Control No. 
3150-0004.
    (3) In Sec. 74.13, DOE/NRC Form-742C is approved under Control No. 
3150-0058.
    (4) In Sec. 74.17, NRC Form 327 is approved under Control No. 3150-
0139.

[50 FR 7579, Feb. 25, 1985, as amended at 52 FR 10040, Mar. 30, 1987; 52 
FR 19305, May 22, 1987; 56 FR 55998, Oct. 31, 1991; 62 FR 52189, Oct. 6, 
1997]

    Effective Date Note: At 67 FR 78144, Dec. 23, 2002, Sec. 74.8 was 
amended by revising paragraph (b), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 74.8  Information collection requirements: OMB approval.

                                * * * * *

    (b) The approved information collection requirements contained in 
this part appear in Secs. 74.11, 74.13, 74.15, 74.17, 74.19, 74.31, 
74.33, 74.41, 74.43, 74.45, 74.51, 74.57, and 74.59.

                                * * * * *



                      Subpart B--General Reporting

    Effective Date Note: At 67 FR 78144, Dec. 23, 2002, the heading for 
subpart B was revised, effective Mar. 24, 2003. For the convenience of 
the user, the revised text is set forth as follows:

       Subpart B--General Reporting and Recordkeeping Requirements

      

                                * * * * *



Sec. 74.11  Reports of loss or theft or attempted theft or unauthorized production of special nuclear material.

    (a) Each licensee who possesses one gram or more of contained 
uranium-235, uranium-233, or plutonium shall notify the NRC Operations 
Center within 1 hour of discovery of any loss or theft or other unlawful 
diversion of special nuclear material which the licensee is licensed to 
possess, or any incident in which an attempt has been made to commit a 
theft or unlawful diversion of special nuclear material. The requirement 
to report within 1 hour of discovery does not pertain to measured 
quantities of special nuclear material disposed of as discards or 
inventory difference quantities. Each licensee who operates an uranium 
enrichment facility shall notify the NRC Operations Center within 1 hour 
of discovery of any unauthorized production of enriched uranium. For 
centrifuge enrichment facilities the requirement to report enrichment 
levels greater than that authorized by license within 1 hour does not 
apply to each cascade during its start-up process, not to exceed the 
first 24 hours.
    (b) This notification must be made to the NRC Operations Center via 
the Emergency Notification System if the licensee is party to that 
system. If the Emergency Notification System is inoperative or 
unavailable, the licensee shall make the required notification via 
commercial telephonic service or other dedicated telephonic system or 
any other method that will ensure that a report is received by the NRC 
Operations Center within one hour. The exemption of Sec. 73.21(g)(3) 
applies to all telephonic reports required by this section.
    (c) Reports required under Sec. 73.71 need not be duplicated under 
requirements of this section.

[52 FR 21659, June 9, 1987; 52 FR 23257, June 18, 1987, as amended at 56 
FR 55998, Oct. 31, 1991]



Sec. 74.13  Material status reports.

    (a)(1) Each licensee authorized to possess at any one time and 
location special nuclear material in a quantity totaling more than 350 
grams of contained uranium-235, uranium-233, or

[[Page 474]]

plutonium, or any combination thereof, shall complete and submit in 
computer-readable format material balance reports concerning special 
nuclear material received, produced, possessed, transferred, consumed, 
disposed of, or lost by it. These prescribed computer-readable reports 
replace the DOE/NRC Form 742 which has been previously submitted in 
paper form. Each nuclear reactor licensee, as defined in Secs. 50.21 and 
50.22 of this chapter, also shall prepare in computer-readable format a 
statement of the composition of the ending inventory. The inventory 
composition report must be submitted with each material balance report. 
This prescribed computer-readable report replaces the DOE/NRC Form 742C 
which has been previously submitted in paper form. Each licensee shall 
prepare and submit the reports described in this paragraph in accordance 
with instructions (NUREG/BR-0007 and NMMSS Report D-24 ``Personal 
Computer Data Input for NRC Licensees''). Copies of these instructions 
may be obtained from the U.S. Nuclear Regulatory Commission, Division of 
Fuel Cycle Safety and Safeguards, Washington, DC 20555-0001. Each 
licensee shall compile a report as of March 31 and September 30 of each 
year and file it within 30 days after the end of the period covered by 
the report. The Commission may permit a licensee to submit the reports 
at other times when good cause is shown.
    (2) Any licensee who is required to submit routine material status 
reports pursuant to Sec. 75.35 of this chapter (pertaining to 
implementation of the US/IAEA Safeguards Agreement) shall prepare and 
submit such reports only as provided in that section (instead of as 
provided in paragraph (a)(1) of this section).
    (b) Each licensee subject to the requirements of Sec. 70.51(e) of 
this chapter shall submit a report, in accordance with paragraph (b)(1) 
or (b)(2) of this section, to the Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555 within 30 calendar days after the start of each ending physical 
inventory required by Sec. 70.51(e)(3) of this chapter.
    (1) If the inventory difference exceeded both
    (i) Twice the standard error of the estimated measurement 
uncertainty associated with the inventory difference, and
    (ii) 200 grams of plutonium or U233,300 grams of high 
enriched uranium or uranium-235 contained in high enriched uranium, or 
9000 grams of uranium-235 contained in low enriched uranium, a statement 
of the probable reasons for the excessive inventory difference and 
corrective actions taken or planned; and
    (2) If for any material twice the standard error of the estimated 
measurement uncertainty associated with the inventory difference exceeds 
any applicable limits specified in Sec. 70.51(e)(5) or approved pursuant 
to Sec. 70.51(e)(6) of this chapter, a statement of the probable reasons 
for the excessive standard error and the actions taken or planned with 
respect to controlling the standard error within applicable limits.

[50 FR 7579, Feb. 25, 1985, as amended at 51 FR 9766, Mar. 21, 1986; 52 
FR 31613, Aug. 21, 1987; 54 FR 6877, Feb. 15, 1989; 55 FR 5979, Feb. 21, 
1990; 59 FR 35621, July 13, 1994]

    Effective Date Note: At 67 FR 78144, Dec. 23, 2002, Sec. 74.13 was 
revised, effective Mar. 24, 2003. For the convenience of the user, the 
revised text is set forth as follows:

Sec. 74.13  Material status reports.

    (a) Each licensee, including nuclear reactor licensees as defined in 
Secs. 50.21 and 50.22 of this chapter, authorized to possess at any one 
time and location special nuclear material in a quantity totaling more 
than 350 grams of contained uranium-235, uranium-233, or plutonium, or 
any combination thereof, shall complete and submit, in computer-readable 
format Material Balance Reports concerning special nuclear material that 
the licensee has received, produced, possessed, transferred, consumed, 
disposed of, or lost. This prescribed computer-readable report replaces 
the DOE/NRC form 742 which has been previously submitted in paper form. 
The Physical Inventory Listing Report must be submitted with each 
Material Balance Report. This prescribed computer-readable report 
replaces the DOE/NRC form 742C which has been previously submitted in 
paper form. Each licensee shall prepare and submit the reports described 
in this paragraph in accordance with instructions (NUREG/BR-0007 and 
NMMSS Report D-24 ``Personal Computer Data Input for NRC Licensees''). 
Copies of these instructions may be obtained

[[Page 475]]

from the U.S. Nuclear Regulatory Commission, Division of Nuclear 
Security, Washington, DC 20555-0001. Each licensee subject to the 
requirements of Sec. 74.51 shall compile a report as of March 31 and 
September 30 of each year and file it within 30 days after the end of 
the period covered by the report. All other licensees subject to this 
requirement shall submit a report within 60 calendar days of the 
beginning of the physical inventory required by Secs. 74.19(c), 
74.31(c)(5), 74.33(c)(4), or 74.43(c)(6). The Commission may permit a 
licensee to submit the reports at other times for good cause.
    (b) Any licensee who is required to submit routine Material Status 
Reports pursuant to Sec. 75.35 of this chapter (pertaining to 
implementation of the US/IAEA Safeguards Agreement) shall prepare and 
submit these reports only as provided in that section (instead of as 
provided in paragraph (a) of this section).



Sec. 74.15  Nuclear material transfer reports.

    (a) Each licensee who transfers and each licensee who receives 
special nuclear material shall complete in computer-readable format a 
Nuclear Material Transaction Report. This should be done in accordance 
with instructions whenever the licensee transfers or receives a quantity 
of special nuclear material of 1 gram or more of contained uranium-235, 
uranium-233, or plutonium. Copies of these instructions (NUREG/BR-0006 
and NMMSS Report D-24 ``Personal Computer Data Input for NRC 
Licensees'') may be obtained from the U.S. Nuclear Regulatory 
Commission, Division of Fuel Cycle Safety and Safeguards, Washington, DC 
20555-0001. This prescribed computer-readable format replaces the DOE/
NRC Form 741 which has been previously submitted in paper form.
    (b) Each licensee who receives 1 gram or more of contained uranium-
235, uranium-233, or plutonium from a foreign source shall:
    (1) Complete in computer-readable format both the supplier's and 
receiver's portion of the Nuclear Material Transaction Report;
    (2) Perform independent tests to assure the accurate identification 
and measurement of the material received, including its weight and 
enrichment; and
    (3) Indicate the results of these tests on the receiver's portion of 
the form.
    (c) Any licensee who is required to submit inventory change reports 
pursuant to Sec. 75.34 of this chapter (pertaining to implementation of 
the US/International Atomic Energy Agency (IAEA) Safeguards Agreement) 
shall prepare and submit these reports only as provided in that section 
(instead of as provided in paragraphs (a) and (b) of this section).

[59 FR 35621, July 13, 1994]



Sec. 74.17  Special nuclear material physical inventory summary report.

    (a) Each licensee subject to the requirements of Sec. 74.31 or 
Sec. 74.33 shall submit a completed Special Nuclear Material Physical 
Inventory Summary Report on NRC Form 327 not later than 60 calendar days 
from the start of the physical inventory required by Sec. 74.31(c)(5) or 
Sec. 74.33(c)(4) of this chapter. The licensee shall report the 
inventory results by plant and total facility to the Director, Office of 
Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555.
    (b) Each licensee subject to the requirements of Sec. 70.51(e) of 
this chapter shall submit a completed Special Nuclear Material Physical 
Inventory Summary Report on NRC Form 327 not later than 30 calendar days 
from the start of the physical inventory required by Sec. 70.51(e)(3) of 
this chapter. The licensee shall report the inventory results by plant 
and total facility to the Director, Office of Nuclear Material Safety 
and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 
20555.
    (c) Each licensee subject to the requirements of Sec. 74.51 shall 
submit a completed Special Nuclear Material Physical Inventory Summary 
Report on NRC Form 327 not later than 45 calendar days from the start of 
the physical inventory required by Sec. 74.59(f). The licensee shall 
report the inventory results by plants and total facility to the 
appropriate NRC regional office listed in appendix A of part 73 of this 
chapter.

[52 FR 19305, May 22, 1987, as amended at 54 FR 6877, Feb. 15, 1989; 55 
FR 5979, Feb. 21, 1990; 56 FR 55998, Oct. 31, 1991]

    Effective Date Note: At 67 FR 78145, Dec. 23, 2002, Sec. 74.17 was 
revised, effective Mar. 24, 2003. For the convenience of the user, the 
revised text is set forth as follows:

[[Page 476]]

Sec. 74.17  Special nuclear material physical inventory summary report.

    (a) Each licensee subject to the requirements of Secs. 74.31 or 
74.33 of this part shall submit a completed Special Nuclear Material 
Physical Inventory Summary Report on NRC Form 327 not later than 60 
calendar days from the start of each physical inventory required by 
Secs. 74.31(c)(5) or 74.33(c)(4). The licensee shall report the physical 
inventory results by plant and total facility to the Director, Office of 
Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001.
    (b) Each licensee subject to the requirements of Sec. 74.41(a) of 
this part shall submit a completed Special Nuclear Material Physical 
Inventory Summary Report on NRC form 327 not later than 60 calendar days 
from the start of each physical inventory required by Sec. 74.43(c)(7). 
The licensee shall report the physical inventory results by plant and 
total facility to the Director, Office of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
    (c) Each licensee subject to the requirements of Sec. 74.51 shall 
submit a completed Special Nuclear Material Physical Inventory Summary 
Report on NRC form 327 not later than 45 calendar days from the start of 
each physical inventory required by Sec. 74.59(f). The licensee shall 
report the physical inventory results by plant and total facility to the 
Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555-0001.



Sec. 74.19  Recordkeeping

    (a) Licensees subject to the recordkeeping requirements of 
Secs. 74.31, 74.33, 74.43, or 74.59 of this part are exempt from the 
requirements of paragraphs (a)(1) through (4) of this section. 
Otherwise:
    (1) Each licensee shall keep records showing the receipt, inventory 
(including location and unique identity), acquisition, transfer, and 
disposal of all special nuclear material in its possession regardless of 
its origin or method of acquisition.
    (2) Each record relating to material control or material accounting 
that is required by the regulations in this chapter or by license 
condition must be maintained and retained 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 
licensee shall retain the record until the Commission terminates the 
license that authorizes the activity that is subject to the 
recordkeeping requirement.
    (3) Each record of receipt, acquisition, or physical inventory of 
special nuclear material that must be maintained pursuant to paragraph 
(a)(1) of this section must be retained as long as the licensee retains 
possession of the material and for 3 years following transfer or 
disposal of the material.
    (4) Each record of transfer of special nuclear material to other 
persons must be retained by the licensee who transferred the material 
until the Commission terminates the license authorizing the licensee's 
possession of the material.
    (b) Each licensee that is authorized to possess special nuclear 
material in a quantity exceeding one effective kilogram at any one time 
shall establish, maintain, and follow written material control and 
accounting procedures that are sufficient to enable the licensee to 
account for the special nuclear material in its possession under 
license. The licensee shall retain these procedures until the Commission 
terminates the license that authorizes possession of the material and 
retain any superseded portion of the procedures for 3 years after the 
portion is superseded.
    (c) Other than licensees subject to Secs. 74.31, 74.33, 74.41, or 
74.51, each licensee who is authorized to possess special nuclear 
material, at any one time and site location, in a quantity greater than 
350 grams of contained uranium-235, uranium-233, or plutonium, or any 
combination thereof, shall conduct a physical inventory of all special 
nuclear material in its possession under license at intervals not to 
exceed 12 months. The results of these physical inventories need not be 
reported to the Commission, but the licensee shall retain the records 
associated with each physical inventory until the Commission terminates 
the license that authorized the possession of special nuclear material.
    (d) Records that must be maintained pursuant to this part may be the 
original or a reproduced copy or a 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

[[Page 477]]

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, or 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.

[67 FR 78145, Dec. 23, 2002]

    Effective Date Note: At 67 FR 78145, Dec. 23, 2002, Sec. 74.19 was 
added, effective Mar. 24, 2003.



    Subpart C--Special Nuclear Material of Low Strategic Significance



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

    (a) General performance objectives. Each licensee who is authorized 
to possess and use more than one effective kilogram of special nuclear 
material of low strategic significance, excluding sealed sources, at any 
site or contiguous sites subject to control by the licensee, other than 
a production or utilization facility licensed pursuant to part 50 or 70 
of this chapter, or operations involved in waste disposal, shall 
implement and maintain a Commission approved material control and 
accounting system that will achieve the following objectives:
    (1) Confirm the presence of special nuclear material;
    (2) Resolve indications of missing material; and
    (3) Aid in the investigation and recovery of missing material.
    (b) Implementation dates. Each licensee subject to the requirements 
of paragraph (a) of this section shall:
    (1) No later than August 26, 1985, submit a fundamental nuclear 
material control plan describing how the requirements of paragraph (c) 
of this section will be met; and
    (2) No later than December 23, 1985, or 60 days after the plan 
submitted pursuant to paragraph (b)(1) of this section is approved, 
whichever is later, implement the approved plan.
    (c) System capabilities. To meet the general performance objectives 
of paragraph (a) of this section, the material control and accounting 
system must include the capabilities described in paragraph (c) (1) 
through (8) of this section. The licensee shall:
    (1) Establish, document, and maintain a management structure which 
assures clear overall responsibility for material control and accounting 
functions, independence from production responsibilities, separation of 
key responsibilities, and adequate review and use of critical material 
control and accounting procedures;
    (2) Establish and maintain a measurement system which assures that 
all quantities in the material accounting records are based on measured 
values;
    (3) Follow a measurement control program which assures that 
measurement bias is estimated and significant biases are eliminated from 
inventory difference values of record;
    (4) In each inventory period, control total material control and 
accounting measurement uncertainty so that twice its standard error is 
less than the greater of 9 kilograms of U235 or 0.25 percent 
of the active inventory, and assure that any measurement performed under 
contract is controlled so that the licensee can satisfy this 
requirement;
    (5) Unless otherwise required to satisfy part 75 of this chapter, 
perform a physical inventory at least every 12 months and, within 60 
days after the start of the inventory, reconcile and adjust the book 
inventory to the results of the physical inventory, and resolve, or 
report an inability to resolve, any inventory difference which is 
rejected by a statistical test which has a 90 percent power of detecting 
a discrepancy of a quantity of uranium-235 established by NRC on a site-
specific basis;
    (6) Maintain current knowledge of items when the sum of the time of 
existence of an item, the time to make a record of the item, and the 
time necessary to locate the item exceeds 14 days. Store and handle, or 
subsequently measure, items in a manner so that unauthorized removals of 
substantial quantities of material from items will be detected. Exempted 
are items individually containing less than 500

[[Page 478]]

grams of U235 up to a total of 50 kilograms of 
U235, solutions with a concentration of less than 5 grams of 
U235 per liter, and items of waste destined for burial or 
incineration;
    (7) Resolve, on a shipment basis and when required to satisfy part 
75 of this chapter, on a batch basis, shipper/receiver differences that 
exceed both twice the combined measurement standard error for that 
shipment and 500 grams of U235; and
    (8) Independently assess the effectiveness of the material control 
and accounting system at least every 24 months, and document 
management's action on prior assessment recommendations.
    (d) Recordkeeping. (1) Each licensee shall establish records that 
will demonstrate that the requirements of paragraph (c) of this section 
have been met and maintain these records for at least 3 years, unless a 
longer retention time is required by part 75 of this chapter.
    (2) Records which must be maintained pursuant to this part may be 
the original or a reproduced copy or a 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.

[50 FR 7579, Feb. 25, 1985, as amended at 53 FR 19262, May 27, 1988; 56 
FR 55998, Oct. 31, 1991]

    Effective Date Note: At 67 FR 78145, Dec. 23, 2002, Sec. 74.31 was 
amended by revising paragraphs (b) and (c)(4), effective Mar. 24, 2003. 
For the convenience of the user, the revised text is set forth as 
follows:

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

                                * * * * *

    (b) Implementation: Each applicant for a license, and each licensee 
that, upon application for modification of its license, would become 
newly subject to the performance objectives of paragraph (a) of this 
section, shall submit a fundamental nuclear material control (FNMC) plan 
describing how the requirements of paragraph (c) of this section will be 
met. The FNMC plan shall be implemented when a license is issued or 
modified to authorize the activities being addressed in paragraph (a) of 
this section, or by the date specified in a license condition.
    (c) * * *
    (4) In each inventory period, control total material control and 
accounting measurement uncertainty so that twice its standard error is 
less than the greater of 9,000 grams of U-235 or 0.25 percent of the 
active inventory, and assure that any measurement performed under 
contract is controlled so that the licensee can satisfy this 
requirement;

                                * * * * *



Sec. 74.33  Nuclear material control and accounting for uranium enrichment facilities authorized to produce special nuclear material of low strategic 
          significance.

    (a) General performance objectives. Each licensee who is authorized 
by this chapter to possess equipment capable of enriching uranium or 
operate an enrichment facility, and produce, possess, or use more than 
one effective kilogram of special nuclear material of low strategic 
significance at any site or contiguous sites, subject to control by the 
licensee, shall establish, implement, and maintain a NRC-approved 
material control and accounting system that will achieve the following 
objectives:
    (1) Maintain accurate, current, and reliable information of and 
periodically confirm the quantities and locations of source material and 
special nuclear material in the licensee's possession;
    (2) Protect against and detect production of uranium enriched to 10 
percent or more in the isotope U235;
    (3) Protect against and detect unauthorized production of uranium of 
low strategic significance;
    (4) Resolve indications of missing uranium;
    (5) Resolve indications of production of uranium enriched to 10 
percent or more in the isotope U235 (for centrifuge 
enrichment facilities this requirement does not apply to each cascade 
during

[[Page 479]]

its start-up process, not to exceed the first 24 hours);
    (6) Resolve indications of unauthorized production of uranium of low 
strategic significance;
    (7) Provide information to aid in the investigation of missing 
uranium;
    (8) Provide information to aid in the investigation of the 
production of uranium enriched to 10 percent or more in the isotope 
U235; and
    (9) Provide information to aid in the investigation of unauthorized 
production of uranium of low strategic significance.
    (b) Implementation dates. Each applicant for a license who would, 
upon issuance of a license pursuant to any part of this chapter, be 
subject to the requirements of paragraph (a) of this section shall:
    (1) Submit a fundamental nuclear material control plan describing 
how the performance objectives of Sec. 74.33(a), the system features and 
capabilities of Sec. 74.33(c), and the recordkeeping requirements of 
Sec. 74.33(d) will be met; and
    (2) Implement the NRC approved plan submitted pursuant to paragraph 
(b)(1) of this section prior to:
    (i) The cumulative receipt of 5,000 grams of U235 
contained in any combination of natural, depleted, or enriched uranium 
or
    (ii) NRC's issuance of a license to test or operate the enrichment 
facility; whichever occurs first.
    (c) System features and capabilities. To meet the general 
performance objectives of paragraph (a) of this section, the Material 
Control and Accounting (MC&A) system must include the features and 
capabilities described in paragraphs (c) (1) through (8) of this 
section. The licensee shall establish, document, and maintain:
    (1) A management structure that ensures:
    (i) Clear overall responsibility for MC&A functions;
    (ii) Independence of MC&A management from production 
responsibilities;
    (iii) Separation of key MC&A responsibilities from each other; and
    (iv) Use of approved written MC&A procedures and periodic review of 
those procedures;
    (2) A measurement program that ensures that all quantities of source 
material and special nuclear material in the accounting records are 
based on measured values;
    (3) A measurement control program that ensures that:
    (i) Measurement bias is estimated and minimized through the 
measurement control program, and any significant biases are eliminated 
from inventory difference values of record;
    (ii) All MC&A measurement systems are controlled so that twice the 
standard error of the inventory difference, based on all measurement 
error contributions, is less than the greater of 5,000 grams of U\235\ 
or 0.25 percent of the U\235\ of the active inventory for each total 
plant material balance; and
    (iii) Any measurements performed under contract are controlled so 
that the licensee can satisfy the requirements of paragraphs (c)(3) (i) 
and (ii) of this section;
    (4) A physical inventory program that provides for:
    (i) Performing, unless otherwise required to satisfy part 75 of this 
chapter, a dynamic (nonshutdown) physical inventory of in-process (e.g., 
in the enrichment equipment) uranium and U\235\ at least every 65 days, 
and performing a static physical inventory of all other uranium and 
total U\235\ contained in natural, depleted, and enriched uranium 
located outside of the enrichment processing equipment at least every 
370 calendar days, with static physical inventories being conducted in 
conjunction with a dynamic physical inventory of in-process uranium and 
U\235\ so as to provide a total plant material balance at least every 
370 calendar days; and
    (ii) Reconciling and adjusting the book inventory to the results of 
the static physical inventory and resolving, or reporting an inability 
to resolve, any inventory difference that is rejected by a statistical 
test which has a 90 percent power of detecting a discrepancy of a 
quantity of U\235\, established by NRC on a site-specific basis, within 
60 days after the start of each static physical inventory;
    (5) A detection program, independent of production, that provides 
high assurance of detecting:
    (i) Production of uranium enriched to 10 percent or more in the 
U\235\ isotope, to the extent that SNM of moderate

[[Page 480]]

strategic significance could be produced within any 370 calendar day 
period;
    (ii) Production of uranium enriched to 20 percent or more in the 
U\235\ isotope; and
    (iii) Unauthorized production of uranium of low strategic 
significance;
    (6) An item control program that ensures that:
    (i) Current knowledge is maintained of items with respect to 
identity, uranium and U\235\ content, and stored location; and
    (ii) Items are stored and handled, or subsequently measured, in a 
manner so that unauthorized removal of 500 grams or more of U\235\, as 
individual items or as uranium contained in items, will be detected. 
Exempted from the requirements of paragraph (c)(6) (i) and (ii) of this 
section are licensed-identified items each containing less than 500 
grams U\235\ up to a cumulative total of 50 kilograms of U\235\ and 
items that exist for less than 14 calendar days;
    (7) A resolution program that ensures that any shipper-receiver 
differences are resolved that are statistically significant and exceed 
500 grams U\235\ on:
    (i) An individual batch basis; and
    (ii) A total shipment basis for all source material and special 
nuclear material;
    (8) An assessment program that:
    (i) Independently assesses the effectiveness of the MC&A system at 
least every 24 months;
    (ii) Documents the results of the above assessment;
    (iii) Documents management's findings on whether the MC&A system is 
currently effective; and
    (iv) Documents any actions taken on recommendations from prior 
assessments.
    (d) Recordkeeping. (1) Each licensee shall establish records that 
will demonstrate that the performance objectives of paragraph (a) of 
this section and the system features and capabilities of paragraph (c) 
of this section have been met and maintain these records in an auditable 
form, available for inspection, for at least 3 years, unless a longer 
retention time is required by part 75 of this chapter.
    (2) Records that must be maintained pursuant to this part may be the 
original or a reproduced copy or a 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, on 
demand, 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.
    (3) The licensee shall maintain adequate safeguards against 
tampering with and loss of records.

[56 FR 55999, Oct. 31, 1991]



 Subpart D--Special Nuclear Material of Moderate Strategic Significance



Sec. 74.41  Nuclear material control and accounting for special nuclear material of moderate strategic significance.

    (a) General performance objectives. Each licensee who is authorized 
to possess special nuclear material (SNM) of moderate strategic 
significance or SNM in a quantity exceeding one effective kilogram of 
strategic special nuclear material in irradiated fuel reprocessing 
operations other than as sealed sources and to use this material at any 
site other than a nuclear reactor licensed pursuant to part 50 of this 
chapter; or as reactor irradiated fuels involved in research, 
development, and evaluation programs in facilities other than irradiated 
fuel reprocessing plants; or an operation involved with waste disposal, 
shall establish, implement, and maintain a Commission-approved material 
control and accounting (MC&A) system that will achieve the following 
performance objectives:
    (1) Maintain accurate, current, and reliable information on, and 
confirm, the quantities and locations of SNM in the licensee's 
possession;
    (2) Conduct investigations and resolve any anomalies indicating a 
possible loss of special nuclear material;
    (3) Permit rapid determination of whether an actual loss of a 
significant

[[Page 481]]

quantity of SNM has occurred, with significant quantity being either:
    (i) More than one formula kilogram of strategic SNM; or
    (ii) 10,000 grams or more of uranium-235 contained in uranium 
enriched up to 20.00 percent.
    (4) Generate information to aid in the investigation and recovery of 
missing SNM in the event of an actual loss.
    (b) Implementation schedule. Each applicant for a license, and each 
licensee that, upon application for modification of its license, would 
become newly subject to the requirements of paragraph (a) of this 
section shall:
    (1) Submit a fundamental nuclear material control (FNMC) plan 
describing how the performance objectives of Sec. 74.41(a) will be 
achieved, and how the system capabilities required by Sec. 74.41(c) will 
be met; and
    (2) Implement the NRC-approved FNMC plan submitted pursuant to 
paragraph (b)(1) of this section upon the Commission's issuance or 
modification of a license or by the date specified in a license 
condition.
    (c) System capabilities. To achieve the performance objectives 
specified in Sec. 74.41(a), the MC&A system must include the 
capabilities described in Secs. 74.43 and 74.45, and must incorporate 
checks and balances that are sufficient to detect falsification of data 
and reports that could conceal diversion of SNM by:
    (1) A single individual, including an employee in any position; or
    (2) Collusion between two individuals, one or both of whom have 
authorized access to SNM.

[67 FR 78146, Dec. 23, 2002]

    Effective Date Note: At 67 FR 78146, Dec. 23, 2002, Sec. 74.41 was 
added, effective Mar. 24, 2003.



Sec. 74.43  Internal controls, inventory, and records.

    (a) General. Licensees subject to Sec. 74.41 shall maintain the 
internal control, inventory, and recordkeeping capabilities required in 
paragraphs (b), (c), and (d) of this section.
    (b) Internal controls. (1) A management structure shall be 
established, documented, and maintained that assures:
    (i) Clear overall responsibility for material control and accounting 
(MC&A) functions;
    (ii) Independence from production and manufacturing 
responsibilities; and
    (iii) Separation of key responsibilities.
    (2) The overall planning, coordination, and administration of the 
MC&A functions for special nuclear material (SNM) shall be vested in a 
single individual at an organizational level sufficient to assure 
independence of action and objectiveness of decisions.
    (3) The licensee shall provide for the adequate review, approval, 
and use of written MC&A procedures that are identified in the approved 
FNMC plan as being critical to the effectiveness of the described 
system.
    (4) The licensee shall assure that personnel who work in key 
positions where mistakes could degrade the effectiveness of the MC&A 
system are trained to maintain a high level of safeguards awareness and 
are qualified to perform their duties and/or responsibilities.
    (5) The licensee shall establish, document, and maintain an item 
control program that:
    (i) Provides current knowledge of SNM items with respect to 
identity, element and isotope content, and stored location; and
    (ii) Assures that SNM items are stored and handled, or subsequently 
measured, in a manner such that unauthorized removal of 200 grams or 
more of plutonium or uranium-233 or 300 grams or more of uranium-235, as 
one or more whole items and/or as SNM removed from containers, will be 
detected.
    (6) Exempted from the requirements of paragraph (b)(5) of this 
section are items that exist for less than 14 calendar days and 
licensee-identified items each containing less than 200 grams of 
plutonium or uranium-233 or 300 grams or more of uranium-235 up to a 
cumulative total of one formula kilogram of strategic SNM or 17 
kilograms of uranium-235 contained in uranium enriched to 10.00 percent 
or more but less than 20.00 percent in the uranium-235 isotope.

[[Page 482]]

    (7) Conduct and document shipper-receiver comparisons for all SNM 
receipts, both on an individual batch basis and a total shipment basis, 
and ensure that any shipper-receiver difference that is statistically 
significant and exceeds twice the estimated standard deviation of the 
difference estimator and 200 grams of plutonium or uranium-233 or 300 
grams of uranium-235 is investigated and resolved; and
    (8) Perform independent assessments of the total MC&A system, at 
intervals not to exceed 18 months, that assess the performance of the 
system, review its effectiveness, and document management's action on 
prior assessment recommendations and identified deficiencies. These 
assessments must include a review and evaluation of any contractor who 
performs SNM accountability measurements for the licensee.
    (c) Inventory control and physical inventories. The licensee shall:
    (1) Provide unique identification for each item on inventory and 
maintain inventory records showing the identity, location, and quantity 
of SNM for these items;
    (2) Document all transfers of SNM between designated internal 
control areas within the licensee's site;
    (3) Maintain and follow procedures for tamper-safing of containers 
or vaults containing SNM, if tamper-safe seals are to be used for 
assuring the validity of prior measurements, which include control of 
access to, and distribution of, unused seals and to records showing the 
date and time of seal application;
    (4) Maintain and follow procedures for confirming the validity of 
prior measurements associated with unencapsulated and unsealed items on 
ending inventory;
    (5) Maintain and follow physical inventory procedures to assure 
that:
    (i) The quantity of SNM associated with each item on ending 
inventory is a measured value;
    (ii) Each item on ending inventory is listed and identified to 
assure that all items are listed and no item is listed more than once;
    (iii) Cutoff procedures for transfers and processing are established 
so that all quantities are inventoried and none are inventoried more 
than once;
    (iv) Cutoff procedures for records and reports are established so 
that only transfers for the inventory and material balance interval are 
included in the records for the material balance period in question;
    (v) Upon completion of the physical inventory, all book and 
inventory records, for total plant and individual internal control 
areas, are reconciled with and adjusted to the results of the physical 
inventory; and
    (vi) Measurements will be performed for element and isotope content 
on all quantities of SNM not previously measured.
    (6) Conduct physical inventories according to written instructions 
for each physical inventory which:
    (i) Assign inventory duties and responsibilities;
    (ii) Specify the extent to which each internal control area and 
process is to be shut down, cleaned out, and/or remain static;
    (iii) Identify the basis for accepting previously made measurements 
and their limits of error; and
    (iv) Designate measurements to be made for physical inventory 
purposes and the procedures for making these measurements.
    (7) Conduct physical inventories of all possessed SNM for each plant 
at intervals not to exceed 9 calendar months; and
    (8) Within 60 calendar days after the start of each physical 
inventory required by paragraph (c)(7) of this section:
    (i) Calculate, for the material balance period terminated by the 
physical inventory, the inventory difference (ID) and its associated 
standard error of inventory difference (SEID) for both element and 
isotope;
    (ii) Reconcile and adjust the book record of quantity of element and 
isotope content, as appropriate, to the results of the physical 
inventory; and
    (iii) Investigate and report to the Director, Office of Nuclear 
Material Safety and Safeguards, any occurrence of SEID exceeding 0.125 
percent of active inventory, and any occurrence of ID exceeding both 
three times SEID and 200 grams of plutonium or uranium-233 or 300 grams 
of uranium-235 contained in high enriched uranium, or 9000 grams

[[Page 483]]

of uranium-235 contained in low enriched uranium. The report shall 
include a statement of the probable reasons for the excessive inventory 
difference and the corrective actions taken or planned.
    (d) Recordkeeping. The licensee shall:
    (1) Maintain records of the receipt, shipment, disposal, and current 
inventory associated with all possessed SNM;
    (2) Maintain records of the quantities of SNM added to and removed 
from process;
    (3) Maintain records of all shipper-receiver evaluations associated 
with SNM receipts;
    (4) Retain each record pertaining to receipt and disposal of SNM 
until the Commission terminates the license; and
    (5) Establish records that will demonstrate that the performance 
objectives of Sec. 74.41(a)(1) through (4), the system capabilities of 
paragraphs (b) and (c) of this section and Sec. 74.45(b) and (c) have 
been met, and maintain these records in an auditable form, available for 
inspection, for at least 3 years, unless a longer retention time is 
specified by Sec. 74.19(b), part 75 of this chapter, or by a specific 
license condition.

[67 FR 78146, Dec. 23, 2002]

    Effective Date Note: At 67 FR 78146, Dec. 23, 2002, Sec. 74.43 was 
added, effective Mar. 24, 2003.



Sec. 74.45  Measurements and measurement control.

    (a) General. Licensees subject to Sec. 74.41 of this part shall 
establish and maintain the measurement and measurement control 
capabilities required by paragraphs (b) and (c) of this section.
    (b) Measurements. The licensee shall:
    (1) Establish, maintain, and use a program for the measurement of 
all SNM received, produced, transferred between internal control areas, 
on inventory, or shipped, discarded, or otherwise removed from 
inventory, except for:
    (i) Sealed sources that have been determined by other means to 
contain less than 10 grams of uranium-235, uranium-233, or plutonium 
each;
    (ii) Samples received, transferred between internal control areas, 
or on inventory that have been determined by other means to contain less 
than 10 grams of uranium-235, uranium-233, or plutonium each;
    (iii) Receipt of sealed sources, of any quantity, previously 
manufactured and shipped by the licensee and which are returned to the 
licensee, provided the unique identity and encapsulation integrity have 
not been compromised, and the booked receipt quantity equals the 
previously shipped quantity for the involved sealed sources; and
    (iv) Heterogeneous scrap that cannot be accurately measured in its 
as received form, provided this scrap is measured after dissolution 
within 18 months of receipt. The after dissolution measurement must 
include measurement of both the resulting solution and any undissolved 
residues, before any co-mingling with other scrap solutions or residues.
    (2) Maintain and follow a program for the development and use of 
written procedures that includes documented review and approval of these 
procedures, and any revisions thereof, before use, for:
    (i) Preparing or acquiring, maintaining, storing, and using 
reference standards;
    (ii) Calibrating measurement systems, performing bulk mass and 
volume measurements, conducting nondestructive assay measurements, 
obtaining samples, and performing laboratory analyses for element 
concentration and isotope abundance; and
    (iii) Recording, reviewing, and reporting measurements.
    (c) Measurement control. To maintain measurement quality and to 
estimate measurement uncertainty values, the licensee shall:
    (1) Assign responsibility for planning, developing, coordinating, 
and administering a measurement control program to an individual who has 
no direct responsibility for performing measurements or for SNM 
processing or handling, and who holds a position at an organizational 
level which permits independence of action and has adequate authority to 
obtain all the information required to monitor and evaluate measurement 
quality as required by this section.

[[Page 484]]

    (2) Ensure that any contractor who performs MC&A measurements 
services conforms with applicable requirements in paragraphs (c)(5), 
(6), (7), (10) and (11) of this section. Conformance must include 
reporting by the contractor of sufficient measurement control data to 
allow the licensee to calculate bias corrections and measurement limits 
of error.
    (3) Ensure that potential sources of sampling error are identified 
and that samples are representative by performing process sampling tests 
using well characterized materials to establish or verify the 
applicability of utilized procedures for sampling SNM and for 
maintaining sample integrity during transport and storage. These 
sampling tests or sample integrity tests, as appropriate, shall be 
conducted whenever:
    (i) A new sampling procedure or technique is used, or new sampling 
equipment is installed;
    (ii) A sampling procedure, technique, or sampling equipment is 
modified to the extent that a systematic sampling error could be 
introduced; and
    (iii) Sample containers, sample transport methods, or sample storage 
conditions are changed or modified to the extent that a systematic 
sampling error could be introduced.
    (4) Establish and maintain a measurement control program so that for 
each inventory period the SEID is less than 0.125 percent of the active 
inventory, and assure that any MC&A measurements performed under 
contract are controlled so that the licensee can satisfy this 
requirement.
    (5) Generate current data on the performance of each measurement 
system used during each material balance period for the establishment of 
measured values and estimated measurement uncertainties, including 
estimates of bias, variance components for calibration, sampling, and 
repeat measurements. The program data must reflect the current process 
and measurement conditions existing at the time the control measurements 
are made.
    (6) Use standards on an ongoing basis for the calibration and 
control of all measurement systems used for SNM accountability. 
Calibrations shall be repeated whenever any significant change occurs in 
a measurement system or when program data indicate a need for 
recalibration. Calibrations and control standard measurements shall be 
based on standards whose assigned values are traceable to certified 
reference standards or certified standard reference materials. 
Additionally, control standards shall be representative of the process 
material or items being measured by the measurement system in question.
    (7) Conduct control measurements to provide current data for the 
determination of random error behavior. On a predetermined schedule, the 
program shall include, as appropriate:
    (i) Replicate analyses of individual samples;
    (ii) Analysis of replicate process samples;
    (iii) Replicate volume measurements of bulk process batches;
    (iv) Replicate weight measurements of process items and bulk 
batches, or alternatively, the use of data generated from the replicate 
weighings of control standard weights as derived from the control 
standard program; and
    (v) Replicate NDA measurements of individual process containers 
(items), or alternatively, the use of data generated from the replicate 
measurements of NDA control standards as derived from the control 
standard program.
    (8) Use all measurements and measurement controls generated during 
the current material balance period for the estimation of the SEID.
    (9) Evaluate with appropriate statistical methods all measurement 
system data generated in paragraph (c)(5) of this section to determine 
significant contributors to the measurement uncertainties associated 
with inventory differences and shipper-receiver differences, so that if 
SEID exceeds the limits established in paragraph (c)(4) of this section, 
the cause of the excessive SEID can be identified for corrective action 
with respect to controlling the standard error within applicable limits.
    (10) Establish and maintain a statistical control system, including 
control charts and formal statistical procedures, designed to monitor 
the quality of each measurement device or system.

[[Page 485]]

Control chart limits must be established to be equivalent to levels of 
significance of 0.05 and 0.001.
    (11) Promptly investigate and take any appropriate corrective action 
whenever a control datum exceeds an 0.05 control limit, and whenever a 
control datum exceeds an 0.001 control limit, the measurement system 
that generated the datum shall immediately be placed out-of-service with 
respect to MC&A measurements until the deficiency has been corrected and 
the system brought into control within the 0.05 control limits.

[67 FR 78146, Dec. 23, 2002]

    Effective Date Note: At 67 FR 78146, Dec. 23, 2002, Sec. 74.45 was 
added, effective Mar. 24, 2003.



   Subpart E--Formula Quantities of Strategic Special Nuclear Material

    Source: 52 FR 10040, Mar. 30, l987, unless otherwise noted.



Sec. 74.51  Nuclear material control and accounting for strategic special nuclear material.

    (a) General performance objectives. Each licensee who is authorized 
to possess five or more formula kilograms of strategic special nuclear 
material (SSNM) and to use such material at any site, other than a 
nuclear reactor licensed pursuant to part 50 of this chapter, an 
irradiated fuel reprocessing plant, an operation involved with waste 
disposal, or an independent spent fuel storage facility licensed 
pursuant to part 72 of this chapter shall establish, implement, and 
maintain a Commission-approved material control and accounting (MC&A) 
system that will achieve the following objectives:
    (1) Prompt investigation of anomalies potentially indicative of SSNM 
losses;
    (2) Timely detection of the possible abrupt loss of five or more 
formula kilograms of SSNM from an individual unit process;
    (3) Rapid determination of whether an actual loss of five or more 
formula kilograms occurred;
    (4) Ongoing confirmation of the presence of SSNM in assigned 
locations; and
    (5) Timely generation of information to aid in the recovery of SSNM 
in the event of an actual loss.
    (b) System capabilities. To achieve the general performance 
objectives specified in Sec. 74.51(a), the MC&A system must provide the 
capabilities described in Secs. 74.53, 74.55, 74.57 and 74.59 and must 
incorporate checks and balances that are sufficient to detect 
falsification of data and reports that could conceal diversion by:
    (1) An individual, including an employee in any position; or
    (2) Collusion between an individual with MC&A responsibilities and 
another individual who has responsibility or control within both the 
physical protection and the MC&A systems.
    (c) Implementation dates. Each licensee subject to the requirements 
of paragraph (a) of this section shall:
    (1) No later than September 25, 1987, submit a fundamental nuclear 
material control (FNMC) plan describing how the licensee will comply 
with the requirements of paragraph (b) of this section; and
    (2) No later than April 29, 1988, or 90 days after the plan 
submitted pursuant to paragraph (c)(1) of this section is approved, 
whichever is later, implement the approved plan. Current FNMC plans must 
be followed until new plans are approved by the NRC.
    (d) Exemptions. (1) Notwithstanding paragraph (c)(2) of this 
section, a licensee may delay, for an additional 18 months beyond the 
prescribed 90 days, implementation of provisions of the plan involving 
process shutdown for resolution of alarms. However, during such delay, 
the licensee shall continue to conduct inventories at bimonthly 
intervals.
    (2) Notwithstanding Sec. 74.59(f)(1), licensees shall perform at 
least three bimonthly physical inventories after implementation of the 
NRC approved FNMC Plan and shall continue to perform bimonthly 
inventories until performance acceptable to the NRC has been 
demonstrated and the Commission has issued formal approval to perform 
semiannual inventories. Licensees who have prior experience with process 
monitoring and/or can demonstrate acceptable performance

[[Page 486]]

against all Plan commitments may request authorization to perform 
semiannual inventories at an earlier date.

[52 FR 10040, Mar. 30, 1987, as amended at 63 FR 26963, May 15, 1998]

    Effective Date Note: At 67 FR 78148, Dec. 23, 2002, Sec. 74.51 was 
amended by revising pargaraphs (c) and (d), effective Mar. 24, 2003. For 
the convenience of the user, the revised text is set forth as follows:

Sec. 74.51  Nuclear material control and accounting for strategic 
          special nuclear material.

                                * * * * *

    (c) Implementation dates. Each applicant for a license, and each 
licensee that, upon application for modification of a license, would 
become newly subject to paragraph (a) of this section, shall submit a 
fundamental nuclear material control (FNMC) plan describing how the MC&A 
system shall satisfy the requirement of paragraph (b) of this section. 
The FNMC plan shall be implemented when a license is issued or modified 
to authorize the activities being addressed in paragraph (a) of this 
section, or by the date specified in a license condition.
    (d) Inventories. Notwithstanding Sec. 74.59(f)(1), licensees shall 
perform at least three bimonthly physical inventories after 
implementation of the NRC approved FNMC Plan and shall continue to 
perform bimonthly inventories until performance acceptable to the NRC 
has been demonstrated and the Commission has issued formal approval to 
perform semiannual inventories. Licensees who have prior experience with 
process monitoring and/or can demonstrate acceptable performance against 
all Plan commitments may request authorization to perform semiannual 
inventories at an earlier date.



Sec. 74.53  Process monitoring.

    (a) Licensees subject to Sec. 74.51 shall monitor internal 
transfers, storage, and processing of SSNM. The process monitoring must 
achieve the detection capabilities described in paragraph (b) of this 
section for all SSNM except:
    (1) SSNM that is subject to the item loss detection requirements of 
Sec. 74.55;
    (2) Scrap in the form of small pieces, cuttings, chips, solutions, 
or in other forms that result from a manufacturing process, held in 
containers of 30 gallons or larger, with an SSNM content of less than 
0.25 grams per liter;
    (3) SSNM with an estimated measurement standard deviation greater 
than five percent that is either input or output material associated 
with a unit that processes less than five formula kilograms over a 
consecutive three-month period; and
    (4) SSNM involved in research and development operations that 
process less than five formula kilograms during any seven-consecutive-
day period.
    (b) Unit process detection capability. For each unit process, a 
licensee shall establish a production quality control program capable of 
monitoring the status of material in process. The program shall include:
    (1) A statistical test that has at least a 95 percent power of 
detecting an abrupt loss of five formula kilograms within three working 
days of a loss of Category IA material from any accessible process 
location and within seven calendar days of a loss of Category IB 
material from any accessible process location;
    (2) A quality control test whereby process differences greater than 
three times the estimated standard deviation of the process difference 
estimator and 25 grams of SSNM are investigated; and
    (3) A trend analysis for monitoring and evaluating sequences of 
material control test results from each unit process to determine if 
they indicate a pattern of losses or gains that are of safeguards 
significance.
    (c) For research and development operations exempt from the 
requirements of paragraph (b) of this section, the licensee shall:
    (1) Perform material balance tests on a lot or a batch basis, as 
appropriate, or monthly, whichever is sooner, and investigate any 
difference greater than 200 grams of plutonium or U-233 or 300 grams of 
U-235 that exceeds three times the estimated standard error of the 
inventory difference estimator;
    (2) Evaluate material balance results generated during an inventory 
period for indications of measurement biases or unidentified loss 
streams and investigate, determine the cause(s) of, and institute 
corrective action for cumulative inventory differences generated during 
an inventory period that exceed three formula kilograms of SSNM.

[[Page 487]]



Sec. 74.55  Item monitoring.

    (a) Licensees subject to Sec. 74.51 shall provide the detection 
capability described in paragraph (b) of this section for laboratory 
samples containing less than 0.05 formula kilograms of SSNM and any 
uniquely identified items of SSNM that have been quantitatively 
measured, the validity of that measurement independently confirmed, and 
that additionally have been either:
    (1) Tamper-safed or placed in a vault or controlled access area that 
provides protection at least equivalent to tamper-safing; or
    (2) Sealed such that removal of SSNM would be readily and 
permanently apparent (e.g., encapsulated).
    (b) The licensee shall verify on a statistical sampling basis, the 
presence and integrity of SSNM items. The statistical sampling plan must 
have at least 99 percent power of detecting item losses that total five 
formula kilograms or more, plant-wide, within:
    (1) Thirty calendar days for Category IA items and 60 calendar days 
for Category IB items contained in a vault or in a permanently 
controlled access area isolated from the rest of the material access 
area (MAA);
    (2) Three working days for Category IA items and seven calendar days 
for Category BI items located elsewhere in the MAA, except for reactor 
components measuring at least one meter in length and weighing in excess 
of 30 kilograms for which the time interval shall be 30 calendar days;
    (3) Sixty calendar days for items in a permanently controlled access 
area outside of an MAA; or
    (4) Sixty calendar days for samples in a vault or permanently 
controlled access area and 30 calendar days for samples elsewhere in the 
MAA for samples each containing less than 0.05 formula kilograms of 
SSNM.
    (c) Items containing scrap in the form of small pieces, cuttings, 
chips, solutions, or in other forms that result from a manufacturing 
process, held in containers of 30 gallon or larger, with an SSNM 
concentration of less than 0.25 grams per liter are exempt from the 
requirements of paragraph (b) of this section.



Sec. 74.57  Alarm resolution.

    (a) Licensees subject to Sec. 74.51 shall provide the MC&A alarm 
resolution capabilities described in paragraphs (b) through (f) of this 
section.
    (b) Licensees shall resolve the nature and cause of any MC&A alarm 
within approved time periods.
    (c) Each licensee shall notify the Licensing Branch, Division of 
Industrial and Medical Nuclear Safety, Office of Nuclear Material Safety 
and Safeguards by telephone on (301) 415-7231 of any MC&A alarm that 
remains unresolved beyond the time period specified for its resolution 
in the licensee's fundamental nuclear material control plan. 
Notification must occur within 24 hours except when a holiday or weekend 
intervenes in which case the notification must occur on the next 
scheduled workday. The licensee may consider an alarm to be resolved if:
    (1) Clerical or computational error is found that clearly was the 
cause for the alarm; or
    (2) An assignable cause for the alarm is identified or it is 
substantiated that no material loss has occurred.
    (d) If a material loss has occurred, the licensee shall determine 
the amount of SSNM lost and take corrective action to:
    (1) Return out-of-place SSNM, if possible, to its appropriate place;
    (2) Update and correct associated records; and
    (3) Modify the MC&A system, if appropriate, to prevent similar 
future occurrences.
    (e) The licensee shall provide an ability to rapidly assess the 
validity of alleged thefts.
    (f) If an abrupt loss detection estimate exceeds five formula 
kilograms of SSNM:
    (1) Material processing operations related to the alarm must be 
suspended until completion of planned alarm resolution activities, 
unless the suspension of operations will adversely affect the ability to 
resolve the alarm. Operation of continuous processes may continue for 24 
hours from the time of the occurrence of the alarm during which time 
checks shall be made for mistakes in records or calculations that could 
have caused the alarm.

[[Page 488]]

    (2) Within 24 hours, the licensee shall notify the Licensing Branch, 
Division of Industrial and Medical Nuclear Safety, Office of Nuclear 
Material Safety and Safeguards by telephone on (301) 415-7231 that an 
MC&A alarm resolution procedure has been initiated.

[52 FR 10040, Mar. 30, 1987, as amended at 54 FR 6877, Feb. 15, 1989; 55 
FR 5979, Feb. 21, 1990; 60 FR 24553, May 9, 1995]

    Effective Date Note: At 67 FR 78148, Dec. 23, 2002, Sec. 74.57 was 
amended by revising the introductory text of paragraph (c) and paragraph 
(f)(2), effective Mar. 24, 2003. For the convenience of the user, the 
revised text is set forth as follows:

Sec. 74.57  Alarm resolution.

                                * * * * *

    (c) Each licensee shall notify the NRC Operations Center by 
telephone of any MC&A alarm that remains unresolved beyond the time 
period specified for its resolution in the licensee's fundamental 
nuclear material control plan. Notification must occur within 24 hours 
except when a holiday or weekend intervenes in which case the 
notification must occur on the next scheduled workday. The licensee may 
consider an alarm to be resolved if:

                                * * * * *

    (f) * * *
    (2) Within 24 hours, the licensee shall notify the NRC Operations 
Center by telephone that an MC&A alarm resolution procedure has been 
initiated.



Sec. 74.59  Quality assurance and accounting requirements.

    (a) Licensees subject to Sec. 74.51 shall provide the quality 
assurance and accounting capabilities described in paragraphs (b) 
through (h) of this section.
    (b) Management structure. The licensee shall:
    (1) Establish and maintain a management structure that includes 
clear overall responsibility for planning, coordinating, and 
administering material control and accounting functions, independence of 
material control and accounting functions from production 
responsibilities, and separation of functions such that the activities 
of one individual or organizational unit serve as controls over and 
checks of the activities of others; and
    (2) Provide for the adequate review, approval, and use of those 
material control and accounting procedures that are identified in the 
approved FNMC plan as being critical to the effectiveness of the 
described system.
    (c) Personnel qualification and training. The licensee shall assure 
that personnel who work in key positions where mistakes could degrade 
the effectiveness of the material control and accounting system are 
trained to maintain a high level of safeguards awareness and are 
qualified to perform their duties and/or responsibilities.
    (d) Measurements. The licensee shall establish and maintain a system 
of measurements sufficient to:
    (1) Substantiate the plutonium element and uranium element and 
fissile isotope content of all SSNM received, produced, transferred 
between areas of custodial responsibility, or inventory, or shipped, 
discarded, or otherwise removed from inventory;
    (2) Enable the estimation of the standard deviation associated with 
each measured quantity; and
    (3) Provide the data necessary for performance of the material 
control tests required by Sec. 74.53(b).
    (e) Measurement control. The licensee shall assure that the quality 
of SSNM measurement systems and material processing practices is 
continually controlled to a level of effectiveness sufficient to satisfy 
the capabilities required for detection, response, and accounting. To 
achieve this objective the licensee shall:
    (1) Perform engineering analyses and evaluations of the design, 
installation, preoperational tests, calibration, and operation of all 
measurement systems to be used for MC&A purposes;
    (2) Perform process and engineering tests using well characterized 
materials to establish or to verify the applicability of existing 
procedures for mixing and sampling SSNM and maintaining sample integrity 
during transport and storage. Tests must be repeated at least every 
three years, at any time there is a process modification that alters the 
physical or chemical composition of the SSNM, or whenever there is a 
change in the sampling technique or equipment; and

[[Page 489]]

    (3) Generate current data on the performance of measurement 
processes, including, as appropriate, values for bias corrections, 
uncertainties on calibration factors, and random error standard 
deviations. The program must include:
    (i) The onging use of standards for calibration and control of all 
applicable measurement systems. Calibrations must be repeated whenever 
any change in a measurement system occurs which has the potential to 
affect a measurement result or when program data, generated by tests 
performed at a pre-determined frequency, indicate a need for 
recalibration. Calibrations and tests must be based on standards with 
traceability to national standards or nationally accepted measurement 
systems; and
    (ii) A system of control measurements to provide current data for 
the estimation of the standard deviations that are significant 
contributors to the measurement uncertainties associated with shipper/
receiver differences, inventory differences, and process differences.
    (4) Utilize the data generated during the current material balance 
period for the estimation of the standard error of the inventory 
difference (SEID) and the standard error of the process differences. 
Calibration and measurement error data collected and used during 
immediately preceeding material balance periods may be combined with 
current data provided that the measurement systems are in statistical 
control and the combined data are utilized in characterizing the 
unknowns.
    (5) Evaluate all program data and information to assure that 
measurement performance is so controlled that the SEID estimator is less 
than 0.1 percent of active inventory.
    (6) Apply bias corrections by an appropriate procedure whereby:
    (i) Bias corrections are applied to individual items if for any 
measurement system the relative bias estimate exceeds twice the standard 
deviation of its estimator, the absolute bias estimate exceeds 50 grams 
of SSNM when applied across all affected items, and the absolute bias 
estimate on an individual item basis exceeds the rounding error of 
affected items; and
    (ii) All biases (regardless of significance) that are not applied as 
corrections to individual items are applied as a correction to the 
inventory difference.
    (7) Investigate and take corrective action, as appropriate, to 
identify and reduce associated measurement biases when, for like 
material types (i.e., measured by the same measurement system), the net 
cumulative shipper/receiver differences accumulated over a six-month 
period exceed the larger of one formula kilogram or 0.1 percent of the 
total amount received.
    (8) Establish and maintain a statistical control system designed to 
monitor the quality of each type of program measurement. Control limits 
must be established to be equivalent to levels of significance of 0.05 
and 0.001. Control data exceeding the 0.05 limits must be investigated 
and corrective action taken in a timely manner. Whenever a single data 
point exceeds the 0.001 control limit, the measurement system in 
question must not be used for material control and accounting purposes 
until it has been brought into control at the 0.05 level.
    (f) Physical inventory. The licensee shall:
    (1) Except as required by part 75 of this Chapter, perform a 
physical inventory at least every six calendar months and within 45 days 
after the start of the ending inventory:
    (i) Calculate the inventory difference, estimate the standard error 
of the inventory difference, and investigate and report any SEID 
estimate of 0.1 percent or more of active inventory and any ID that 
exceeds three times the standard error and 200 grams of plutonium or 
uranium-233 or 300 grams of uranium-235;
    (ii) If required to perform an investigation pursuant to paragraph 
(f)(1)(i) of this section, evaluate the significance of the inventory 
difference relative to expected performance as determined from an 
analysis of an appropriate sequence of historical inventory differences;
    (iii) Investigate and report to the Licensing Branch, Division of 
Industrial and Medical Nuclear Safety, Office of Nuclear Material Safety 
and Safeguards and difference that exceeds

[[Page 490]]

three times the standard deviation determined from the sequential 
analysis;
    (iv) Perform a reinventory if directed to do so by the Commission; 
and
    (v) Reconcile and adjust the plant and subsidiary book records to 
the results of the physical inventory.
    (2) Implement policies, practices, and procedures designed to ensure 
the quality of physical inventories. These must include:
    (i) Development of procedures for tamper-safing of containers or 
vaults containing SSNM not in process that include adequate controls to 
assure the validity of assigned SSNM values;
    (ii) Maintenance of records of the quantities of SSNM added to and 
removed from process;
    (iii) Requirements for signed documentation of all SSNM transfers 
between areas with different custodial responsibility that reflect all 
quantities of SSNM transferred;
    (iv) Means for control of and accounting for internal transfer 
documents;
    (v) Cutoff procedures for transfers and processing so that all 
quantities of SSNM are inventoried and none are inventoried more than 
once;
    (vi) Cutoff procedures for records and reports so that all transfers 
for the inventory and material balance interval and no others are 
included in the records;
    (vii) Inventory procedures for sealed sources and containers or 
vaults containing SSNM that assure reliable identification and 
quantification of contained SSNM;
    (viii) Inventory procedures for in-process SSNM that provide for 
measurement of quantities not previously measured for element and 
isotope, as appropriate, and remeasurement of material previously 
measured but whose validity has not been assured by tamper-safing or 
equivalent protection; and
    (ix) Written instructions for conducting physical inventories that 
detail assignments, responsibilities, and preparation for and 
performance of an inventory.
    (g) Accounting. The licensee shall establish auditable records 
sufficient to demonstrate that the requirements of Secs. 74.53, 74.55, 
74.57, and 74.59 have been met and retain those records for at least 
three years unless a longer retention period is required by part 75 of 
this Chapter.
    (h) Internal control. The licensee shall:
    (1) Establish procedures for shipping and receiving SSNM that 
provide for:
    (i) Accurate identification and measurement of the quantities 
shipped and received;
    (ii) Review and evaluation of shipper/receiver differences on an 
individual container or lot basis, as appropriate, on a shipment basis, 
and on a batch basis when required by part 75 of this Chapter;
    (iii) Investigation and corrective action when shipper/receiver 
differences exceed twice the estimated standard deviation of the 
difference estimator and the larger of 0.5 percent of the amount of SSNM 
in the container, lot, or shipment, as appropriate, or 50 grams of SSNM; 
and
    (iv) Documentation of shipper/receiver difference evaluations, 
investigations, and corrective actions.
    (2) Establish a scrap control program that assures that:
    (i) Internally generated scrap and scrap from other licensees or 
contractors is segregated until accountability is established; and
    (ii) Any scrap measured with a standard deviation greater than five 
percent of the measured amount is recovered so that the results are 
segregated by inventory period and received within six months of the end 
of the inventory period in which the scrap was generated except where it 
can be demonstrated that the scrap measurement uncertainty will not 
cause noncompliance with Sec. 74.59(e)(5).
    (3) Incorporate checks and balances in the MC&A system sufficient to 
control the rate of human errors in material control and accounting 
information.
    (4) Perform independent assessments at least every 12 months that 
assess the performance of the MC&A system, review its effectiveness, and 
document management's action on prior assessment recommendations. 
Assessments must include an evaluation of the measurement control 
program of any

[[Page 491]]

outside contractor laboratory performing MC&A measurements for a 
licensee, unless the contractor is also subject to the requirements of 
Sec. 74.59(e).
    (5) Assign custodial responsibility in a manner that ensures that 
such responsibility can be effectively executed for all SSNM possessed 
under license.

[52 FR 10040, Mar. 30, 1987, as amended at 54 FR 6878, Feb. 15, 1989; 55 
FR 5979, Feb. 21, 1990; 60 FR 24553, May 9, 1995]

    Effective Date Note: At 67 FR 78148, Dec. 23, 2002, Sec. 74.59 was 
amended by revising paragraphs (d)(1), (f)(1)(i) and (iii), and 
(h)(2)(ii), effective Mar. 24, 2003. For the convenience of the user, 
the revised text is set forth as follows:

Sec. 74.59  Quality assurance and accounting requirements.

                                * * * * *

    (d) * * *
    (1) Substantiate the plutonium element and uranium element and 
isotope content of all SSNM received, produced, transferred between 
areas of custodial responsibility, on inventory, or shipped, discarded, 
or otherwise removed from inventory;

                                * * * * *

    (f) * * *
    (1) * * *
    (i) Calculate the inventory difference (ID); estimate the standard 
error of the inventory difference (SEID); and investigate and report any 
SEID estimate of 0.1 percent or more of active inventory, and any ID 
that exceeds both three times SEID and 200 grams of plutonium or 
uranium-233, or 300 grams of uranium-235 contained in high enriched 
uranium.

                                * * * * *

    (iii) Investigate and report to the Director, Office of Nuclear 
Material Safety and Safeguards, any difference that exceeds three times 
the standard deviation determined from the sequential analysis;

                                * * * * *

    (h) * * *
    (2) * * *
    (ii) Any scrap measured with a standard deviation greater than five 
percent of the measured amount is recovered so that the results are 
segregated by inventory period and recovered within six months of the 
end of the inventory period in which the scrap was generated except 
where it can be demonstrated that the scrap measurement uncertainty will 
not cause noncompliance with Sec. 74.59(e)(5).

                                * * * * *



                         Subpart F--Enforcement



Sec. 74.81  Inspections.

    (a) Each licensee shall afford to the Commission at all reasonable 
times opportunity to inspect special nuclear material and the premises 
and facilities wherein special nuclear material is used, produced, or 
stored.
    (b) Each licensee shall make available to the Commission for 
inspection, upon reasonable notice, records kept by the licensee 
pertaining to its receipt, possession, use, acquisition, import, export, 
or transfer of special nuclear material.
    (c)(1) In the case of fuel cycle facilities where nuclear reactor 
fuel is fabricated or processed, each licensee shall upon request by the 
Director, Office of Nuclear Material Safety and Safeguards or the 
appropriate NRC Regional Administrator, provide rent-free office space 
for the exclusive use of Commission inspection personnel. Heat, air 
conditioning, light, electrical outlets, and janitorial services shall 
be furnished by each licensee. 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 fuel facility licensed pursuant to part 
70 of this chapter, the space provided shall be adequate to accommodate 
a full-time inspector, a part-time secretary, and transient NRC 
personnel. It 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 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 Material Safety and 
Safeguards or the appropriate NRC Regional Administrator. All furniture, 
supplies, and communication equipment will be furnished by the 
Commission.

[[Page 492]]

    (3) The licensee shall afford any NRC resident inspector assigned to 
their site, or other NRC inspectors identified by the Director of the 
Office of Nuclear Material Safety and Safeguards 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 measures for security, radiological 
protection, and personal safety.
    (d) At a facility using and possessing a formula quantity of 
strategic special nuclear material in unirradiated form, the licensee 
may not announce or otherwise communicate to its employees or site 
contractors the arrival or presence of an NRC safeguards inspector 
unless specifically requested to do so by the safeguards inspector.

[50 FR 7579, Feb. 25, 1985, as amended at 52 FR 31613, Aug. 21, 1987; 54 
FR 6878, Feb. 15, 1989; 55 FR 5979, Feb. 21, 1990; 58 FR 29522, May 21, 
1993]



Sec. 74.82  Tests.

    Each licensee shall perform, or permit the Commission to perform, 
any tests that the Commission deems appropriate or necessary for the 
administration of the regulations in this part, including tests of:
    (a) Special nuclear material;
    (b) Facilities where special nuclear material is utilized, produced, 
or stored; and
    (c) Other equipment and devices used in connection with the 
production, utilization, or storage of special nuclear material.



Sec. 74.83  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 55079, Nov. 24, 1992]



Sec. 74.84  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 74 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 74 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 74.1, 74.2, 74.4, 74.5, 74.6, 74.7, 74.8, 74.83 and 74.84.

[57 FR 55079, Nov. 24, 1992]



PART 75--SAFEGUARDS ON NUCLEAR MATERIAL--IMPLEMENTATION OF US/IAEA AGREEMENT--Table of Contents




                           General Provisions

Sec.
75.1  Purpose.
75.2  Scope.
75.3  Exemptions.
75.4  Definitions.
75.5  Interpretations.
75.6  Maintenance of records and delivery of information, reports, and 
          other communications.
75.7  IAEA representatives.
75.8  Facility attachments.
75.9  Information collection requirements: OMB approval.

                        Installation Information

75.11  Installation information.

[[Page 493]]

75.12  Communication of information to IAEA.
75.13  Verification.
75.14  Supplemental information.

                     Material Accounting and Control

75.21  General requirements.
75.22  Accounting records.
75.23  Operating records.
75.24  Retention of records.

                                 Reports

75.31  General requirements.
75.32  Initial inventory report.
75.33  Accounting reports.
75.34  Inventory change reports.
75.35  Material status reports.
75.36  Special reports.
75.37  Disclosure of reports to IAEA.

              Installations Designated for IAEA Safeguards

75.41  Designation.
75.42  Inspections.
75.43  Circumstances requiring advance notification.
75.44  Timing of advance notification.
75.45  Content of advance notification.
75.46  Expenses.

                               Enforcement

75.51  Violations.
75.53  Criminal penalties.

    Authority: Secs. 53, 63, 103, 104, 122, 161, 68 Stat. 930, 932, 936, 
937, 939, 948, as amended (42 U.S.C. 2073, 2093, 2133, 2134, 2152, 
2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841).
    Section 75.4 also issued under secs. 135, 141, Pub. L. 97-425, 96 
Stat. 2232, 2241 (42 U.S.C. 10155, 10161).

    Source: 45 FR 50711, July 31, 1980, unless otherwise noted.

                           General Provisions



Sec. 75.1  Purpose.

    This part establishes a system of nuclear material accounting and 
nuclear material control to implement, with respect NRC and Agreement 
State licensees, the Agreement between the United States and the 
International Atomic Energy Agency (IAEA) for the Application of 
Safeguards in the United States.



Sec. 75.2  Scope.

    (a) Except as provided in Sec. 75.3, the requirements in this part 
apply to all persons licensed by the Commission or Agreement States to 
possess source or special nuclear material at an installation, as 
defined in Sec. 75.4(k), on the United States eligible list. They also 
apply, to the extent specified in Secs. 50.78, 40.31(g), 70.21(g), and 
150.17a of this chapter, to holders of construction permits and to 
persons who intend to receive source material or special nuclear 
material.
    (b) The United States eligible list is a list of installations 
eligible for IAEA safeguards under the US/IAEA Safeguards Agreement 
which the Secretary of State or his designee files with the Commission. 
A copy of this list is available for inspection at the NRC Web site, 
http://www.nrc.gov, and/or at the NRC Public Document Room. In 
accordance with the provisions of the Agreement, the following 
activities are excluded from the United States eligible list:
    (1) Activities having direct national security significance.
    (2) Activities involving mining and ore processing.

[45 FR 50711, July 31, 1980, as amended at 53 FR 43422, Oct. 27, 1988; 
64 FR 48954, Sept. 9, 1999]



Sec. 75.3  Exemptions.

    (a) The Commission may, upon application of any interested person or 
upon its own initiative, grant exemptions from the requirements of this 
part that it determines are authorized by law and consistent with the 
Agreement, are not inimical to the common defense and security, and are 
otherwise in the public interest.
    (b) Without limiting the generality of paragraph (a) of this 
section, an exemption under this section may be granted with respect to 
nuclear material of the following types:
    (1) Special nuclear material in gram quantities or less as a sensing 
component in instruments;
    (2) Nuclear material used in non-nuclear activities, if such nuclear 
material is recoverable, and
    (3) Plutonium with an isotopic concentration of plutonium-238 
exceeding 80 percent.



Sec. 75.4  Definitions.

    As used in this part:
    (a) Unless otherwise defined in this section, the terms defined in 
Secs. 40.4,

[[Page 494]]

50.2, and 70.4 of this chapter have the same meaning when used in this 
part.
    (b) Agreement, except as used in the term Agreement State, means the 
Agreement between the United States and the International Atomic Energy 
Agency for the Application of Safeguards in the United States. Unless 
otherwise specified, the term refers both to the principal text of the 
Agreement, consisting of 90 articles, and to the Protocol thereto.
    (c) Agreement State as designated in part 150 of this chapter means 
any State with which the Commission has entered into an effective 
agreement under subsection 274b. of the Act.
    (d) Batch means a portion of nuclear material handled as a unit for 
accounting purposes at a key measurement point and for which the 
composition and quantity are defined by a single set of specifications 
or measurements. The nuclear material may be in bulk form or contained 
in a number of separate items.
    (e) Containment\1\ means:
---------------------------------------------------------------------------

    \1\ The term refers to nuclear material safeguards rather than 
radiological protection.
---------------------------------------------------------------------------

    (1) The application of any devices designed to limit the mobility of 
nuclear material, the access of personnel, or the unauthorized operation 
of equipment such as transfer valves and sampler lines; and
    (2) Structural elements, including the design of buildings and 
layout of equipment, which minimize and control access to nuclear 
material.
    (f) Effective kilogram means a unit used in safeguarding nuclear 
material. The quantity is:
    (1) For special nuclear material: The amount specified in Sec. 70.4 
of this chapter.
    (2) For source material: The amount specified in Sec. 40.4(q) of 
this chapter.
    (g) Facility Attachment means that portion of the Subsidiary 
Arrangements to the principal text of the Agreement that pertains to a 
particular installation that has been identified pursuant to Article 
39(b) thereof.
    (h) IAEA means the International Atomic Energy Agency or its duly 
authorized representatives.
    (i) IAEA material balance area means an area established for IAEA 
accounting purposes, such that:
    (1) The quantity of nuclear material in each transfer into or out of 
each material balance area can be determined; and
    (2) The physical inventory of nuclear material in each material 
balance area can be determined when necessary in accordance with 
specified procedures.
    (j) Identification under the Agreement means identification by the 
IAEA pursuant to Article 39(b) of the principal text of the Agreement or 
Article 2(a) of the Protocol.
    (k) Installation means:
    (1) A production facility or utilization facility as defined in 
Sec. 50.2 of this chapter;
    (2) A uranium hexafluoride production plant;
    (3) A fuel fabrication plant;
    (4) An independent spent fuel storage installation (ISFSI) or a 
monitored retrievable storage installation (MRS) as defined in Sec. 72.3 
of this chapter; or
    (5) Any location where the possession of more than 1 effective 
kilogram of nuclear material is licensed pursuant to parts 40, 60, 63, 
or 70 of this chapter or an Agreement State license.
    (6) 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 any 
equipment or device, or important component part especially designed for 
such equipment or device, capable of separating the isotopes of uranium 
or enrichment uranium in the isotope 235.
    (l) Inventory change means an increase or decrease, established in 
accordance with the procedures required by this part, in terms of 
batches of nuclear material in an IAEA material balance area.
    (m) Key measurement point means a location where nuclear material 
appears in such a form that it may be measured to determine material 
flow or inventory. Key measurement points thus include, but are not 
limited to, the inputs and outputs (including measured discards) and 
storages in material balance areas.

[[Page 495]]

    (n) Nuclear material means any source material or any special 
nuclear material.
    (o) Ore processing means uranium milling and other procedures for 
producing U3 O8 from uranium ore or from uranium 
concentrates produced as a byproduct from phosphate or other non-nuclear 
chemical production plants.
    (p) Surveillance means instrumental or human observation to indicate 
or detect the movement of nuclear material.
    (q) Transitional Facility Attachment means that portion of the 
Transitional Subsidiary Arrangements to the Protocol to the Agreement 
that pertains to a particular installation that has been identified 
pursuant to Article 2(a) thereof.
    (r) United States eligible list means the list of installations 
described in Sec. 75.2.

[45 FR 50711, July 13, 1980, as amended at 46 FR 58283, Dec. 1, 1981; 53 
FR 31683, Aug. 19, 1988; 57 FR 18393, Apr. 30, 1992; 57 FR 33432, July 
29, 1992; 63 FR 26963, May 15, 1998; 66 FR 55816, Nov. 2, 2001]



Sec. 75.5  Interpretations.

    Except as authorized specifically 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. 75.6  Maintenance of records and delivery of information, reports, and other communications.

    (a) All information and reports required to be submitted pursuant to 
the provisions of this part and other communications concerning the 
regulations in this part shall be delivered as follows:

------------------------------------------------------------------------
                Item                    Section      Manner of deliver
------------------------------------------------------------------------
IAEA Representative.................       75.7   To the Cognizant
                                                   Director.
Facility Attachments................       75.8       Do.
Installation Information............       75.11      Do.
Sensitive Information...............       75.12      Do.
Verification of Installation               75.13      Do.
 Information.
Supplemental Information............       75.14      Do.
General Requirements (Amplification)       75.31  As specified in the
                                                   request.
Initial Inventory Report............       75.32  In accordance with
                                                   printed instructions
                                                   for preparation of
                                                   DOE/NRC Form-742.
Inventory Change Reports............       75.34  In accordance with
                                                   printed instructions
                                                   for preparation of
                                                   DOE/NRC Form-741, and
                                                   -740M.
Material Status Reports.............       75.35  In accordance with
                                                   printed instructions
                                                   for preparation of
                                                   DOE/NRC Form-742, -
                                                   742C, and -740M.
Special Reports.....................       75.36  To the Regional Office
                                                   of the NRC.
Inspection..........................       75.42      Do.
Transfers (advance notification)....       75.43      Do.
Delays..............................       75.44      Do.
Other Communications................  ..........  To the cognizant
                                                   Director.
------------------------------------------------------------------------

    (b) If an installation is a nuclear power plant or a non-power 
reactor for which a construction permit or operating license has been 
issued, whether or not a license to receive and possess nuclear material 
at the installation has been issued, the cognizant Director is the 
Director, Office of Nuclear Reactor Regulation. For all other 
installations, the cognizant Director is the Director, Office of Nuclear 
Material Safety and Safeguards.
    (c) Written communications to the Directors, Office of Nuclear 
Material Safety and Safeguards, or Office of Nuclear Reactor Regulation 
may be delivered by mail, addressed to the appropriate Director at the 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, or may be 
addressed to the appropriate Director and delivered in person at the 
Commission's offices at 2120 L Street NW, Washington, DC, or 11555 
Rockville Pike, Rockville, MD.
    (d) Communications to the Regional Office of the NRC shall be 
addressed to the office listed in Appendix A of part 73 of this chapter 
for the region in which the installation is located.
    (e) Each record required by this part must be legible throughout the 
retention period specified by each Commission regulation. The record may 
be the original or a reproduced copy or a microform provided that the 
copy or microform is authenticated by authorized personnel and that the 
microform is capable of producing a clear copy

[[Page 496]]

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.

[45 FR 50711, July 31, 1980, as amended at 52 FR 31613, Aug. 21, 1987; 
53 FR 6139, Mar. 1, 1988; 53 FR 19262, May 27, 1988; 53 FR 43422, Oct. 
27, 1988]



Sec. 75.7  IAEA representatives.

    Each licensee subject to the provisions of this part shall recognize 
as a duly authorized representative of the IAEA any person bearing IAEA 
credentials who at the time of a visit or inspection, or of any visit or 
inspection within the preceding two years, is or was accompanied by a 
Commission employee, provided, that if the IAEA representative is not 
accompanied by a Commission employee, his credentials shall have been 
confirmed by the Commission in writing for the particular visit or 
inspection or for a specified term. The licensee shall immediately 
communicate with the Commission, by telephone, with respect to the 
credentials of any other person who claims to be an IAEA representative 
and shall accept telephone confirmation of such credentials by the 
Commission.



Sec. 75.8  Facility attachments.

    (a) The Facility Attachment or Transitional Facility Attachment will 
document the determinations referred to in Sec. 75.11 and will contain 
such other provisions as may be appropriate.
    (b) The Commission will issue license amendments, as necessary, for 
implementation of the principal text of the Agreement and the Facility 
Attachment (as amended from time to time). The license amendments 
through reference to the Facility Attachment or Transitional Facility 
Attachment, or otherwise, will specify:
    (1) IAEA material balance areas;
    (2) Types of modifications with respect to which information is 
required, under Sec. 75.11, to be submitted in advance;
    (3) Procedures, as referred to in Sec. 75.21;
    (4) The extent to which isotopic composition must be included in 
batch data (under Sec. 75.22) and advance notification (Sec. 75.45);
    (5) Items to be reported in the concise notes accompanying inventory 
change reports, as referred to in Sec. 75.34;
    (6) Loss limits and changes in containment, as referred to in 
Sec. 75.36 (pertaining to special reports);
    (7) Actions required to be taken, in accordance with 
Sec. 75.42(e)(2), at the request of an IAEA inspector;
    (8) Procedures to be used for documentation of requests under 
Sec. 75.46 (pertaining to expenses); and
    (9) Such other matters as may be appropriate.
    (c) The Commission will also issue license amendments, as necessary, 
for implementation of the Protocol to the Agreement and the Transitional 
Facility Attachment (as amended from time to time).
    (d) License amendments will be made in accordance with the 
Commission's rules of practice (part 2 of this chapter). Specifically, 
if the licensee does not agree to an amendment, an order modifying the 
license would be issued under Sec. 2.204.
    (e) Subject to constraints imposed by the Agreement, the Commission 
will afford the licensee a reasonable opportunity to participate in the 
development of the Facility Attachment or Transitional Facility 
Attachments applicable to the licensee's installation, and any 
amendments thereto, and to review and comment upon any such instrument 
before it has been agreed to by the United States. The Commission will 
provide to the licensee a copy of any such instrument that has been 
completed in accordance with the Agreement.



Sec. 75.9  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

[[Page 497]]

Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or sponsor, and a 
person is not required to respond to, a collection of information unless 
it displays a currently valid OMB control number. OMB has approved the 
information collection requirements contained in this part under control 
number 3150-0055.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 75.3, 75.7, 75.11, 75.12, 75.14, 75.21, 75.22, 
75.23, 75.24, 75.31, 75.32, 75.33, 75.34, 75.35, 75.36, 75.43, 75.44, 
and 75.45.
    (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. 75.11 and 75.14, Form N-71 is approved under control 
number 3150-0056.
    (2) In Secs. 75.31, 75.32, 75.33, and 75.35, DOE/NRC Form 742 is 
approved under control number 3150-0004.
    (3) In Secs. 75.33 and 75.34, DOE/NRC Form 741 is approved under 
control number 3150-0003.
    (4) In Secs. 75.34 and 75.35, DOE/NRC Form 740M is approved under 
OMB control number 3150-0057.
    (5) In Sec. 75.35, DOE/NRC Form 742C is approved under control 
number 3150-0058.

[49 FR 19628, May 9, 1984, as amended at 62 FR 52189, Oct. 6, 1997; 67 
FR 67101, Nov. 4, 2002]

                        Installation Information



Sec. 75.11  Installation information.

    (a) Each licensee subject to the provisions of this part shall 
submit installation information, in response to a written request from 
the Commission, with respect to any installation which the Commission 
indicates has been identified under the Agreement and in which the 
licensee carries out licensed activities. (The Commission request shall 
state whether the installation has been identified under Article 39(b) 
of the principal text of the Agreement or Article 2(a) of the Protocol.) 
The licensee shall submit such information to the Commission within the 
period, which shall be at least 45 days, specified in the Commission's 
request.
    (b) Installation information includes: (1) The identification of the 
installation, stating its general character, purpose, nominal capacity 
(thermal power level, in the case of power reactors), and geographic 
location, and the name and address to be used for routine purposes;
    (2) A description of the general arrangement of the installation 
with reference, to the extent feasible, to the form, location and flow 
of nuclear material, and to the general layout of important items of 
equipment which use, produce, or process nuclear material;
    (3) A description of features of the installation relating to 
material accounting, containment, and surveillance; and
    (4) A description of the existing and proposed procedures at the 
installation for nuclear material accounting and control, with special 
reference to material balance areas established by the licensee, 
measurement of flow, and procedures for physical inventory taking. (As 
part of this description, the licensee may identify a process step 
involving information which it deems to be commercially sensitive and 
for which it proposes that a special material balance area be 
established so as to restrict IAEA access to such information.)
    (c) Each licensee shall thereafter submit to the Commission 
information with respect to any modification at the installation 
affecting the information referred to in paragraph (a) of this section. 
Such information shall be submitted:
    (1) With respect to a modification of a type described in the 
license conditions: At least 70 days before the modification is 
scheduled to be completed, except that in an emergency or other 
unforeseen situation a shorter period may be approved by the Commission.
    (2) With respect to any other modification relevant to the 
application of the provisions of the Agreement: At the time the first 
inventory change report is submitted after the modification is 
completed.
    (d) The information specified in paragraphs (a) and (c) of this 
section shall

[[Page 498]]

be prepared on Form N-71 or other forms supplied by the Commission 
(including appropriate IAEA Design Information Questionnaire forms). The 
information shall be sufficiently detailed to enable knowledgeable 
determinations to be made in the development of Facility Attachments or 
amendments thereto, including:
    (1) Identification of the features of installations and nuclear 
material relevant to the application of safeguards to nuclear material 
in sufficient detail to facilitate verification;
    (2) Determination of IAEA material balance areas to be used for IAEA 
accounting purposes and selection of those strategic points which are 
key measurement points and which will be used to determine flow and 
inventory of nuclear material;
    (3) Establishment of the nominal timing and procedures for taking of 
physical inventory of nuclear material for IAEA accounting purposes;
    (4) Establishment of the records and reports requirements and 
records evaluation procedures;
    (5) Establishment of requirements and procedures for verification of 
the quantity and location of nuclear material; and
    (6) Selection of appropriate combinations of containment and 
surveillance methods and techniques at the strategic points at which 
they are to be applied.
    (e) The licensee's detailed security measures for the physical 
protection of an installation shall be included in the installation 
information only when and to the extent specifically requested by the 
Commission.

[45 FR 50711, July 31, 1980, as amended at 49 FR 19628, May 9, 1984]



Sec. 75.12  Communication of information to IAEA.

    (a) Except as otherwise provided in this section, the Commission 
will furnish to the IAEA all information submitted under Secs. 75.11 and 
75.14.
    (b)(1) A licensee may request that information of particular 
sensitivity, which it customarily holds in confidence, not be 
transmitted physically to the IAEA. A licensee who makes such a request 
should, at the time the information is submitted, identify the pertinent 
document or part thereof and make a full statement of the reasons 
supporting the request. The licensee shall retain a copy of the request 
and all documents related to the request as a record until the 
Commission terminates the license for each installation involved with 
the request or until the Commission notifies the licensee that the 
licensee is no longer under the agreement. Superseded material must be 
retained for three years after each change is made.
    (2) In considering such a request, it is the policy of the 
Commission to achieve an effective balance between legitimate concerns 
of licensees, including protection of the competitive position of the 
owner of the information, and the undertaking of the United States to 
cooperate with the IAEA to facilitate the implementation of the 
safeguards provided for in the Agreement. The Commission will take into 
account the obligation of the IAEA to take every precaution to protect 
commercial and industrial secrets and other confidential information 
coming to its knowledge in the implementation of the Agreement.
    (3) If a request is denied, the Commission will notify the applicant 
with a statement of reasons. The notice of denial will specify a time, 
not less than ten (10) days after the date of the notice, when the 
information will be transmitted physically to the IAEA.
    (4) If a request is granted, the Commission will determine a 
location where the information will remain readily available for 
examination by the IAEA and will so inform the licensee. The licensee 
shall retain this information as a record until the Commission 
terminates the license for the installation involved with the request or 
until the Commission notifies the licensee that the licensee is no 
longer under the agreement. Superseded material must be retained for 
three years after each change is made.
    (c) A request made under Sec. 2.790(b) of this chapter will not be 
treated as a request under this section unless the application makes 
specific reference to this section, nor shall a determination to 
withhold information from public

[[Page 499]]

disclosure necessarily require a determination that such information not 
be transmitted physically to the IAEA.
    (d) Where consistent with the Agreement, the Commission may at its 
own initiative, or at the request of a licensee, determine that any 
information submitted under Secs. 75.11 and 75.14 shall not be 
physically transmitted to, or made available for examination by, the 
IAEA.

[45 FR 50711, July 31, 1980, as amended at 53 FR 19262, May 27, 1988]



Sec. 75.13  Verification.

    (a) Each licensee subject to the provisions of this part shall 
afford to the IAEA during normal working hours, pursuant to prior notice 
from the Commission, opportunity to visit the installation to verify the 
installation information submitted under Sec. 75.11. The licensee may 
accompany IAEA representatives who visit the installation for such 
purpose, provided that the IAEA representatives shall not be delayed or 
otherwise impeded in the exercise of their functions.
    (b) The notice from the Commission may be given by telephone or in 
writing and shall provide the licensee actual knowledge of the visit at 
least three days in advance. The licensee should consult with the 
Commission immediately if the visit would unduly interfere with its 
activities or if its key personnel cannot be available.
    (c) The Commission will to the extent feasible, unless the licensee 
agrees otherwise, assign an employee to accompany an IAEA representative 
engaged in a visit described in this section.



Sec. 75.14  Supplemental information.

    (a) At the time information is submitted by a licensee under 
Sec. 75.11(a) (Form N-71), and promptly whenever changes are made, such 
licensee shall submit to the Commission:
    (1) Information on organizational responsibility for material 
accounting and control, including information with respect to separation 
of functions to provide internal checks and balances.
    (2) Health and safety rules to be observed by the IAEA inspectors at 
the installation.
    (b) Information submitted pursuant to this section shall indicate 
that the information is being supplied for purposes of implementation of 
the US/IAEA Safeguards Agreement.

[45 FR 50711, July 31, 1980, as amended at 49 FR 19629, May 9, 1984]

                     Material Accounting and Control



Sec. 75.21  General requirements.

    (a) Each licensee who has been given notice by the Commission in 
writing that its installation has been identified under the Agreement 
shall establish, maintain, and follow written material accounting and 
control procedures. The licensee shall retain as a record current 
material accounting and control procedures until the Commission 
terminates the license for the installation involved with the request or 
until the Commission notifies the licensee that the licensee is no 
longer under the agreement. Superseded material must be retained for 
three years after each change is made.
    (b) The material accounting and control procedures required by 
paragraph (a) of this section shall include, as appropriate:
    (1) A measurement system for the determination of the quantities of 
nuclear material received, produced, shipped, lost or otherwise removed 
from inventory, and the quantities on inventory;
    (2) The evaluation of precision and accuracy of measurements and the 
estimation of measurement uncertainty;
    (3) Procedures for identifying, reviewing and evaluating differences 
in shipper/receiver measurements;
    (4) Procedures, including frequency, for taking a physical 
inventory;
    (5) Procedures for the evaluation of accumulations of unmeasured 
inventory and unmeasured losses; and
    (6) A system of accounting and operating records.
    (c)(1) The procedures shall, unless otherwise specified in license 
conditions, conform to the installation information submitted by the 
licensee under Sec. 75.11.
    (2) Until installation information has been submitted by the 
licensee, the

[[Page 500]]

procedures shall be sufficient to document changes in the quantity of 
nuclear material in or at its installation. Observance of the procedures 
described in Sec. 40.61 or Sec. 70.51 of this chapter (or the 
corresponding provisions of the regulations of an Agreement State) by 
any licensee subject thereto shall constitute compliance with this 
paragraph (c)(2).
    (d) The requirements of this section are in addition to any other 
requirements of this chapter, relating to material accounting and 
control, that may apply to the licensee.

[45 FR 50711, July 31, 1980, as amended at 53 FR 19263, May 27, 1988]

    Effective Date Note: At 67 FR 78149, Dec. 23, 2002, Sec. 75.21 was 
amended by revising paragraph (c)(2), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 75.21  General requirements.

                                * * * * *

    (c) * * *
    (2) Until installation information has been submitted by the 
licensee, the procedures shall be sufficient to document changes in the 
quantity of nuclear material in or at its installation. Observance of 
the procedures described in Secs. 40.61 or 74.15 of this chapter (or the 
corresponding provisions of the regulations of an Agreement State) by 
any licensee subject thereto shall constitute compliance with this 
paragraph.

                                * * * * *



Sec. 75.22  Accounting records.

    (a) The accounting records required by Sec. 75.21 shall include, for 
each IAEA material balance area:
    (1) All inventory changes, so as to permit a determination of the 
book inventory at any time;
    (2) All measurement results that are used for determination of 
nuclear material quantities; and
    (3) All adjustments and corrections that have been made with respect 
to inventory changes, book inventories and physical inventories.
    (b) The records shall show, for each batch of nuclear material: 
material identification, batch data and source data. The batch data 
means a separate listing of the total weight of each element of nuclear 
material (including, as specified in the license conditions, isotopic 
composition for special nuclear material) with plutonium and enriched 
uranium measured in grams and natural or depleted uranium and thorium 
measured in kilograms. The source data are the data, recorded during 
measurement or calibration or used to derive empirical relationships, 
which identify nuclear material and provide batch data.
    (c) For each inventory change, the records shall show the date of 
the inventory change and, when appropriate, (1) the originating IAEA 
material balance area or the shipper, and (2) the receiving IAEA 
material balance area or the recipient.



Sec. 75.23  Operating records.

    The operating records required by Sec. 75.21 shall include, as 
appropriate, for each IAEA material balance area:
    (a) Those operating data which are used to establish changes in the 
quantities and composition of nuclear material;
    (b) The data obtained from the calibration of tanks and instruments 
and from sampling and analyses, the procedures employed to control the 
quality of measurements, and the derived estimates of random and 
systematic error;
    (c) A description of the sequence of the actions taken in preparing 
for, and in taking, a physical inventory, to ensure that it is correct 
and complete; and
    (d) A description of the actions taken to ascertain the magnitude 
and cause of any accidental or unmeasured loss that might occur.



Sec. 75.24  Retention of records.

    The records referred to in Secs. 75.22 and 75.23 shall be retained 
by the licensee for at least five years.

                                 Reports



Sec. 75.31  General requirements.

    Each licensee who has been given notice by the Commission in writing 
that its installation has been identified under the Agreement shall make 
an initial inventory report in computer-readable format, and thereafter 
shall make accounting reports, with respect

[[Page 501]]

to such installation and, in addition, licensees who have been given 
notice, pursuant to Sec. 75.41, that their installations are subject to 
the application of IAEA safeguards, shall make the special reports 
described in Sec. 75.36. These reports must be based on the records kept 
in accordance with Sec. 75.21. At the request of the Commission, the 
licensee shall amplify or clarify any report with respect to any matter 
relevant to implementation of the Agreement. Any amplification or 
clarification must be in writing and must be submitted, to the address 
specified in the request, within twenty (20) days or other time as may 
be specified by the Commission.

[59 FR 35621, July 13, 1994]



Sec. 75.32  Initial inventory report.

    (a) The initial inventory reporting date shall be the last day of 
the calendar month in which the Commission gives the licensee notice 
that an initial inventory report is required.
    (b) The initial inventory report, to be submitted to the Commission 
in computer-readable format, in accordance with instructions (NUREG/BR-
0007 and NMMSS Report D-24 ``Personal Computer Data Input for NRC 
Licensees''), must show the quantities of nuclear material contained in 
or at an installation as of the initial inventory reporting date. The 
information in the initial inventory report may be based upon the 
licensee's book record.
    (c) The initial inventory report shall be dispatched within twenty 
(20) days after the initial inventory reporting date.

[45 FR 50711, July 31, 1980, as amended at 59 FR 35622, July 13, 1994]



Sec. 75.33  Accounting reports.

    (a)(1) The accounting reports for each IAEA material balance area 
must consist of
    (i) Computer-readable Nuclear Material Transaction Reports 
(Inventory Change Reports) and
    (ii) Computer-readable Material Balance Reports showing the material 
balance based on a physical inventory of nuclear material actually 
present.
    (2) These prescribed computer-readable forms replace the following 
forms which have been submitted in paper form:
    (i) The DOE/NRC Form 741; and
    (ii) The DOE/NRC Form 742.
    (b) The reports shall be based on data available as of the date of 
reporting and may be corrected at a later date, as required.

[45 FR 50711, July 31, 1980, as amended at 49 FR 19629, May 9, 1984; 59 
FR 35622, July 13, 1994]



Sec. 75.34  Inventory change reports.

    (a) Nuclear Material Transaction Reports (Inventory Change Reports) 
in computer-readable format to be completed in accordance with 
instructions (NUREG/BR-0006 and NMMSS Report D-24 ``Personal Computer 
Data Input for NRC Licensees''), must specify identification and batch 
data for each batch of nuclear material, the date of the inventory 
change, and, as appropriate,
    (1) The originating IAEA material balance area or the shipper; and
    (2) The receiving IAEA material balance area or the recipient.

Each licensee who receives special nuclear material from a foreign 
source shall complete both the supplier's and receiver's portion of the 
form.
    (b) Nuclear Material Transactions Reports (Inventory Change 
Reports), when appropriate, must be accompanied by computer-readable 
Concise Notes, completed in accordance with instructions (NUREG/BR-0006 
and NMMSS Report D-24 ``Personal Computer Data Input for NRC 
Licensees''). Copies of these instructions may be obtained from the U.S. 
Nuclear Regulatory Commission, Division of Fuel Cycle Safety and 
Safeguards, Washington, DC 20555-0001. This prescribed computer-readable 
format replaces the DOE/NRC Form 740M which has been previously 
submitted in paper form. This Concise Note is used in:
    (1) Explaining the inventory changes on the basis of the operating 
records provided for under Sec. 75.23; and
    (2) Describing, to the extent specified in the license conditions, 
the anticipated operational program for the installation, including 
particularly, but

[[Page 502]]

not exclusively, the schedule for taking physical inventory.

[59 FR 35622, July 13, 1994]



Sec. 75.35  Material status reports.

    (a) A material status report must be submitted for each physical 
inventory which is taken as part of the material accounting and control 
procedures required by Sec. 75.21. The material status report must 
include a computer-readable Material Balance Report and a computer-
readable Physical Inventory Listing which lists all batches separately 
and specifies material identification and batch data for each batch. 
When appropriate, the material status report must be accompanied by a 
computer-readable Concise Note. The reports described in this section 
must be prepared and submitted in accordance with instructions (NUREG/
BR-0007, NUREG/BR-0006 and NMMSS Report D-24 ``Personal Computer Data 
Input for NRC Licensees''). Copies of these instructions may be obtained 
from the U.S. Nuclear Regulatory Commission, Division of Fuel Cycle 
Safety and Safeguards, Washington, DC 20555-0001. These prescribed 
computer-readable formats replace the DOE/NRC Forms 742, 742C, and 740M 
which have been submitted in paper form.
    (b) Unless otherwise specified in the license conditions, material 
status reports shall be dispatched as soon as possible and in any event 
within thirty (30) days after the start of the physical inventory.

[45 FR 50711, July 31, 1980, as amended at 59 FR 35622, July 13, 1994]



Sec. 75.36  Special reports.

    (a) This section applies only to licensees who have been given 
notice, pursuant to Sec. 75.41, that their installations are subject to 
the application of IAEA safeguards.
    (b) Each licensee who is subject to this section shall immediately 
make a special report to the Commission, by telephone (and also by 
telegraph, mailgram, or facsimile), in those situations described in 
license conditions.
    (c) The situations referred to in paragraph (b) of this section 
include (1) the possibility of loss of nuclear material in excess of 
specified limits and (2) unexpected changes in containment to the extent 
that unauthorized removal of nuclear material has become possible.



Sec. 75.37  Disclosure of reports to IAEA.

    The Commission may communicate to the IAEA any reports submitted to 
it pursuant to this part or any information contained in such reports.

              Installations Designated for IAEA Safeguards



Sec. 75.41  Designation.

    The Commission, by written notice, will designate those 
installations which, in accordance with identifications made from time 
to time by the IAEA, under Article 39(b) of the principal text of the 
Agreement, are subject to the application of IAEA safeguards. Such 
notice shall be effective until the Commission informs the licensee, in 
writing, that its installation is no longer so designated. Whenever a 
previously-designated installation is no longer subject to the 
application of IAEA safeguards, the Commission will give the licensee 
prompt notice to that effect.



Sec. 75.42  Inspections.

    (a) Each licensee who has been given notice pursuant to Sec. 75.41 
shall afford to the IAEA, at all reasonable times, opportunity to 
inspect its designated installation as provided in this section. 
Licensee representatives may accompany IAEA inspectors, provided that 
the IAEA inspectors are not thereby delayed or otherwise impeded in the 
exercise of their functions.
    (b) As provided in the Agreement, an inspection may be ad hoc, 
routine, or special (or a combination of the foregoing). An inspection 
shall be deemed to be routine unless the Commission has specifically 
advised the licensee otherwise.
    (c) The locations to which IAEA inspectors shall have access in the 
performance of inspections shall be as follows:
    (1) Ad hoc inspections to verify information contained in the 
licensee's initial inventory report or to identify and verify changes in 
the situation which

[[Page 503]]

have occurred since the initial inventory reporting date: any location 
where the initial inventory report or any inspections carried out 
therewith indicate that nuclear material subject to safeguards under the 
Agreement may be present.
    (2) Ad hoc inspections to identify and if possible verify the 
quantity and composition of the nuclear material referred to in 
notifications given under Sec. 75.43(b) (pertaining to exports) or 
Sec. 75.43(c) (pertaining to imports): Any place where such nuclear 
material may be located.
    (3) Routine inspections: The strategic points referred to in 
Sec. 75.11 (or, until such strategic points have been specified, to the 
locations referred to in paragraph (c)(1) of this section) and the 
records maintained pursuant to this part.
    (4) Special inspections: Any of the locations specified above and 
any additional locations where the Commission, in response to an IAEA 
request, finds access to be necessary.
    (d) Each licensee shall permit the IAEA, in conducting any such 
inspections, to:
    (1) Examine the records kept pursuant to Sec. 75.21 of this part;
    (2) Observe that the measurements of nuclear material at key 
measurement points for material balance accounting are representative;
    (3) Verify the functioning and calibration of instruments and other 
measuring control equipment.
    (4) Observe that samples at key measurement points for material 
balance accounting are taken in accordance with procedures which produce 
representative samples, to observe the treatment and analysis of the 
samples, and to obtain duplicates of such samples; and
    (5) Arrange to use the IAEA's own equipment for independent 
measurement and surveillance.
    (e) Each licensee shall, at the request of an IAEA inspector:
    (1) Ship samples taken for the IAEA's use, in accordance with 
applicable packaging and export licensing regulations, by the method of 
carriage and to the address specified by the inspector; and
    (2) Take other actions contemplated by the Agreement, as evidenced 
by the license conditions, including, for example:
    (i) Enabling the IAEA to arrange to install its equipment for 
measurement and surveillance;
    (ii) Enabling the IAEA to apply its seals and other identifying and 
tamper-indicating devices to containments;
    (iii) Making additional measurements and taking additional samples 
for the IAEA's use;
    (iv) Analyzing the IAEA's standard analytical samples;
    (v) Using appropriate standards in calibrating instruments and other 
equipment; and
    (vi) Carrying out other calibrations.
    (f) Nothing in this section shall be deemed to require or authorize 
the licensee to carry out any operation that would otherwise constitute 
a violation of the terms of any applicable license, regulation, or order 
of the Commission.
    (g) The Commission will to the extent feasible, unless the licensee 
agrees otherwise, assign an employee to accompany any IAEA 
representative engaged in an inspection described in this section.
    (h) The Commission will normally provide a licensee advance 
notification of any inspection to be carried out by IAEA 
representatives. The licensee shall notify the Commission promptly, by 
telephone, whenever an IAEA inspector arrives at an installation without 
such advance notification.



Sec. 75.43  Circumstances requiring advance notification.

    (a) Each licensee who has been given notice, pursuant to Sec. 75.41, 
shall give advance written notification to the Commission with respect 
to the international and domestic transfers specified in this section.
    (b) Exports. Notification shall be given of any proposed shipment of 
nuclear material for peaceful purposes under an export license issued 
pursuant to part 110 of this chapter, in an amount exceeding one 
effective kilogram, directly or indirectly to any non-nuclear-weapon 
state (as referred to in Article III(2) of the Treaty on the Non-
Proliferation of Nuclear Weapons,

[[Page 504]]

21 U.S.T. 483). If the licensee anticipates that it will make two or 
more shipments for peaceful purposes, within any period of 90 days, 
directly or indirectly to destinations in the same non-nuclear-weapon 
state, notification shall be given of each shipment if the aggregate 
quantity of nuclear material to be transferred exceeds one effective 
kilogram. \2\
---------------------------------------------------------------------------

    \2\ All foreign countries, with the exception of the People's 
Republic of China, France, the Soviet Union, and the United Kingdom, are 
non-nuclear-weapon states. Treaty on the Non-Proliferation of Nuclear 
Weapons, Article IX(3).
---------------------------------------------------------------------------

    (c) Imports. (1) Notification shall be given (to the fullest extent 
possible on the basis of available information) with respect to nuclear 
material which immediately prior to export is subject to safeguards, 
under an agreement with the IAEA, in the country from which the 
material, directly or indirectly, is being exported. Such notification 
is only required, however, if the quantities of nuclear material are as 
specified in paragraph (c)(2) of this section.
    (2) Notification shall be given with respect to any proposed import 
of nuclear material described in paragraph (c)(1) of this section in an 
amount exceeding one effective kilogram. If the licensee anticipates 
that it will receive two or more shipments of such nuclear material, 
within any 90-day period from points of origin in the same country, 
notification shall be given with respect to each shipment if the 
aggregate quantity of such nuclear material to be received exceeds one 
effective kilogram.
    (d) Domestic transfers. Notification shall be given with respect to 
any shipments of nuclear material (other than small quantities in the 
form of samples containing less than 0.01 effective kilogram per sample) 
to a non-eligible destination. As used in this paragraph, a non-eligible 
destination means any destination in the United States other than an 
installation on the United States eligible list.



Sec. 75.44  Timing of advance notification.

    (a) Except as provided in paragraph (b) of this section, 
notification to the Commission, where required by Sec. 75.43, shall be 
given:
    (1) In the case of exports and domestic transfers, at least twenty 
days in advance of the preparation of the nuclear material for shipment 
from the installation.
    (2) In the case of imports, at least twelve days in advance of the 
unpackaging of nuclear material at the installation.
    (b) For a particular receipt or shipment of nuclear material, the 
Commission will approve a shorter notice period than that specified by 
paragraph (a) of this section, for good cause, if it determines that 
observing the specified notification period would result in delay in 
shipment or unpackaging.
    (c) The licensee shall inform the Commission, by phone, as soon as 
possible, with respect to any delay in the receipt (or unpackaging) or 
the shipment (or preparation for shipment) of nuclear material for which 
advance notification is required. New dates should be provided, if 
known.



Sec. 75.45  Content of advance notification.

    (a) The notifications required by Sec. 75.43 shall include the 
element weight of nuclear material being received or shipped, the 
chemical composition and physical form, the isotopic composition (to the 
extent specified by license conditions), the estimated date and place at 
the reporting installation where the nuclear material is to be 
unpackaged or prepared for shipment (and where the quantity and 
composition can be verified), the applicable IAEA material balance area 
at the reporting installation, the approximate number of items to be 
received or shipped, and the probable dates of receipt or shipment. The 
notification shall indicate that the information is being supplied 
pursuant to Sec. 75.43.
    (b) The notifications required with respect to export and import 
shipments shall also include
    (1) If available, a general description of containers (including, in 
the case of exports, features that would permit sealing);
    (2) Destination of export as authorized under an export license 
issued pursuant to part 110 of this chapter, or origin of import (by 
country and, if known, place);

[[Page 505]]

    (3) Means of transport; and
    (4) Expected date and place of arrival in the destination country 
(for exports) or in the United States (for imports).



Sec. 75.46  Expenses.

    (a) Under the Agreement, the IAEA undertakes to reimburse a licensee 
who has been given notice, pursuant to Sec. 75.41, for extraordinary 
expenses incurred as a result of its specific request: Provided, That 
the IAEA has agreed in advance to do so. The Agreement also contemplates 
that in any case the IAEA will reimburse a licensee for the cost of 
making additional measurements or taking samples at the specific request 
of an IAEA inspector.
    (b) The Commission will inform the licensee, in the license 
conditions or other written communication, of those items of 
extraordinary expense which the Agency has agreed in advance to 
reimburse.
    (c) The Commission will inform the licensee, in the license 
conditions, of the procedures to be used to document:
    (1) An IAEA inspector's request for making additional measurements 
or taking additional samples; and
    (2) An IAEA request for a particular action by the licensee that 
will give rise to reimbursable extraordinary expense.
    (d) The Commission will take such action as it finds to be 
appropriate to assist the licensee with respect to the reimbursement of 
any expense which, under the Agreement, is to be borne by the IAEA.

                               Enforcement



Sec. 75.51  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)(l)(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.
    (c) The Commission may issue orders to secure compliance with the 
provisions of this part or to prohibit any violation of such provisions 
as may be proper to protect the common defense and security. Enforcement 
actions, including proceedings instituted with respect to Agreement 
State licensees, will be conducted in accordance with the procedures set 
forth in part 2, subpart B of this chapter. Only NRC licensees, however, 
are subject to license modification, suspension, or revocation as a 
result of enforcement action.

[57 FR 55079, Nov. 24, 1992]



Sec. 75.53  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 75 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 75 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 75.1, 75.2, 75.3, 75.4, 75.5, 75.8, 75.9, 75.12, 75.37, 75.41, 
75.46, 75.51, and 75.53.

[57 FR 55079, Nov. 24, 1992]

[[Page 506]]



PART 76--CERTIFICATION OF GASEOUS DIFFUSION PLANTS--Table of Contents




                      Subpart A--General Provisions

Sec.
76.1  Purpose.
76.2  Scope.
76.4  Definitions.
76.5  Communications.
76.6  Interpretations.
76.7  Employee protection.
76.8  Information collection requirements: OMB approval not required.
76.9  Completeness and accuracy of information.
76.10  Deliberate misconduct.
76.21  Certificate required.
76.22  Ineligibility of certain applicants.
76.23  Specific exemptions.

                         Subpart B--Application

76.31  Periodic application requirement.
76.33  Application procedures.
76.35  Contents of application.
76.36  Renewals.
76.37  Federal Register notice.
76.39  Public meeting.
76.41  Record underlying decisions.
76.43  Date for decision.
76.45  Application for amendment of certificate.

                        Subpart C--Certification

76.51  Conditions of certification.
76.53  Consultation with Environmental Protection Agency.
76.55  Timely renewal.
76.60  Regulatory requirements which apply.
76.62  Issuance of certificate and/or approval of compliance plan.
76.64  Denial of certificate or compliance plan.
76.65  Inalienability of certificates.
76.66  Expiration and termination of certificates.
76.68  Plant changes.
76.70  Post issuance.
76.72  Miscellaneous procedural matters.
76.74  Computation and extension of time.
76.76  Backfitting.

                            Subpart D--Safety

76.81  Authorized use of radioactive material.
76.83  Transfer of radioactive material.
76.85  Assessment of accidents.
76.87  Technical safety requirements.
76.89  Criticality accident requirements.
76.91  Emergency planning.
76.93  Quality assurance.
76.95  Training.

                   Subpart E--Safeguards and Security

76.111  Physical security, material control and accounting, and 
          protection of certain information.
76.113  Formula quantities of strategic special nuclear material--
          Category I.
76.115  Special nuclear material of moderate strategic significance--
          Category II.
76.117  Special nuclear material of low strategic significance--Category 
          III.
76.119  Security facility approval and safeguarding of National Security 
          Information and Restricted Data.

                   Subpart F--Reports and Inspections

76.120  Reporting requirements.
76.121  Inspections.
76.123  Tests.

                         Subpart G--Enforcement

76.131  Violations.
76.133  Criminal penalties.

    Authority: Sec. 161, 68 Stat. 948, as amended, secs. 1312, 1701, as 
amended, 106 Stat. 2932, 2951, 2952, 2953, 110 Stat. 1321-349 (42 U.S.C. 
2201, 2297b-11, 2297f); secs. 201, as amended, 204, 206, 88 Stat. 1244, 
1245, 1246 (42 U.S.C. 5841, 5842, 5845, 5846). Sec. 234(a), 83 Stat. 
444, as amended by Pub. L. 104-134, 110 Stat. 1321, 1321-349 (42 U.S.C. 
2243(a)).
    Section 76.7 also issued under Pub. L. 95-601. sec. 10, 92 Stat 2951 
(42 U.S.C. 5851). Section 76.22 is also issued under sec.193(f), as 
amended, 104 Stat. 2835, as amended by Pub. L. 104-134, 110 Stat. 1321, 
1321-349 (42 U.S.C. 2243(f)). Section 76.35(j) also issued under sec. 
122, 68 Stat. 939 (42 U.S.C. 2152).

    Source: 59 FR 48960, Sept. 23, 1994, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 76.1  Purpose.

    (a) This part establishes requirements that will govern the 
operation of those portions of the Portsmouth and Paducah Gaseous 
Diffusion Plants located in Piketon, Ohio, and Paducah, Kentucky, 
respectively, that are leased by the United States Enrichment 
Corporation. These requirements are promulgated to protect the public 
health and safety from radiological hazards and provide for the common 
defense and security. This part also establishes the certification 
process that will be used to ensure compliance with the established 
requirements.
    (b) The regulations contained in this part are issued pursuant to 
the Atomic

[[Page 507]]

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 IX 
and XI of the Energy Policy Act of 1992 (106 Stat. 2923, 2951).



Sec. 76.2  Scope.

    The regulations in this part apply only to those portions of the 
Portsmouth and Paducah Gaseous Diffusion Plants leased by the 
Corporation, per the Lease Agreement between the Department of Energy 
and the United States Enrichment Corporation. This part also gives 
notice to all persons who knowingly provide to the Corporation or any 
contractor, or subcontractor any components, equipment, materials, or 
other goods or services that relate to the activities subject to this 
part that they may be individually subject to NRC enforcement action for 
violation of Sec. 76.10.



Sec. 76.4  Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954 (68 Stat 919), and includes 
any amendments to the Act.
    Administrative controls means the provisions relating to 
organization and management, procedures, recordkeeping, review and 
audit, and reporting necessary to ensure operation of the plant in a 
safe manner.
    Agreement State means any State with which the 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[s] but that the release 
is not expected to require a response by an offsite response 
organization to protect persons offsite.
    Atomic energy means all forms of energy released in the course of 
nuclear fission or nuclear transformation.
    Certificate of compliance or certificate means a certificate of 
compliance issued pursuant to this part.
    Classified matter means documents or material revealing classified 
information.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Common defense and security means the common defense and security of 
the United States.
    Compliance plan means a plan for achieving compliance approved 
pursuant to this part.
    Corporation means the United States Enrichment Corporation (USEC), 
or its successor, a Corporation that is authorized by statute to lease 
the gaseous diffusion enrichment plants in Paducah, Kentucky, and 
Piketon, Ohio, from the department of Energy, or any person authorized 
to operate one or both of the gaseous diffusion plants, or other 
facilities, pursuant to a plan for the privatization of USEC that is 
approved by the President.
    Department and Department of Energy (DOE) 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, as amended, (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 byproduct residues from the uranium 
enrichment process in which the concentration of the isotope 
U235 is less than that occurring in natural uranium.
    Director means the Director, or his or her designee, of the Office 
of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory 
Commission.
    Effective dose equivalent means the sum of the products of the dose 
equivalent to the body organ or tissue and the weighting factors 
applicable to each of the body organs or tissues that are irradiated, as 
defined in 10 CFR Part 20 (Secs. 20.1001 through 20.2402).

[[Page 508]]

    Effective kilograms of special nuclear material means:
    (1) For uranium with an enrichment in the isotope U-235 of 0.01 (1 
percent) and above, its element weight in kilograms multiplied by the 
square of its enrichment expressed as a decimal weight fraction; and
    (2) For uranium with an enrichment in the isotope U-235 below 0.01 
(1 percent), its element weight in kilograms multiplied by 0.0001.
    Formula quantity means strategic special nuclear material in any 
combination in a quantity of 5000 grams or more computed by the formula, 
grams = (grams contained U-235) + 2.5(grams U-233+grams plutonium).
    Lease Agreement means the agreement entered into as of July 1, 1993, 
and any subsequent revisions between the United States Department of 
Energy and the United States Enrichment Corporation.
    Limiting conditions for operation means the lowest functional 
capability or performance levels of structures, systems, components, and 
their support systems required for normal safe operation of the plant.
    Limiting control settings means settings for automatic alarm or 
protective devices related to those variables having significant safety 
functions.
    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.
    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, as 
amended, (88 Stat. 1244); 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.
    Process means a series of actions that achieves an end or result.
    Produce, when used in relation to special nuclear material, means:
    (1) To 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.
    Radioactive material means source material, special nuclear 
material, or byproduct material, possessed, used, transferred, or 
disposed of under part 76.
    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 does not include data declassified or removed from the 
Restricted Data category pursuant to Section 142 of the Act.
    Safety limits means 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 of 
radioactivity.
    Sealed source means any radioactive material that is encased in a 
capsule designed to prevent leakage or escape of the radioactive 
material.
    Security facility approval means that a determination has been made 
by the NRC that a facility is eligible to use, process, store, 
reproduce, transmit, or handle classified matter.
    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 Section 11z. of 
the Act and in the regulations contained in part 40 of this chapter.
    Special nuclear material means:

[[Page 509]]

    (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 in any of the foregoing, but 
does not include source material.
    Special nuclear material of low strategic significance means:
    (1) Less than an amount of special nuclear material of moderate 
strategic significance, as defined in this section, but more than 15 
grams of uranium-235 (contained in uranium enriched to 20 percent or 
more in the U-235 isotope), or 15 grams of uranium-233, or 15 grams of 
plutonium, or the combination of 15 grams when computed by the equation, 
grams = (grams contained U-235) + (grams plutonium) + (grams U-233); or
    (2) Less than 10,000 grams but more than 1000 grams of uranium-235 
(contained in uranium enriched to 10 percent or more but less than 20 
percent in the U-235 isotope), or
    (3) 10,000 grams or more of uranium-235 (contained in uranium 
enriched above natural but less than 10 percent in the U-235 isotope).
    Special nuclear material of moderate strategic significance means:
    (1) Less than a formula quantity of strategic special nuclear 
material but more than 1000 grams of uranium-235 (contained in uranium 
enriched to 20 percent or more in the U-235 isotope), or more than 500 
grams of uranium-233 or plutonium, or in a combined quantity of more 
than 1000 grams when computed by the equation, grams = (grams contained 
U-235) + 2 (grams U-233 + grams plutonium); or
    (2) 10,000 grams or more of uranium-235 (contained in uranium 
enriched to 10 percent or more but less than 20 percent in the U-235 
isotope).
    Special nuclear material scrap means the various forms of special 
nuclear material generated during chemical and mechanical processing, 
other than recycle material and normal process intermediates, which are 
unsuitable for use in their present form, but all or part of which will 
be used after further processing.
    Strategic special nuclear material means uranium-235 (contained in 
uranium enriched to 20 percent or more in the U-235 isotope), uranium-
233, or plutonium.
    Surveillance requirements means requirements relating to test, 
calibration, or inspection to ensure that the necessary quality of 
systems and components is maintained, that plant operation will be 
within the safety limits, and that the limiting conditions of operation 
will be met.
    Unclassified Controlled Nuclear Information is information whose 
unauthorized dissemination is prohibited under Section 148 of the Atomic 
Energy Act.
    United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States.
    Unreviewed safety question means a change which involves any of the 
following:
    (1) 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;
    (2) A possibility for an accident or malfunction of a different type 
than any evaluated previously in the safety analysis report may be 
created; or
    (3) The margin of safety as defined in the basis for any technical 
safety requirement is reduced.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6669, Feb. 12, 1997]



Sec. 76.5  Communications.

    Except where otherwise specified, all correspondence, reports, 
applications, and other written communications submitted pursuant to 10 
CFR part 76 should be addressed to the Director, Office of Nuclear 
Material Safety and Safeguards, ATTN: Document Control Desk, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001, and copies 
sent to the NRC Region III Office (shown in appendix D of part 20 of 
this chapter) and the applicable Resident Inspector. Communications and 
reports may be delivered in person at the Commission's offices at 11555 
Rockville Pike, Rockville, Maryland, or at the NRC Public Document Room 
2120 L Street, NW. (Lower Level), Washington DC.

[[Page 510]]



Sec. 76.6  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. 76.7  Employee protection.

    (a) Discrimination by the Corporation, a contractor, or a 
subcontractor of the Corporation 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 above statutes or possible 
violations of requirements imposed under either of the above statutes;
    (ii) Refusing to engage in any practice made unlawful under either 
of the above statutes 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 above statutes; and
    (v) Assisting or participating in, or attempting to assist or 
participate in, the protected 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 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 
the Corporation, or a contractor or subcontractor of the Corporation may 
be grounds for:
    (1) Denial, revocation, or suspension of the certificate.
    (2) Other enforcement action.
    (d) Actions taken by an employer or others which adversely affect an 
employee may be predicated upon nondiscrimination 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) The Corporation 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 during the term of the 
certificate and for 30 days following certificate termination.
    (2) The Corporation shall notify its contractors of the prohibition 
against

[[Page 511]]

discrimination for engaging in protected activities.
    (3) Copies of NRC Form 3 may be obtained by writing to the NRC 
Region III Office listed in appendix D to part 20 of this chapter or by 
contacting the NRC Publishing Services Branch.
    (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.

[59 FR 48960, Sept. 23, 1994, as amended at 60 FR 24553, May 9, 1995; 63 
FR 15744, Apr. 1, 1998; 64 FR 44649, Aug. 17, 1999]



Sec. 76.8  Information collection requirements: OMB approval not required.

    The information collection requirements contained in this part of 
limited applicability apply to a wholly-owned instrumentality of the 
United States and affect fewer than ten respondents. Therefore, Office 
of Management and Budget clearance is not required pursuant to the 
Paperwork Reduction Act (44 U.S.C. 3501 et seq.).

[62 FR 52190, Oct. 6, 1997]



Sec. 76.9  Completeness and accuracy of information.

    (a) Information provided to the Commission or information required 
by statute or by the Commission's rules, regulations, standards, orders, 
or other conditions to be maintained by the Corporation must be complete 
and accurate in all material respects.
    (b) The Corporation shall notify the Commission of information 
identified as having for the regulated activity a significant 
implication for public health and safety or common defense and security. 
The Corporation violates this paragraph only if the Corporation fails to 
notify the Commission of information that the Corporation has identified 
as having a significant implication for public health and safety or 
common defense and security. Notification must be provided to the 
Administrator of NRC's Region III Office within 2 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.

[59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44649, Aug. 17, 1999]



Sec. 76.10  Deliberate misconduct.

    (a) The Corporation or any employee of the Corporation and any 
contractor (including a supplier or consultant), subcontractor, or any 
employee of a contractor or subcontractor, who knowingly provides to the 
Corporation, or any contractor or subcontractor, components, equipment, 
materials, or other goods or services, that relate to the Corporation's 
activities subject to this part; may not:
    (1) Engage in deliberate misconduct that causes or, but for 
detection, would have caused, the Corporation to be in violation of any 
rule, regulation, or order, or any term, condition, or limitation of a 
certificate or approval issued by the Commission; or
    (2) Deliberately submit to the NRC, the Corporation, or its 
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 the Corporation to be in violation of any rule, 
regulation, or order, or any term, condition, or limitation of a 
certificate or approved compliance plan issued by the Director; or
    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order or policy of the

[[Page 512]]

Corporation, contractor, or subcontractor.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6669, Feb. 12, 1997]



Sec. 76.21  Certificate required.

    (a) The Corporation or its contractors may not operate the gaseous 
diffusion plants at Piketon, Ohio, and Paducah, Kentucky, unless an 
appropriate certificate of compliance, and/or an approved compliance 
plan is in effect under this part. Unless authorized by the NRC under 
other provisions of this chapter, a person other than the Corporation or 
its contractors may not acquire, deliver, receive, possess, use, or 
transfer radioactive material at the gaseous diffusion plants at 
Piketon, Ohio, and Paducah, Kentucky.
    (b) For the purposes of Secs. 30.41, 40.51, and 70.42 of this 
chapter, the Corporation shall be authorized to receive, and licensees 
shall be authorized to transfer to the Corporation, byproduct material, 
source material, or special nuclear material to the extent permitted 
under the certificate of compliance issued, and/or the compliance plan 
approved, pursuant to this part.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6669, Feb. 12, 1997; 
64 FR 44649, Aug. 17, 1999]



Sec. 76.22  Ineligibility of certain applicants.

    A certificate of compliance may not be issued to the Corporation if 
the Commission determines that:
    (a) The Corporation is owned, controlled, or dominated by an alien, 
a foreign corporation, or a foreign government; or
    (b) The issuance of such a certificate of compliance would be 
inimical to--
    (1) The common defense and security of the United States; or
    (2) The maintenance of a reliable and economical domestic source of 
enrichment services.

[62 FR 6670, Feb. 12, 1997]



Sec. 76.23  Specific exemptions.

    The Commission may, upon its own initiative or upon application of 
the Corporation, grant such exemptions from the requirements of the 
certification regulations 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.



                         Subpart B--Application



Sec. 76.31  Periodic application requirement.

    The Corporation shall periodically apply to the Commission for a 
certificate of compliance, in accordance with Sec. 76.36, on or before 
April 15 of the year specified in an existing certificate of compliance 
as determined by the Commission, but not less frequently than every 5 
years.

[62 FR 6670, Feb. 12, 1997]



Sec. 76.33  Application procedures.

    (a) Filing requirements. (1) An application for a certificate of 
compliance must be tendered by filing 20 copies of the application with 
the Director, Office of Nuclear Material Safety and Safeguards, with 
copies sent to the NRC Region III Office and appropriate resident 
inspector, in accordance with Sec. 76.5.
    (2) The application must include the full name, address, age (if an 
individual), and citizenship of the applicant. If the applicant is a 
corporation or other entity, the application must indicate the State 
where it was incorporated or organized; the location of the principal 
office; and the names, addresses, and citizenship of its principal 
officers. The applicant shall include any known information concerning 
the control or ownership, if any, exercised over the applicant by any 
alien, foreign corporation, or foreign government.
    (b) Oath or affirmation. An application for a certificate of 
compliance must be executed in a signed original by a duly authorized 
officer of the Corporation under oath or affirmation.
    (c) Pre-filing consultation. The Corporation may confer with the 
Commission's staff before filing an application.
    (d) Additional information. At any time during the review of an 
application, the Corporation may be required to supply additional 
information to the Commission's staff to enable the Commission or the 
Director, as appropriate, to determine whether the certificate

[[Page 513]]

should be issued or denied, or to determine whether a compliance plan 
should be approved.
    (e) Withholdable information. If an application contains Restricted 
Data, National Security Information, Safeguards Information, 
Unclassified Controlled Nuclear Information, proprietary data, or other 
withholdable information, the applicant shall ensure that the 
withholdable information is separate from the information to be made 
publicly available.

[64 FR 44649, Aug. 17, 1999]



Sec. 76.35  Contents of application.

    The application for a certificate of compliance must include the 
information identified in this section.
    (a) A safety analysis report which must include the following 
information:
    (1) The activities and locations involving special nuclear material 
and the general plan for carrying out these activities;
    (2) The name, amount, and specifications (including the chemical and 
physical form and, where applicable, isotopic content) of the special 
nuclear material, source and byproduct material the Corporation proposes 
to use, possess or produce, including any material held up in equipment 
from previous operations;
    (3) The qualifications requirements, including training and 
experience, of the Corporation's management organization and key 
individuals responsible for safety in accordance with the regulations in 
this chapter;
    (4) An assessment of accidents based on the requirements of 
Sec. 76.85;
    (5) A training program that meets the requirements of Sec. 76.95;
    (6) A description of equipment and facilities which will be used by 
the Corporation to protect health and minimize danger to life or 
property (such as handling devices, working areas, shields, measuring 
and monitoring instruments, devices for the treatment and disposal of 
radioactive effluent and wastes, storage facilities, provisions for 
protection against natural phenomena, fire protection systems, 
criticality accident alarm systems, etc.);
    (7) A description of the management controls and oversight program 
to ensure that activities directly relevant to nuclear safety and 
safeguards and security are conducted in an appropriately controlled 
manner that ensures protection of employee and public health and safety 
and protection of the national security interests; and
    (8) A description of the plant site, and a description of the 
principal structures, systems, and components of the plant.
    (b) A plan prepared and approved by DOE for achieving compliance 
with respect to any areas of noncompliance with the NRC's regulations 
that are identified by the Corporation as of the date of the application 
that includes:
    (1) A description of the areas of noncompliance;
    (2) A plan of actions and schedules for achieving compliance; and
    (3) A justification for continued operation with adequate safety and 
safeguards.
    (c) Any relevant information concerning deviations from the 
published Environmental Impact Statement, Environmental Assessments, or 
environmental permits under which the plants currently operate from 
which the Commission can prepare an environmental assessment related to 
the compliance plan.
    (d) A quality assurance program that meets the requirements of 
Sec. 76.93.
    (e) Technical safety requirements in accordance with Sec. 76.87. A 
summary statement of the bases or reasons for the requirements, other 
than those covering administrative controls, must also be included in 
the application, but will not be considered part of the technical safety 
requirements.
    (f) An emergency plan that meets the requirements of Sec. 76.91.
    (g) A compliance status report that includes the status of various 
State, local and Federal permits, licenses, approvals, and other 
entitlements, as described in Sec. 51.45(d) of this chapter. The report 
must include environmental and effluent monitoring data.
    (h) A fundamental nuclear material control plan which describes the 
measures used to control and account for special nuclear material that 
the Corporation uses, possesses, or has access to. The plan must 
describe, as appropriate:

[[Page 514]]

    (1) How formula quantities of strategic special nuclear material 
will be controlled and accounted for in accordance with the relevant 
requirements of subpart E;
    (2) How special nuclear material of moderate strategic significance 
will be controlled and accounted for in accordance with the relevant 
requirements of subpart E; and
    (3) How special nuclear material of low strategic significance will 
be controlled and accounted for in accordance with the relevant 
requirements of subpart E.
    (i) A transportation protection plan which describes the measures 
used to protect shipments of special nuclear material of low strategic 
significance in accordance with the relevant requirements of subpart E 
when in transit offsite.
    (j) A physical protection plan which describes the measures used to 
protect special nuclear material that the Corporation uses, possesses, 
or has access to at fixed sites. The plan must describe, as appropriate:
    (1) How formula quantities of special nuclear material will be 
protected against both theft and radiological sabotage in accordance 
with the relevant requirements of subpart E;
    (2) How special nuclear material of moderate strategic significance 
will be protected in accordance with the relevant requirements of 
subpart E;
    (3) How special nuclear material of low strategic significance will 
be protected in accordance with the relevant requirements of subpart E; 
and
    (4) The measures used to protect special nuclear material while in 
transit between protected areas, all of which are located on a single 
fixed site under the control of the applicant. The level of protection 
afforded the material while in transit may not be less than that 
afforded the same material while it was within the protected area from 
which transit began.
    (k) A plan describing the facility's proposed security procedures 
and controls as set forth in Sec. 95.15(b) of this chapter for 
protection of classified matter.
    (l) In response to a written request by the Commission, the 
Corporation shall file with the Commission the installation information 
described in Sec. 75.11 of this chapter on Form N-71. The Corporation 
shall also permit verification of this installation information by the 
International Atomic Energy Agency and take any other action necessary 
to implement the US/IAEA Safeguards Agreement, as set forth in part 75 
of this chapter.
    (m) A description of the program, as appropriate, for processing, 
management, and disposal of mixed and radioactive wastes and depleted 
uranium generated by operations. This description must be limited to 
processing, management, and disposal activities conducted during 
operation of the facilities while under lease to the Corporation. The 
application must also include a description of the waste streams 
generated by enrichment operations, annual volumes of depleted uranium 
and waste expected, identification of radioisotopes contained in the 
waste, physical and chemical forms of the depleted uranium and waste, 
plans for managing the depleted uranium and waste, and plans for 
ultimate disposition of the waste and depleted uranium before turnover 
of the facilities to the Department of Energy under the terms of the 
lease agreement between the United States Enrichment Corporation and the 
Department.
    (n) A description of the funding program to be established to ensure 
that funds will be set aside and available for those aspects of the 
ultimate disposal of waste and depleted uranium, decontamination and 
decommissioning, relating to the gaseous diffusion plants leased to the 
Corporation by the Department of Energy, which are the financial 
responsibility of the Corporation. The Corporation shall establish 
financial surety arrangements to ensure that sufficient funds will be 
available for the ultimate disposal of waste and depleted uranium, and 
decontamination and decommissioning activities which are the financial 
responsibility of the Corporation. The funding mechanism, such as 
prepayment, surety, insurance, or external sinking fund, must ensure 
availability of funds for any activities which are required to be 
completed both before or after the

[[Page 515]]

return of the gaseous diffusion facilities to the department of Energy 
in accordance with the lease between the Department and the Corporation. 
The funding program must contain a basis for cost estimates used to 
establish funding levels and must contain means of adjusting cost 
estimates and associated funding levels over the duration of the lease. 
The funding program need not address funding for those aspects of 
decontamination and decommissioning of the gaseous diffusion plants 
assigned to the Department of Energy under the Atomic Energy Act of 
1954, as amended. The Corporation should address the adequacy of the 
financing mechanism selected in its periodic application for 
certification.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997; 
64 FR 44649, Aug. 17, 1999]



Sec. 76.36  Renewals.

    (a) The Corporation shall file periodic applications for renewal, as 
required by Sec. 76.31.
    (b) Information contained in previous applications, statements, or 
reports filed with the Commission may be referenced as part of the 
application, provided that the reference is clear and specific.
    (c) An application for renewal is subject to the requirements in 
Sec. 76.33 and must contain the following information:
    (1) The information specified in Sec. 76.35; or,
    (2) A statement by the Corporation that the NRC may rely upon the 
information provided in the previous application(s) upon which the 
existing certificate is based, except for:
    (i) Any proposed changes in the existing certificate of compliance 
conditions or technical safety requirements;
    (ii) Any proposed changes to the documents submitted with the 
previous application in accordance with Sec. 76.35;
    (iii) Any changes which the Corporation has made without prior NRC 
approval pursuant to Sec. 76.68; and,
    (iv) Any changes to certificate conditions or technical safety 
requirements for which the Corporation has sought and received 
Commission approval pursuant to Sec. 76.45.
    (d) The changes which are submitted as part of an application for 
renewal in accordance with paragraph (c)(2) of this section, must be in 
the form of specific changes to the documentation specified in 
Sec. 76.35. The changes must be marked and dated for easy 
identification.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997; 
64 FR 44649, Aug. 17, 1999]



Sec. 76.37  Federal Register notice.

    The Director may, at his or her discretion, publish in the Federal 
Register:
    (a) A notice of the filing of an application specifying that copies 
of the application, except for Restricted Data, Unclassified Controlled 
Nuclear Information, Classified National Security Information, 
Safeguards Information, Proprietary Data, or other withholdable 
information will be made available for the public inspection at the NRC 
Web site, http://www.nrc.gov;
    (b) A notice of opportunity for written public comment on the 
application for renewal; and
    (c) The date of any scheduled public meeting regarding the 
application for renewal.

[64 FR 44649, Aug. 17, 1999, as amended at 64 FR 48955, Sept. 9, 1999]



Sec. 76.39  Public meeting.

    (a) A public meeting will be held on an application for renewal if 
the Director, in his or her discretion, determines that a meeting is in 
the public interest with respect to a decision on the application for 
renewal.
    (b) Conduct of public meeting.
    (1) The Director shall conduct any public meeting held on the 
application for renewal.
    (2) Public meetings will take place near the locale of the subject 
plant, unless otherwise specified by the Director.
    (3) A public meeting will be open to all interested members of the 
public and be conducted as deemed appropriate by the Director.
    (4) Members of the public will be given an opportunity during a 
public meeting to make their views regarding the application for renewal 
known to the Director.

[[Page 516]]

    (5) A transcript will be kept of each public meeting.
    (6) No Restricted Data, Classified National Security Information, 
Unclassified Controlled Nuclear Information, Safeguards Information, 
Proprietary Data, or other withholdable information may be introduced at 
the meeting.

[59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44649, Aug. 17, 1999]



Sec. 76.41  Record underlying decisions.

    (a) Any decision of the Commission or its designee under this part 
in any proceeding regarding an application for a certificate must be 
based on information in the record and facts officially noticed in the 
proceeding.
    (b) All public comments and correspondence in any proceeding 
regarding an application for a certificate must be made a part of the 
public docket of the proceeding, except as provided under 10 CFR 2.790.



Sec. 76.43  Date for decision.

    The Director will render a decision on an application within 6 
months of the receipt of the application unless the Director alters the 
date for decisions and publishes notice of the new date in the Federal 
Register.

[62 FR 6670, Feb. 12, 1997]



Sec. 76.45  Application for amendment of certificate.

    (a) Contents of an amendment application. In addition to the 
application for certification submitted under Sec. 76.31, the 
Corporation may at any time apply for an amendment of the certificate to 
cover proposed new or modified activities. The amendment application 
should contain sufficient information for the NRC to make findings of 
compliance or acceptability for the proposed activities in the same 
manner as was required for the original certificate.
    (b) Oath or affirmation. An application for an amendment of the 
certificate of compliance must be executed in a signed original by the 
Corporation under oath or affirmation.
    (c) Amendment application determinations. If the NRC staff approves 
an application for a certificate amendment, it will be effective on a 
date specified by the NRC staff. If an application for a certificate 
amendment is not approved by the NRC staff, the Corporation will be 
informed in writing. The NRC staff may, at its discretion, publish 
notice of its determination on an amendment application in the Federal 
Register.
    (d) Request for review of staff's determination on an amendment 
application. The Corporation, or any person whose interest may be 
affected, may file a petition requesting the Director's review of an NRC 
staff determination on an amendment application. A petition requesting 
the Director's review may not exceed 30 pages and must be filed within 
30 days after the date of the NRC staff's determination. Any person 
described in this paragraph may file a written response to a petition 
requesting the Director's review. This response may not exceed 30 pages 
and must be filed within 15 days after the filing date of the petition 
requesting the Director's review. The Director may adopt, modify, or set 
aside the findings, conclusions, conditions, or terms in the NRC staff's 
amendment determination by providing a written basis for the action. If 
the Director does not issue a decision or take other appropriate action 
within 60 days after receiving the petition for review, the NRC staff's 
determination on the amendment application remains in effect.
    (e) Request for review of a Director's decision. The Corporation, or 
any person whose interest may be affected and who filed a petition for 
review or filed a response to a petition for review under Sec. 76.45(d), 
may file a petition requesting the Commission's review of a Director's 
decision on an amendment application.
    (1) A petition requesting the Commission's review may not exceed 30 
pages and must be filed within 30 days after the date of the Director's 
decision. A petition requesting the Commission's review may be either:
    (i) Delivered to the Rulemakings and Adjudications Staff of the 
Office of the Secretary at One White Flint North, 11555 Rockville Pike, 
Rockville, MD 20852; or
    (ii) Sent by mail or telegram to the Secretary, U.S. Nuclear 
Regulatory

[[Page 517]]

Commission, Washington, DC 20555-0001, Attention: Rulemakings and 
Adjudications Staff.
    (2) Any person described in paragraph (e) of this section may file a 
written response to a petition requesting the Commission's review. This 
response may not exceed 30 pages and must be filed within 15 days after 
the filing date of the petition requesting the Commission's review.
    (3) The Commission may adopt, by order, further procedures that, in 
its judgment, would serve the purpose of review of the Director's 
decision. The Commission may adopt, modify, or set aside the findings, 
conclusions, conditions, or terms in the Director's amendment review 
decision and will state the basis of its action in writing. If the 
Commission does not issue a decision or take other appropriate action 
within 90 days after receiving the petition for review, the Director's 
decision, under Sec. 76.45(d), on the amendment application remains in 
effect.

[64 FR 44649, Aug. 17, 1999]



                        Subpart C--Certification



Sec. 76.51  Conditions of certification.

    The Corporation shall comply with the certificate of compliance, any 
approved compliance plan, and the requirements set forth and referenced 
in this part, except as may be modified by the certificate or approved 
compliance plan.



Sec. 76.53  Consultation with Environmental Protection Agency.

    In reviewing an application for a certificate, including the 
provisions of any compliance plan, the Director shall consult with the 
Environmental Protection Agency and solicit the Environmental Protection 
Agency's written comments on the application.



Sec. 76.55  Timely renewal.

    In any case in which the Corporation has timely filed a sufficient 
application for a certificate of compliance, the existing certificate of 
compliance or approved compliance plan does not expire until the 
application for a certificate of compliance has been finally determined 
by the NRC. For purposes of this rule, a sufficient application is one 
that addresses all elements of Sec. 76.36.

[62 FR 6670, Feb. 12, 1997]



Sec. 76.60  Regulatory requirements which apply.

    The Nuclear Regulatory Commission will use the following 
requirements for certification of the Corporation for operation of the 
gaseous diffusion plants:
    (a) The Corporation shall provide for adequate protection of the 
public health and safety and common defense and security.
    (b) The Corporation shall comply with the provisions of this part.
    (c) The Corporation shall comply with the applicable provisions of 
10 CFR part 19, ``Notices, Instructions and Reports To Workers: 
Inspection and Investigations,'' with the following modifications:
    (1) [Reserved]
    (2) The Corporation shall post NRC Form 3 during the term of the 
certificate and for 30 days following certificate termination.
    (d) The Corporation shall comply with the applicable provisions of 
10 CFR part 20, ``Standards For Protection Against Radiation,'' with the 
following modifications:
    (1) [Reserved]
    (2) The Corporation shall comply with the requirements in this part 
or as specified in an approved plan for achieving compliance.
    (e) The Corporation shall comply with the applicable provisions of 
10 CFR part 21, ``Reporting of Defects and Noncompliance,'' with the 
following modifications:
    (1) The Corporation shall comply with the requirements in Secs. 21.6 
and 21.21.
    (2) Under Sec. 21.31, procurement documents issued by the 
Corporation must specify that the provisions of 10 CFR Part 21 apply.
    (f) The Corporation shall comply with the applicable provisions of 
10 CFR part 26, ``Fitness-for-Duty Programs.'' The requirements of this 
section apply 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

[[Page 518]]

the activities specified in Sec. 26.2(a) (1) through (5).
    (g) The Corporation shall comply with the applicable provisions of 
10 CFR part 71, ``Packaging and Transportation of Radioactive 
Material.''
    (h) The Corporation shall comply with the applicable provisions for 
physical security and material control and accounting as specified in 
subpart E to this part and contained in 10 CFR part 70, ``Domestic 
Licensing of Special Nuclear Material,'' part 73, ``Physical Protection 
of Plants and Materials,'' and part 74, ``Material Control and 
Accounting of Special Nuclear Material.'' The requirements in these 
parts address safeguards for three different kinds of nuclear material: 
Special nuclear material of low strategic significance (Category III), 
special nuclear material of moderate strategic significance (Category 
II), and formula quantities of strategic special nuclear material 
(Category I). The requirements for Category III material apply to the 
production of low enriched uranium. The requirements for Category II and 
Category I material apply only if the Corporation elects to engage in 
activities that involve these kinds of material and then only to the 
situations and locations that involve these kinds of material.
    (i) The Corporation shall comply with the applicable provisions of 
10 CFR part 95, ``Security Facility Approval and Safeguarding of 
National Security Information and Restricted Data,'' as specified in 
subpart E to this part.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997; 
64 FR 44650, Aug. 17, 1999]



Sec. 76.62  Issuance of certificate and/or approval of compliance plan.

    (a) Upon a finding of compliance with the Commission's regulations 
for issuance of a certificate and/or approval of a compliance plan, the 
Director shall issue a written decision explaining the decision. The 
Director may issue a certificate of compliance covering those areas 
where the Corporation is in compliance with applicable Commission 
requirements and approve a compliance plan for the remaining areas, if 
any, of noncompliance. The Director may impose any appropriate terms and 
conditions.
    (b) The Director shall publish notice of the decision in the Federal 
Register.
    (c) The Corporation, or any person whose interest may be affected, 
may file a petition, not to exceed 30 pages, requesting review of the 
Director's decision. This petition must be filed with the Commission not 
later than 30 days after publication of the Federal Register notice. Any 
person described in this paragraph may file a response to any petition 
for review, not to exceed 30 pages, within 15 days after the filing of 
the petition. If the Commission does not issue a decision or take other 
appropriate action within 90 days after the publication of the Federal 
Register notice, the Director's decision remains in effect. The 
Commission may adopt, by order, further procedures that, in its 
judgment, would serve the purpose of review of the Director's decision.
    (d) The Commission may adopt, modify, or set aside the findings, 
conclusions, conditions, or terms in the Director's decision and will 
state the basis of its action in writing.

[59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44650, Aug. 17, 1999]



Sec. 76.64  Denial of certificate or compliance plan.

    (a) The Director may deny an application for a certificate of 
compliance or not approve a compliance plan upon a written finding that 
the application is in noncompliance with one or more of the Commission's 
requirements for the plant, or that the compliance plan is inadequate to 
protect the public health and safety or the common defense and security.
    (b) The Director shall publish notice of the decision in the Federal 
Register.
    (c) Before a denial of an application for a certificate of 
compliance, the Director shall advise the Corporation and the Department 
in writing of any areas of noncompliance with the Commission's 
regulations and offer the Department or the Corporation an opportunity 
to submit a proposed compliance plan prepared by the Department

[[Page 519]]

regarding the identified areas of noncompliance. The Director shall take 
this action even if the Department or the Corporation has previously 
submitted a proposed compliance plan addressing in whole or in part the 
identified areas of noncompliance.
    (d) The Corporation, or any person whose interest may be affected, 
may file a petition for review, not to exceed 30 pages, requesting 
review of the Director's decision. This petition for review must be 
filed with the Commission not later than 30 days after publication of 
the Federal Register notice. Any person described in this paragraph may 
file a response to any petition for review, not to exceed 30 pages, 
within 15 days after the filing of the petition for review. If the 
Commission does not issue a decision or take other appropriate action 
within 90 days after the publication of the Federal Register notice, the 
Director's decision remains in effect. The Commission may adopt, by 
order, further procedures that, in its judgment, would serve the purpose 
of review of the Director's decision.
    (e) The Commission may adopt, modify, or set aside the findings, 
conclusions, conditions, or terms in the Director's decision and will 
state the basis of its action in writing.

[59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44650, Aug. 17, 1999]



Sec. 76.65  Inalienability of certificates.

    The certificate granted under the regulations in this part may not 
be transferred, assigned, or in any manner disposed of, either 
voluntarily or involuntarily, directly or indirectly, through transfer 
of control of any certificate to any person unless the Commission, after 
securing full information, finds that the transfer is in accordance with 
the provisions of the Act, and consents in writing.



Sec. 76.66  Expiration and termination of certificates.

    (a) Except as provided in Sec. 76.55, each certificate or approval 
issued pursuant to this part expires at the end of the day, in the month 
and year stated in the certificate or approval.
    (b) The Corporation shall notify the Commission promptly, in writing 
under Sec. 76.5, when the Corporation decides to terminate operation at 
either of the gaseous diffusion plants and other activities authorized 
under the certificate.
    (c) If the Corporation does not submit a renewal application under 
Sec. 76.36, the Corporation shall, on or before the expiration date 
specified in the existing certificate, terminate operation of the 
gaseous diffusion plants.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997]



Sec. 76.68  Plant changes.

    (a) The Corporation may make changes to the plant or to the plant's 
operations as described in the safety analysis report without prior 
Commission approval provided all the provisions of this section are met:
    (1) The Corporation shall conduct a written safety analysis which 
demonstrates that the changes would not result in undue risk to public 
health and safety, the common defense and security, or to the 
environment.
    (2) The changes must be authorized by responsible management and 
approved by a safety review committee.
    (3) The changes may not decrease effectiveness of the plant's 
safety, safeguards, and security programs.
    (4) The changes may not involve a change in any condition to the 
certificate of compliance.
    (5) The changes may not involve a change to any condition to the 
approved compliance plan.
    (6) The changes may not involve an unreviewed safety question.
    (b) To ensure that the approved application remains current with 
respect to the actual site description and that the plant's programs, 
plans, policies, and operations are in place, the Corporation shall 
submit revised pages to the approved application and safety analysis 
report, marked and dated to indicate each change. The Corporation shall 
evaluate any as-found conditions that do not agree with the plant's 
programs, plans, policies, and operations in accordance with paragraph 
(a) of this section. These revisions must be submitted before April 15 
of each calendar year, or at a shorter interval as may be specified in 
the certificate. If a renewal application for a certificate is

[[Page 520]]

filed in accordance with Sec. 76.36 of this part, the revisions shall be 
incorporated into the application.
    (c) The Corporation shall maintain records of changes in the plant 
and of changes in the programs, plans, policies, procedures and 
operations described in the approved application, and copies of the 
safety analyses on which the changes were based. The records of plant 
changes must be retained until the end of the duration of the lease. The 
records of changes in programs, plans, policies, procedures, and 
operations and copies of the safety analysis on which the changes were 
based must be retained for a period of 2 years.
    (d) The Corporation may at any time apply under Sec. 76.45 for 
amendment of the certificate to cover proposed new or modified 
activities not permitted by paragraph (a) of this section.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997]



Sec. 76.70  Post issuance.

    (a) Amendment of certificate terms and conditions. The terms and 
conditions of a certificate of compliance or an approved compliance plan 
are subject to modification by reason of amendments to the Act, or by 
reason of rules, regulations, or orders issued in accordance with the 
Act.
    (b) Revocation, suspension, or amendments for cause. A certificate 
of compliance or a compliance plan may be revoked, suspended, or 
amended, in whole or in part for:
    (1) Any material false statement in the application or statement of 
fact required by the Commission in connection with the application;
    (2) Conditions revealed by the application, or any report, record, 
inspection, or other means which would warrant the Commission to refuse 
to grant a certificate or approve a compliance plan on an original 
application; and
    (3) Violation of, or failure to observe any of, the applicable terms 
and conditions of the Act, or the certificate of compliance, the 
compliance plan, or any rule, regulation, or order of the Commission.
    (c) Procedures governing amendment, revocation, suspension, or 
imposing requirements by order.
    (1) Except in cases of willfulness or those in which the public 
health interest, common defense and security, or safety requires 
otherwise, no certificate of compliance or compliance plan may be 
amended, suspended, or revoked unless before the institution of 
proceedings therefore, facts or conduct which may warrant the action 
must have been called to the attention of the Corporation in writing and 
the Corporation shall have been accorded an opportunity to demonstrate 
or achieve compliance with the lawful requirements related to such 
action.
    (2) The Commission may institute a proceeding to modify, suspend, or 
revoke a certificate or take such other action as may be proper by 
serving on the Corporation or other person subject to the jurisdiction 
of the Commission an order that will:
    (i) Allege the violations with which the Corporation 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;
    (ii) Provide that the Corporation or other person who is charged 
must, and other interested persons may, submit a written response to the 
order within a reasonable period after publication of the order as may 
be specified in the order;
    (iii) Specify the issues for resolution should the order be 
contested;
    (iv) State the effective date of the order; if the Commission finds 
the public health, common defense and security, or safety, so require or 
that the violation or conduct causing the violation is willful, the 
order may provide that the proposed action be immediately effective 
pending further order and include a statement of reasons for making the 
proposed action immediately effective;
    (v) Provide that the Commission may make a final decision after 
consideration of the written submissions or may in its discretion adopt 
by order, upon the Commission's own initiative or at the request of the 
Corporation or an interested person, further procedures for a hearing of 
the issues before making a final enforcement decision.

[[Page 521]]

These procedures may include requirements for further participation in 
the proceeding, such as the requirements for intervention under part 2, 
subparts G or L of this chapter. Submission of written comments by 
interested persons do not constitute entitlement to further 
participation in the proceeding. Further procedures will not normally be 
provided for at the request of an interested person unless the person is 
adversely affected by the order.
    (3) The Corporation or other person to whom the Commission has 
issued an immediately effective order may, in addition to submitting a 
written response, move the Commission 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.
    (d) Notice of violation. (1) In response to an alleged violation of 
any provision of the Act or NRC regulations or the conditions of a 
certificate, compliance plan, or an order issued by the Commission, the 
Commission may serve on the Corporation or other person subject to the 
jurisdiction of the Commission a written notice of violation. A separate 
notice may be omitted if an order or demand for information pursuant to 
this section is issued that otherwise identifies the apparent violation. 
The notice of violation will concisely state the alleged violation and 
will require the Corporation or other person subject to it, within 
twenty (20) days of the date of the notice or other specified time, to 
submit a written explanation or statement in reply including:
    (i) Corrective steps which have been taken by the Corporation or 
other person and the results achieved;
    (ii) Corrective steps which will be taken; and
    (iii) The date when full compliance will be achieved.
    (2) The notice may require the Corporation 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 certificate should not be modified, suspended, 
or revoked or why such other action as may be proper should not be 
taken.
    (e) Additional information. At any time after the granting of a 
certificate of compliance or approval of a compliance plan, the 
Commission may require further statements from the Corporation, signed 
under oath or affirmation, in order to enable the Commission to 
determine whether the certificate or approved compliance plan should be 
modified or revoked.



Sec. 76.72  Miscellaneous procedural matters.

    (a) The filing of any petitions for review or any responses thereto 
are governed by the procedural requirements set forth in 10 CFR 2.701 
(a) and (c), 2.708, 2.709, 2.710, 2.711, and 2.712. Additional guidance 
regarding the filing and service of petitions for review of the 
Director's decision and responses to these petitions may be provided in 
the Director's decision or by order of the Commission.
    (b) The Secretary of the Commission has the authority to rule on 
procedural matters set forth in 10 CFR 2.772.
    (c) There are no restrictions on ex parte communications or on the 
ability of the NRC staff and the Commission to communicate with one 
another at any stage of the regulatory process, with the exception that 
the rules on ex parte communications and separation of functions set 
forth in 10 CFR 2.780 and 2.781 apply to proceedings under 10 CFR part 
2, subpart G, for imposition of a civil penalty.
    (d) The procedures set forth in 10 CFR 2.205, and in 10 CFR part 2, 
subpart G, will be applied in connection with NRC action to impose a 
civil penalty pursuant to Section 234 of the Atomic Energy Act of 1954, 
as amended, or Section 206 of the Energy Reorganization Act of 1974 and 
the implementing regulations in 10 CFR part 21

[[Page 522]]

(Reporting of Defects and Noncompliance), as authorized by Section 
1312(e) of the Atomic Energy Act of 1954,as amended.
    (e) The procedures set forth in 10 CFR 2.206 apply to a request by 
any person to institute a proceeding pursuant to Sec. 76.70 to amend, 
revoke, or suspend a certificate of compliance or approved compliance 
plan, or for such other action as may be proper.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6670, Feb. 12, 1997]



Sec. 76.74  Computation and extension of time.

    (a) 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.
    (b) 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.



Sec. 76.76  Backfitting.

    (a)(1) Backfitting is defined as the modification of, or addition 
to, systems, structures, or components of a plant; or to the procedures 
or organization required to operate a plant; 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 previous NRC staff 
position.
    (2) Except as provided in paragraph (a)(4) of this section, the 
Commission shall require a systematic and documented analysis pursuant 
to paragraph (b) 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 plant only when it 
determines, based on the analysis described in paragraph (b) 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 plant 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 
appropriately documented evaluation for its finding, any of the 
following:
    (i) That a modification is necessary to bring a plant into 
compliance with a certificate or the rules or orders of the Commission, 
or into conformance with written commitments by the Corporation; or
    (ii) That regulatory action is necessary to ensure that the plant 
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 plant 
if it determines that the regulatory action is necessary to ensure that 
the plant 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 must include a statement of the objectives of and reasons for 
the modification and the basis for invoking the exception. If immediate 
effective regulatory action is required, then the documented evaluation 
may follow, rather than precede, the regulatory action.
    (7) If there are two or more ways to achieve compliance with a 
certificate or the rules or orders of the Commission, or with written 
Corporation commitments, or there are two or more ways to reach a level 
of protection which is adequate, then ordinarily the Corporation is free 
to choose the way

[[Page 523]]

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) 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 plant 
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 Corporation in order to complete the backfit;
    (3) Potential change in the risk to the public from the accidental 
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 plant downtime;
    (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 plant type, design, or 
age on the relevancy and practicality of the proposed backfit; and
    (9) Whether the proposed backfit is interim or final and, if 
interim, the justification for imposing the proposed backfit on an 
interim basis.
    (c) No certificate will be withheld during the pendency of backfit 
analyses required by the Commission's rules.
    (d) 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 or her designee.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6671, Fed. 12, 1997]



                            Subpart D--Safety



Sec. 76.81  Authorized use of radioactive material.

    Unless otherwise authorized by law, the Corporation shall confine 
its possession and use of radioactive material to the locations and 
purposes covered by the certificate and/or approved compliance plan. 
Except as otherwise provided, the certificate or approved compliance 
plan issued pursuant to the requirements in this part entitles the 
Corporation to receive title to, own, acquire, receive, possess, and use 
radioactive material in accordance with the certificate.



Sec. 76.83  Transfer of radioactive material.

    (a) The Corporation may not transfer radioactive material except as 
authorized pursuant to this section.
    (b) Except as otherwise provided and subject to the provisions of 
paragraphs (c) and (d) of this section, the Corporation may transfer 
radioactive material:
    (1) From one component of the Corporation to another;
    (2) To the Department;
    (3) To the agency in any Agreement State which regulates radioactive 
materials pursuant to an agreement with the Commission under Section 274 
of the Act, if the quantity transferred is not sufficient to form a 
critical mass;
    (4) To any person exempt from the licensing requirements of the Act 
and requirements in this part, to the extent permitted under the 
exemption;
    (5) 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 the exemption;
    (6) To any person authorized to receive the radioactive material 
under terms of a specific license or a general license or their 
equivalents issued by the Commission or an Agreement State;

[[Page 524]]

    (7) To any person abroad pursuant to an export license issued under 
part 110 of this chapter; or
    (8) As otherwise authorized by the Commission in writing.
    (c) Before transferring radioactive material to any party specified 
in paragraph (b) of this section, the Corporation shall verify that the 
transferee is authorized to receive the type, form, and quantity of 
radioactive material to be transferred.
    (d) The following methods for the verification required by paragraph 
(c) of this section are acceptable:
    (1) The Corporation may have in its possession and read a current 
copy of the transferee's specific license or confirmation of 
registration. The Corporation shall retain a copy of each license or 
confirmation for 3 years from the date that it was obtained.
    (2) The Corporation may have in its possession a written 
confirmation by the transferee that the transferee is authorized by 
license or registration confirmation to receive the type, form, and 
quantity of special nuclear material to be transferred, specifying the 
license or registration confirmation number, issuing agency, and 
expiration date. The Corporation shall retain the written confirmation 
as a record for 3 years from the date of receipt of the confirmation;
    (3) For emergency shipments, the Corporation may accept a 
certification by the transferee that he or she is authorized by license 
or registration certification to receive the type, form, and quantity of 
special nuclear material to be transferred, specifying the license or 
registration number, issuing agency, and expiration date, provided that 
the oral confirmation is confirmed in writing within 10 days. The 
Corporation shall retain the written confirmation of the oral 
certification for 3 years from the date of receipt of the confirmation;
    (4) The Corporation may obtain other sources of information compiled 
by a reporting service from official records of the Commission or the 
licensing agency of an Agreement State as to the identity of licensees 
and the scope and expiration dates of licenses and registrations. The 
Corporation shall retain the compilation of information as a record for 
3 years from the date that it was obtained; or
    (5) When none of the methods of verification described in paragraphs 
(d) (1) to (4) of this section are readily available or when the 
Corporation desires to verify that information received by one of these 
methods is correct or up to date, the Corporation may obtain and record 
confirmation from the Commission or the licensing agency of an Agreement 
State that the transferee is licensed to receive the special nuclear 
material. The Corporation shall retain the record of confirmation for 3 
years from the date the record is made.



Sec. 76.85  Assessment of accidents.

    The Corporation shall perform an analysis of potential accidents and 
consequences to establish the basis for limiting conditions for 
operation of the plant with respect to the potential for releases of 
radioactive material. Special attention must be directed to assurance 
that plant operation will be conducted in a manner to prevent or to 
mitigate the consequences from a reasonable spectrum of postulated 
accidents which include internal and external events and natural 
phenomena in order to ensure adequate protection of the public health 
and safety. Plant operating history relevant to the assessment should be 
included. In performing this assessment, the full range of operations 
should be considered including, but not necessarily limited to, 
operation at the maximum capacity contemplated. The assessment must be 
performed using an expected release rate resulting from anticipated 
operational occurrences and accidents with existing systems and 
procedures intended to mitigate the release consequences, along with 
site characteristics, including meteorology, to evaluate the offsite 
radiological consequences.



Sec. 76.87  Technical safety requirements.

    (a) The Corporation shall establish technical safety requirements. 
In establishing the requirements, the Corporation shall consider the 
analyses and results of the safety analysis report submitted pursuant to 
Sec. 76.35.

[[Page 525]]

    (b) The format for the technical safety requirements must be 
appropriate for each individual requirement.
    (c) Appropriate references to established procedures and/or 
equipment to address each of the following safety topics must be 
included in technical safety requirements:
    (1) Effects of natural phenomena;
    (2) Building and process ventilation and offgas;
    (3) Criticality prevention;
    (4) Fire prevention;
    (5) Radiation protection;
    (6) Radioactive waste management;
    (7) Maintenance;
    (8) Environmental protection;
    (9) Packaging and transporting nuclear materials;
    (10) Accident analysis;
    (11) Chemical safety;
    (12) Sharing of facilities, structures, systems and components;
    (13) Utilities essential to radiological safety; and
    (14) Operations.
    (d) Technical safety requirements must include items in the 
following categories:
    (1) Safety limits.
    (i) If any safety limit is exceeded, corrective action must be taken 
as stated in the response procedures associated with the technical 
safety requirements or the affected part of the process must be shut 
down unless this action would increase the risk to the health and safety 
of the public or plant personnel.
    (ii) If any safety limit is exceeded, the Corporation shall notify 
the Commission if required by Sec. 76.120, 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.
    (iii) The Corporation shall retain the record of the results of each 
review until the Commission no longer has certification authority.
    (2) Limiting control settings.
    (i) 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, 
appropriate action must be taken 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.
    (ii) If, during operation, an automatic alarm or protective device 
does not function as required, the Corporation shall notify the 
Commission if required by 76.120, 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.
    (iii) The Corporation shall retain the record of the results of each 
review until the Commission no longer has certification authority.
    (3) Limiting conditions for operation. When a limiting condition for 
operation of any process step in the system is not met, the Corporation 
shall shut down that part of the operation or follow any remedial action 
permitted by the technical safety requirements until the condition can 
be met.
    (i) If a limiting condition for operation of any process step in the 
system is not met, the Corporation shall notify the Commission if 
required by Sec. 76.120, 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.
    (ii) The Corporation shall retain the record of the results of each 
review until the Commission no longer has certification authority.
    (4) Design features. Design features to be included are those 
systems, components, or structures of the plant which, if altered or 
modified, would have a significant effect on safety and are not covered 
in categories described in paragraphs (d) (1), (2), and (3) of this 
section.
    (5) Surveillance requirement.
    (6) Administrative controls.



Sec. 76.89  Criticality accident requirements.

    (a) The Corporation must maintain and operate a criticality 
monitoring and audible alarm system meeting the requirements of 
paragraph (b) of this section in all areas of the facility. The

[[Page 526]]

Corporation may describe for the approval of the Commission defined 
areas to be excluded from the monitoring requirement. This submittal 
must describe the measures that will be used to ensure against 
criticality, including kinds and quantities of material that will be 
permitted and measures that will be used to control those kinds and 
quantities of material.
    (b) The system must detect and annunciate a criticality that 
produces an absorbed dose in soft tissue of 20 rads of combined neutron 
and gamma radiation at an unshielded distance of 2 meters from the 
reacting material within 1 minute. Coverage of all monitored areas must 
be provided by two detectors.



Sec. 76.91  Emergency planning.

    The Corporation shall establish, maintain, and be prepared to follow 
a written emergency plan. The emergency plan submitted under 
Sec. 76.35(f) must include the following information:
    (a) Plant description. A brief description of the plant and area 
near the plant site.
    (b) Types of accidents. An identification of each type of 
radioactive materials accident for which protective actions may be 
needed.
    (c) Classification of accidents. A system for classifying accidents 
as alerts or site area emergencies.
    (d) Detection of accidents. Identification of the means of detecting 
each type of accident in a timely manner.
    (e) 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.
    (f) Assessment of releases. A brief description of the methods and 
equipment to assess releases of radioactive materials.
    (g) Responsibilities. A brief description of the responsibilities of 
all individuals supporting emergency response should an accident occur, 
including identification of personnel responsible for promptly notifying 
offsite response organizations and the NRC, as well as a brief 
description of responsibilities for developing, maintaining, and 
updating the plan.
    (h) Notification and coordination. A commitment to and a brief 
description of the means to promptly notify offsite response 
organizations, including the request for offsite assistance and 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 plant, and some equipment does not prevent the notification 
and coordination. The Corporation shall also commit to notify the NRC 
Operations Center immediately after notification of the appropriate 
offsite response organizations and not later than 1 hour after the 
Corporation declares an emergency. These reporting requirements do not 
supersede or release the Corporation from complying with the 
requirements under the Emergency Planning and Community Right-to-Know 
Act of 1986, Title III, Public Law 99-499, or other State or Federal 
reporting requirements.
    (i) Information to be communicated. A brief description of the plant 
status, radioactive releases, and recommended protective actions, if 
necessary, to be provided to offsite response organizations and to the 
NRC.
    (j) Training. A brief description of the frequency, performance 
objectives, and plans for the training that the Corporation will provide 
workers on how to respond to an emergency including any special 
instructions, briefings, and orientation tours the Corporation would 
offer to fire, police, medical, and other emergency personnel. The 
training must familiarize personnel with site-specific emergency 
procedures. The training must also prepare site personnel for their 
responsibilities for the accident scenarios postulated as most probable 
for the specific site, including the use of team training for these 
accident scenarios.
    (k) Safe shutdown. A brief description of the means of restoring the 
plant to a safe condition after an accident.
    (l) Exercises. Provisions for conducting quarterly communications 
checks with offsite response organizations and biennial onsite exercises 
to

[[Page 527]]

test response to simulated emergencies. Quarterly communications checks 
with offsite response organizations must include the check and update of 
all necessary telephone numbers. The Corporation 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 
accident scenarios must not be made known to most exercise participants. 
The Corporation shall critique each exercise using individuals that do 
not have 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.
    (m) Hazardous chemicals. Confirmation that the Corporation has met 
its responsibilities under the Emergency Planning and Community Right-
to-Know Act of 1986, Title III, Public Law 99-499, if applicable to the 
Corporation's activities at the proposed place of use of the special 
nuclear material.
    (n) Comment from offsite response organizations. The Corporation 
shall allow the offsite response organizations that are expected to 
respond in case of an accident 60 days to comment on the emergency plan 
before submitting it to NRC. The Corporation shall provide any comments 
received within the 60 days to the NRC with the emergency plan.
    (o) Changes to emergency plan. The Corporation may make changes to 
the emergency plan without prior Commission approval if the changes do 
not decrease the effectiveness of the plan. The Corporation shall 
furnish these changes to the NRC in accordance with Sec. 76.5 and to 
affected offsite response organizations within 6 months after the change 
is made.

[59 FR 48960, Sept. 23, 1994, as amended at 64 FR 44650, Aug. 17, 1999]



Sec. 76.93  Quality assurance.

    The Corporation shall establish, maintain, and execute a quality 
assurance program satisfying each of the applicable requirements of ASME 
NQA-1-1989, ``Quality Assurance Program Requirements for Nuclear 
Facilities,'' or satisfying acceptable alternatives to the applicable 
requirements. The Corporation shall execute the criteria in a graded 
approach to an extent that is commensurate with the importance to 
safety.



Sec. 76.95  Training.

    A training program must be established, implemented, and maintained 
for individuals relied upon to operate, maintain, or modify the GDPs in 
a safe manner. The training program shall be based on a systems approach 
to training that includes the following:
    (a) Systematic analysis of the jobs to be performed.
    (b) Learning objectives derived from the analysis which describe 
desired performance after training.
    (c) Training design and implementation based on the learning 
objectives.
    (d) Evaluation of trainee mastery of the objectives during training.
    (e) Evaluation and revision of the training based on the performance 
of trained personnel in the job setting.



                   Subpart E--Safeguards and Security



Sec. 76.111  Physical security, material control and accounting, and protection of certain information.

    Nuclear Regulatory Commission regulations that will be used for 
certification of the Corporation\2\ for physical security and material 
control and accounting are contained in title 10 of the Code of Federal 
Regulations as described in this subpart. The regulations referenced in 
this subpart contain requirements for physical security and material 
control and accounting for formula quantities of strategic special 
nuclear material (Category I), special nuclear material of moderate 
strategic significance (Category II), and special

[[Page 528]]

nuclear material of low strategic significance (Category III), and for 
protection of Restricted Data, National Security Information, Safeguards 
Information, and information designated by the U.S. Department of Energy 
as Unclassified Controlled Nuclear Information.
---------------------------------------------------------------------------

    \2\ For the purpose of this subpart, the terms ``licensee'' or 
``license'' used in parts 70, 73, and 74 of this chapter, mean, 
respectively, the Corporation, or the certificate of compliance or 
approved compliance plan.

[62 FR 6671, Feb. 12, 1997]



Sec. 76.113  Formula quantities of strategic special nuclear material--Category I.

    (a) The requirements for material control and accounting for formula 
quantities of strategic special nuclear material (Category I) are 
contained in Secs. 70.51, 74.11, 74.13, 74.15, 74.17. 74.51, 74.53, 
74.55, 74.57, 74.59, 74.81, and 74.82.
    (b) The requirements for physical security for formula quantities of 
strategic special nuclear material (Category I) are contained in 
Secs. 70.22(h), 73.20, 73.40, 73.45, 73.46, 73.70, and 73.71.
    (c) The requirements for the protection of Safeguards Information 
pertaining to formula quantity of strategic special nuclear material 
(Category I) are contained in Sec. 73.21 of this chapter. Information 
designated by the U.S. Department of Energy as Unclassified Controlled 
Nuclear Information must be protected at a level equivalent to that 
accorded Safeguards Information.
    (d) The Corporation may neither transport Category I material 
offsite nor deliver Category I material to a carrier for transport 
offsite.

[59 FR 48960, Sept. 23, 1994, as amended at 62 FR 6671, Feb. 12, 1997]

    Effective Date Note: At 67 FR 78149, Dec. 23, 2002, Sec. 76.113 was 
amended by revising paragraph (a), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 76.113  Formula quantities of strategic special nuclear material--
          Category I.

    (a) The requirements for material control and accounting for formula 
quantities of strategic special nuclear material (Category I) are 
contained in Secs. 74.11, 74.13, 74.15, 74.17, 74.19, 74.51, 74.53, 
74.55, 74.57, 74.59, 74.81, and 74.82 of this chapter.

                                * * * * *



Sec. 76.115  Special nuclear material of moderate strategic significance--Category II.

    (a) The requirements for material control and accounting for special 
nuclear material of moderate strategic significance (Category II) are 
contained in Secs. 70.51, 70.52, 70.53, 70.54, 70.57, 70.58, 74.11. 
74.13, 74.15, 74.17, 74.81, and 74.82 of this chapter.
    (b) The requirements for physical security for special nuclear 
material of moderate strategic significance (Category II) are contained 
in Secs. 73.67, and 73.71 of this chapter.
    (c) The Corporation may neither transport Category II material 
offsite nor deliver Category II material to a carrier for transport 
offsite.

    Effective Date Note: At 67 FR 78149, Dec. 23, 2002, Sec. 76.115 was 
amended by revising paragraph (a), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

Sec. 76.115  Special nuclear material of moderate strategic 
          significance--Category II.

    (a) The requirements for material control and accounting for special 
nuclear material of moderate strategic significance (Category II) are 
contained in Secs. 74.11, 74.13, 74.15, 74.17, 74.19, 74.41, 74.43, 
74.45, 74.81, and 74.82 of this chapter.

                                * * * * *



Sec. 76.117  Special nuclear material of low strategic significance--Category III.

    (a) The requirements for material control and accounting for special 
nuclear material of low strategic significance (Category III) are 
contained in Secs. 70.51, 74.11, 74.13, 74.15, 74.17, 74.33, 74.81, and 
74.82 of this chapter. However, inventories of uranium outside of the 
enrichment processing equipment conducted at least every 370 days are 
deemed to satisfy the requirements of Sec. 70.51(d).
    (b) The requirements for physical security for special nuclear 
material of low strategic significance (Category III) are contained in 
Secs. 73.67, 73.71, and 73.74 of this chapter.

    Effective Date Note: At 67 FR 78149, Dec. 23, 2002, Sec. 76.117 was 
amended by revising paragraph (a), effective Mar. 24, 2003. For the 
convenience of the user, the revised text is set forth as follows:

[[Page 529]]

Sec. 76.117  Special nuclear material of low strategic significance--
          Category III.

    (a) The requirements for material control and accounting for special 
nuclear material of low strategic significance (Category III) are 
contained in Secs. 74.11, 74.13, 74.15, 74.17, 74.19, 74.33, 74.81, and 
74.82 of this chapter. However, inventories of uranium outside of the 
enrichment processing equipment conducted at least every 370 days are 
deemed to satisfy the requirements of Sec. 74.19(c).

                                * * * * *



Sec. 76.119  Security facility approval and safeguarding of National Security Information and Restricted Data.

    The requirements for security facility approval and for safeguarding 
of classified matter are contained in part 95 of this chapter. For the 
purpose of this subpart, the term ``licensee'' or ``license'' used in 
part 95 of this chapter means, respectively, the corporation, or the 
certificate of compliance or approved compliance plan.



                   Subpart F--Reports and Inspections



Sec. 76.120  Reporting requirements.

    (a) Immediate report. The Corporation shall notify the NRC 
Operations Center 3 within 1 hour after discovery of:
---------------------------------------------------------------------------

    \3\ The commercial telephone number for the NRC Operations Center is 
(301) 816-5100 or (301) 951-0550, FAX (301) 816-5151.
---------------------------------------------------------------------------

    (1) A criticality event;
    (2) Any loss, other than normal operating loss, of special nuclear 
material;
    (3) Any theft or unlawful diversion of special nuclear material 
which the Corporation is authorized to possess or any incident in which 
an attempt has been made or is believed to have been made to commit a 
theft or unlawful diversion of special nuclear material; or
    (4) An emergency condition that has been declared an alert or site 
area emergency.
    (b) Four-hour report. The Corporation shall notify the NRC 
Operations Center as soon as possible but not later than 4 hours after 
discovery of an event 4 that prevents immediate protective 
actions necessary to avoid releases or exposures to radiation or 
radioactive materials that could exceed regulatory limits.
---------------------------------------------------------------------------

    \4\ Events may include fires, explosions, radiological releases, 
etc.
---------------------------------------------------------------------------

    (c) Twenty-four hour report. The Corporation shall notify the NRC 
Operations Center within 24 hours after the discovery of any of the 
following events involving radioactive 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 to Secs. 20.1001 
through 20.2402 of 10 CFR part 20 for the material; and
    (iii) Causes access to the contaminated area to be restricted for 
any 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 a Technical Safety Requirement to 
prevent releases, prevent exposures to radiation and radioactive 
materials exceeding specified limits, mitigate the consequences of an 
accident, or restore this facility to a preestablished safe condition 
after an accident;
    (ii) The equipment is required by a Technical Safety Requirement to 
be available and operable and either should have been operating or 
should have operated on demand; 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 radioactive contamination on the 
individual's clothing or body.
    (4) A fire or explosion damaging any radioactive material or any 
device, container, or equipment containing radioactive material when:
    (i) The quantity of material involved is greater than five times the 
lowest annual limit on intake specified in appendix B to Secs. 20.1001 
through 20.2402 of 10 CFR part 20 for the material; and

[[Page 530]]

    (ii) The damage affects the integrity of the radioactive material or 
its container.
    (d) Preparation and submission of reports. Reports made by the 
Corporation in response to the requirements of this section must be made 
as follows:
    (1) Operations Center reports. The Corporation shall make reports 
required by paragraphs (a), (b), and (c) of this section by telephone to 
the NRC Operations Center. To the extent that the information is 
available at the time of notification, the information provided in these 
reports must include:
    (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 
material involved;
    (v) Any personnel radiation exposure data available; and
    (vi) A description of any actions taken in response to the event.
    (2) Written report. A report required by paragraph (a), (b) or (c) 
of this section must be followed by a written 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 
20555-0001, with a copy to the NRC Region III Office listed in appendix 
D of part 20 of this chapter and the Resident Inspector. The reports 
must include the following information:
    (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) A description of isotopes, quantities and chemical and 
physical form of the material involved;
    (iv) The date and time of the event;
    (v) The causes, including the direct cause, the contributing cause, 
and the root cause;
    (vi) Corrective actions taken or planned and the results of any 
evaluations or assessments;
    (vii) The extent of exposure of individuals to radiation or to 
radioactive materials without identification of individuals by name; and
    (viii) Lessons learned from the event.



Sec. 76.121  Inspections.

    (a) The Corporation shall afford to the Commission opportunity to 
inspect the premises and plants under the Corporation's control where 
radioactive material is used, produced, or stored.
    (b) The Corporation shall make available to the Commission for 
inspection records kept pertaining to receipt, possession, use, 
acquisition, import, export, or transfer of radioactive material.
    (c)(1) The Corporation shall provide rent-free office space for the 
exclusive use of Commission inspection personnel upon request by the 
Director, Office of Nuclear Material Safety and Safeguards, or the NRC 
Region III Administrator. Heat, air conditioning, light, electrical 
outlets, and janitorial services must be furnished by the Corporation. 
The office must be convenient to and have full access to the plant, and 
must provide the inspector both visual and acoustic privacy.
    (2) The space provided must be adequate to accommodate the NRC 
resident inspection staff, a part-time secretary, and transient NRC 
personnel. Space must be generally commensurate with other office 
facilities at the site. The office space that is provided must be 
subject to the approval of the Director, Office of Nuclear Material 
Safety and Safeguards, or the NRC Region III Office. All furniture, 
supplies, and communication equipment will be furnished by the 
Commission.
    (3) The Corporation shall afford any NRC resident inspector assigned 
to that site or other NRC inspectors identified by the Director, Office 
of Nuclear Material Safety and Safeguards, or the NRC Region III 
Administrator, as likely to inspect the plant, immediate, unfettered 
access equivalent to access provided regular plant employees, following 
proper identification and compliance with applicable access control

[[Page 531]]

measures for security, radiological protection, and personal safety.



Sec. 76.123  Tests.

    The Corporation shall perform, or permit the Commission to perform, 
any tests the Commission deems appropriate or necessary for 
administration of the requirements in this part. These tests include 
tests of:
    (a) Radioactive material;
    (b) Facilities where radioactive material is utilized, produced or 
stored;
    (c) Radiation detection and monitoring instruments; and
    (d) Other equipment and devices used in connection with the 
production, utilization, or storage of radioactive material.



                         Subpart G--Enforcement



Sec. 76.131  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;
    (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 of 
1954, as amended, or under Section 1312(e) of the Atomic Energy Act of 
1954, as amended, and Section 206 of the Energy Reorganization Act of 
1974, as amended, for violations of:
    (1) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, 109, or 
1701 of the Atomic Energy Act of 1954, as amended;
    (2) Section 206 of the Energy Reorganization Act;
    (3) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1) of this section;
    (4) Any term, condition, or limitation of any certificate of 
compliance or approved compliance plan issued under the sections 
specified in paragraph (b)(1) of this section.

[62 FR 6671, Feb. 12, 1997]



Sec. 76.133  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 
Section 161b or 161i of the Act. For purposes of Section 223, all the 
regulations in part 76 are issued under Section 161b or 161i except for 
the sections listed in paragraph (b) of this section.
    (b) The regulations in part 76 that are not issued under Section 
161b or 161i for the purposes of Section 223 are as follows: Secs. 76.1, 
76.2, 76.4, 76.5, 76.6, 76.23, 76.33, 76.35, 76.37, 76.39, 76.41, 76.43, 
76.45, 76.53, 76.55, 76.60, 76.62, 76.64, 76.70, 76.72, 76.131, and 
76.133.



PART 81--STANDARD SPECIFICATIONS FOR THE GRANTING OF PATENT LICENSES--Table of Contents




                           General Provisions

Sec.
81.1  Purpose.
81.2  Definitions.
81.3  Communications.
81.4  Interpretations.
81.8  Information collection requirements: OMB approval.

             NRC-Owned Inventions--Patents and Applications

81.10  Authority.
81.11  Policy.
81.13  Publication of NRC inventions available for licensing.
81.20  Nonexclusive licenses.
81.30  Limited exclusive licenses.
81.31  Selection of an exclusive licensee.
81.32  Terms of exclusive license grant.
81.35  Notices to public of exclusive licenses.
81.40  Contents of a license application.
81.50  Additional licenses.
81.51  Appeals.
81.52  Appeals Board.
81.53  Review by the Board.

    Authority: Sec. 156, 161, 68 Stat. 947, 948, as amended (42 U.S.C. 
2186, 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841).

    Source: 38 FR 7318, Mar. 20, 1973, unless otherwise noted.

                           General Provisions



Sec. 81.1  Purpose.

    The regulations of this part establish the standard specifications 
for the

[[Page 532]]

issuance of licenses to rights in inventions covered by patents or 
patent applications vested in the United States of America, as 
represented by or in the custody of the Commission and other patents in 
which the Commission has the right to accord or require the grant of 
licenses.

[40 FR 8793, Mar. 3, 1975]



Sec. 81.2  Definitions.

    As used in this part:
    (a) Act means the Atomic Energy Act of 1954 (68 Stat. 619), 
including any amendments thereto;
    (b) Commission means the Nuclear Regulatory Commission as 
established by the Act, or its duly authorized designee. The Assistant 
General Counsel for Patents is the designee of the Commission under this 
subpart;
    (c) NRC invention means an invention covered by a U.S. patent or 
patent application that is vested in the Government of the United 
States, as represented by or in the custody of the Commission, or in 
which the Government of the United States of America, as represented by 
the Commission, has the right to accord or require the grant of licenses 
where such invention is designated by the Commission as appropriate for 
the grant of a nonexclusive or exclusive license; and
    (d) To the point of practical application means to manufacture in 
the case of composition, machine or product, to practice in the case of 
a process, or to operate in the case of a machine, under such conditions 
as to establish that the invention is being worked and that its benefits 
are reasonably accessible to the public.
    (e) NRC foreign invention means an invention covered by a patent, or 
an application for a patent, issued by a government or authority of a 
country other than the United States that is vested in the Government of 
the United States, as represented by the Commission.

[38 FR 7318, Mar. 20, 1973, as amended at 38 FR 8241, Mar. 30, 1973]



Sec. 81.3  Communications.

    All communications concerning the regulations in this part, 
including applications for licenses, should be addressed to the U.S. 
Nuclear Regulatory Commission, Washington, DC 20555. Communications and 
reports may be delivered in person at the Commission's offices at 2120 L 
Street NW., Washington, DC, or at 11555 Rockville Pike, Rockville, MD.

[53 FR 6139, Mar. 1, 1988, as amended at 53 FR 43422, Oct. 27, 1988]



Sec. 81.4  Interpretations.

    Except as specifically authorized by the Commission in writing and 
by Sec. 81.53, 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. 81.8  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0121.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 81.20, 81.32, and 81.40.

[55 FR 23422, June 8, 1990, as amended at 62 FR 52190, Oct. 6, 1997]

             NRC-Owned Inventions--Patents and Applications



Sec. 81.10  Authority.

    The regulations of this subpart governing the licensing or rights in 
NRC inventions are issued pursuant to the authority of the Commission 
under 42 U.S.C. 2186 (sec. 156 of the Act), 42 U.S.C. 2201g (sec. 161g. 
of the Act), and according to regulations issued by the Administrator of 
General Services pursuant to the Memorandum and Statement of Government 
Patent Policy

[[Page 533]]

issued by President Nixon on August 23, 1971 (36 FR 16887).



Sec. 81.11  Policy.

    (a) The inventions covered by the U.S. patents and patent 
applications vested in the Government of the United States of America, 
as represented by or in the custody of the Commission, normally will 
best serve the public interest when they are developed to the point of 
practical application and made available to the public in the shortest 
time possible.
    (b) The Commission generally prefers to make these inventions 
available to all interested parties through the granting of nonexclusive 
licenses. However, the Commission recognizes that to obtain commercial 
utilization of an invention, it may be necessary to grant an exclusive 
license for a limited period of time as an incentive for the investment 
of risk capital to achieve practical application of an invention.
    (c) Whenever the Commission deems it appropriate to grant an 
exclusive license, the license will be negotiated on terms and 
conditions most favorable to the interests of the public and the 
Government. In considering the accord of such a license, due weight will 
be given to assisting small business and minority business enterprises, 
as well as economically depressed, low income and labor surplus areas 
within the United States.
    (d) All licenses shall be by express written instruments. No license 
shall be granted or implied in an NRC invention except as provided for 
in these regulations or in patent rights articles under Commission 
procurement regulations, pursuant to the Act, or pursuant to any 
existing or future treaty or agreement between the United States and any 
foreign government or intergovernmental organization.
    (e) No grant of a license under this subpart shall be construed to 
confer upon any licensee any immunity from the antitrust laws or from 
liability for patent misuse, and the acquisition and use of rights 
pursuant to this subpart shall not be immunized from the operation of 
State or Federal law by reason of the source of the grant.
    (f) No grant of a license under this subpart shall be construed to 
confer any authorization under chapters 4, 5, 6, 7, 8, 10, or any other 
chapter or section of the Act (42 U.S.C., sec. 2011-2296) for which 
separate application for a license must be made in accordance with the 
Act or other Commission regulations.



Sec. 81.13  Publication of NRC inventions available for licensing.

    (a) The Commission will have published periodically a list of the 
NRC inventions available for licensing under this subpart in the Federal 
Register, the U.S. Patent Office Official Gazette, and in one other 
publication which it is determined will best serve the public interest 
and, where advisable, in other publications.
    (b) Interested persons may obtain copies of such lists by 
communicating with the Commission, Washington, DC 20555. Copies of U.S. 
patents may be obtained from the U.S. Patent Office. Copies of U.S. 
patent application specifications, or microfiche reproductions thereof, 
may be secured at reasonable cost from the National Technical 
Information Service (NTIS) or from the U.S. Patent Office with 
Commission approval.

[38 FR 7318, Mar. 20, 1973, as amended at 40 FR 8793, Mar. 3, 1975]



Sec. 81.20  Nonexclusive licenses.

    (a) NRC inventions will normally be made available for the grant of 
nonexclusive licenses to responsible applicants who will practice the 
invention and make its benefits reasonably accessible to the public.
    (1) The nonexclusive license will be revocable, at the option of the 
Commission, if the licensee does not comply with all the terms and 
conditions of the license agreement.
    (2) The duration of the license shall be for a specified period and/
or such additional period as may be provided for in the license 
agreement.
    (3) The license shall require the licensee to bring the invention to 
the point of practical application within a period specified in the 
license agreement, or as the period may be extended by the Commission, 
and then to continue to make the benefits of the invention reasonably 
accessible to the public.

[[Page 534]]

    (4) The license shall be granted for all of the fields of use of the 
invention, or only such fields of use as may be specified in the license 
agreement, and throughout the United States of America, its territories 
and possessions, Puerto Rico, and the District of Columbia or in any 
lesser geographic portion thereof as may be specified in the license 
agreement.
    (5) The licensee shall be required to submit periodic reports on his 
efforts to bring the invention to a point of practical application and 
the extent to which he continues to make the benefits of the invention 
reasonably accessible to the public. Unless otherwise specified in the 
license, such periodic reports will be required annually prior to the 
anniversary date of the grant of the license. The reports shall contain 
information within the licensee's knowledge, or which the licensee may 
acquire under normal business practices, pertaining to the commercial 
use being made of the invention, and other information which the 
Commission may determine to be pertinent to the licensing activity of 
the Commission and specified in the license agreement.
    (6) Normally a royalty shall not be charged U.S. citizens and U.S. 
corporations for nonexclusive licenses on NRC inventions.
    (7) The license may extend to wholly-owned subsidiaries of the 
licensee but shall be nonassignable, or otherwise nontransferable, 
without approval of the Commission.
    (8) The Commission may revoke the license (i) for failure of the 
licensee to bring the invention to the point of practical application or 
to continue to make the benefits of the invention reasonably accessible 
to the public, (ii) if the licensee defaults in making any periodic 
report required by the license, or (iii) if the licensee commits any 
breach of any covenant or agreement therein contained, or (iv) if the 
licensee willfully makes, or has made, a false statement of a material 
fact or omitted a material fact in the license application submitted 
pursuant to Sec. 81.40(a) or in any report required by the license 
agreement.
    (9) The Commission may restrict the licensee to the particular 
fields of use and/or geographical areas in which the licensee has 
brought the invention to the point of practical application and continue 
to make the benefits of the invention reasonably accessible to the 
public.
    (10) Before revoking or restricting any license granted pursuant to 
this subpart, the Commission shall mail to the licensee and any 
sublicensee of record, at the last address filed with the Commission, a 
written notice of the Commission's intention to revoke or restrict the 
license, and the licensee and any sublicensee shall be allowed thirty 
(30) days after the mailing of such notice, or within such period as may 
be granted by the Commission, to remedy any breach of any covenant or 
agreement as referred to in paragraph (a)(8)(iii) of this section, or to 
show cause why the license should not be revoked or restricted.
    (11) Subject to the rights reserved to the Government in this 
section, the licensee shall be granted the nonexclusive rights to make, 
use, and/or sell the invention in accordance with the terms and 
conditions specified in the license agreement.
    (12) The license may be subject to such other terms and conditions 
as the Commission may deem in the public interest.



Sec. 81.30  Limited exclusive licenses.

    (a) An NRC invention may be made available for the grant of a 
limited exclusive license provided that:
    (1) The invention has been published as available for licensing 
pursuant to Sec. 81.13 for a period of at least six (6) months.
    (2) The Commission has determined that (i) the invention may be 
brought to the point of practical application in certain fields of use 
or in certain geographical locations by exclusive licensing, (ii) the 
desired practical application has not been achieved under any 
nonexclusive license granted on the invention, and (iii) the desired 
practical application is not likely to be achieved expeditiously in the 
public interest under a nonexclusive license or as a result of further 
Government-funded research or development.

[[Page 535]]

    (3) Notice of the selection of a prospective licensee to be granted 
a limited exclusive license of a specified duration and scope shall have 
been transmitted to the Attorney General of the United States and shall 
have been published for at least sixty (60) days in the Federal Register 
with a statement advising of the rights of license applicants or third 
parties to apply for nonexclusive licenses or bring information to the 
attention of the Commission under the next paragraph.
    (4) After expiration of the period in paragraph (a)(3) of this 
section, the Commission has determined (i) that no applicant for a 
nonexclusive license has brought or will bring the invention to the 
point of practical application as specified in the prospective exclusive 
license within a reasonable period under a nonexclusive license, and 
(ii) that the granting of the license would be in the public interest 
and not be inconsistent with the Act after consideration of all the 
facts and any written evidence and argument which third parties may 
present to the Commission within sixty (60) days of the publication of 
the notices of the selection of the licensee under paragraph (a)(3) of 
this section.
    (5) The Commission shall record and make available for public 
inspection, upon request, all decisions and the basis thereof under this 
section.



Sec. 81.31  Selection of an exclusive licensee.

    An exclusive licensee will be selected by the Commission on bases 
consistent with the policy set forth in Sec. 81.11 of this subpart in 
accordance with the procedures herein, based upon the information 
supplied to the Commission in a license application under Sec. 81.40. 
Consideration will be given to: (a) The capabilities of the applicant to 
further the technical and market development of the invention to bring 
the same to the point of practical application, (b) the applicant's plan 
to undertake development of the invention, (c) the projected impact on 
competition, (d) the benefit to the Government and the public, as well 
as (e) assistance to small business and minority business enterprises 
and economically depressed, low income and labor surplus areas, and (f) 
whether the applicant is a U.S. citizen or corporation.



Sec. 81.32  Terms of exclusive license grant.

    (a) NRC inventions may be made available for the grant of limited 
exclusive licenses to responsible applicants who will bring the 
invention to the point of practical application and make its benefits 
reasonably accessible to the public.
    (1) The license may be granted for all or less than all fields of 
use of the invention, and throughout the United States of America, its 
territories and possessions, Puerto Rico, and the District of Columbia, 
or any lesser geographical portion thereof.
    (2) The duration of the license will be negotiated and shall include 
(i) a period of exclusivity specified in the license, which shall be 
related to the period necessary to provide a reasonable incentive for 
the licensee to invest the necessary risk capital to bring the invention 
to the point of practical application and which shall not exceed 5 years 
or be extended unless the Commission determines on the basis of a 
written submission supported by a factual showing that a longer period 
is reasonably necessary to permit the licensee to enter the market and 
recoup his investment in bringing the invention to the point of 
practical application; and (ii) a terminal portion, sufficient to make 
the invention reasonably available for the granting of nonexclusive 
licenses under Sec. 81.20, during which the licensee may have a 
nonexclusive license if the licensee continues to make the invention 
reasonably accessible to the public.
    (3) The license shall require the licensee to bring the invention to 
the point of practical application within a period specified in the 
license agreement, or, subject to the approval of the Commission, within 
a longer period, and then to continue to make the benefits of the 
invention reasonably accessible to the public.
    (4) The license shall require the licensee to expand a specified 
minimum sum of money and/or to take other specified action, within 
indicated periods as specified in the license, in an effort to bring the 
invention to the point

[[Page 536]]

of practical application. Reasonable royalties shall be charged by the 
Commission, as specified in the license agreement, unless the Commission 
determines that it would not be in the public interest to charge 
royalties.
    (5) The license shall be subject to an irrevocable, royalty-free 
right of the Government of the United States to practice and have 
practiced the invention by or on behalf of the Government of the United 
States and on behalf of any foreign Government or intergovernmental 
organization pursuant to any existing or future treaty or agreement with 
the United States.
    (6) The license shall reserve to the Commission the right to require 
the licensee to grant sublicenses to responsible applicants to practice 
the invention on terms that are reasonable under the circumstances, (i) 
to the extent that the invention is required for public use by 
governmental regulations, or (ii) as may be necessary to fulfill health 
or safety needs, or (iii) if the invention is useful in the production 
or utilization of special nuclear material or atomic energy and the 
licensing of such invention is of importance to effectuate the policies 
and purposes of the Act, (iv) for other public purposes as stipulated in 
the license agreement. In the event that the licensee and the Commission 
cannot agree upon reasonable terms for such sublicenses, the terms, 
including a reasonable royalty, may be fixed pursuant to the procedure 
set forth in section 157(c) of the Act.
    (7) Subject to the right reserved to the Government in paragraphs 
(a) (5) and (6) of this section, the licensee shall be granted the 
exclusive right to make, use, and/or sell the invention in accordance 
with the terms and conditions specified in the license agreement.
    (8) The license may extend to wholly owned subsidiaries of the 
licensee but shall be nonassignable and otherwise nontransferable 
without approval of the Commission, except assignment may be made, upon 
notice to the Commission, to successors of that part of the licensee's 
business to which the invention pertains.
    (9) An exclusive licensee may grant sublicenses under his license 
only with the approval of the Commission. Any sublicense or assignment 
granted by an exclusive licensee shall be subject to the terms and 
conditions of the exclusive license, including the rights retained by 
the Government thereunder, and a copy of each such sublicense or 
assignment shall be furnished to the Commission.
    (10) The license shall require the licensee to submit periodic 
reports on his efforts to achieve practical application of the invention 
and the extent to which he continues to make the benefits of the 
invention reasonably accessible to the public. Unless otherwise 
specified in the license, such reports will be required annually on the 
anniversary date of the grant of the license. The report shall contain 
information within the licensee's knowledge, or which the licensee may 
acquire under normal business practices, pertaining to the commercial 
use being made of the invention, and other information which the 
Commission may determine to be pertinent to the licensing activity of 
the Commission as is specified in the license agreement.
    (11) The Commission may modify or revoke the license (i) for failure 
of the licensee to bring the invention to the point of practical 
application within the period specified in the license agreement or to 
continue to make the benefits of the invention reasonably accessible to 
the public; (ii) if the licensee fails to expend the minimum sum of 
money or to take any other action specified in the license agreement 
within the periods specified in the license agreement in an effort to 
bring the invention to the point of practical application; (iii) if the 
licensee defaults in making any payments or periodic reports required by 
the license; or (iv) if the licensee commits any breach of any covenant 
or agreement therein contained; or (v) if the licensee willfully makes, 
or has made, a false statement of a material fact or willfully omitted a 
material fact in the license application submitted pursuant to 
Sec. 81.40 or in any report required by the license agreement.
    (12) Before modifying or revoking any license granted pursuant to 
this subpart for any cause, the Commission

[[Page 537]]

shall mail to the licensee and any sublicensee of record at the last 
address filed with the Commission a written notice of the Commission's 
intention to modify or revoke the license, and the licensee and any 
sublicensee shall be allowed thirty (30) days after the mailing of such 
notice, or within such period as may be granted by the Commission, to 
remedy any breach of any covenant or agreement referred to in paragraph 
(a)(11)(iv) of this section or to show cause why the license should not 
be modified or revoked.
    (13) An exclusive licensee shall be granted the right to sue at his 
own expense any party who infringes the rights set forth in his license 
and covered by the licensed patent. The licensee may join the Government 
of the United States, upon consent of the Attorney General, as a party 
complainant in such suit, but without expense to the Government and the 
licensee shall pay costs and any final judgment or decree that may be 
rendered against the Government in such suit. The Government shall have 
an absolute right to intervene in any such suit at its own expense. The 
licensee shall be obligated to furnish promptly to the Government, upon 
request, copies of all pleadings and other papers filed in any such suit 
and of evidence adduced in proceedings relating to the licensed patent, 
including, but not limited to, negotiations or settlements and 
agreements settling claims by a licensee based on the licensed patent, 
and all other books, documents, papers, and records pertaining to such 
suit. If, as a result of any such litigation, the patent shall be 
declared invalid, the licensee shall have the right to surrender his 
license and be relieved from any further obligation thereunder.
    (14) A licensee may surrender his license at any time prior to 
termination of the license upon notice thereof to the Commission, and 
upon approval of the Commission, but the licensee shall not be relieved 
of the obligations thereunder without specific approval of the 
Commission.
    (15) The license may be subject to such other terms and conditions 
as the Commission may deem in the public interest.



Sec. 81.35  Notices to public of exclusive licenses.

    The Commission will have published in the Federal Register notices 
of the granting, revocation, or modification in duration and/or scope, 
of limited exclusive licenses under these regulations. Such notices 
shall identify the invention and shall include, directly, or by 
reference to previous notice(s) in the Federal Register pursuant to 
Sec. 81.13 or Sec. 81.30(a)(3) the following:
    (a) Identification of the licensee.
    (b) Duration and scope of the exclusive license.
    (c) That such a license is being granted or revoked, or the nature 
of the modification of the license.
    (d) The effective date of the grant, modification, or revocation.



Sec. 81.40  Contents of a license application.

    (a) Nonexclusive license application. An application for a 
nonexclusive license under an NRC invention should be accompanied by a 
fee of ten dollars ($10) for processing the application and must include 
the following information:
    (1) Identification of the invention for which the license is 
desired, including the patent application serial number or the patent 
number, title, and date, if known, and any other identification of the 
invention;
    (2) Name and address of the person, company, or organization 
applying for a license and the citizenship or State of incorporation 
thereof;
    (3) Name and address of a representative of applicant to whom 
correspondence should be sent and any notices served;
    (4) Nature and type of applicant's business;
    (5) Identification of the source of applicant's information 
concerning the availability of a license on the invention;
    (6) Purpose for which the license is desired, and a brief 
description of applicant's plan to achieve that purpose;
    (7) A statement of the field and the field(s) of use in which 
applicant intends to practice the invention; and
    (8) A statement of the geographical area(s) in which the applicant 
will practice the invention.

[[Page 538]]

    (b) Exclusive license application. An application for a limited 
exclusive license should include, in addition to the information 
indicated above for a nonexclusive license application, the following 
information:
    (1) Applicant's status, if any, in any one or more of the following 
categories:
    (i) Small business firm;
    (ii) Minority business enterprise;
    (iii) Location in a surplus labor area;
    (iv) Location in a low income area; and
    (v) Location in an economically depressed area.
    (2) A statement describing the time, expenditure, and other acts 
which the applicant considers necessary to bring the invention to a 
point of practical application, and the applicant's offer to invest that 
time and sum, and to perform such acts, if the license is granted.
    (3) A statement of applicant's capability to undertake the 
development and/or marketing required to bring the invention to the 
point of practical application.
    (4) A statement that contains applicant's best knowledge of the 
extent to which the invention is being practiced by private industry and 
the Government; and
    (5) Any other facts which the applicant believes to show it to be in 
the public interest for the Commission to grant an exclusive license 
rather than a nonexclusive license and that such exclusive license 
should be granted to the applicant.



Sec. 81.50  Additional licenses.

    Subject to any outstanding licenses, nothing in this subpart shall 
preclude the Commission from granting additional nonexclusive and 
limited exclusive licenses for inventions covered by this subpart when 
the Commission determines that to do so would provide for an equitable 
exchange of patent rights. The following exemplify circumstances wherein 
such licenses may be granted:
    (a) In consideration of the settlement of interferences;
    (b) In consideration of a release of any claims;
    (c) In exchange for or as part of the consideration for a license 
under adversely held patent(s); or
    (d) In consideration for the settlement or resolution of any 
proceeding under the Act or other statute.



Sec. 81.51  Appeals.

    An applicant for a license, a licensee, or a third party who has 
participated under Sec. 81.30(a)(3) shall have the right to appeal in 
accordance with the appeal procedures of this subpart any decision of 
the Commission concerning the grant, denial, interpretation, 
modification, or revocation of a license under this subpart, by filing a 
notice of appeal with the Commission within thirty (30) days from the 
date of the mailing of a notice by the Commission of the decision or, if 
no such notice to the person desiring to appeal, then thirty (30) days 
from publication in the Federal Register of the facts which show such a 
decision. The notice of appeal shall specify the portion of the decision 
from which the appeal is taken, and the reasons why the decision is 
erroneous. A statement of fact and argument in the form of a brief in 
support of the appeal may be submitted with the notice of appeal or, if 
the appellant prefers, may be filed with the Commission within fifteen 
(15) days after the filing of the notice of appeal. If a statement of 
fact and argument in the form of a brief in support of the appeal is not 
submitted with the notice, the appellant shall state in the notice 
whether such a statement of fact and argument in the form of a brief in 
support of the appeal will be filed.



Sec. 81.52  Appeals Board.

    (a) NRC Invention Licensing Appeal Board. Upon notice of an appeal 
in accordance with Sec. 81.51, the Executive Director for Operations of 
the Nuclear Regulatory Commission will designate within thirty (30) days 
an Invention Licensing Appeal Board (hereinafter, Board) to decide such 
an appeal.
    (b) Composition of the Board. The Invention Licensing Appeal Board 
shall consist of three members having equal voting power, one of whom 
will be designated as Chairman.
    (c) Notice of designation of the Board. The Executive Director for 
Operations

[[Page 539]]

of the Nuclear Regulatory Commission will advise the appellant of the 
designation of the Board, its composition, and Chairman.

[40 FR 8793, Mar. 3, 1975]



Sec. 81.53  Review by the Board.

    (a) The Board shall determine the propriety of any decision 
concerning the grant, denial, interpretation, modification, or 
revocation of a license according to the policy and criteria of these 
regulations, including Sec. 81.11, on the record and evidence submitted 
by an appellant and the Commission to the Board.
    (b) A hearing may be requested by the Commission or an appellant 
within fifteen (15) days after the notice set forth under Sec. 81.52(c). 
An appellant and the Commission shall be given a minimum of fifteen (15) 
days' notice of the time and place of a hearing. The Commission and the 
appellant shall have an opportunity to make oral arguments before the 
Board.
    (c) The Board shall make findings of fact and reach a conclusion 
with respect to the propriety of the decision of the Commission, which 
conclusion shall constitute the final action of the Commission.



PART 95--FACILITY SECURITY CLEARANCE AND SAFEGUARDING OF NATIONAL SECURITY INFORMATION AND RESTRICTED DATA--Table of Contents




                           General Provisions

Sec.
95.1  Purpose.
95.3  Scope.
95.5  Definitions.
95.7  Interpretations.
95.8  Information collection requirements: OMB approval.
95.9  Communications.
95.11  Specific exemptions.
95.13  Maintenance of records.

                            Physical Security

95.15  Approval for processing licensees and others for facility 
          clearance.
95.17  Processing facility clearance.
95.18  Key personnel.
95.19  Changes to security practices and procedures.
95.20  Grant, denial or termination of facility clearance.
95.21  Withdrawal of requests for facility security clearance.
95.23  Termination of facility clearance.
95.25  Protection of National Security Information and Restricted Data 
          in storage.
95.27  Protection while in use.
95.29  Establishment of Restricted or Closed areas.
95.31  Protective personnel.
95.33  Security education.
95.34  Control of visitors.

                         Control of Information

95.35  Access to matter classified as National Security Information and 
          Restricted Data.
95.36  Access by representatives of the International Atomic Energy 
          Agency or by participants in other international agreements.
95.37  Classification and preparation of documents.
95.39  External transmission of documents and material.
95.41  External receipt and dispatch records.
95.43  Authority to reproduce.
95.45  Changes in classification.
95.47  Destruction of matter containing classified information.
95.49  Security of automatic data processing (ADP) systems.
95.51  Retrieval of classified matter following suspension or revocation 
          of access authorization.
95.53  Termination of facility clearance.
95.55  Continued applicability of the regulations in this part.
95.57  Reports.
95.59  Inspections.

                               Violations

95.61  Violations.
95.63  Criminal penalties.

    Authority: Secs. 145, 161, 193, 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. 12829, 3 CFR, 1993 Comp., p. 570; E.O. 12958, as 
amended, 3 CFR, 1995 Comp., p. 333; E.O. 12968, 3 CFR, 1995 Comp., p. 
391.

    Source: 45 FR 14483, Mar. 5, 1980, unless otherwise noted.

                           General Provisions



Sec. 95.1  Purpose.

    The regulations in this part establish procedures for obtaining 
security facility approval and for safeguarding Secret and Confidential 
National Security Information and Restricted Data received or developed 
in conjunction with activities licensed, certified or

[[Page 540]]

regulated by the Commission. This part does not apply to Top Secret 
information because Top Secret information may not be forwarded to 
licensees, certificate holders, or others within the scope of an NRC 
license or certificate.

[62 FR 17690, Apr. 11, 1997]



Sec. 95.3  Scope.

    The regulations in this part apply to licensees, certificate holders 
and others regulated by the Commission who may require access to 
classified National Security Information and/or Restricted Data and/or 
Formerly Restricted Data (FRD) that is used, processed, stored, 
reproduced, transmitted, transported, or handled in connection with a 
license or certificate or an application for a license or certificate.

[62 FR 17690, Apr. 11, 1997]



Sec. 95.5  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, licensees and 
certificate holders, or other persons designated by the Executive 
Director for Operations, is eligible for a security clearance for access 
to classified information.
    Act means the Atomic Energy Act of 1954 (68 Stat. 919), as amended.
    Classified mail address means a mail address established for each 
facility approved by the NRC, to which all classified information for 
the facility is to be sent.
    Classified matter means documents or material containing classified 
information.
    Classified National Security Information means information that has 
been determined pursuant to E.O. 12958 or any predecessor order to 
require protection against unauthorized disclosure and that is so 
designated.
    Classified shipping address means an address established for a 
facility, approved by the NRC to which classified material that cannot 
be transmitted as normal mail is to be sent.
    Closed area means an area that meets the requirements of the CSA, 
for the purpose of safeguarding classified material that, because of its 
size, nature, or operational necessity, cannot be adequately protected 
by the normal safeguards or stored during nonworking hours in approved 
containers.
    Cognizant Security Agency (CSA) means agencies of the Executive 
Branch that have been authorized by E.O. 12829 to establish an 
industrial security program for the purpose of safeguarding classified 
information under the jurisdiction of those agencies when disclosed or 
released or released to U.S. industry. These agencies are the Department 
of Defense, the department of Energy, the Central Intelligence Agency, 
and the Nuclear Regulatory Commission. A facility has a CSA which 
exercises primary authority for the protection of classified information 
at the facility. The CSA for the facility provides security 
representation for other government agencies with security interests at 
the facility. The Secretary of Defense has been as Executive Agent for 
the National Industrial Security Program.
    Combination lock means a three position, manipulation resistant, 
dial type lock bearing an Underwriters' Laboratories, Inc. certification 
that it is a Group 1 or Group IR unit.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Facility (Security) Clearance (FCL) means an administrative 
determination that, from a security viewpoint, a facility is eligible 
for access to classified information of a certain category (and all 
lower categories).
    Foreign ownership, control, or influence (FOCI) means a foreign 
interest that has the power, direct or indirect, whether or not 
exercised, and whether or not exercisable through the ownership of a 
U.S. company's securities, by contractual arrangements or other means, 
to direct or decide matters affecting the management or operations of 
that company in a manner which may result in unauthorized access to 
classified information or may affect adversely the performance of 
classified contracts.
    Infraction means any knowing, willful, or negligent action contrary 
to the

[[Page 541]]

requirements of E.O. 12958, or its implementing directives, that does 
not comprise a ``violation,'' as defined in this section.
    Intrusion alarm means a tamper-indicating electrical, electro-
mechanical, electro-optical, electronic or similar device which will 
detect unauthorized intrusion by an individual into a building, 
protected area, security area, vital area, or material access area, and 
alert guards or watchmen by means of actuated visible and audible 
signals.
    License means a license issued pursuant to 10 CFR parts 50, 70, or 
72.
    Material means chemical substance without regard to form; fabricated 
or processed item; or assembly, machinery or equipment.
    Matter means documents or material.
    National security means the national defense or foreign relations of 
the United States.
    Need-to-know means a determination made by an authorized holder of 
classified information that a prospective recipient requires access to 
specific classified information in order to perform or assist in a 
lawful and authorized governmental function under the cognizance of the 
Commission.
    NRC ``L'' access authorization means an access authorization granted 
by the Commission normally based on a national agency check with law and 
credit investigation (NACLC) or an access national agency check and 
inquiries investigation (ANACI)) conducted by the Office of Personnel 
Management.
    NRC ``Q'' access authorization means an access authorization granted 
by the Commission normally based on a single scope background 
investigation conducted by the Office of Personnel Management, the 
Federal Bureau of Investigation, or other U.S. Government agency that 
conducts personnel security investigations.
    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.
    Protective personnel means guards or watchmen as defined in 10 CFR 
part 73 or other persons designated responsibility for the protection of 
classified matter.
    Restricted area means a controlled access area established to 
safeguard classified material, that, because of its size or nature, 
cannot be adequately protected during working hours by the usual 
safeguards, but that is capable of being stored during non-working hours 
in an approved repository or secured by other methods approved by the 
CSA.
    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.
    Security area means a physically defined space containing classified 
matter and subject to physical protection and personnel access controls.
    Security container includes any of the following repositories:
    (1) A security filing cabinet--one that bears a Test Certification 
Label on the side of the locking drawer, inside wall adjacent to the 
locking drawer, or interior door plate, or is marked, ``General Services 
Administration Approved Security Container'' on the exterior of the top 
drawer or door.
    (2) A safe--burglar-resistive cabinet or chest which bears a label 
of the Underwriters' Laboratories, Inc. certifying the unit to be a TL-
15, TL-30, or TRTL-30, and has a body fabricated of not less than 1 inch 
of steel and a door fabricated of not less than 1\1/2\ inches of steel 
exclusive of the combination lock and bolt work; or bears a Test 
Certification Label on the inside of the door,

[[Page 542]]

or is marked ``General Services Administration Approved Security 
Container'' and has a body of steel at least \1/2\ thick, and a 
combination locked steel door at least 1 thick, exclusive of 
bolt work and locking devices; and an automatic unit locking mechanism.
    (3) A vault--a windowless enclosure constructed with walls, floor, 
roof, and door(s) that will delay penetration sufficient to enable the 
arrival of emergency response forces capable of preventing theft, 
diversion, damage, or compromise of classified information or matter, 
when delay time is assessed in conjunction with detection and 
communication subsystems of the physical protection system.
    (4) A vault-type room--a room that has a combination lock door and 
is protected by an intrusion alarm system that alarms upon the 
unauthorized penetration of a person anywhere into the room.
    (5) Other repositories that would provide comparable physical 
protection in the judgment of the Division of Facilities and Security.
    Security facility--any facility which has been approved by NRC for 
using, processing, storing, reproducing, transmitting or handling 
classified matter.
    Security reviews means aperiodic security reviews of cleared 
facilities conducted to ensure that safeguards employed by licensees and 
others are adequate for the protection of classified information.
    Supplemental protection means additional security procedures such as 
intrusion detection systems, security guards, and access control 
systems.
    Violation means any knowing, willful, or negligent action that could 
reasonably be expected to result in an unauthorized disclosure of 
classified information or any knowing, willful, or negligent action to 
classify or continue the classification of information contrary to the 
requirements of E.O. 12958 or its implementing directives.

[45 FR 14483, Mar. 5, 1980, as amended at 46 FR 58284, Dec. 1, 1981; 47 
FR 38683, Sept. 2, 1982; 48 FR 24320, June 1, 1983; 50 FR 36984, Sept. 
11, 1985; 55 FR 11575, Mar. 29, 1990; 55 FR 14379, Apr. 17, 1990; 59 FR 
48974, Sept. 23, 1994; 62 FR 17691, Apr. 11, 1997; 64 FR 15649, Apr. 1, 
1999]



Sec. 95.7  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. 95.8  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0047.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 95.11, 95.15, 95.17, 95.18, 95.21, 95.25, 
95.33, 95.34, 95.36, 95.37, 95.39, 95.41, 95.43, 95.45, 95.47, 95.53, 
and 95.57.

[62 FR 52190, Oct. 6, 1997, as amended at 64 FR 15650, Apr. 1, 1999]



Sec. 95.9  Communications.

    Except where otherwise specified, all communications and reports 
concerning the regulations in this part should be addressed to the 
Director, Division of Facilities and Security, Nuclear Regulatory 
Commission, Washington, DC 20555.

[64 FR 15650, Apr. 1, 1999]



Sec. 95.11  Specific exemptions.

    The NRC may, upon application by any interested person or upon its 
own initiative, grant exemptions from the requirements of the 
regulations of this part, that are--
    (a) Authorized by law, will not present an undue risk to the public 
health and safety, and are consistent with the common defense and 
security; or
    (b) Coincidental with one or more of the following:

[[Page 543]]

    (1) An application of the regulation in the particular circumstances 
conflicts with other rules or requirements of the NRC;
    (2) An application of the regulation in the particular circumstances 
would not serve the underlying purpose of the rule or is not necessary 
to achieve the underlying purpose of the rule;
    (3) When 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;
    (4) When the exemption would result in benefit to the common defense 
and security that compensates for any decrease in security that may 
result from the grant of the exemption;
    (5) When 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;
    (6) When there is 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 a condition is relied on 
exclusively for satisfying paragraph (b) of this section, the exemption 
may not be granted until the Executive Director for Operations has 
consulted with the Commission.

[64 FR 15650, Apr. 1, 1999]



Sec. 95.13  Maintenance of records.

    (a) Each licensee, certificate holder or other person granted 
facility clearance under this part shall maintain records as prescribed 
within the part. These records are subject to review and inspection by 
CSA representatives during security reviews.
    (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 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 19263, May 27, 1988, as amended at 62 FR 17691, Apr. 11, 1997]

                            Physical Security



Sec. 95.15  Approval for processing licensees and others for facility clearance.

    (a) A licensee, certificate holder, or other person who has a need 
to use, process, store, reproduce, transmit, transport, or handle NRC 
classified information at any location in connection with Commission-
related activities shall promptly request an NRC facility clearance. 
This specifically includes situations where a licensee, certificate 
holder, or other person needs a contractor or consultant to have access 
to NRC classified information. Also included are others who require 
access to classified information in connection with NRC regulated 
activities but do not require use, storage, or possession of classified 
information outside of NRC facilities. However, it is not necessary for 
a licensee, certificate holder, or other person to request an NRC 
facility clearance for access to another agency's classified information 
at that agency's facilities or to store that agency's classified 
information at their facility, provided no NRC classified information is 
involved and they meet the security requirements of the other agency. If 
NRC classified information is involved, the requirements of Sec. 95.17 
apply.
    (b) The request must include the name of the facility, the location 
of the facility and an identification of any facility clearance issued 
by another government agency. If there is no existing facility 
clearance, the request must include a security Standard Practice 
Procedures Plan that outlines the facility's proposed security 
procedures and controls for the protection of classified information, a 
floor plan of the area in which the matter is to be used,

[[Page 544]]

processed, stored, reproduced, transmitted, transported or handled; and 
Foreign Ownership, Control or Influence information.
    (c) NRC will promptly inform applicants of the acceptability of the 
request for further processing and will notify the licensee or other 
person of their decision in writing.

[45 FR 14483, Mar. 5, 1980, as amended at 48 FR 24321, June 1, 1983; 50 
FR 36984, Sept. 11, 1985; 59 FR 48974, Sept. 23, 1994; 62 FR 17691, Apr. 
11, 1997; 64 FR 15650, Apr. 1, 1999]



Sec. 95.17  Processing facility clearance.

    (a) Following the receipt of an acceptable request for facility 
clearance, the NRC will either accept an existing facility clearance 
granted by a current CSA and authorize possession of license or 
certificate related classified information, or process the facility for 
a facility clearance. Processing will include--
    (1) A determination based on review and approval of a Standard 
Practice Procedures Plan that granting of the Facility Clearance would 
not be inconsistent with the national interest, including a finding that 
the facility is not under foreign ownership, control, or influence to 
such a degree that a determination could not be made. An NRC finding of 
foreign ownership, control, or influence is based on factors concerning 
the foreign intelligence threat, risk of unauthorized technology 
transfer, type and sensitivity of the information that requires 
protection, the extent of foreign influence, record of compliance with 
pertinent laws, and the nature of international security and information 
exchange agreements. The licensee, certificate holder, or other person 
must advise the NRC within 30 days of any significant events or changes 
that may affect its status concerning foreign ownership, control, or 
influence (e.g., changes in ownership; changes that affect the company's 
answers to original FOCI questions; indebtedness; and changes in the 
required form that identifies owners, officers, directors, and executive 
personnel).
    (2) An acceptable security review conducted by the NRC;
    (3) Submitting key management personnel for personnel clearances 
(PCLs); and
    (4) Appointing a U.S. citizen employee as the facility security 
officer.
    (b) An interim Facility Clearance may be granted by the CSA on a 
temporary basis pending completion of the full investigative 
requirements.

[62 FR 17692, Apr. 11, 1997, as amended at 64 FR 15650, Apr. 1, 1999]



Sec. 95.18  Key personnel.

    The senior management official and the Facility Security Officer 
must always be cleared to a level commensurate with the Facility 
Clearance. Other key management officials, as determined by the CSA, 
must be granted an access authorization or be excluded from classified 
access. When formal exclusion action is required, the organization's 
board of directors or similar executive body shall affirm the following, 
as appropriate.
    (a) Officers, directors, partners, regents, or trustees (designated 
by name) that are excluded may not require, may not have, and can be 
effectively excluded from access to all classified information disclosed 
to the organization. These individuals also may not occupy positions 
that would enable them to adversely affect the organization's policies 
or practices in the performance of activities involving classified 
information. This action will be made a matter of record by the 
organization's executive body. A copy of the resolution must be 
furnished to the CSA.
    (b) Officers, directors, partners, regents, or trustees (designated 
by name) that are excluded may not require, may not have, and can be 
effectively denied access to higher-level classified information 
(specify which higher level(s)). These individuals may not occupy 
positions that would enable them to adversely affect the organization's 
policies or practices in the protection of classified information. This 
action will be made a matter of record by the organization's executive 
body. A copy of the resolution must be furnished to the CSA.

[62 FR 17692, Apr. 11, 1997]

[[Page 545]]



Sec. 95.19  Changes to security practices and procedures.

    (a) Except as specified in paragraph (b) of this section, each 
licensee, certificate holder, or other person shall obtain prior CSA 
approval for any proposed change to the name, location, security 
procedures and controls, or floor plan of the approved facility. A 
written description of the proposed change must be furnished to the CSA 
with copies to the Director, Division of Facilities and Security, Office 
of Administration, NRC, Washington, DC 20555-0001 (if NRC is not the 
CSA), and the NRC Regional Administrator of the cognizant Regional 
Office listed in appendix A of part 73 of this chapter. These 
substantive changes to the Standard Practice Procedures Plan that affect 
the security of the facility must be submitted to the NRC Division of 
Facilities and Security, or CSA, at least 30 days prior to the change so 
that they may be evaluated. The CSA shall promptly respond in writing to 
all such proposals. Some examples of substantive changes requiring prior 
CSA approval include--
    (1) A change in the approved facility's classified mail address; or
    (2) A temporary or permanent change in the location of the approved 
facility (e.g., moving or relocating NRC's classified interest from one 
room or building to another). Approved changes will be reflected in a 
revised Standard Practice Procedures Plan submission within 30 days of 
approval. Page changes rather than a complete rewrite of the plan may be 
submitted.
    (b) A licensee or other person may effect a minor, non-substantive 
change to an approved Standard Practice Procedures Plan for the 
safeguarding of classified information without receiving prior CSA 
approval. These minor changes that do not affect the security of the 
facility may be submitted to the addressees noted in paragraph (a) of 
this section within 30 days of the change. Page changes rather than a 
complete rewrite of the plan may be submitted. Some examples of minor, 
non-substantive changes to the Standard Practice Procedures Plan 
include--
    (1) The designation/appointment of a new facility security officer; 
or
    (2) A revision to a protective personnel patrol routine, provided 
the new routine continues to meet the minimum requirements of this part.
    (c) A licensee, certificate holder, or other person must update its 
NRC facility clearance every five years either by submitting a complete 
Standard Practice Procedures Plan or a certification that the existing 
plan is fully current to the Division of Facilities and Security.

[64 FR 15650, Apr. 1, 1999]



Sec. 95.20  Grant, denial or termination of facility clearance.

    The Division of Facilities and Security shall provide notification 
in writing (or orally with written confirmation) to the licensee or 
other organization of the Commission's grant, acceptance of another 
agency's facility clearance, denial, or termination of facility 
clearance. This information must also be furnished to representatives of 
the NRC, NRC licensees, NRC certificate holders, NRC contractors, or 
other Federal agencies having a need to transmit classified information 
to the licensee or other person.

[64 FR 15651, Apr. 1, 1999]



Sec. 95.21  Withdrawal of requests for facility security clearance.

    When a request for facility clearance is to be withdrawn or 
canceled, the requester shall notify the NRC Division of Facilities and 
Security in the most expeditious manner so that processing for this 
approval may be terminated. The notification must identify the full name 
of the individual requesting discontinuance, his or her position with 
the facility, and the full identification of the facility. The requestor 
shall confirm the telephone notification promptly in writing.

[64 FR 15651, Apr. 1, 1999]



Sec. 95.23  Termination of facility clearance.

    (a) Facility clearance will be terminated when--
    (1) There is no longer a need to use, process, store, reproduce, 
transmit, transport or handle classified matter at the facility; or

[[Page 546]]

    (2) The Commission makes a determination that continued facility 
clearance is not in the interest of national security.
    (b) When facility clearance is terminated, the licensee or other 
person will be notified in writing of the determination and the 
procedures outlined in Sec. 95.53 apply.

[62 FR 17692, Apr. 11, 1997]



Sec. 95.25  Protection of National Security Information and Restricted Data in storage.

    (a) Secret matter, while unattended or not in actual use, must be 
stored in--
    (1) A safe, steel file cabinet, or safe-type steel file container 
that has an automatic unit locking mechanism. All such receptacles will 
be accorded supplemental protection during non-working hours; or
    (2) Any steel file cabinet that has four sides and a top and bottom 
(all permanently attached by welding, rivets, or peened bolts so the 
contents cannot be removed without leaving visible evidence of entry) 
and is secured by a rigid metal lock bar and an approved key operated or 
combination padlock. The keepers of the rigid metal lock bar must be 
secured to the cabinet by welding, rivets, or bolts, so they cannot be 
removed and replaced without leaving evidence of the entry. The drawers 
of the container must be held securely so their contents cannot be 
removed without forcing open the drawer. This type of cabinet will be 
accorded supplemental protection during non-working hours.
    (b) Confidential matter while unattended or not in use must be 
stored in the same manner as SECRET matter except that no supplemental 
protection is required.
    (c) Classified lock combinations.
    (1) A minimum number of authorized persons may know the combinations 
to authorized storage containers. Security containers, vaults, cabinets, 
and other authorized storage containers must be kept locked when not 
under the direct supervision of an authorized person entrusted with the 
contents.
    (2) Combinations must be changed by a person authorized access to 
the contents of the container, by the Facility Security Officer, or his 
or her designee.
    (d) Records of combinations. If a record is made of a combination, 
the record must be marked with the highest classification of material 
authorized for storage in the container. Superseded combinations must be 
destroyed.
    (e) Selections of combinations. Each combination must be randomly 
selected and require the use of at least three different numbers. In 
selecting combinations, multiples, simple arithmetical ascending or 
descending series, telephone numbers, social security numbers, car 
license numbers, and calendar dates such as birthdates and 
anniversaries, shall be avoided.
    (f) Combinations will be changed only by persons authorized access 
to Secret or Confidential National Security Information and/or 
Restricted Data depending upon the matter authorized to be stored in the 
security container.
    (g) Posted information. Containers may not bear external markings 
indicating the level of classified matter authorized for storage. A 
record of the names of persons having knowledge of the combination must 
be posted inside the container.
    (h) End of day security checks.
    (1) Facilities that store classified matter shall establish a system 
of security checks at the close of each working day to ensure that all 
classified matter and security repositories have been appropriately 
secured.
    (2) Facilities operating with multiple work shifts shall perform the 
security checks at the end of the last working shift in which classified 
matter had been removed from storage for use. The checks are not 
required during continuous 24-hour operations.
    (i) Unattended security container found opened. If an unattended 
security container housing classified matter is found unlocked, the 
custodian or an alternate must be notified immediately. Also, the 
container must be secured by protective personnel. An effort must be 
made to determine if the contents were compromised not later than the 
next day.

[[Page 547]]

    (j) Supervision of keys and padlocks. Use of key-operated padlocks 
are subject to the following requirements:
    (1) A key and lock custodian shall be appointed to ensure proper 
custody and handling of keys and locks used for protection of classified 
matter;
    (2) A key and lock control register must be maintained to identify 
keys for each lock and their current location and custody;
    (3) Keys and locks must be audited each month;
    (4) Keys must be inventoried with each change of custody;
    (5) Keys must not be removed from the premises;
    (6) Keys and spare locks must be protected equivalent to the level 
of classified matter involved;
    (7) Locks must be changed or rotated at least every 12 months, and 
must be replaced after loss or compromise of their operable keys; and
    (8) Master keys may not be made.

[45 FR 14483, Mar. 5, 1980, as amended at 47 FR 9196, Mar. 4, 1982; 50 
FR 36985, Sept. 11, 1985; 53 FR 19263, May 27, 1988; 59 FR 48975, Sept. 
23, 1994; 62 FR 17693, Apr. 11, 1997; 64 FR 15651, Apr. 1, 1999]



Sec. 95.27  Protection while in use.

    While in use, classified matter must be under the direct control of 
an authorized individual to preclude physical, audio, and visual access 
by persons who do not have the prescribed access authorization or other 
written CSA disclosure authorization (see Sec. 95.36 for additional 
information concerning disclosure authorizations).

[64 FR 15651, Apr. 1, 1999]



Sec. 95.29  Establishment of Restricted or Closed areas.

    (a) If, because of its nature, sensitivity or importance, classified 
matter cannot otherwise be effectively controlled in accordance with the 
provisions of Secs. 95.25 and 95.27, a Restricted or Closed area must be 
established to protect this matter.
    (b) The following measures apply to Restricted Areas:
    (1) Restricted areas must be separated from adjacent areas by a 
physical barrier designed to prevent unauthorized access (physical, 
audio, and visual) into these areas.
    (2) Controls must be established to prevent unauthorized access to 
and removal of classified matter.
    (3) Access to classified matter must be limited to persons who 
possess appropriate access authorization or other written CSA disclosure 
authorization and who require access in the performance of their 
official duties or regulatory obligations.
    (4) Persons without appropriate access authorization for the area 
visited must be escorted by an appropriate CSA access authorized person 
at all times while within Restricted or Closed Areas.
    (5) Each individual authorized to enter a Restricted or Closed Area 
must be issued a distinctive form of identification (e.g., badge) when 
the number of employees assigned to the area exceeds thirty per shift.
    (6) During nonworking hours, admittance must be controlled by 
protective personnel. Protective personnel shall conduct patrols during 
nonworking hours at least every 8 hours and more frequently if necessary 
to maintain a commensurate level of protection. Entrances must be 
continuously monitored by protective personnel or by an approved alarm 
system.
    (c) Due to the size and nature of the classified material, or 
operational necessity, it may be necessary to construct Closed Areas for 
storage because GSA-approved containers or vaults are unsuitable or 
impractical. Closed Areas must be approved by the CSA. The following 
measures apply to Closed Areas:
    (1) Access to Closed Areas must be controlled to preclude 
unauthorized access. This may be accomplished through the use of a 
cleared employee or by a CSA approved access control device or system.
    (2) Access must be limited to authorized persons who have an 
appropriate security clearance and a need-to-know for the classified 
matter within the area. Persons without the appropriate level of 
clearance and/or need-to-know must be escorted at all times by an 
authorized person where inadvertent or unauthorized exposure to 
classified information cannot otherwise be effectively prevented.
    (3) The Closed Area must be accorded supplemental protection during 
non-

[[Page 548]]

working hours. During these hours, admittance to the area must be 
controlled by locked entrances and exits secured by either an approved 
built-in combination lock or an approved combination or key-operated 
padlock. However, doors secured from the inside with a panic bolt (for 
example, actuated by a panic bar), a dead bolt, a rigid wood or metal 
bar, or other means approved by the CSA, do not require additional 
locking devices.
    (4) Open shelf or bin storage of classified matter in Closed Areas 
requires CSA approval. Only areas protected by an approved intrusion 
detection system will qualify for approval.

[62 FR 17693, Apr. 11, 1997, as amended at 64 FR 15652, Apr. 1, 1999]



Sec. 95.31  Protective personnel.

    Whenever protective personnel are used to protect classified 
information they shall:
    (a) Possess an ``L'' access authorization (or CSA equivalent) if the 
licensee or other person possesses information classified Confidential 
National Security Information, Confidential Restricted Data or Secret 
National Security Information.
    (b) Possess a ``Q'' access authorization (or CSA equivalent) if the 
licensee or other person possesses Secret Restricted Data related to 
nuclear weapons design, manufacturing and vulnerability information; and 
certain particularly sensitive Naval nuclear Propulsion Program 
Information (e.g., fuel manufacturing technology) and the protective 
personnel require access as part of their regular duties.

[62 FR 17694, Apr. 11, 1997]



Sec. 95.33  Security education.

    All cleared employees must be provided with security training and 
briefings commensurate with their involvement with classified 
information. The facility may obtain defensive security, threat 
awareness, and other education and training information and material 
from their CSA or other sources.
    (a) Facility Security Officer Training. Licensees and others are 
responsible for ensuring that the Facility Security Officer, and others 
performing security duties, complete security training deemed 
appropriate by the CSA. Training requirements must be based on the 
facility's involvement with classified information and may include a 
Facility Security Officer orientation course and, for Facility Security 
Officers at facilities with safeguarding capability, a Facility Security 
Officer Program Management Course. Training, if required, should be 
completed within 1 year of appointment to the position of Facility 
Security Officer.
    (b) Government-Provided Briefings. The CSA is responsible for 
providing initial security briefings to the Facility Security Officer, 
and for ensuring that other briefings required for special categories of 
information are provided.
    (c) Temporary Help Suppliers. A temporary help supplier, or other 
contractor who employs cleared individuals solely for dispatch 
elsewhere, is responsible for ensuring that required briefings are 
provided to their cleared personnel. The temporary help supplier or the 
using licensee or other facility may conduct these briefings.
    (d) Classified Information Nondisclosure Agreement (SF-312). The SF-
312 is an agreement between the United States and an individual who is 
cleared for access to classified information. An employee issued an 
initial access authorization must, in accordance with the requirements 
of Sec. 25.23 of this chapter, execute an SF-312 before being granted 
access to classified information. The Facility Security Officer shall 
forward the executed SF-312 to the CSA for retention. If the employee 
refuses to execute the SF-312, the licensee or other facility shall deny 
the employee access to classified information and submit a report to the 
CSA. The SF-312 must be signed and dated by the employee and witnessed. 
The employee's and witness' signatures must bear the same date.
    (e) Initial Security Briefings. Before being granted access to 
classified information, an employee shall receive an initial security 
briefing that includes the following topics:
    (1) A Threat Awareness Briefing.
    (2) A Defensive Security Briefing.
    (3) An overview of the security classification system.

[[Page 549]]

    (4) Employee reporting obligations and requirements.
    (5) Security procedures and duties applicable to the employee's job.
    (f) Refresher Briefings. The licensee or other facility shall 
conduct refresher briefings for all cleared employees every 3 years. As 
a minimum, the refresher briefing must reinforce the information 
provided during the initial briefing and inform employees of appropriate 
changes in security regulations. This requirement may be satisfied by 
use of audio/video materials and/or by issuing written materials.
    (g) Debriefings. Licensee and other facilities shall debrief cleared 
employees at the time of termination of employment (discharge, 
resignation, or retirement); when an employee's access authorization is 
terminated, suspended, or revoked; and upon termination of the Facility 
Clearance.
    (h) Records reflecting an individual's initial and refresher 
security orientations and security termination must be maintained for 
three years after termination of the individual's access authorization.

[62 FR 17694, Apr. 11, 1997, as amended at 64 FR 15652, Apr. 1, 1999]



Sec. 95.34  Control of visitors.

    (a) Uncleared visitors. Licensees, certificate holders, or others 
subject to this part shall take measures to preclude access to 
classified information by uncleared visitors.
    (b) Foreign visitors. Licensees, certificate holders, or others 
subject to this part shall take measures as may be necessary to preclude 
access to classified information by foreign visitors. The licensee, 
certificate holder, or others shall retain records of visits for 5 years 
beyond the date of the visit.

[64 FR 15652, Apr. 1, 1999]

                         Control of Information



Sec. 95.35  Access to matter classified as National Security Information and Restricted Data.

    (a) Except as the Commission may authorize, no person subject to the 
regulations in this part may receive or may permit any individual to 
have access to matter revealing Secret or Confidential National Security 
Information or Restricted Data unless the individual has:
    (1)(i) A ``Q'' access authorization which permits access to matter 
classified as Secret and Confidential Restricted Data or Secret and 
Confidential National Security Information which includes intelligence 
information, CRYPTO (i.e., cryptographic information) or other 
classified communications security (COMSEC) information, or
    (ii) An ``L'' access authorization which permits access to matter 
classified as Confidential Restricted Data and Secret and Confidential 
National Security Information other than that noted in paragraph 
(a)(1)(i) of this section except that access to certain Confidential 
COMSEC information is permitted as authorized by a National 
Communications Security Committee waiver dated February 14, 1984.
    (2) An established ``need-to-know'' for the matter (See Definitions, 
Sec. 95.5).
    (3) NRC-approved storage facilities if classified documents or 
material are to be transmitted to the individual.
    (b) Matter classified as National Security Information or Restricted 
Data shall not be released by a licensee or other person subject to part 
95 to any personnel other than properly access authorized Commission 
licensee employees, or other individuals authorized access by the 
Commission.
    (c) Access to matter which is National Security Information at NRC-
licensed facilities or NRC-certified facilities by authorized 
representatives of IAEA is permitted in accordance with Sec. 95.36.

[59 FR 48975, Sept. 23, 1994]



Sec. 95.36  Access by representatives of the International Atomic Energy Agency or by participants in other international agreements.

    (a) Based upon written disclosure authorization from the NRC 
Division of Facilities and Security that an individual is an authorized 
representative of the International Atomic Energy Agency (IAEA) or other 
international organization and that the individual is authorized to make 
visits or inspections in accordance with an established agreement with 
the United States Government, a licensee, certificate holder,

[[Page 550]]

or other person subject to this part shall permit the individual (upon 
presentation of the credentials specified in Sec. 75.7 of this chapter 
and any other credentials identified in the disclosure authorization) to 
have access to matter classified as National Security Information that 
is relevant to the conduct of a visit or inspection. A disclosure 
authorization under this section does not authorize a licensee, 
certificate holder, or other person subject to this part to provide 
access to Restricted Data.
    (b) For purposes of this section, classified National Security 
Information is relevant to the conduct of a visit or inspection if--
    (1) In the case of a visit, this information is needed to verify 
information according to Sec. 75.13 of this chapter; or
    (2) In the case of an inspection, an inspector is entitled to have 
access to the information under Sec. 75.42 of this chapter.
    (c) In accordance with the specific disclosure authorization 
provided by the Division of Facilities and Security, licensees or other 
persons subject to this part are authorized to release (i.e., transfer 
possession of) copies of documents that contain classified National 
Security Information directly to IAEA inspectors and other 
representatives officially designated to request and receive classified 
National Security Information documents. These documents must be marked 
specifically for release to IAEA or other international organizations in 
accordance with instructions contained in the NRC's disclosure 
authorization letter. Licensees and other persons subject to this part 
may also forward these documents through the NRC to the international 
organization's headquarters in accordance with the NRC disclosure 
authorization. Licensees and other persons may not reproduce documents 
containing classified National Security Information except as provided 
in Sec. 95.43.
    (d) Records regarding these visits and inspections must be 
maintained for 5 years beyond the date of the visit or inspection. These 
records must specifically identify each document released to an 
authorized representative and indicate the date of the release. These 
records must also identify (in such detail as the Division of Facilities 
and Security, by letter, may require) the categories of documents that 
the authorized representative has had access and the date of this 
access. A licensee or other person subject to this part shall also 
retain Division of Facilities and Security disclosure authorizations for 
5 years beyond the date of any visit or inspection when access to 
classified information was permitted.
    (e) Licensees or other persons subject to this part shall take such 
measures as may be necessary to preclude access to classified matter by 
participants of other international agreements unless specifically 
provided for under the terms of a specific agreement.

[62 FR 17694, Apr. 11, 1997, as amended at 64 FR 15652, Apr. 1, 1999]



Sec. 95.37  Classification and preparation of documents.

    (a) Classification. Classified information generated or possessed by 
a licensee or other person must be appropriately marked. Classified 
material which is not conducive to markings (e.g., equipment) may be 
exempt from this requirement. These exemptions are subject to the 
approval of the CSA on a case-by-case basis. If a person or facility 
generates or possesses information that is believed to be classified 
based on guidance provided by the NRC or by derivation from classified 
documents, but which no authorized classifier has determined to be 
classified, the information must be protected and marked with the 
appropriate classification markings pending review and signature of an 
NRC authorized classifier. This information shall be protected as 
classified information pending final determination.
    (b) Classification consistent with content. Each document containing 
classified information shall be classified Secret or Confidential 
according to its content. NRC licensees or others subject to the 
requirements of 10 CFR Part 95 may not make original classification 
decisions.
    (c) Markings required on face of documents.
    (1) For derivative classification of classified National Security 
Information:

[[Page 551]]

    (i) Derivative classifications of classified National Security 
Information must contain the identity of the source document or the 
classification guide, including the agency and office of origin, on the 
``Derived From'' line and its classification date. If more than one 
source is cited, the ``Derived From'' line should indicate ``Multiple 
Sources.'' The derivative classifier shall maintain the identification 
of each source with the file or record copy of the derivatively 
classified document.
    (ii) Declassification instructions. When marking derivatively 
classified documents, the ``DECLASSIFY ON'' line must carry forward the 
declassification instructions as reflected in the original document. If 
multiple sources are used, the instructions will carry forward the 
longest duration.
    (iii) If the source document used for derivative classification 
contains the declassification instruction, ``Originating Agency's 
Determination Required'' (OADR), the new document should reflect the 
date of the original classification of the information as contained in 
the source document or classification guide. An example of the stamp 
might be as follows:

Derived From____________________________________________________________
(Source)
Reason__________________________________________________________________
Declassify On: Source Marked ``OADR''
Date of Source:_________________________________________________________
Classifier:_____________________________________________________________
(Name/Title/Number)

    (2) For Restricted Data documents:
    (i) Identity of the classifier. The identity of the classifier must 
be shown by completion of the ``Derivative Classifier'' line. The 
``Derivative Classifier'' line must show the name of the person 
classifying the document and the basis for the classification. Dates for 
downgrading or declassification do not apply.
    (ii) Classification designation (e.g., Secret, Confidential) and 
Restricted Data. NOTE: No ``Declassification'' instructions will be 
placed on documents containing Restricted Data.
    (d) Placement of markings. The highest classification marking 
assigned to a document must be placed in a conspicuous fashion in 
letters at the top and bottom of the outside of the front covers and 
title pages, if any, and first and last pages on which text appears, on 
both bound and unbound documents, and on the outside of back covers of 
bound documents. The balance of the pages must be marked at the top and 
bottom with:
    (1) The overall classification marking assigned to the document;
    (2) The highest classification marking required by content of the 
page; or
    (3) The marking UNCLASSIFIED if they have no classified content.
    (e) Additional markings.
    (1) If the document contains any form of Restricted Data, it must 
bear the appropriate marking on the first page of text, on the front 
cover and title page, if any. For example: ``This document contains 
Restricted Data as defined in the Atomic Energy Act of 1954. 
Unauthorized disclosure subject to Administrative and Criminal 
Sanctions.''
    (2) Limitation on reproduction or dissemination. If the originator 
or classifier determines that reproduction or further dissemination of a 
document should be restricted, the following additional wording may be 
placed on the face of the document:

Reproduction or Further Dissemination Requires Approval of
________________________________________________________________________
If any portion of this additional marking does not apply, it should be 
crossed out.

    (f) Portion markings. In addition to the information required on the 
face of the document, each classified document is required, by marking 
or other means, to indicate clearly which portions are classified (e.g., 
paragraphs or pages) and which portions are not classified. The symbols 
(S) for Secret, (C) for Confidential, (U) for Unclassified, or (RD) for 
Restricted Data may be used immediately preceding or following the text 
to which it applies, except that the designation must follow titles or 
subjects. (Portion marking of paragraphs is not required for documents 
containing Restricted Data.) If this type of portion marking is not 
practicable, the document must contain a description sufficient to 
identify the classified information and the unclassified information.

[[Page 552]]

                                 Example

Pages 1-3  Secret
Pages 4-19  Unclassified
Pages 20-26  Secret
Pages 27-32  Confidential

    (g) Transmittal document. If a document transmitting classified 
information contains no classified information or the classification 
level of the transmittal document is not as high as the highest 
classification level of its enclosures, then the document must be marked 
at the top and bottom with a classification at least as high as its 
highest classified enclosure. The classification may be higher if the 
enclosures, when combined, warrant a higher classification than any 
individual enclosure. When the contents of the transmittal document 
warrants a lower classification than the highest classified enclosure(s) 
or combination of enclosures or requires no classification, a stamp or 
marking such as the following must also be used on the transmittal 
document:

    UPON REMOVAL OF ATTACHMENTS THIS DOCUMENT IS:

(Classification level of transmittal document standing alone or the word 
``UNCLASSIFIED'' if the transmittal document contains no classified 
information.)

    (h) Classification challenges. Persons in authorized possession of 
classified National Security Information who in good faith believe that 
the information's classification status (i.e. that the document), is 
classified at either too high a level for its content 
(overclassification) or too low for its content (underclassification) 
are expected to challenge its classification status. Persons who wish to 
challenge a classification status shall--
    (1) Refer the document or information to the originator or to an 
authorized NRC classifier for review. The authorized classifier shall 
review the document and render a written classification decision to the 
holder of the information.
    (2) In the event of a question regarding classification review, the 
holder of the information or the authorized classifier shall consult the 
NRC Division of Facilities and Security, Information Security Branch, 
for assistance.
    (3) Persons who challenge classification decisions have the right to 
appeal the classification decision to the Interagency Security 
Classification Appeals Panel.
    (4) Persons seeking to challenge the classification of information 
will not be the subject of retribution.
    (i) Files, folders or group of documents. Files, folders, binders, 
or groups of physically connected documents must be marked at least as 
high as the highest classified document which they contain.
    (j) Drafts and working papers. Drafts of documents and working 
papers which contain, or which are believed to contain, classified 
information must be marked as classified information.
    (k) Classification guidance. Licensees, certificate holders, or 
other persons subject to this part shall classify and mark classified 
matter as National Security Information or Restricted Data, as 
appropriate, in accordance with classification guidance provided by the 
NRC as part of the facility clearance process.

[62 FR 17695, Apr. 11, 1997, as amended at 64 FR 15652, Apr. 1, 1999]



Sec. 95.39  External transmission of documents and material.

    (a) Restrictions. Documents and material containing classified 
information received or originated in connection with an NRC license or 
certificate must be transmitted only to CSA approved security 
facilities.
    (b) Preparation of documents. Documents containing classified 
information must be prepared in accordance with the following when 
transmitted outside an individual installation.
    (1) The documents must be enclosed in two sealed opaque envelopes or 
wrappers.
    (2) The inner envelope or wrapper must contain the addressee's 
classified mail address and the name of the intended recipient. The 
appropriate classification must be placed on both sides of the envelope 
(top and bottom) and the additional markings, as appropriate, referred 
to in Sec. 95.37(e) must be placed on the side bearing the address.
    (3) The outer envelope or wrapper must contain the addressee's 
classified mailing address. The outer envelope or

[[Page 553]]

wrapper may not contain any classification, additional marking or other 
notation that indicate that the enclosed document contains classified 
information. The Classified Mailing Address shall be uniquely designated 
for the receipt of classified information. The classified shipping 
address for the receipt of material (e.g., equipment) should be 
different from the classified mailing address for the receipt of 
classified documents.
    (4) A receipt that contains an unclassified description of the 
document, the document number, if any, date of the document, 
classification, the date of transfer, the recipient and the person 
transferring the document must be enclosed within the inner envelope 
containing the document and be signed by the recipient and returned to 
the sender whenever the custody of a Secret document is transferred. 
This receipt process is at the option of the sender for Confidential 
information.
    (c) Methods of transportation.
    (1) Secret matter may be transported only by one of the following 
methods within and directly between the U.S., Puerto Rico, or a U.S. 
possession or trust territory:
    (i) U.S. Postal Service Express Mail and U.S. Postal Service 
Registered Mail.

    Note: The ``Waiver of Signature and Indemnity'' block on the U.S. 
Postal Service Express Mail Label 11-B may not be executed and the use 
of external (street side) express mail collection boxes is prohibited.

    (ii) A cleared ``Commercial Carrier.''
    (iii) A cleared commercial messenger service engaged in the 
intracity/local area delivery (same day delivery only) of classified 
material.
    (iv) A commercial delivery company, approved by the CSA, that 
provides nationwide, overnight service with computer tracing and 
reporting features. These companies need not be security cleared.
    (v) Other methods as directed, in writing, by the CSA.
    (2) Confidential matter may be transported by one of the methods set 
forth in paragraph (c)(1) of this section, by U.S. express or certified 
mail. Express or certified mail may be used in transmission of 
Confidential documents to Puerto Rico or any United States territory or 
possession.
    (d) Telecommunication of classified information. Classified 
information may not be telecommunicated unless the telecommunication 
system has been approved by the CSA. Licensees, certificate holders or 
other persons who may require a secure telecommunication system shall 
submit a telecommunication plan as part of their request for facility 
clearance, as outlined in Sec. 95.15, or as an amendment to their 
existing Standard Practice Procedures Plan for the protection of 
classified information.
    (e) Security of classified information in transit. Classified matter 
that, because of its nature, cannot be transported in accordance with 
Sec. 95.39(c), may only be transported in accordance with procedures 
approved by the CSA. Procedures for transporting classified matter are 
based on a satisfactory transportation plan submitted as part of the 
licensee's, certificate holder, or other person's request for facility 
clearance or submitted as an amendment to its existing Standard Practice 
Procedures Plan.

[62 FR 17696, Apr. 11, 1997, as amended at 64 FR 15652, Apr. 1, 1999]



Sec. 95.41  External receipt and dispatch records.

    Each licensee, certificate holder or other person possessing 
classified information shall maintain a record that reflects:
    (a) The date of the material;
    (b) The date of receipt or dispatch;
    (c) The classification;
    (d) An unclassified description of the material; and
    (e) The identity of the sender from which the material was received 
or recipient to which the material was dispatched. receipt and dispatch 
records must be retained for 2 years.

[62 FR 17697, Apr. 11, 1997]



Sec. 95.43  Authority to reproduce.

    (a) Each licensee or other person possessing classified information 
shall establish a reproduction control system to ensure that 
reproduction of classified material is held to the minimum

[[Page 554]]

consistent with operational requirements. Classified reproduction must 
be accomplished by authorized employees knowledgeable of the procedures 
for classified reproduction. The use of technology that prevents, 
discourages, or detects the unauthorized reproduction of classified 
documents is encouraged.
    (b) Unless restricted by the CSA, Secret and Confidential documents 
may be reproduced. Reproduced copies of classified documents are subject 
to the same protection as the original documents.
    (c) All reproductions of classified material must be conspicuously 
marked with the same classification markings as the material being 
reproduced. Copies of classified material must be reviewed after the 
reproduction process to ensure that these markings are visible.

[62 FR 17697, Apr. 11, 1997]



Sec. 95.45  Changes in classification.

    (a) Documents containing classified National Security Information 
must be downgraded or declassified as authorized by the NRC 
classification guides or as determined by the NRC. Requests for 
downgrading or declassifying any NRC classified information should be 
forwarded to the NRC Division of Facilities and Security, Office of 
Administration, Washington, DC 20555-0001. Requests for downgrading or 
declassifying of Restricted Data will be forwarded to the NRC Division 
of Facilities and Security for coordination with the Department of 
Energy.
    (b) If a change of classification or declassification is approved, 
the previous classification marking must be canceled and the following 
statement, properly completed, must be placed on the first page of the 
document:

    Classification canceled (or changed to)

________________________________________________________________________
(Insert appropriate classification)
    By authority of

________________________________________________________________________
(Person authorizing change in classification)
    By

________________________________________________________________________
(Signature of person making change and date thereof)

    (c) New markings reflecting the current classification status of the 
document will be applied in accordance with the requirements of 
Sec. 95.37.
    (d) Any persons making a change in classification or receiving 
notice of such a change shall forward notice of the change in 
classification to holders of all copies as shown on their records.

[62 FR 17697, Apr. 11, 1997, as amended at 64 FR 15653, Apr. 1, 1999]



Sec. 95.47  Destruction of matter containing classified information.

    Documents containing classified information may be destroyed by 
burning, pulping, or another method that ensures complete destruction of 
the information that they contain. The method of destruction must 
preclude recognition or reconstruction of the classified information. 
Any doubts on methods should be referred to the CSA.

[64 FR 15653, Apr. 1, 1999]



Sec. 95.49  Security of automatic data processing (ADP) systems.

    Classified data or information may not be processed or produced on 
an ADP system unless the system and procedures to protect the classified 
data or information have been approved by the CSA. Approval of the ADP 
system and procedures is based on a satisfactory ADP security proposal 
submitted as part of the licensee's or other person's request for 
facility clearance outlined in Sec. 95.15 or submitted as an amendment 
to its existing Standard Practice Procedures Plan for the protection of 
classified information.

[62 FR 17697, Apr. 11, 1997]



Sec. 95.51  Retrieval of classified matter following suspension or revocation of access authorization.

    In any case where the access authorization of an individual is 
suspended or revoked in accordance with the procedures set forth in part 
25 of this chapter, or other relevant CSA procedures, the licensee, 
certificate holder or other organization shall, upon due notice from the 
Commission of such suspension or revocation, retrieve all classified 
information possessed by the individual and take the action necessary to

[[Page 555]]

preclude that individual having further access to the information.

[62 FR 17697, Apr. 11, 1997]



Sec. 95.53  Termination of facility clearance.

    (a) If the need to use, process, store, reproduce, transmit, 
transport, or handle classified matter no longer exists, the facility 
clearance will be terminated. The facility may deliver all documents and 
matter containing classified information to the Commission, or to a 
person authorized to receive them, or must destroy all classified 
documents and matter. In either case, the facility shall submit a 
certification of nonpossession of classified information to the NRC 
Division of Facilities and Security within 30 days of the termination of 
the facility clearance.
    (b) In any instance where a facility clearance has been terminated 
based on a determination of the CSA that further possession of 
classified matter by the facility would not be in the interest of the 
national security, the facility shall, upon notice from the CSA, dispose 
of classified documents in a manner specified by the CSA.

[64 FR 15653, Apr. 1, 1999]



Sec. 95.55  Continued applicability of the regulations in this part.

    The suspension, revocation or other termination of access 
authorization or the termination of facility clearance does not relieve 
any person from compliance with the regulations in this part.

[62 FR 17698, Apr. 11, 1997]



Sec. 95.57  Reports.

    Each licensee or other person having a facility clearance shall 
report to the CSA and the Regional Administrator of the appropriate NRC 
Regional Office listed in 10 CFR part 73, appendix A:
    (a) Any alleged or suspected violation of the Atomic Energy Act, 
Espionage Act, or other Federal statutes related to classified 
information (e.g., deliberate disclosure of classified information to 
persons not authorized to receive it, theft of classified information). 
Incidents such as this must be reported within 1 hour of the event 
followed by written confirmation within 30 days of the incident; and
    (b) Any infractions, losses, compromises, or possible compromise of 
classified information or classified documents not falling within 
paragraph (a) of this section. Incidents such as these must be entered 
into a written log. A copy of the log must be provided to the NRC on a 
monthly basis. Details of security infractions including corrective 
action taken must be available to the CSA upon request.
    (c) In addition, NRC requires records for all classification actions 
(documents classified, declassified, or downgraded) to be submitted to 
the NRC Division of Facilities and Security. These may be submitted 
either on an ``as completed'' basis or monthly. The information may be 
submitted either electronically by an on-line system (NRC prefers the 
use of a dial-in automated system connected to the Division of 
Facilities and Security) or by paper copy using NRC Form 790.

[64 FR 15653, Apr. 1, 1999]



Sec. 95.59  Inspections.

    The Commission shall make inspections and reviews of the premises, 
activities, records and procedures of any person subject to the 
regulations in this part as the Commission and CSA deem necessary to 
effect the purposes of the Act, E.O. 12958 and/or NRC rules.

[62 FR 17698, Apr. 11, 1997]

                               Violations



Sec. 95.61  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;

[[Page 556]]

    (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 55080, Nov. 24, 1992]



Sec. 95.63  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 95 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 95 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 95.1, 95.3, 95.5, 95.7, 95.8, 95.9, 95.11, 95.17, 95.19, 95.21, 
95.23, 95.55, 95.59, 95.61, and 95.63.

[57 FR 55080, Nov. 24, 1992]



PART 100--REACTOR SITE CRITERIA--Table of Contents




Sec.
100.1  Purpose.
100.2  Scope.
100.3  Definitions.
100.4  Communications.
100.8  Information collection requirements: OMB approval.

    Subpart A--Evaluation Factors for Stationary Power Reactor Site 
      Applications Before January 10, 1997 and for Testing Reactors

100.10  Factors to be considered when evaluating sites.
100.11  Determination of exclusion area, low population zone, and 
          population center distance.

    Subpart B--Evaluation Factors for Stationary Power Reactor Site 
                Applications on or After January 10, 1997

100.20  Factors to be considered when evaluating sites.
100.21  Non-seismic site criteria.
100.23  Geologic and seismic siting criteria.

Appendix A to Part 100--Seismic and Geologic Siting Criteria for Nuclear 
          Power Plants

    Authority: Secs. 103, 104 161, 182, 68 Stat. 936, 937, 948, 953, as 
amended (42 U.S.C. 2133, 2134, 2201, 2232); sec. 201, as amended, 202, 
88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, 5842).

    Source: 27 FR 3509, Apr. 12, 1962, unless otherwise noted.



Sec. 100.1  Purpose.

    (a) The purpose of this part is to establish approval requirements 
for proposed sites for stationary power and testing reactors subject to 
part 50 or part 52 of this chapter.
    (b) There exists a substantial base of knowledge regarding power 
reactor siting, design, construction and operation. This base reflects 
that the primary factors that determine public health and safety are the 
reactor design, construction and operation.
    (c) Siting factors and criteria are important in assuring that 
radiological doses from normal operation and postulated accidents will 
be acceptably low, that natural phenomena and potential man-made hazards 
will be appropriately accounted for in the design of the plant, that 
site characteristics are such that adequate security measures to protect 
the plant can be developed, and that physical characteristics unique to 
the proposed site that could pose a significant impediment to the 
development of emergency plans are identified.
    (d) This approach incorporates the appropriate standards and 
criteria for approval of stationary power and testing reactor sites. The 
Commission intends to carry out a traditional defense-in-depth approach 
with regard to

[[Page 557]]

reactor siting to ensure public safety. Siting away from densely 
populated centers has been and will continue to be an important factor 
in evaluating applications for site approval.

[61 FR 65175, Dec. 11, 1996]



Sec. 100.2  Scope.

    The siting requirements contained in this part apply to applications 
for site approval for the purpose of constructing and operating 
stationary power and testing reactors pursuant to the provisions of part 
50 or part 52 of this chapter.

[61 FR 65175, Dec. 11, 1996]



Sec. 100.3  Definitions.

    As used in this part:
    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.
    Early Site Permit means a Commission approval, issued pursuant to 
subpart A of part 52 of this chapter, for a site or sites for one or 
more nuclear power facilities.
    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.
    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.
    Population center distance means the distance from the reactor to 
the nearest boundary of a densely populated center containing more than 
about 25,000 residents.
    Power reactor means a nuclear reactor of a type described in 
Sec. 50.21(b) or Sec. 50.22 of this chapter designed to produce 
electrical or heat energy.
    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.
    Safe Shutdown Earthquake Ground Motion is the vibratory ground 
motion for which certain structures, systems, and components must be 
designed pursuant to appendix S to part 50 of this chapter to remain 
functional.
    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.
    Testing reactor means a testing facility as defined in Sec. 50.2 of 
this chapter.

[61 FR 65175, Dec. 11, 1996]



Sec. 100.4  Communications.

    Except where otherwise specified in this part, all correspondence, 
reports, applications, and other written communications submitted 
pursuant to this part 100 should be addressed to the U.S. Nuclear 
Regulatory Commission, ATTN: Document Control Desk, Washington, DC 
20555-0001, and copies sent

[[Page 558]]

to the appropriate Regional Office and Resident Inspector. 
Communications and reports may be delivered in person at the 
Commission's offices at 2120 L Street, NW., Washington, DC, or at 11555 
Rockville Pike, Rockville, Maryland.

[61 FR 65176, Dec. 11, 1996]



Sec. 100.8  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 (44 U.S.C. 3501 et seq.). The NRC may not conductor 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0093.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 100.21, 100.23 and appendix A to this part.

[61 FR 65176, Dec. 11, 1996, as amended at 62 FR 52190, Oct. 6, 1997; 67 
FR 67101, Nov. 4, 2002]



    Subpart A--Evaluation Factors for Stationary Power Reactor Site 
      Applications Before January 10, 1997 and for Testing Reactors



Sec. 100.10  Factors to be considered when evaluating sites.

    Factors considered in the evaluation of sites include those relating 
both to the proposed reactor design and the characteristics peculiar to 
the site. It is expected that reactors will reflect through their 
design, construction and operation an extremely low probability for 
accidents that could result in release of significant quantities of 
radioactive fission products. In addition, the site location and the 
engineered features included as safeguards against the hazardous 
consequences of an accident, should one occur, should insure a low risk 
of public exposure. In particular, the Commission will take the 
following factors into consideration in determining the acceptability of 
a site for a power or testing reactor:
    (a) Characteristics of reactor design and proposed operation 
including:
    (1) Intended use of the reactor including the proposed maximum power 
level and the nature and inventory of contained radioactive materials;
    (2) The extent to which generally accepted engineering standards are 
applied to the design of the reactor;
    (3) The extent to which the reactor incorporates unique or unusual 
features having a significant bearing on the probability or consequences 
of accidental release of radioactive materials;
    (4) 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.
    (b) Population density and use characteristics of the site environs, 
including the exclusion area, low population zone, and population center 
distance.
    (c) Physical characteristics of the site, including seismology, 
meteorology, geology, and hydrology.
    (1) Appendix A, ``Seismic and Geologic Siting Criteria for Nuclear 
Power Plants,'' describes the nature of investigations required to 
obtain the geologic and seismic data necessary to determine site 
suitability and to provide reasonable assurance that a nuclear power 
plant can be constructed and operated at a proposed site without undue 
risk to the health and safety of the public. It describes procedures for 
determining the quantitative vibratory ground motion design basis at a 
site due to earthquakes and describes information needed to determine 
whether and to what extent a nuclear power plant need be designed to 
withstand the effects of surface faulting.
    (2) Meteorological conditions at the site and in the surrounding 
area should be considered.
    (3) Geological and hydrological characteristics of the proposed site 
may have a bearing on the consequences of an escape of radioactive 
material from the facility. Special precautions should be planned if a 
reactor is to be located at a site where a significant quantity

[[Page 559]]

of radioactive effluent might accidentally flow into nearby streams or 
rivers or might find ready access to underground water tables.
    (d) Where unfavorable physical characteristics of the site exist, 
the proposed site may nevertheless be found to be acceptable if the 
design of the facility includes appropriate and adequate compensating 
engineering safeguards.

[27 FR 3509, Apr. 12, 1962, as amended at 38 FR 31281, Nov. 13, 1973]



Sec. 100.11  Determination of exclusion area, low population zone, and population center distance.

    (a) As an aid in evaluating a proposed site, an applicant should 
assume a fission produce release \1\ from the core, the expected 
demonstrable leak rate from the containment and the meteorological 
conditions pertinent to his site to derive an exclusion area, a low 
population zone and population center distance. For the purpose of this 
analysis, which shall set forth the basis for the numerical values used, 
the applicant should determine the following:
---------------------------------------------------------------------------

    \1\ The fission product release assumed for these calculations 
should be based upon a major accident, hypothesized for purposes of site 
analysis or postulated from considerations of possible accidental 
events, that would result in potential hazards not exceeded by those 
from any accident considered credible. Such accidents have generally 
been assumed to result in substantial meltdown of the core with 
subsequent release of appreciable quantities of fission products.
---------------------------------------------------------------------------

    (1) An exclusion area of such size that an individual located at any 
point on its boundary for two hours immediately following onset of the 
postulated fission product release would not receive a total radiation 
dose to the whole body in excess of 25 rem \2\ or a total radiation dose 
in excess of 300 rem \2\ to the thyroid from iodine exposure.
---------------------------------------------------------------------------

    \2\ The whole body dose of 25 rem referred to above corresponds 
numerically to the once in a lifetime accidental or emergency dose for 
radiation workers which, according to NCRP recommendations may be 
disregarded in the determination of their radiation exposure status (see 
NBS Handbook 69 dated June 5, 1959). However, neither its use nor that 
of the 300 rem value for thyroid exposure as set forth in these site 
criteria guides are intended to imply that these numbers constitute 
acceptable limits for emergency doses to the public under accident 
conditions. Rather, this 25 rem whole body value and the 300 rem thyroid 
value have been set forth in these guides as reference values, which can 
be used in the evaluation of reactor sites with respect to potential 
reactor accidents of exceedingly low probability of occurrence, and low 
risk of public exposure to radiation.
---------------------------------------------------------------------------

    (2) A low population zone of such size that an individual located at 
any point on its outer boundary 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 total radiation dose to the 
whole body in excess of 25 rem or a total radiation dose in excess of 
300 rem to the thyroid from iodine exposure.
    (3) A population center distance of at least one and one-third times 
the distance from the reactor to the outer boundary of the low 
population zone. In applying this guide, the boundary of the population 
center shall be determined upon consideration of population 
distribution. Political boundaries are not controlling in the 
application of this guide. Where very large cities are involved, a 
greater distance may be necessary because of total integrated population 
dose consideration.
    (b) For sites for multiple reactor facilities consideration should 
be given to the following:
    (1) If the reactors are independent to the extent that an accident 
in one reactor would not initiate an accident in another, the size of 
the exclusion area, low population zone and population center distance 
shall be fulfilled with respect to each reactor individually. The 
envelopes of the plan overlay of the areas so calculated shall then be 
taken as their respective boundaries.
    (2) If the reactors are interconnected to the extent that an 
accident in one reactor could affect the safety of operation of any 
other, the size of the exclusion area, low population zone and 
population center distance shall be based upon the assumption that all 
interconnected reactors emit their postulated fission product releases 
simultaneously. This requirement may be reduced in relation to the 
degree of coupling between reactors, the probability

[[Page 560]]

of concomitant accidents and the probability that an individual would 
not be exposed to the radiation effects from simultaneous releases. The 
applicant would be expected to justify to the satisfaction of the 
Commission the basis for such a reduction in the source term.
    (3) The applicant is expected to show that the simultaneous 
operation of multiple reactors at a site will not result in total 
radioactive effluent releases beyond the allowable limits of applicable 
regulations.

    Note: For further guidance in developing the exclusion area, the low 
population zone, and the population center distance, reference is made 
to Technical Information Document 14844, dated March 23, 1962, which 
contains a procedural method and a sample calculation that result in 
distances roughly reflecting current siting practices of the Commission. 
The calculations described in Technical Information Document 14844 may 
be used as a point of departure for consideration of particular site 
requirements which may result from evaluation of the characteristics of 
a particular reactor, its purpose and method of operation.

[27 FR 3509, Apr. 12, 1962, as amended at 31 FR 4670, Mar. 19, 1966; 38 
FR 1273, Jan. 11, 1973; 40 FR 8793, Mar. 3, 1975; 40 FR 26527, June 24, 
1975; 53 FR 43422, Oct. 27, 1988; 64 FR 48955, Sept. 9, 1999; 67 FR 
67101, Nov. 4, 2002]



    Subpart B--Evaluation Factors for Stationary Power Reactor Site 
                Applications on or After January 10, 1997

    Source: 61 FR 65176, Dec. 11, 1996, unless otherwise noted.



Sec. 100.20  Factors to be considered when evaluating sites.

    The Commission will take the following factors into consideration in 
determining the acceptability of a site for a stationary power reactor:
    (a) Population density and use characteristics of the site environs, 
including the exclusion area, the population distribution, and site-
related characteristics must be evaluated to determine whether 
individual as well as societal risk of potential plant accidents is low, 
and that physical characteristics unique to the proposed site that could 
pose a significant impediment to the development of emergency plans are 
identified.
    (b) The nature and proximity of man-related hazards (e.g., airports, 
dams, transportation routes, military and chemical facilities) must be 
evaluated to establish site parameters for use in determining whether a 
plant design can accommodate commonly occurring hazards, and whether the 
risk of other hazards is very low.
    (c) Physical characteristics of the site, including seismology, 
meteorology, geology, and hydrology.
    (1) Section 100.23, ``Geologic and seismic siting factors,'' 
describes the criteria and nature of investigations required to obtain 
the geologic and seismic data necessary to determine the suitability of 
the proposed site and the plant design bases.
    (2) Meteorological characteristics of the site that are necessary 
for safety analysis or that may have an impact upon plant design (such 
as maximum probable wind speed and precipitation) must be identified and 
characterized.
    (3) Factors important to hydrological radionuclide transport (such 
as soil, sediment, and rock characteristics, adsorption and retention 
coefficients, ground water velocity, and distances to the nearest 
surface body of water) must be obtained from on-site measurements. The 
maximum probable flood along with the potential for seismically induced 
floods discussed in Sec. 100.23 (d)(3) must be estimated using 
historical data.



Sec. 100.21  Non-seismic siting criteria.

    Applications for site approval for commercial power reactors shall 
demonstrate that the proposed site meets the following criteria:
    (a) Every site must have an exclusion area and a low population 
zone, as defined in Sec. 100.3;
    (b) The population center distance, as defined in Sec. 100.3, must 
be at least one and one-third times the distance from the reactor to the 
outer boundary of the low population zone. In applying this guide, the 
boundary of the population center shall be determined upon consideration 
of population distribution. Political boundaries are not controlling in 
the application of this guide;

[[Page 561]]

    (c) Site atmospheric dispersion characteristics must be evaluated 
and dispersion parameters established such that:
    (1) Radiological effluent release limits associated with normal 
operation from the type of facility proposed to be located at the site 
can be met for any individual located offsite; and
    (2) Radiological dose consequences of postulated accidents shall 
meet the criteria set forth in Sec. 50.34(a)(1) of this chapter for the 
type of facility proposed to be located at the site;
    (d) The physical characteristics of the site, including meteorology, 
geology, seismology, and hydrology must be evaluated and site parameters 
established such that potential threats from such physical 
characteristics will pose no undue risk to the type of facility proposed 
to be located at the site;
    (e) Potential hazards associated with nearby transportation routes, 
industrial and military facilities must be evaluated and site parameters 
established such that potential hazards from such routes and facilities 
will pose no undue risk to the type of facility proposed to be located 
at the site;
    (f) Site characteristics must be such that adequate security plans 
and measures can be developed;
    (g) Physical characteristics unique to the proposed site that could 
pose a significant impediment to the development of emergency plans must 
be identified;
    (h) Reactor sites should be located away from very densely populated 
centers. Areas of low population density are, generally, preferred. 
However, in determining the acceptability of a particular site located 
away from a very densely populated center but not in an area of low 
density, consideration will be given to safety, environmental, economic, 
or other factors, which may result in the site being found acceptable 
3.
---------------------------------------------------------------------------

    \3\ Examples of these factors include, but are not limited to, such 
factors as the higher population density site having superior seismic 
characteristics, better access to skilled labor for construction, better 
rail and highway access, shorter transmission line requirements, or less 
environmental impact on undeveloped areas, wetlands or endangered 
species, etc. Some of these factors are included in, or impact, the 
other criteria included in this section.
---------------------------------------------------------------------------



Sec. 100.23  Geologic and seismic siting criteria.

    This section sets forth the principal geologic and seismic 
considerations that guide the Commission in its evaluation of the 
suitability of a proposed site and adequacy of the design bases 
established in consideration of the geologic and seismic characteristics 
of the proposed site, such that, there is a reasonable assurance that a 
nuclear power plant can be constructed and operated at the proposed site 
without undue risk to the health and safety of the public. Applications 
to engineering design are contained in appendix S to part 50 of this 
chapter.
    (a) Applicability. The requirements in paragraphs (c) and (d) of 
this section apply to applicants for an early site permit or combined 
license pursuant to Part 52 of this chapter, or a construction permit or 
operating license for a nuclear power plant 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 seismic and geologic siting criteria in 
Appendix A to Part 100 of this chapter continues to apply.
    (b) Commencement of construction. The investigations required in 
paragraph (c) of this section are within the scope of investigations 
permitted by Sec. 50.10(c)(1) of this chapter.
    (c) Geological, seismological, and engineering characteristics. The 
geological, seismological, and engineering characteristics of a site and 
its environs must be investigated in sufficient scope and detail to 
permit an adequate evaluation of the proposed site, to provide 
sufficient information to support evaluations performed to arrive at 
estimates of the Safe Shutdown Earthquake Ground Motion, and to permit 
adequate engineering solutions to actual or potential geologic and 
seismic effects at the proposed site. The size of the region to be 
investigated and the type of data pertinent to the investigations must 
be determined based on the nature of the region surrounding the proposed 
site. Data on the vibratory

[[Page 562]]

ground motion, tectonic surface deformation, nontectonic deformation, 
earthquake recurrence rates, fault geometry and slip rates, site 
foundation material, and seismically induced floods and water waves must 
be obtained by reviewing pertinent literature and carrying out field 
investigations. However, each applicant shall investigate all geologic 
and seismic factors (for example, volcanic activity) that may affect the 
design and operation of the proposed nuclear power plant irrespective of 
whether such factors are explicitly included in this section.
    (d) Geologic and seismic siting factors. The geologic and seismic 
siting factors considered for design must include a determination of the 
Safe Shutdown Earthquake Ground Motion for the site, the potential for 
surface tectonic and nontectonic deformations, the design bases for 
seismically induced floods and water waves, and other design conditions 
as stated in paragraph (d)(4) of this section.
    (1) Determination of the Safe Shutdown Earthquake Ground Motion. The 
Safe Shutdown Earthquake Ground Motion for the site is characterized by 
both horizontal and vertical free-field ground motion response spectra 
at the free ground surface. The Safe Shutdown Earthquake Ground Motion 
for the site is determined considering the results of the investigations 
required by paragraph (c) of this section. Uncertainties are inherent in 
such estimates. These uncertainties must be addressed through an 
appropriate analysis, such as a probabilistic seismic hazard analysis or 
suitable sensitivity analyses. Paragraph IV(a)(1) of appendix S to part 
50 of this chapter defines the minimum Safe Shutdown Earthquake Ground 
Motion for design.
    (2) Determination of the potential for surface tectonic and 
nontectonic deformations. Sufficient geological, seismological, and 
geophysical data must be provided to clearly establish whether there is 
a potential for surface deformation.
    (3) Determination of design bases for seismically induced floods and 
water waves. The size of seismically induced floods and water waves that 
could affect a site from either locally or distantly generated seismic 
activity must be determined.
    (4) Determination of siting factors for other design conditions. 
Siting factors for other design conditions that must be evaluated 
include soil and rock stability, liquefaction potential, natural and 
artificial slope stability, cooling water supply, and remote safety-
related structure siting. Each applicant shall evaluate all siting 
factors and potential causes of failure, such as, the physical 
properties of the materials underlying the site, ground disruption, and 
the effects of vibratory ground motion that may affect the design and 
operation of the proposed nuclear power plant.

Appendix A to Part 100--Seismic and Geologic Siting Criteria for Nuclear 
                              Power Plants

                               i. purpose

    General Design Criterion 2 of Appendix A to part 50 of this chapter 
requires that nuclear power plant structures, systems, and components 
important to safety 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. It is the purpose of these criteria to set forth the 
principal seismic and geologic considerations which guide the Commission 
in its evaluation of the suitability of proposed sites for nuclear power 
plants and the suitability of the plant design bases established in 
consideration of the seismic and geologic characteristics of the 
proposed sites.
    These criteria are based on the limited geophysical and geological 
information available to date concerning faults and earthquake 
occurrence and effect. They will be revised as necessary when more 
complete information becomes available.

                                ii. scope

    These criteria, which apply to nuclear power plants, describe the 
nature of the investigations required to obtain the geologic and seismic 
data necessary to determine site suitability and provide reasonable 
assurance that a nuclear power plant can be constructed and operated at 
a proposed site without undue risk to the health and safety of the 
public. They describe procedures for determining the quantitative 
vibratory ground motion design basis at a site due to earthquakes and 
describe information needed to determine whether and to what extent a 
nuclear power plant need be designed to withstand the effects of surface 
faulting.

[[Page 563]]

Other geologic and seismic factors required to be taken into account in 
the siting and design of nuclear power plants are identified.
    The investigations described in this appendix are within the scope 
of investigations permitted by Sec. 50.10(c)(1) of this chapter.
    Each applicant for a construction permit shall investigate all 
seismic and geologic factors that may affect the design and operation of 
the proposed nuclear power plant irrespective of whether such factors 
are explicitly included in these criteria. Additional investigations 
and/or more conservative determinations than those included in these 
criteria may be required for sites located in areas having complex 
geology or in areas of high seismicity. If an applicant believes that 
the particular seismology and geology of a site indicate that some of 
these criteria, or portions thereof, need not be satisfied, the specific 
sections of these criteria should be identified in the license 
application, and supporting data to justify clearly such departures 
should be presented.
    These criteria do not address investigations of volcanic phenomena 
required for sites located in areas of volcanic activity. Investigations 
of the volcanic aspects of such sites will be determined on a case-by-
case basis.

                            iii. definitions

    As used in these criteria:
    (a) The magnitude of an earthquake is a measure of the size of an 
earthquake and is related to the energy released in the form of seismic 
waves. Magnitude means the numerical value on a Richter scale.
    (b) The intensity of an earthquake is a measure of its effects on 
man, on man-built structures, and on the earth's surface at a particular 
location. Intensity means the numerical value on the Modified Mercalli 
scale.
    (c) The Safe Shutdown Earthquake \1\ is that earthquake which is 
based upon an evaluation of the maximum earthquake potential considering 
the regional and local geology and seismology and specific 
characteristics of local subsurface material. It is that earthquake 
which produces the maximum vibratory ground motion for which certain 
structures, systems, and components are designed to remain functional. 
These structures, systems, and components are those necessary to assure:
---------------------------------------------------------------------------

    \1\ The Safe Shutdown Earthquake defines that earthquake which has 
commonly been referred to as the Design Basis Earthquake.
---------------------------------------------------------------------------

    (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 which could result in potential offsite exposures comparable 
to the guideline exposures of this part.
    (d) The Operating Basis Earthquake is that earthquake which, 
considering the regional and local geology and seismology and specific 
characteristics of local subsurface material, could reasonably be 
expected to affect the plant site during the operating life of the 
plant; it is that earthquake which produces 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 are designed to remain functional.
    (e) A fault is a tectonic structure along which differential 
slippage of the adjacent earth materials has occurred parallel to the 
fracture plane. It is distinct from other types of ground disruptions 
such as landslides, fissures, and craters. A fault may have gouge or 
breccia between its two walls and includes any associated monoclinal 
flexure or other similar geologic structural feature.
    (f) Surface faulting is differential ground displacement at or near 
the surface caused directly by fault movement and is distinct from 
nontectonic types of ground disruptions, such as landslides, fissures, 
and craters.
    (g) A capable fault is a fault which has exhibited one or more of 
the following characteristics:
    (1) Movement at or near the ground surface at least once within the 
past 35,000 years or movement of a recurring nature within the past 
500,000 years.
    (2) Macro-seismicity instrumentally determined with records of 
sufficient precision to demonstrate a direct relationship with the 
fault.
    (3) A structural relationship to a capable fault according to 
characteristics (1) or (2) of this paragraph such that movement on one 
could be reasonably expected to be accompanied by movement on the other.
    In some cases, the geologic evidence of past activity at or near the 
ground surface along a particular fault may be obscured at a particular 
site. This might occur, for example, at a site having a deep overburden. 
For these cases, evidence may exist elsewhere along the fault from which 
an evaluation of its characteristics in the vicinity of the site can be 
reasonably based. Such evidence shall be used in determining whether the 
fault is a capable fault within this definition.
    Notwithstanding the foregoing paragraphs III(g) (1), (2) and (3), 
structural association of a fault with geologic structural features 
which are geologically old (at least pre-Quaternary) such as many of 
those found in the Eastern region of the United States shall, in the 
absence of conflicting evidence, demonstrate that the fault is not a 
capable fault within this definition.

[[Page 564]]

    (h) A tectonic province is a region of the North American continent 
characterized by a relative consistency of the geologic structural 
features contained therein.
    (i) A tectonic structure is a large scale dislocation or distortion 
within the earth's crust. Its extent is measured in miles.
    (j) A zone requiring detailed faulting investigation is a zone 
within which a nuclear power reactor may not be located unless a 
detailed investigation of the regional and local geologic and seismic 
characteristics of the site demonstrates that the need to design for 
surface faulting has been properly determined.
    (k) The control width of a fault is the maximum width of the zone 
containing mapped fault traces, including all faults which can be 
reasonably inferred to have experienced differential movement during 
Quaternary times and which join or can reasonably be inferred to join 
the main fault trace, measured within 10 miles along the fault's trend 
in both directions from the point of nearest approach to the site. (See 
Figure 1 of this appendix.)
    (l) A response spectrum is a plot of the maximum responses 
(acceleration, velocity or displacement) of a family of idealized 
single-degree-of-freedom damped oscillators against natural frequencies 
(or periods) of the oscillators to a specified vibratory motion input at 
their supports.

                       iv. required investigations

    The geologic, seismic and engineering characteristics of a site and 
its environs shall be investigated in sufficient scope and detail to 
provide reasonable assurance that they are sufficiently well understood 
to permit an adequate evaluation of the proposed site, and to provide 
sufficient information to support the determinations required by these 
criteria and to permit adequate engineering solutions to actual or 
potential geologic and seismic effects at the proposed site. The size of 
the region to be investigated and the type of data pertinent to the 
investigations shall be determined by the nature of the region 
surrounding the proposed site. The investigations shall be carried out 
by a review of the pertinent literature and field investigations and 
shall include the steps outlined in paragraphs (a) through (c) of this 
section.
    (a) Required Investigation for Vibratory Ground Motion. The purpose 
of the investigations required by this paragraph is to obtain 
information needed to describe the vibratory ground motion produced by 
the Safe Shutdown Earthquake. All of the steps in paragraphs (a)(5) 
through (a)(8) of this section need not be carried out if the Safe 
Shutdown Earthquake can be clearly established by investigations and 
determinations of a lesser scope. The investigations required by this 
paragraph provide an adequate basis for selection of an Operating Basis 
Earthquake. The investigations shall include the following:
    (1) Determination of the lithologic, stratigraphic, hydrologic, and 
structural geologic conditions of the site and the region surrounding 
the site, including its geologic history;
    (2) Identification and evaluation of tectonic structures underlying 
the site and the region surrounding the site, whether buried or 
expressed at the surface. The evaluation should consider the possible 
effects caused by man's activities such as withdrawal of fluid from or 
addition of fluid to the subsurface, extraction of minerals, or the 
loading effects of dams or reservoirs;
    (3) Evaluation of physical evidence concerning the behavior during 
prior earthquakes of the surficial geologic materials and the substrata 
underlying the site from the lithologic, stratigraphic, and structural 
geologic studies;
    (4) Determination of the static and dynamic engineering properties 
of the materials underlying the site. Included should be properties 
needed to determine the behavior of the underlying material during 
earthquakes and the characteristics of the underlying material in 
transmitting earthquake-induced motions to the foundations of the plant, 
such as seismic wave velocities, density, water content, porosity, and 
strength;
    (5) Listing of all historically reported earthquakes which have 
affected or which could reasonably be expected to have affected the 
site, including the date of occurrence and the following measured or 
estimated data: magnitude or highest intensity, and a plot of the 
epicenter or location of highest intensity. Where historically reported 
earthquakes could have caused a maximum ground acceleration of at least 
one-tenth the acceleration of gravity (0.1g) at the foundations of the 
proposed nuclear power plant structures, the acceleration or intensity 
and duration of ground shaking at these foundations shall also be 
estimated. Since earthquakes have been reported in terms of various 
parameters such as magnitude, intensity at a given location, and effect 
on ground, structures, and people at a specific location, some of these 
data may have to be estimated by use of appropriate empirical 
relationships. The comparative characteristics of the material 
underlying the epicentral location or region of highest intensity and of 
the material underlying the site in transmitting earthquake vibratory 
motion shall be considered;
    (6) Correlation of epicenters or locations of highest intensity of 
historically reported earthquakes, where possible, with tectonic 
structures any part of which is located within 200 miles of the site. 
Epicenters or locations of highest intensity which cannot be

[[Page 565]]

reasonably correlated with tectonic structures shall be identified with 
tectonic provinces any part of which is located within 200 miles of the 
site;
    (7) For faults, any part of which is within 200 miles \2\ of the 
site and which may be of significance in establishing the Safe Shutdown 
Earthquake, determination of whether these faults are to be considered 
as capable faults. 3, 4 This determination is required in 
order to permit appropriate consideration of the geologic history of 
such faults in establishing the Safe Shutdown Earthquake. For guidance 
in determining which faults may be of significance in determining the 
Safe Shutdown Earthquake, table 1 of this appendix presents the minimum 
length of fault to be considered versus distance from site. Capable 
faults of lesser length than those indicated in table 1 and faults which 
are not capable faults need not be considered in determining the Safe 
Shutdown Earthquake, except where unusual circumstances indicate such 
consideration is appropriate;
---------------------------------------------------------------------------

    \2\ If the Safe Shutdown Earthquake can be associated with a fault 
closer than 200 miles to the site, the procedures of paragraphs (a)(7) 
and (a)(8) of this section need not be carried out for successively more 
remote faults.
    \3\ In the absence of absolute dating, evidence of recency of 
movement may be obtained by applying relative dating technique to 
ruptured, offset, warped or otherwise structurally disturbed surface or 
near surface materials or geomorphic features.
    \4\ The applicant shall evaluate whether or not a fault is a capable 
fault with respect to the characteristics outlined in paragraphs 
III(g)(1), (2), and (3) by conducting a reasonable investigation using 
suitable geologic and geophysical techniques.

                                 Table 1
------------------------------------------------------------------------
                                                                Minimum
                                                              length \1\
------------------------------------------------------------------------
Distance from the site (miles):
  0 to 20...................................................           1
  Greater than 20 to 50.....................................           5
  Greater than 50 to 100....................................          10
  Greater than 100 to 150...................................          20
  Greater than 150 to 200...................................          40
------------------------------------------------------------------------
\1\ Minimum length of fault (miles) which shall be considered in
  establishing Safe Shutdown Earthquake.

    (8) For capable faults, any part of which is within 200 miles \2\ of 
the site and which may be of significance in establishing the Safe 
Shutdown Earthquake, determination of:
    (i) The length of the fault;
    (ii) The relationship of the fault to regional tectonic structures; 
and
    (iii) The nature, amount, and geologic history of displacements 
along the fault, including particularly the estimated amount of the 
maximum Quaternary displacement related to any one earthquake along the 
fault.
    (b) Required Investigation for Surface Faulting. The purpose of the 
investigations required by this paragraph is to obtain information to 
determine whether and to what extent the nuclear power plant need be 
designed for surface faulting. If the design basis for surface faulting 
can be clearly established by investigations of a lesser scope, not all 
of the steps in paragraphs (b)(4) through (b)(7) of this section need be 
carried out. The investigations shall include the following:
    (1) Determination of the lithologic, stratigraphic, hydrologic, and 
structural geologic conditions of the site and the area surrounding the 
site, including its geologic history;
    (2) Evaluation of tectonic structures underlying the site, whether 
buried or expressed at the surface, with regard to their potential for 
causing surface displacement at or near the site. The evaluation shall 
consider the possible effects caused by man's activities such as 
withdrawal of fluid from or addition of fluid to the subsurface, 
extraction of minerals, or the loading effects of dams or reservoirs;
    (3) Determination of geologic evidence of fault offset at or near 
the ground surface at or near the site;
    (4) For faults greater than 1000 feet long, any part of which is 
within 5 miles \5\ of the site, determination of whether these faults 
are to be considered as capable faults; \6, 7\
---------------------------------------------------------------------------

    \5\ If the design basis for surface faulting can be determined from 
a fault closer than 5 miles to the site, the procedures of paragraphs 
(b)(4) through (b)(7) of this section need not be carried out for 
successively more remote faults.
    \6\ In the absence of absolute dating, evidence of recency of 
movement may be obtained by applying relative dating techniques to 
ruptured, offset, warped or otherwise structurally disturbed surface of 
near-surface materials or geomorphic features.
    \7\ The applicant shall evaluate whether or not a fault is a capable 
fault with respect to the characteristics outlined in paragraphs 
III(g)(1), (2), and (3) by conducting a reasonable investigation using 
suitable geological and geophysical techniques.
---------------------------------------------------------------------------

    (5) Listing of all historically reported earthquakes which can 
reasonably be associated with capable faults greater than 1000 feet 
long, any part of which is within 5 miles \5\ of the site, including the 
date of occurrence and the following measured or estimated data: 
magnitude or highest intensity, and a plot of the epicenter or region of 
highest intensity;
    (6) Correlation of epicenters or locations of highest intensity of 
historically reported

[[Page 566]]

earthquakes with capable faults greater than 1000 feet long, any part of 
which is located within 5 miles \5\ of the site;
    (7) For capable faults greater than 1000 feet long, any part of 
which is within 5 miles \5\ of the site, determination of:
    (i) The length of the fault;
    (ii) The relationship of the fault to regional tectonic structures;
    (iii) The nature, amount, and geologic history of displacements 
along the fault, including particularly the estimated amount of the 
maximum Quaternary displacement related to any one earthquake along the 
fault; and
    (iv) The outer limits of the fault established by mapping Quaternary 
fault traces for 10 miles along its trend in both directions from the 
point of its nearest approach to the site.
    (c) Required Investigation for Seismically Induced Floods and Water 
Waves. (1) For coastal sites, the investigations shall include the 
determination of:
    (i) Information regarding distantly and locally generated waves or 
tsunami which have affected or could have affected the site. Available 
evidence regarding the runup and drawdown associated with historic 
tsunami in the same coastal region as the site shall also be included;
    (ii) Local features of coastal topography which might tend to modify 
tsunami runup or drawdown. Appropriate available evidence regarding 
historic local modifications in tsunami runup or drawndown at coastal 
locations having topography similar to that of the site shall also be 
obtained; and
    (iii) Appropriate geologic and seismic evidence to provide 
information for establishing the design basis for seismically induced 
floods or water waves from a local offshore earthquake, from local 
offshore effects of an onshore earthquake, or from coastal subsidence. 
This evidence shall be determined, to the extent practical, by a 
procedure similar to that required in paragraphs (a) and (b) of this 
section. The probable slip characteristics of offshore faults shall also 
be considered as well as the potential for offshore slides in submarine 
material.
    (2) For sites located near lakes and rivers, investigations similar 
to those required in paragraph (c)(1) of this section shall be carried 
out, as appropriate, to determine the potential for the nuclear power 
plant to be exposed to seismically induced floods and water waves as, 
for example, from the failure during an earthquake of an upstream dam or 
from slides of earth or debris into a nearby lake.

                  v. seismic and geologic design bases

    (a) Determination of Design Basis for Vibratory Ground Motion. The 
design of each nuclear power plant shall take into account the potential 
effects of vibratory ground motion caused by earthquakes. The design 
basis for the maximum vibratory ground motion and the expected vibratory 
ground motion should be determined through evaluation of the seismology, 
geology, and the seismic and geologic history of the site and the 
surrounding region. The most severe earthquakes associated with tectonic 
structures or tectonic provinces in the region surrounding the site 
should be identified, considering those historically reported 
earthquakes that can be associated with these structures or provinces 
and other relevant factors. If faults in the region surrounding the site 
are capable faults, the most severe earthquakes associated with these 
faults should be determined by also considering their geologic history. 
The vibratory ground motion at the site should be then determined by 
assuming that the epicenters or locations of highest intensity of the 
earthquakes are situated at the point on the tectonic structures or 
tectonic provinces nearest to the site. The earthquake which could cause 
the maximum vibratory ground motion at the site should be designated the 
Safe Shutdown Earthquake. The specific procedures for determining the 
design basis for vibratory ground motion are given in the following 
paragraphs.
    (1) Determination of Safe Shutdown Earthquake. The Safe Shutdown 
Earthquake shall be identified through evaluation of seismic and 
geologic information developed pursuant to the requirements of paragraph 
IV(a), as follows:
    (i) The historic earthquakes of greatest magnitude or intensity 
which have been correlated with tectonic structures pursuant to the 
requirements of paragraph (a)(6) of section IV shall be determined. In 
addition, for capable faults, the information required by paragraph 
(a)(8) of section IV shall also be taken into account in determining the 
earthquakes of greatest magnitude related to the faults. The magnitude 
or intensity of earthquakes based on geologic evidence may be larger 
than that of the maximum earthquakes historically recorded. The 
accelerations at the site shall be determined assuming that the 
epicenters of the earthquakes of greatest magnitude or the locations of 
highest intensity related to the tectonic structures are situated at the 
point on the structures closest to the site;
    (ii) Where epicenters or locations of highest intensity of 
historically reported earthquakes cannot be reasonably related to 
tectonic structures but are identified pursuant to the requirements of 
paragraph (a)(6) of section IV with tectonic provinces in which the site 
is located, the accelerations at the site shall be determined assuming 
that these earthquakes occur at the site;
    (iii) Where epicenters or locations of the highest intensity of 
historically reported earthquakes cannot be reasonably related to

[[Page 567]]

tectonic structures but are identified pursuant to the requirements of 
paragraph (a)(6) of section IV with tectonic provinces in which the site 
is not located, the accelerations at the site shall be determined 
assuming that the epicenters or locations of highest intensity of these 
earthquakes are at the closest point to the site on the boundary of the 
tectonic province;
    (iv) The earthquake producing the maximum vibratory acceleration at 
the site, as determined from paragraph (a)(1)(i) through (iii) of this 
section shall be designated the Safe Shutdown Earthquake for vibratory 
ground motion, except as noted in paragraph (a)(1)(v) of this section. 
The characteristics of the Safe Shutdown Earthquake shall be derived 
from more than one earthquake determined from paragraph (a)(1)(i) 
through (iii) of this section, where necessary to assure that the 
maximum vibratory acceleration at the site throughout the frequency 
range of interest is included. In the case where a causative fault is 
near the site, the effect of proximity of an earthquake on the spectral 
characteristics of the Safe Shutdown Earthquake shall be taken into 
account. The procedures in paragraphs (a)(1)(i) through (a)(1)(iii) of 
this section shall be applied in a conservative manner. The 
determinations carried out in accordance with paragraphs (a)(1)(ii) and 
(a)(1)(iii) shall assure that the safe shutdown earthquake intensity is, 
as a minimum, equal to the maximum historic earthquake intensity 
experienced within the tectonic province in which the site is located. 
In the event that geological and seismological data warrant, the Safe 
Shutdown Earthquake shall be larger than that derived by use of the 
procedures set forth in section IV and V of the appendix. The maximum 
vibratory accelerations of the Safe Shutdown Earthquake at each of the 
various foundation locations of the nuclear power plant structures at a 
given site shall be determined taking into account the characteristics 
of the underlying soil material in transmitting the earthquake-induced 
motions, obtained pursuant to paragraphs (a)(1), (3), and (4) of section 
IV. The Safe Shutdown Earthquake shall be defined by response spectra 
corresponding to the maximum vibratory accelerations as outlined in 
paragraph (a) of section VI; and
    (v) Where the maximum vibratory accelerations of the Safe Shutdown 
Earthquake at the foundations of the nuclear power plant structures are 
determined to be less than one-tenth the acceleration of gravity (0.1 g) 
as a result of the steps required in paragraphs (a)(1)(i) through (iv) 
of this section, it shall be assumed that the maximum vibratory 
accelerations of the Safe Shutdown Earthquake at these foundations are 
at least 0.1 g.
    (2) Determination of Operating Basis Earthquake. The Operating Basis 
Earthquake shall be specified by the applicant after considering the 
seismology and geology of the region surrounding the site. If vibratory 
ground motion exceeding that of the Operating Basis Earthquake occurs, 
shutdown of the nuclear power plant will be required. Prior to resuming 
operations, the licensee will be required to 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.
    The maximum vibratory ground acceleration of the Operating Basis 
Earthquake shall be at least one-half the maximum vibratory ground 
acceleration of the Safe Shutdown Earthquake.
    (b) Determination of Need to Design for Surface Faulting. In order 
to determine whether a nuclear power plant is required to be designed to 
withstand the effects of surface faulting, the location of the nuclear 
power plant with respect to capable faults shall be considered. The area 
over which each of these faults has caused surface faulting in the past 
is identified by mapping its fault traces in the vicinity of the site. 
The fault traces are mapped along the trend of the fault for 10 miles in 
both directions from the point of its nearest approach to the nuclear 
power plant because, for example, traces may be obscured along portions 
of the fault. The maximum width of the mapped fault traces, called the 
control width, is then determined from this map. Because surface 
faulting has sometimes occurred beyond the limit of mapped fault traces 
or where fault traces have not been previously recognized, the control 
width of the fault is increased by a factor which is dependent upon the 
largest potential earthquake related to the fault. This larger width 
delineates a zone, called the zone requiring detailed faulting 
investigation, in which the possibility of surface faulting is to be 
determined. The following paragraphs outline the specific procedures for 
determining the zone requiring detailed faulting investigation for a 
capable fault.
    (1) Determination of Zone Requiring Detailed Faulting Investigation. 
The zone requiring detailed faulting investigation for a capable fault 
which was investigated pursuant to the requirement of paragraph (b)(7) 
of section IV shall be determined through use of the following table:

Table 2--Determination of Zone Requiring Detailed Faulting Investigation
------------------------------------------------------------------------
                                               Width of zone requiring
          Magnitude of earthquake                 detailed faulting
                                             investigation (See fig. 1)
------------------------------------------------------------------------
Less than 5.5.............................  1xcontrol width.
5.5-6.4...................................  2xcontrol width.
6.5-7.5...................................  3xcontrol width.
Greater than 7.5..........................  4xcontrol width.
------------------------------------------------------------------------


[[Page 568]]

    The largest magnitude earthquake related to the fault shall be used 
in table 2. This earthquake shall be determined from the information 
developed pursuant to the requirements of paragraph (b) of Section IV 
for the fault, taking into account the information required by paragraph 
(b)(7) of section IV. The control width used in table 2 is determined by 
mapping the outer limits of the fault traces from information developed 
pursuant to paragraph (b)(7)(iv) of section IV. The control width shall 
be used in table 2 unless the characteristics of the fault are obscured 
for a significant portion of the 10 miles on either side of the point of 
nearest approach to the nuclear power plant. In this event, the use in 
table 2 of the width of mapped fault traces more than 10 miles from the 
point of nearest approach to the nuclear power plant may be appropriate.
    The zone requiring detailed faulting investigation, as determined 
from table 2, shall be used for the fault except where:
    (i) The zone requiring detailed faulting investigation from table 2 
is less than one-half mile in width. In this case the zone shall be at 
least one-half mile in width; or
    (ii) Definitive evidence concerning the regional and local 
characteristics of the fault justifies use of a different value. For 
example, thrust or bedding-plane faults may require an increase in width 
of the zone to account for the projected dip of the fault plane; or
    (iii) More detailed three-dimensional information, such as that 
obtained from precise investigative techniques, may justify the use of a 
narrower zone. Possible examples of such techniques are the use of 
accurate records from closely spaced drill holes or from closely spaced, 
high-resolution offshore geophysical surveys.
    In delineating the zone requiring detailed faulting investigation 
for a fault, the center of the zone shall coincide with the center of 
the fault at the point of nearest approach of the fault to the nuclear 
power plant as illustrated in figure 1.
    (c) Determination of Design Bases for Seismically Induced Floods and 
Water Waves. The size of seismically induced floods and water waves 
which could affect a site from either locally or distantly generated 
seismic activity shall be determined, taking into consideration the 
results of the investigation required by paragraph (c) of section IV. 
Local topographic characteristics which might tend to modify the 
possible runup and drawdown at the site shall be considered. Adverse 
tide conditions shall also be taken into account in determining the 
effect of the floods and waves on the site. The characteristics of the 
earthquake to be used in evaluating the offshore effects of local 
earthquakes shall be determined by a procedure similar to that used to 
determine the characteristics of the Safe Shutdown Earthquake in 
paragraph V(a).
    (d) Determination of Other Design Conditions--(1) Soil Stability. 
Vibratory ground motion associated with the Safe Shutdown Earthquake can 
cause soil instability due to ground disruption such as fissuring, 
differential consolidation, liquefaction, and cratering which is not 
directly related to surface faulting. The following geologic features 
which could affect the foundations of the proposed nuclear power plant 
structures shall be evaluated, taking into account the information 
concerning the physical properties of materials underlying the site 
developed pursuant to paragraphs (a)(1), (3), and (4) of section IV and 
the effects of the Safe Shutdown Earthquake:
    (i) Areas of actual or potential surface or subsurface subsidence, 
uplift, or collapse resulting from:
    (a) Natural features such as tectonic depressions and cavernous or 
karst terrains, particularly those underlain by calcareous or other 
soluble deposits;
    (b) Man's activities such as withdrawal of fluid from or addition of 
fluid to the subsurface, extraction of minerals, or the loading effects 
of dams or reservoirs; and
    (c) Regional deformation.
    (ii) Deformational zones such as shears, joints, fractures, folds, 
or combinations of these features.
    (iii) Zones of alteration or irregular weathering profiles and zones 
of structural weakness composed of crushed or disturbed materials.
    (iv) Unrelieved residual stresses in bedrock.
    (v) Rocks or soils that might be unstable because of their 
mineralogy, lack of consolidation, water content, or potentially 
undesirable response to seismic or other events. Seismic response 
characteristics to be considered shall include liquefaction, thixotropy, 
differential consolidation, cratering, and fissuring.
    (2) Slope stability. Stability of all slopes, both natural and 
artificial, the failure of which could adversely affect the nuclear 
power plant, shall be considered. An assessment shall be made of the 
potential effects of erosion or deposition and of combinations of 
erosion or deposition with seismic activity, taking into account 
information concerning the physical property of the materials underlying 
the site developed pursuant to paragraph (a)(1), (3), and (4) of section 
IV and the effects of the Safe Shutdown Earthquake.
    (3) Cooling water supply. Assurance of adequate cooling water supply 
for emergency and long-term shutdown decay heat removal shall be 
considered in the design of the nuclear power plant, taking in to 
account information concerning the physical properties

[[Page 569]]

of the materials underlying the site developed pursuant to paragraphs 
(a)(1), (3), and (4) of section IV and the effects of the Safe Shutdown 
Earthquake and the design basis for surface faulting. Consideration of 
river blockage or diversion or other failures which may block the flow 
of cooling water, coastal uplift or subsidence, or tsunami runup and 
drawdown, and failure of dams and intake structures shall be included in 
the evaluation, where appropriate.
    (4) Distant structures. Those structures which are not located in 
the immediate vicinity of the site but which are safety related shall be 
designed to withstand the effect of the Safe Shutdown Earthquake and the 
design basis for surface faulting determined on a comparable basis to 
that of the nuclear power plant, taking into account the material 
underlying the structures and the different location with respect to 
that of the site.

                  vi. application to engineering design

    (a) Vibratory ground motion--(1) Safe Shutdown Earthquake. The 
vibratory ground motion produced by the Safe Shutdown Earthquake shall 
be defined by response spectra corresponding to the maximum vibratory 
accelerations at the elevations of the foundations of the nuclear power 
plant structures determine pursuant to paragraph (a)(1) of section V. 
The response spectra shall relate the response of the foundations of the 
nuclear power plant structures to the vibratory ground motion, 
considering such foundations to be single-degree-of-freedom damped 
oscillators and neglecting soil-structure interaction effects. In view 
of the limited data available on vibratory ground motions of strong 
earthquakes, it usually will be appropriate that the response spectra be 
smoothed design spectra developed from a series of response spectra 
related to the vibratory motions caused by more than one earthquake.
    The nuclear power plant shall be designed so that, if the Safe 
Shutdown Earthquake occurs, certain structures, systems, and components 
will remain functional. These structures, systems, and components are 
those 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 condition, or (iii) the capability to prevent or 
mitigate the consequences of accidents which could result in potential 
offsite exposures comparable to the guideline exposures of this part. In 
addition to seismic loads, including aftershocks, applicable concurrent 
functional and accident-induced loads shall be taken into account in the 
design of these safety-related structures, systems, and components. The 
design of the nuclear power plant shall also take into account the 
possible effects of the Safe Shutdown Earthquake on the facility 
foundations by ground disruption, such as fissuring, differential 
consolidation, cratering, liquefaction, and landsliding, as required in 
paragraph (d) of section V.
    The engineering method used to insure that the required safety 
functions are maintained during and after the vibratory ground motion 
associated with the Safe Shutdown Earthquake shall involve the use of 
either a suitable dynamic analysis or a suitable qualification test to 
demonstrate that structures, systems and components can withstand the 
seismic and other concurrent loads, except where it can be demonstrated 
that the use of an equivalent static load method provides adequate 
conservatism.
    The analysis or test shall take into account soil-structure 
interaction effects and the expected duration of vibratory motion. It is 
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 and under the postulated concurrent 
conditions, provided that the necessary safety functions are maintained.
    (2) Operating Basis Earthquake. The Operating Basis Earthquake shall 
be defined by response spectra. 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 shall be designed to 
remain functional and within applicable stress and deformation limits 
when subjected to the effects of the vibratory motion of the Operating 
Basis Earthquake in combination with normal operating loads. The 
engineering method used to insure that these structures, systems, and 
components are capable of withstanding the effects of the Operating 
Basis Earthquake shall involve the use of either a suitable dynamic 
analysis or a suitable qualification test to demonstrate that the 
structures, systems and components can withstand the seismic and other 
concurrent loads, except where it can be demonstrated that the use of an 
equivalent static load method provides adequate conservatism. The 
analysis or test shall take into account soil-structure interaction 
effects and the expected duration of vibratory motion.
    (3) Required Seismic instrumentation. Suitable instrumentation shall 
be provided so that the seismic response of nuclear power plant features 
important to safety can be determined promptly to permit comparison of 
such response with that used as the design basis. Such a comparison is 
needed to decide whether the plant can continue to be operated safely 
and to permit such timely action as may be appropriate.
    These criteria do not address the need for instrumentation that 
would automatically shut down a nuclear power plant when an

[[Page 570]]

earthquake occurs which exceeds a predetermined intensity. The need for 
such instrumentation is under consideration.
    (b) Surface Faulting. (1) If the nuclear power plant is to be 
located within the zone requiring detailed faulting investigation, a 
detailed investigation of the regional and local geologic and seismic 
characteristics of the site shall be carried out to determine the need 
to take into account surface faulting in the design of the nuclear power 
plant. Where it is determined that surface faulting need not be taken 
into account, sufficient data to clearly justify the determination shall 
be presented in the license application.
    (2) Where it is determined that surface faulting must be taken into 
account, the applicant shall, in establishing the design basis for 
surface faulting on a site take into account evidence concerning the 
regional and local geologic and seismic characteristics of the site and 
from any other relevant data.
    (3) The design basis for surface faulting shall be taken into 
account in the design of the nuclear power plant by providing reasonable 
assurance that in the event of such displacement during faulting certain 
structures, systems, and components will remain functional. These 
structures, systems, and components are those 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 the guideline exposures of this part. In 
addition to seismic loads, including aftershocks, applicable concurrent 
functional and accident-induced loads shall be taken into account in the 
design of such safety features. The design provisions shall be based on 
an assumption that the design basis for surface faulting can occur in 
any direction and azimuth and under any part of the nuclear power plant 
unless evidence indicates this assumption is not appropriate, and shall 
take into account the estimated rate at which the surface faulting may 
occur.
    (c) Seismically Induced Floods and Water Waves and Other Design 
Conditions. The design basis for seismically induced floods and water 
waves from either locally or distantly generated seismic activity and 
other design conditions determined pursuant to paragraphs (c) and (d) of 
section V, shall 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.
[GRAPHIC] [TIFF OMITTED] TC22SE91.002

  Figure 1--Diagrammatic Illustration of Delineation of Width of Zone 
 Requiring Detailed Faulting Investigations For Specific Nuclear Power 
                             Plant Location.

(Sec. 201, Pub. L. 93-438, 88 Stat. 1243 (42 U.S.C. 5841))

[38 FR 31281, Nov. 13, 1973, as amended at 38 FR 32575, Nov. 27, 1973; 
42 FR 2052, Jan. 10, 1977]



PART 110--EXPORT AND IMPORT OF NUCLEAR EQUIPMENT AND MATERIAL--Table of Contents




                      Subpart A--General Provisions

Sec.
110.1  Purpose and scope.
110.2  Definitions.
110.3  Interpretations.
110.4  Communications.
110.5  Licensing requirements.
110.6  Retransfers.
110.7  Information collection requirements: OMB approval.
110.7a  Completeness and accuracy of information.
110.7b  Deliberate misconduct.
110.8  List of nuclear facilities and equipment under NRC export 
          licensing authority.
110.9  List of Nuclear Material under NRC export licensing authority.
110.9a  List of nuclear equipment and material under NRC import 
          licensing authority.

                          Subpart B--Exemptions

110.10  General.
110.11  Export of IAEA safeguards samples.

[[Page 571]]

                           Subpart C--Licenses

110.19  Types of licenses.
110.20  General license information.
110.21  General license for the export of special nuclear material.
110.22  General license for the export of source material.
110.23  General license for the export of byproduct material.
110.24  General license for the export of deuterium.
110.25  General license for the export of nuclear grade graphite.
110.26  General license for the export of nuclear reactor components.
110.27  General license for imports.
110.28  Embargoed destinations.
110.29  Restricted destinations.
110.30  Members of the Nuclear Suppliers Group.
110.31  Application for a specific license.
110.32  Information required in an application for a specific license/
          NRC Form 7.

                Subpart D--Review of License Applications

110.40  Commission review.
110.41  Executive Branch review.
110.42  Export licensing criteria.
110.43  Import licensing criteria.
110.44  Physical security standards.
110.45  Issuance or denial of licenses.
110.46  Conduct resulting in termination of nuclear exports.

             Subpart E--License Terms and Related Provisions

110.50  Terms.
110.51  Amendment and renewal of licenses.
110.52  Revocation, suspension, and modification.
110.53  United States address, records, and inspections.

                  Subpart F--Violations and Enforcement

110.60  Violations.
110.61  Notice of violation.
110.62  Order to show cause.
110.63  Order for revocation, suspension, or modification.
110.64  Civil penalty.
110.65  Settlement and compromise.
110.66  Enforcement hearing.
110.67  Criminal penalties.

Subpart G--Public Notification and Availability of Documents and Records

110.70  Public notice of receipt of an application.
110.71  Notice of withdrawal of an application.
110.72  Public availability of documents.
110.73  Availability of NRC records.

     Subpart H--Public Participation Procedures Concerning License 
                              Applications

110.80  Basis for hearings.
110.81  Written comments.
110.82  Hearing request or intervention petition.
110.83  Answers and replies.
110.84  Commission action on a hearing request or intervention petition.
110.85  Notice of hearing consisting of written comments.
110.86  Notice of oral hearing.
110.87  Conditions in a notice or order.
110.88  Authority of the Secretary.
110.89  Filing and service.
110.90  Computation of time.
110.91  Commission consultations.

                           Subpart I--Hearings

110.100  Public hearings.
110.101  Filing and service.
110.102  Hearing docket.
110.103  Acceptance of hearing documents.
110.104  Presiding officer.
110.105  Responsibility and power of the presiding officer in an oral 
          hearing.
110.106  Participation in a hearing.
110.107  Presentation of testimony in an oral hearing.
110.108  Appearance in an oral hearing.
110.109  Motions and requests.
110.110  Default.
110.111  Waiver of a rule or regulation.
110.112  Reporter and transcript for an oral hearing.
110.113  Commission action.

  Subpart J--Special Procedures for Classified Information in Hearings

110.120  Purpose and scope.
110.121  Security clearances and access to classified information.
110.122  Classification assistance.
110.123  Notice of intent to introduce classified information.
110.124  Rearrangement or suspension of a hearing.
110.125  Unclassified statements required.
110.126  Protection of classified information.

                          Subpart K--Rulemaking

110.130  Initiation of rulemaking.
110.131  Petition for rulemaking.
110.132  Commission action on a petition.
110.133  Notice of proposed rulemaking.
110.134  Public participation.
110.135  Notice of rulemaking.

Appendix A to Part 110--Illustrative List of Nuclear Reactor Equipment 
          Under NRC Export Licensing Authority
Appendix B to Part 110--Illustrative List of Gas Centrifuge Enrichment 
          Plant Components Under NRC's Export Licensing Authority

[[Page 572]]

Appendix C to Part 110--Illustrative List of Gaseous Diffusion 
          Enrichment Plant Assemblies and Components Under NRC Export 
          Licensing Authority
Appendix D to Part 110--Illustrative List of Aerodynamic Enrichment 
          Plant Equipment and Components Under NRC Export Licensing 
          Authority
Appendix E to Part 110--Illustrative List of Chemical Exchange or Ion 
          Exchange Enrichment Plant Equipment and Components Under NRC 
          Export Licensing Authority
Appendix F to Part 110--Illustrative List of Laser-Based Enrichment 
          Plant Equipment and Components Under NRC Export Licensing 
          Authority
Appendix G to Part 110--Illustrative List of Plasma Separation 
          Enrichment Plant Equipment and Components Under NRC Export 
          Licensing Authority
Appendix H to Part 110--Illustrative List of Electromagnetic Enrichment 
          Plant Equipment and Components Under NRC Export Licensing 
          Authority
Appendix I to Part 110--Illustrative List of Reprocessing Plant 
          Components Under NRC Export Licensing Authority
Appendix J to Part 110--Illustrative List of Uranium Conversion Plant 
          Equipment and Plutonium Conversion Plant Equipment Under NRC 
          Export Licensing Authority
Appendix K to Part 110--Illustrative List of Equipment and Components 
          Under NRC Export Licensing Authority for Use in a Plant for 
          the Production of Heavy Water, Deuterium and Deuterium 
          Compounds
Appendix L to Part 110--Illustrative List of Byproduct Materials Under 
          NRC Export/Import Licensing Authority
Appendix M to Part 110--Categorization of Nuclear Material
Appendix N to Part 110-Illustrative List of Lithium Isotope Separation 
          Facilities, Plants and Equipment Under NRC's Export Licensing 
          Authority
Appendix O to Part 110-Illustrative List of Fuel Element Fabrication 
          Plant Equipment and Components Under NRC's Export Licensing 
          Authority

    Authority: Secs. 51, 53, 54, 57, 63, 64, 65, 81, 82, 103, 104, 109, 
111, 126, 127, 128, 129, 161, 181, 182, 183, 187, 189, 68 Stat. 929, 
930, 931, 932, 933, 936, 937, 948, 953, 954, 955, 956, as amended (42 
U.S.C. 2071, 2073, 2074, 2077, 2092-2095, 2111, 2112, 2133, 2134, 2139, 
2139a, 2141, 2154-2158, 2201, 2231-2233, 2237, 2239); sec. 201, 88 Stat. 
1242, as amended (42 U.S.C. 5841); sec. 5, Pub. L. 101-575, 104 Stat. 
2835 (42 U.S.C. 2243).
    Sections 110.1(b)(2) and 110.1(b)(3) also issued under Pub. L. 96-
92, 93 Stat. 710 (22 U.S.C. 2403). Section 110.11 also issued under sec. 
122, 68 Stat. 939 (42 U.S.C. 2152) and secs. 54c and 57d, 88 Stat. 473, 
475 (42 U.S.C. 2074). Section 110.27 also issued under sec. 309(a), Pub. 
L. 99-440. Section 110.50(b)(3) also issued under sec. 123, 92 Stat. 142 
(42 U.S.C. 2153). Section 110.51 also issued under sec. 184, 68 Stat. 
954, as amended (42 U.S.C. 2234). Section 110.52 also issued under sec. 
186, 68 Stat. 955 (42 U.S.C. 2236). Sections 110.80-110.113 also issued 
under 5 U.S.C. 552, 554. Sections 110.130-110.135 also issued under 5 
U.S.C. 553. Sections 110.2 and 110.42(a)(9) also issued under sec. 903, 
Pub. L. 102-496 (42 U.S.C. 2151 et seq.).

    Source: 43 FR 21641, May 19, 1978, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 110.1  Purpose and scope.

    (a) The regulations in this part prescribe licensing, enforcement, 
and rulemaking procedures and criteria, under the Atomic Energy Act, for 
the export of nuclear equipment and material, as set out in Secs. 110.8 
and 110.9, and the import of nuclear equipment and material, as set out 
in Sec. 110.9a. This part also gives notice to all persons who knowingly 
provide to any licensee, applicant, contractor, or subcontractor, 
components, equipment, materials, or other goods or services, that 
relate to a licensee's or applicant's activities subject to this part, 
that they may be individually subject to NRC enforcement action for 
violation of Sec. 110.7b.
    (b) The regulations in this part apply to all persons in the United 
States except: (1) The Departments of Defense and Energy for activities 
authorized by sections 54, 64, 82, and 91 of the Atomic Energy Act, 
except when the Department of Energy seeks an export license under 
section 111 of the Atomic Energy Act;
    (2) Persons who export or import U.S. Munitions List nuclear items, 
such as uranium depleted in the isotope-235 and incorporated in defense 
articles. These persons are subject to the controls of the Department of 
State pursuant to 22 CFR 120-130 ``International Traffic in Arms 
Regulations'' (ITAR), under the Arms Export Control Act, as authorized 
by section 110 of the International Security and Development Cooperation 
Act of 1980;

[[Page 573]]

    (3) Persons who export uranium depleted in the isotope-235 and 
incorporated in commodities solely to take advantage of high density or 
pyrophoric characteristics. These persons are subject to the controls of 
the Department of Commerce under the Export Administration Act, as 
authorized by section 110 of the International Security and Development 
Cooperation Act of 1980;
    (4) Persons who export nuclear referral list commodities. These 
persons are subject to the licensing authority of the Department of 
Commerce pursuant to 15 CFR part 799, such as bulk zirconium, rotor and 
bellows equipment, maraging steel, nuclear reactor related equipment, 
including process control systems and simulators; and
    (5) Persons who import deuterium, nuclear grade graphite, or nuclear 
equipment other than production or utilization facilities. A uranium 
enrichment facility is not a production facility.
    (6) Shipments which are only passing through the U.S. (in bond 
shipments) do not require an NRC import or export license; however, they 
must comply with the Department of Transportation/ IAEA packaging, and 
state transportation requirements.

[49 FR 47197, Dec. 3, 1984; 49 FR 49841, Dec. 24, 1984, as amended at 55 
FR 34519, Aug. 23, 1990; 56 FR 40692, Aug. 15, 1991; 58 FR 13001, Mar. 
9, 1993; 61 FR 35602, July 8, 1996; 63 FR 1900, Jan. 13, 1998; 65 FR 
70289, Nov. 22, 2000]



Sec. 110.2  Definitions.

    As used in this part,
    Agreement for cooperation means any agreement with another nation or 
group of nations concluded under section 123 of the Atomic Energy Act, 
as amended.
    Atomic Energy Act means the Atomic Energy Act of 1954, as amended 
(42 U.S.C. 2011).
    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 using special nuclear material (as in a 
reactor); and
    (2) The tailings or wastes produced by the extraction or 
concentration or uranium or thorium from ore (see 10 CFR 20.1003).
    Classified information means National Security Information 
classified under Executive Order 12356.
    Commission means the United States Nuclear Regulatory Commission or 
its duly authorized representatives.
    Common defense and security means the common defense and security of 
the United States.
    Conversion facility means any facility for the transformation from 
one uranium chemical species to another, including: conversion of 
uranium ore concentrates to UO3, conversion of UO3 to UO2, conversion of 
uranium oxides to UF4 or UF6, conversion of UF4 to UF6, conversion of 
UF6 to UF4, conversion of UF4 to uranium metal, and conversion of 
uranium fluorides to UO2.
    Depleted uranium means uranium having a percentage of uranium-235 
less than the naturally occurring distribution of U-235 found in natural 
uranium (less than 0.711 weight percent U-235). It is obtained from 
spent (used) fuel elements or as byproduct tails or residues from 
uranium isotope separation.
    Deuterium means deuterium and any deuterium compound, including 
heavy water, in which the ratio of deuterium atoms to hydrogen atoms 
exceeds 1:5000.
    Disposal means permanent isolation of radioactive material from the 
surrounding environment.
    Dual-use means equipment and materials that may be used in nuclear 
or non-nuclear applications.
    Effective kilograms of special nuclear material means:
    (1) For plutonium and uranium-233, their weight in kilograms;
    (2) For uranium enriched 1 percent or greater in the isotope U-235, 
its element weight in kilograms multiplied by the square of its 
enrichment expressed as a decimal weight fraction; and
    (3) For uranium enriched below 1 percent in the isotope U-235, its 
element weight in kilograms multiplied by 0.0001.
    Embargoed means that no nuclear material or equipment can be 
exported to certain countries under an NRC general license because there 
is a U.S. trade embargo in effect.

[[Page 574]]

    Executive Branch means the Departments of State, Energy, Defense and 
Commerce and the Arms Control and Disarmament Agency.
    Export means to physically transfer nuclear equipment or material to 
a person or an international organization in a foreign country, except 
DOE distributions as authorized in Section 111 of the Atomic Energy Act 
or Section 110 of the International Security and Development Cooperation 
Act of 1980.
    General license means an export or import license effective without 
the filing of a specific application with the Commission or the issuance 
of licensing documents to a particular person.
    Heels means small quantities of natural, depleted or low-enriched 
uranium (to a maximum of 20 percent), in the form of UF6 left in emptied 
transport cylinders being returned to suppliers after delivery of the 
product.
    High-enriched uranium means uranium enriched to 20 percent or 
greater in the isotope uranium-235.
    IAEA means the International Atomic Energy Agency.
    Import means import into the United States.
    Incidental radioactive material means any radioactive material not 
otherwise subject to specific licensing under this part that is 
contained in or a contaminant of any non-radioactive material that:
    (1) For purposes unrelated to the regulations in this part, is 
exported or imported for recycling or resource recovery of the non-
radioactive component; and
    (2) Will not be processed for separation of the radioactive 
component before the recycling or resource recovery occurs or as part of 
the resource recovery process.
    The term does not include material that contains or is contaminated 
with ``hazardous waste'' as defined in section 1004(5) of the Solid 
Waste Disposal Act, 42 U.S.C. 6903(5).
    Individual shipment means a shipment consisting of one lot of 
freight tendered to a carrier by one consignor at one place at one time 
for delivery to one consignee on one bill of lading. This lot may 
consist of:
    (1) Only one item or
    (2) A number of containers all listed on the same set of shipping 
documents. This one lot of freight or ``distinct'' shipment can be 
transported on the same carrier with other distinct shipments containing 
the same items as long as each shipment is covered by separate sets of 
shipping documents.
    The phrase introduced into a hearing means the introduction or 
incorporation of testimony or documentary matter into the record of a 
hearing.
    License means a general or specific export or import license issued 
pursuant to this part.
    Licensee means a person authorized by a specific or a general 
license to export or import nuclear equipment or material pursuant to 
this part.
    Low-enriched uranium means uranium enriched below 20 percent in the 
isotope uranium-235.
    Management means storage, packaging, or treatment of radioactive 
waste.
    Natural uranium means uranium as found in nature, containing about 
0.711 percent of Uranium 235, 99.283 percent of uranium-238, and a trace 
(0.006 percent) of uranium-234.
    NPT means the Treaty on the Non-Proliferation of Nuclear Weapons 
(TIAS 6839).
    Non-nuclear weapon State means any State not a nuclear weapon State 
as defined in the Treaty on the Non-Proliferation of Nuclear Weapons. 
Nuclear weapon State means any State which has manufactured and exploded 
a nuclear weapon or other nuclear explosive device prior to January 1, 
1967.
    Non-Proliferation Act means the Nuclear Non-Proliferation Act of 
1978 (Pub. L. 95-242).
    NRC Public Document Room means the facility at One White Flint 
North, 11555 Rockville Pike (first floor), Rockville, Maryland, where 
certain public records of the NRC that were made available for public 
inspection in paper or microfiche prior to the implementation of the NRC 
Agencywide Documents Access and Management System, commonly referred to 
as ADAMS, will remain available for public inspection. It is also the 
place where NRC makes computer terminals available to access the 
Publicly Available Records System (PARS) component of ADAMS on the

[[Page 575]]

NRC Web site, http://www.nrc.gov, and where copies can be viewed or 
ordered for a fee as set forth in Sec. 9.35 of this chapter. The 
facility is staffed with reference librarians to assist the public in 
identifying and locating documents and in using the NRC Web site and 
ADAMS. The NRC Public Document Room is open from 7:45 am to 4:15 pm, 
Monday through Friday, except on Federal holidays. Reference service and 
access to documents may also be requested by telephone (301-415-4737 or 
800-397-4209) between 8:30 am and 4:15 pm, or by e-mail ([email protected]), 
facsimile (301-415-3548), or letter (NRC Public Document Room, One White 
Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland 
20852-2738).
    NRC records means any documentary material made by, in the 
possession of, or under the control of the Commission under Federal law 
or in connection with the transaction of public business as evidence of 
any of the Commission's activities.
    NRC Web site, http://www.nrc.gov, is the Internet uniform resource 
locator name for the Internet address of the Web site where NRC will 
ordinarily make available its public records for inspection.
    Nuclear grade graphite means graphite with a boron equivalent 
content of less than 5 parts per million and density greater than 1.5 
grams per cubic centimeter.
    Nuclear reactor means an apparatus, other than an atomic weapon or 
nuclear explosive device, designed or used to sustain nuclear fission in 
a self-supporting chain reaction.
    Nuclear reactor internals means the major structures within a 
reactor vessel that have one or more functions such as supporting the 
core, maintaining fuel alignment, directing primary coolant flow, 
providing radiation shields for the reactor vessel, and guiding in-core 
instrumentation.
    Nuclear Referral List (NRL) means the nuclear-related, dual-use 
commodities on the Commerce Control List that are subject to the nuclear 
non-proliferation export licensing controls of the Department of 
Commerce. They are contained in 15 CFR part 774 of the Department of 
Commerce's Export Administration Regulations and are designated by the 
symbol (NP) as the reason for control.
    Obligations means the commitments entered into by the U.S. 
Government under Atomic Energy Act (AEA) section 123 agreements for 
cooperation in the peaceful uses of atomic energy. Imports and exports 
of material or equipment pursuant to such agreements are subject to 
these commitments, which in some cases involve an exchange of 
information on imports, exports, retransfers with foreign governments, 
peaceful end-use assurances, and other conditions placed on the transfer 
of the material or equipment. The U.S. Government informs the licensee 
of obligations attached to material or equipment being imported into the 
U.S. and approves changes to those obligations.
    Packaging means one or more receptacles and wrappers and their 
contents, excluding any special nuclear material, source material or 
byproduct material, but including absorbent material, spacing 
structures, thermal insulation, radiation shielding, devices for cooling 
and for absorbing mechanical shock, external fittings, neutron 
moderators, nonfissile neutron absorbers and other supplementary 
equipment.
    Participant means a person, identified in a hearing notice or other 
Commission order, who takes part in a hearing conducted by the 
Commission under this part, including any person to whom the Commission 
grants a hearing or leave to intervene in an export or import licensing 
hearing, either as a matter of right or as a matter of discretion.
    Person means any individual, corporation, partnership, firm, 
association, trust, estate, institution, group, Government agency other 
than the Commission or, with respect to imports, the Department of 
Energy; any State or political entity within a State; any foreign 
government or political entity of such government; and any authorized 
representative of the foregoing.
    Physical security means measures to reasonably ensure that source or 
special nuclear material will only be used for authorized purposes and 
to prevent theft or sabotage.
    Production facility means any nuclear reactor or plant specially 
designed or

[[Page 576]]

used to produce special nuclear material through the irradiation of 
source material or special nuclear material, the chemical reprocessing 
of irradiated source or special nuclear material, or the separation of 
isotopes, other than a uranium enrichment facility.
    Public health and safety means the public health and safety of the 
United States.
    Radioactive material means source, byproduct, or special nuclear 
material.
    Radioactive waste means any waste that contains or is contaminated 
with source, byproduct, or special nuclear material, including any such 
waste that contains or is contaminated with ``hazardous waste'' as 
defined in section 1004(5) of the Solid Waste Disposal Act, 42 U.S.C. 
6903(5), but such term does not include radioactive material that is--
    (1) Contained in a sealed source, or device containing a sealed 
source, that is being returned to any manufacturer qualified to receive 
and possess the sealed source or the device containing a sealed source;
    (2) A contaminant on service equipment (including service tools) 
used in nuclear facilities, if the service equipment is being shipped 
for use in another nuclear facility and not for waste management 
purposes or disposal; or
    (3) Generated or used in a United States Government waste research 
and development testing program under international arrangements.
    Restricted destinations means countries that are not parties to the 
NPT or are listed for reasons recommended by the executive branch.
    Retransfer means the transport from one foreign country to another 
of nuclear equipment or nuclear material previously exported from the 
United States, or of special nuclear material produced through the use 
of source material or special nuclear material previously exported from 
the United States.
    Sealed source means any special nuclear material or byproduct 
material encased in a capsule designed to prevent leakage or escape of 
that nuclear material.
    Secretary means the Secretary of the Commission.
    Source material means:
    (1) Natural or depleted uranium, or thorium, other than special 
nuclear material; or
    (2) Ores that contain by weight 0.05 percent or more of uranium, 
thorium or depleted uranium.
    Special nuclear material means plutonium, uranium-233 or uranium 
enriched above 0.711 percent by weight in the isotope uranium-235.
    Specific activity (millicuries per gram) equals 3.575x108 
divided by (the atomic weight times the half life in years).
    Specific license means an export or import license issued to a named 
person upon an application filed pursuant to this part.
    Storage means the temporary holding of radioactive material.
    Target means material subjected to irradiation in an accelerator or 
nuclear reactor to induce a reaction or produce nuclear material.
    Transfer means the transfer of possession from one person to another 
person.
    Transport means the physical movement of material from one location 
to another.
    Treatment means any method, technique, or process, including storage 
for radioactive decay, designed to change the physical, chemical or 
biological characteristics or composition of any radioactive material.
    Tritium means not only tritium but also includes compounds and 
mixtures containing tritium in which the ratio of tritium to hydrogen by 
atoms exceeds one part in 1,000.
    United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States.
    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.
    Utilization facility means:

[[Page 577]]

    (1) Any nuclear reactor, other than one that is a production 
facility and
    (2) Any of the following major components of a nuclear reactor:
    (i) Reactor pressure vessel (designed to contain the core of a 
nuclear reactor);
    (ii) Reactor primary coolant pump;
    (iii) ``On-line'' reactor fuel charging and discharging machine; and
    (iv) Complete reactor control rod system.
    (3) A utilization facility does not include the steam turbine 
generator portion of a nuclear power plant.

[43 FR 21691, May 19, 1978, as amended at 45 FR 18906, Mar. 24, 1980; 49 
FR 47197, Dec. 3, 1984; 49 FR 49841, Dec. 24, 1984; 51 FR 27826, Aug. 4, 
1986; 53 FR 43422, Oct. 27, 1988; 56 FR 24684, May 31, 1991; 57 FR 
18393, Apr. 30, 1992; 58 FR 13002, Mar. 9, 1993; 58 FR 57963, Oct. 28, 
1993; 59 FR 48997, Sept. 26, 1994; 60 FR 37562, July 21, 1995; 61 FR 
35602, July 8, 1996; 64 FR 48955, Sept. 9, 1999; 65 FR 70289, Nov. 22, 
2000; 67 FR 67101, Nov. 4, 2002; 67 FR 70835, Nov. 27, 2002]



Sec. 110.3  Interpretations.

    Except as authorized by the Commission in writing, no interpretation 
of the meaning of the regulations in this part other than a written 
interpretation by the Commission's General Counsel is binding upon the 
Commission.



Sec. 110.4  Communications.

    Except where otherwise specified in this part, all communications 
and reports concerning the regulations in this part should be addressed 
to the Deputy Director, Office of International Programs, Office of 
International Programs, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555, telephone (301) 415-2344. Communications and reports may be 
delivered in person at the Commission's offices at 11555 Rockville Pike, 
Rockville, Maryland 20852 or at 2120 L Street NW. (Lower Level), 
Washington, DC 20037.

[58 FR 13002, Mar. 9, 1993, as amended at 59 FR 48997, Sept. 26, 1994; 
62 FR 59277, Nov. 3, 1997; 65 FR 70290, Nov. 22, 2000]



Sec. 110.5  Licensing requirements.

    Except as provided under subpart B of this part, no person may 
export any nuclear equipment or material listed in Sec. 110.8 and 
Sec. 110.9, or import any nuclear equipment or material listed in 
Sec. 110.9a, unless authorized by a general or specific license issued 
under this part.

[56 FR 24684, May 31, 1991, as amended at 58 FR 13002, Mar. 9, 1993]



Sec. 110.6  Retransfers.

    (a) Retransfer of any nuclear equipment or material listed in 
Secs. 110.8 and 110.9, including special nuclear material produced 
through the use of U.S.-origin source material or special nuclear 
material, requires authorization by the Department of Energy, unless, 
the export to the new destination is authorized under a special or 
general license or an exemption from licensing requirements. Under 
certain agreements for cooperation, Department of Energy authorization 
also is required for the retransfer of special nuclear material produced 
through the use of non-U.S.-supplied nuclear material in U.S.-supplied 
utilization facilities. Department of Energy authorization is also 
required for the retransfer of obligated nuclear equipment and material 
(see definition of ``obligated'' in Sec. 110.2).
    (b) Requests for authority to retransfer are processed by the 
Department of Energy, Office of Arms Control and Nonproliferation 
Technology Support, Washington, DC 20585.

[49 FR 47197, Dec. 3, 1984, as amended at 55 FR 34519, Aug. 23, 1990; 58 
FR 13002, Mar. 9, 1993; 65 FR 70290, Nov. 22, 2000]



Sec. 110.7  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control numbers 3150-0036.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 110.7a, 110.23, 110.26,

[[Page 578]]

110.27, 110.31, 110.32, 110.50, 110.51, 110.52, and 110.53
    (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. 110.19, 110.20, 110.21, 110.22, 110.23, 110.31, and 
110.32, NRC Form 7 is approved under control number 3150-0027.
    (2) [Reserved]

[62 FR 52190, Oct. 6, 1997, as amended at 65 FR 70290, Nov. 22, 2000; 67 
FR 67101, Nov. 4, 2002]



Sec. 110.7a  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 49374, Dec. 31, 1987]



Sec. 110.7b  Deliberate misconduct.

    (a) Any licensee, applicant for a license, employee of a licensee or 
applicant; or any contractor (including a supplier or consultant), 
subcontractor, employee of a contractor or subcontractor of any licensee 
or applicant for a license, who knowingly provides to any licensee, 
applicant, contractor, or subcontractor, any components, equipment, 
materials, or other goods or services that relate to a licensee's or 
applicant's activities in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee or applicant 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, an applicant, or a 
licensee's or applicant'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 the 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 or applicant 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, 
applicant, contractor, or subcontractor.

[63 FR 1900, Jan. 13, 1998]



Sec. 110.8  List of nuclear facilities and equipment under NRC export licensing authority.

    (a) Nuclear reactors and especially designed or prepared equipment 
and components for nuclear reactors. (See Appendix A to this part.)
    (b) Plants for the separation of isotopes of uranium (source 
material or special nuclear material) including gas centrifuge plants, 
gaseous diffusion plants, aerodynamic enrichment plants, chemical 
exchange or ion exchange enrichment plants, laser based enrichment 
plants, plasma separation

[[Page 579]]

enrichment plants, electromagnetic enrichment plants, and especially 
designed or prepared equipment, other than analytical instruments, for 
the separation of isotopes of uranium. (See appendices to this part for 
lists of: gas centrifuge equipment--Appendix B; gaseous diffusion 
equipment--Appendix C; aerodynamic enrichment equipment--Appendix D; 
chemical exchange or ion exchange enrichment equipment--Appendix E; 
laser based enrichment equipment--Appendix F; plasma separation 
enrichment equipment--Appendix G; and electromagnetic enrichment 
equipment--Appendix H.)
    (c) Plants for the separation of the isotopes of lithium and 
especially designed or prepared assemblies and components for these 
plants. (See Appendix N to this part.)
    (d) Plants for the reprocessing of irradiated nuclear reactor fuel 
elements and especially designed or prepared assemblies and components 
for these plants. (See Appendix I to this part.)
    (e) Plants for the fabrication of nuclear reactor fuel elements and 
especially designed or prepared assemblies and components for these 
plants. (See Appendix O to this part.)
    (f) Plants for the conversion of uranium and plutonium and 
especially designed or prepared assemblies and components for these 
plants. (See Appendix J to this part.)
    (g) Plants for the production, separation, or purification of heavy 
water, deuterium, and deuterium compounds and especially designed or 
prepared assemblies and components for these plants. (See Appendix K to 
this part.)
    (h) Plants for the production of special nuclear material using 
accelerator-driven subcritical assembly systems capable of continuous 
operation above 5 MWe thermal.
    (i) Other nuclear-related commodities are under the export licensing 
authority of the Department of Commerce.

[61 FR 35602, July 8, 1996, as amended at 65 FR 70290, Nov. 22, 2000]



Sec. 110.9  List of Nuclear Material under NRC export licensing authority.

    (a) Special Nuclear Material.
    (b) Source Material.
    (c) Byproduct Material.
    (d) Deuterium.
    (e) Nuclear grade graphite.

[55 FR 30450, July 26, 1990]



Sec. 110.9a  List of nuclear equipment and material under NRC import licensing authority.

    (a) Production and utilization facilities.
    (b) Special nuclear material.
    (c) Source material.
    (d) Byproduct material.

[49 FR 47198, Dec. 3, 1984. Redesignated at 55 FR 30450, July 26, 1990, 
and amended at 57 FR 18393, Apr. 30, 1992; 58 FR 13003, Mar. 9, 1993]



                          Subpart B--Exemptions



Sec. 110.10  General.

    (a) In response to a request or on its own initiative, the 
Commission may grant an exemption from the regulations in this part, if 
it determines that the exemption:
    (1) Is authorized by law;
    (2) Is not inimical to the common defense and security; and
    (3) Does not constitute an unreasonable risk to the public health 
and safety.
    (b) An exemption from statutory licensing requirements, as 
authorized by sections 57d, 62, and 81 of the Atomic Energy Act, will be 
granted only after coordination with the Executive Branch.
    (c) The granting of an exemption does not relieve any person from 
complying with the regulations of other Government agencies applicable 
to exports or imports under their authority.

[49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993; 65 
FR 70290, Nov. 22, 2000]



Sec. 110.11  Export of IAEA safeguards samples.

    A person is exempt from the requirements for a license to export 
special nuclear material set forth in sections 53 and 54d. of the Atomic 
Energy Act and from the regulations in this part to the extent that the 
person exports special nuclear material in IAEA safeguards samples, if 
the samples are exported in accordance with Sec. 75.42(e)(1) of

[[Page 580]]

this chapter, or a comparable Department of Energy order, and are in 
quantities not exceeding a combined total of 100 grams of contained 
plutonium, U-233 and U-235 per facility per year. This exemption does 
not relieve any person from complying with parts 71 or 73 of this 
chapter or any Commission order pursuant to section 201(a) of the Energy 
Reorganization Act of 1974 (42 U.S.C. 5841(a)).

[49 FR 47198, Dec. 3, 1984]



                           Subpart C--Licenses

    Source: 49 FR 47198, Dec. 3, 1984, unless otherwise noted.



Sec. 110.19  Types of licenses.

    (a) Licenses for the export and import of nuclear equipment and 
material in this part consist of two types: General licenses and 
Specific licenses. Except as provided in paragraph (b) of this section, 
a general license is effective without the filing of an application with 
the Commission or the issuance of licensing documents to a particular 
person. A specific license is issued to a named person and is effective 
upon approval by the Commission of an application filed pursuant to the 
regulations in this part and issuance of licensing documents to the 
applicant. Issuance of a specific or general license under this part 
does not relieve a person from complying with applicable regulations of 
the Environmental Protection Agency for any export or import that 
contains or is contaminated with hazardous waste.
    (b) A person using a general license under this part as authority to 
export incidental radioactive material that is contained in or a 
contaminant of a shipment that exceeds 100 kilograms in total weight 
shall file a completed NRC Form 7 before the export takes place.

[60 FR 37563, July 21, 1995]



Sec. 110.20  General license information.

    (a) A person may use an NRC general license as authority to export 
or import nuclear equipment or material (including incidental 
radioactive material), if the nuclear equipment or material to be 
exported or imported is covered by the NRC general licenses described in 
Secs. 110.21 through 110.30.
    (1) A person using a general license under this part as authority to 
export incidental radioactive material that is contained in or a 
contaminant of a shipment that exceeds 100 kilograms in total weight 
shall file a completed NRC Form 7 before the export takes place.
    (2) If an export or import is not covered by the NRC general 
licenses described in Secs. 110.21 through 110.30, a person must file an 
application with the Commission for a specific license in accordance 
with Secs. 110.31 through 110.32.
    (b) In response to a petition or on its own initiative, the 
Commission may issue a general license for export or import if it 
determines that any exports or imports made under the general license 
will not be inimical to the common defense and security or constitute an 
unreasonable risk to the public health and safety and otherwise meet 
applicable statutory requirements. A general license is issued as a 
regulation after a rulemaking proceeding under subpart K of this part. 
Issuance of a general license is coordinated with the Executive Branch.
    (c) A general license does not relieve a person from complying with 
the regulations of other Government agencies applicable to exports or 
imports under their authority.
    (d) A general license for export may not be used if the exporter 
knows, or has reason to believe, that the material will be used in any 
activity related to isotope separation, chemical reprocessing, heavy 
water production or the fabrication of nuclear fuel containing 
plutonium, unless these activities are generically authorized under an 
appropriate agreement for cooperation.
    (e) A person who uses an NRC general license as the authority to 
export or import may cite on the shipping documents the section of this 
part which authorizes the described export or import under general 
license, as a means of expediting U.S. Customs Service's processing of 
the shipment.
    (f) As specified in Secs. 110.21 through 110.26, 110.28, 110.29, and 
110.30 only certain countries are eligible recipients of

[[Page 581]]

equipment or material under NRC general licenses to export. The 
Commission will closely monitor these countries and may at any time 
remove a country from a general license in response to significant 
adverse developments in the country involved. A key factor in this 
regard is the nonproliferation credentials of the importing country.

[49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993; 59 
FR 48997, Sept. 26, 1994; 60 FR 37563, July 21, 1995]



Sec. 110.21  General license for the export of special nuclear material.

    (a) Except as provided in paragraph (d) of this section, a general 
license is issued to any person to export the following to any country 
not listed in Sec. 110.28:
    (1) Low-enriched uranium as residual contamination (17.5 parts per 
million or less) in any item or substance.
    (2) Plutonium containing 80 percent or more by weight of plutonium-
238 in cardiac pacemakers.
    (3) Special nuclear material, other than Pu-236 and Pu-238, in 
sensing components in instruments, if no more than 3 grams of enriched 
uranium or 0.1 gram of Pu or U-233 are contained in each sensing 
component.
    (4) Pu-236 and Pu-238 when contained in a device, or a source for 
use in a device, in quantities of less than 100 millicuries of alpha 
activity (189 micrograms Pu-236, 5.88 milligrams Pu-238) per device or 
source.
    (b) Except as provided in paragraph (d) of this section, a general 
license is issued to any person to export the following to any country 
not listed in Sec. 110.28 or Sec. 110.29:
    (1) Special nuclear material, other than Pu-236 and Pu-238, in 
individual shipments of 0.001 effective kilogram or less (e.g., 1.0 gram 
of plutonium, U-233 or U-235, or 10 kilograms of 1 percent enriched 
uranium), not to exceed 0.1 effective kilogram per year to any one 
country.
    (2) Special nuclear material in fuel elements as replacements for 
damaged or defective unirradiated fuel elements previously exported 
under a specific license, subject to the same terms as the original 
export license and the condition that the replaced fuel elements must be 
returned to the United States within a reasonable time period.
    (3) Uranium, enriched to less than 20 percent in U-235, in the form 
of UF6 heels in cylinders being returned to suppliers in EURATOM.
    (c) Except as provided in paragraph (d) of this section, a general 
license is issued to any person to export Pu-236 or Pu-238 to any 
country listed in Sec. 110.30 in individual shipments of 1 gram or less, 
not to exceed 100 grams per year to any one country.
    (d) The general licenses in paragraphs (a), (b), and (c) of this 
section do not authorize the export of special nuclear material in 
radioactive waste.
    (e) Persons using the general licenses in paragraphs (a), (b), and 
(c) of this section as authority to export special nuclear material as 
incidental radioactive material shall file a completed NRC Form 7 before 
the export takes place if the total weight of the shipment exceeds 100 
kilograms.

[49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993; 59 
FR 48997, Sept. 26, 1994; 60 FR 37563, July 21, 1995; 65 FR 70290, Nov. 
22, 2000]



Sec. 110.22  General license for the export of source material.

    (a) Except as provided in paragraph (e) of this section, a general 
license is issued to any person to export the following to any country 
not listed in Sec. 110.28:
    (1) Uranium or thorium, other than U-230, U-232, Th-227, and Th-228, 
in any substance in concentrations of less than 0.05 percent by weight.
    (2) Thorium, other than Th-227 and Th-228, in incandescent gas 
mantles or in alloys in concentrations of 5 percent or less.
    (3) Th-227, Th-228, U-230, and U-232 when contained in a device, or 
a source for use in a device, in quantities of less than 100 millicuries 
of alpha activity (3.12 micrograms Th-227, 122 micrograms Th-228, 3.7 
micrograms U-230, 4.7 milligrams U-232) per device or source.
    (b) Except as provided in paragraph (e) of this section, a general 
license is issued to any person to export uranium or thorium, other than 
U-230, U-232, Th-227, or Th-228, in individual shipments of 10 kilograms 
or less to any

[[Page 582]]

country not listed in Sec. 110.28 or Sec. 110.29, not to exceed 1,000 
kilograms per year to any one country or 500 kilograms per year to any 
one country when the uranium or thorium is of Canadian origin.
    (c) A general license is issued to any person to export uranium, 
enriched to less than 20 percent in U-235, in the form of UF6 heels in 
cylinders being returned to suppliers in EURATOM.
    (d) Except as provided in paragraph (e) of this section, a general 
license is issued to any person to export uranium or thorium, other than 
U-230, U-232, Th-227, or Th-228, in individual shipments of 1 kilogram 
or less to any country listed in Sec. 110.29, not to exceed 100 
kilograms per year to any one country.
    (e) Except as provided in paragraph (e) of this section, a general 
license is issued to any person to export U-230, U-232, Th-227, or Th-
228 in individual shipments of 10 kilograms or less to any country 
listed in Sec. 110.30, not to exceed 1,000 kilograms per year to any one 
country or 500 kilograms per year to any one country when the uranium or 
thorium is of Canadian origin.
    (f) Paragraphs (a), (b), (c), and (d) of this section do not 
authorize the export under general license of source material in 
radioactive waste.
    (g) Persons using the general licenses in paragraphs (a), (b), (c), 
and (d) of this section as authority to export source material as 
incidental radioactive material shall file a completed NRC Form 7 before 
the export takes place if the total weight of the shipment exceeds 100 
kilograms.

[49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993; 59 
FR 48997, Sept. 26, 1994; 60 FR 37563, July 21, 1995; 61 FR 35602, July 
8, 1996; 65 FR 70290, Nov. 22, 2000]



Sec. 110.23  General license for the export of byproduct material.

    (a) A general license is issued to any person to export byproduct 
material (see appendix L to this part) except that:
    (1) This section does not authorize the export of byproduct material 
to any embargoed country listed in Sec. 110.28, or byproduct material in 
radioactive waste, or tritium for recovery or recycle purposes.
    (2) Actinium-225 and -227, americium-241 and -242m, californium-248, 
-249, -250, -251, -252, -253, and -254, curium-240, -241, -242, -243, -
244, -245, -246 and -247, einsteinium-252, -253, -254 and -255, fermium-
257, gadolinium-148, mendelevium-258, neptunium-235 and -237, polonium-
210, and radium-223 must be contained in a device, or a source for use 
in a device, in quantities of less than 100 millicurie of alpha activity 
(see Sec. 110.2 for specific activity) per device or source, unless the 
export is to a country listed in Sec. 110.30. Exports of americium and 
neptunium are subject to the reporting requirements listed in paragraph 
(b) of this section.
    (3) For americium-241, exports must not exceed one curie (308 
milligrams) per shipment or 100 curies (30.8 grams) per year to any 
country listed in Sec. 110.29, and must be contained in industrial 
process control equipment or petroleum exploration equipment in 
quantities not to exceed 20 curies (6.16 grams) per device or 200 curies 
(61.6 grams) per year to any one country.
    (4) For neptunium-235 and -237, exports must not exceed individual 
shipments of one gram, not to exceed 10 grams per year to any one 
country.
    (5) For polonium-210, the material must be contained in static 
eliminators and may not exceed 100 curies (22 grams) per individual 
shipment.
    (6) For tritium in any dispersed form, except for recovery or 
recycle purposes (e.g., luminescent light sources and paint, accelerator 
targets, calibration standards, labeled compounds), exports must not 
exceed the quantity of 10 curies (1.03 milligrams) or less per item, not 
to exceed 1,000 curies (103 milligrams) per shipment or 10,000 curies 
(1.03 grams) per year to any one country. Exports of tritium to the 
countries listed in Sec. 110.30 must not exceed the quantity of 40 
curies (4.12 milligrams) or less per item, not to exceed 1,000 curies 
(103 milligrams) per shipment or 10,000 curies (1.03 grams) per year to 
any one country, and exports of tritium in luminescent safety devices 
installed in aircraft must not exceed a quantity of 40 curies (4.12 
milligrams) or less per light source.
    (b) Persons making exports under the general license established by 
paragraph (a) of this section shall submit

[[Page 583]]

by February 1 of each year one copy of a report of all americium and 
neptunium shipments during the previous calendar year. The report must 
include:
    (1) A description of the material, including quantity;
    (2) Approximate shipment dates; and
    (3) A list of recipient countries, end users, and intended use keyed 
to the items shipped.
    (c) Persons using a general license issued under paragraph (a) of 
this section as authority to export byproduct material as incidental 
radioactive material shall file a completed NRC Form 7 before the export 
takes place if the total weight of the shipment exceeds 100 kilograms.

[65 FR 70290, Nov. 22, 2000]



Sec. 110.24  General license for the export of deuterium.

    (a) A general license is issued to any person to export deuterium in 
individual shipments of 10 kilograms or less (50 kilograms of heavy 
water) to any country not listed in Sec. 110.28 or Sec. 110.29. No 
person may export more than 200 kilograms (1000 kilograms of heavy 
water) per year to any one country.
    (b) A general license is issued to any person to export deuterium in 
individual shipments of 1 kilogram or less (5 kilograms of heavy water) 
to any country listed in Sec. 110.29. No person may export more than 5 
kilograms (25 kilograms of heavy water) per year to any one country.

[49 FR 47198, Dec. 3, 1984, as amended at 58 FR 13003, Mar. 9, 1993]



Sec. 110.25  General license for the export of nuclear grade graphite.

    (a) A general license is issued to any person to export bulk 
nonfabricated nuclear grade graphite in individual shipments of 100 
kilograms or less to any country not listed in Sec. 110.28. No person 
may export more than 2,000 kilograms per year to any one country.
    (b) Unless licensed by the Department of Commerce, a general license 
is issued to any person to export nuclear grade graphite in fabricated, 
nonnuclear-related commercial products to any country not listed in 
Sec. 110.28, except that graphite electrodes weighing more than 1 
kilogram per electrode may not be exported to any country listed in 
Sec. 110.29 under this general license. (Fabricated products are 
products in final manufactured form except for detailed machining and 
other final steps necessary for the intended end use of the product.)

[49 FR 47198, Dec. 3, 1984; 49 FR 49841, Dec. 24, 1984; 58 FR 13003, 
Mar. 9, 1993]



Sec. 110.26  General license for the export of nuclear reactor components.

    (a) A general license is issued to any person to export to the 
following countries any nuclear reactor component described in 
paragraphs (5) through (9) of appendix A to this part if--
    (1) The component is of U.S. origin,
    (2) The component will be used in a light or heavy water-moderated 
power or research reactor in those countries, or
    (3) The component is in semifabricated form and will be undergoing 
final fabrication or repair in those countries for subsequent return to 
the United States for use in a nuclear power or research reactor in the 
United States:

Austria
Belgium
Bulgaria
Canada
Czech Republic
Denmark
Finland
France
Germany
Greece
Indonesia
Ireland
Italy
Japan
Latvia
Lithuania
Luxembourg
Netherlands
New Zealand
Philippines
Portugal
Republic of Korea
Romania
Spain
Sweden
Switzerland
Taiwan
United Kingdom

    (b) This general license does not authorize the export of 
components, in final or semi-fabricated form, for research reactors 
capable of continuous operation above 5 MWe thermal.
    (c) This general license does not authorize the export of 
essentially complete reactors through piecemeal exports of facility 
components. When individual exports of components would amount in the 
aggregate to export of an essentially complete nuclear reactor, a 
facility export license is required.

[[Page 584]]

    (d) Persons making exports under the general license established by 
paragraph (a) of this section shall submit by February 1 of each year 
one copy of a report of all components shipped during the previous 
calendar year. This report must include:
    (1) A description of the components keyed to the categories listed 
in appendix A to this part.
    (2) Approximate shipment dates.
    (3) A list of recipient countries and endusers keyed to the items 
shipped.

[49 FR 47198, Dec. 3, 1984, as amended at 55 FR 34519, Aug. 23, 1990; 58 
FR 13003, Mar. 9, 1993; 61 FR 35602, July 8, 1996; 62 FR 59277, Nov. 3, 
1997; 65 FR 70290, Nov. 22, 2000]



Sec. 110.27  General license for imports.

    (a) Except as provided in paragraphs (b) and (c) of this section, a 
general license is issued to any person to import byproduct, source, or 
special nuclear material if the consignee is authorized to possess the 
material under:
    (1) A contract with the Department of Energy;
    (2) An exemption from licensing requirements issued by the 
Commission; or
    (3) A general or specific NRC or Agreement State license issued by 
the Commission or a State with which the Commission has entered into an 
agreement under Section 274b. of the Atomic Energy Act.
    (b) The general license in paragraph (a) of this section does not 
authorize the import of source or special nuclear material in the form 
of irradiated fuel that exceeds 100 kilograms per shipment.
    (c) Paragraph (a) of this section does not authorize the import 
under general license of radioactive waste, other than radioactive waste 
that is being returned to a United States Government or military 
facility in the United States which is authorized to possess the 
material.
    (d) A person importing formula quantities of strategic special 
nuclear material (as defined in Sec. 73.2 of this chapter) under this 
general license shall provide the notifications required by Sec. 73.27 
and Sec. 73.72 of this chapter.

[51 FR 47208, Dec. 31, 1986, as amended at 56 FR 38336, Aug. 13, 1991; 
58 FR 13003, Mar. 9, 1993; 60 FR 37564, July 21, 1995; 61 FR 35602, July 
8, 1996; 65 FR 70291, Nov. 22, 2000]



Sec. 110.28  Embargoed destinations.

Cuba
Iran
Iraq
Libya
North Korea
Sudan

[58 FR 13003, Mar. 9, 1993, as amended at 61 FR 35602, July 8, 1996; 65 
FR 70291, Nov. 22, 2000]



Sec. 110.29  Restricted destinations.

Afghanistan
Andorra
Angola
Burma (Myanmar)
Djibouti
India
Israel
Oman
Pakistan
Syria

[58 FR 13003, Mar. 9, 1993, as amended at 59 FR 48998, Sept. 26, 1994; 
61 FR 35602, July 8, 1996]



Sec. 110.30  Members of the Nuclear Suppliers Group.

Argentina
Australia
Austria
Belarus
Belgium
Brazil
Bulgaria
Canada
Cyprus
Czech Republic
Denmark
Finland
France
Germany
Greece
Hungary
Ireland
Italy
Japan
Latvia
Luxembourg
Netherlands
New Zeland
Norway
Poland
Portugal
Republic of Korea
Romania
Russia
Slovak Republic
Slovenia
South Africa
Spain
Sweden
Switzerland
Turkey
Ukraine
United Kingdom

[59 FR 48998, Sept. 26, 1994, as amended at 61 FR 35602, July 8, 1996; 
65 FR 70291, Nov. 22, 2000]



Sec. 110.31  Application for a specific license.

    (a) A person shall file an application for a specific license to 
export or import with the Deputy Director, Office of International 
Programs, Office of International Programs, U.S. Nuclear Regulatory 
Commission, Washington,

[[Page 585]]

DC 20555. The application may be delivered to the Commission's offices 
at 11555 Rockville Pike, Rockville, Maryland 20852 or at 2120 L Street, 
NW. (Lower Level), Washington, DC 20037.
    (b) An application for a specific license to export or import must 
be accompanied by the appropriate fee in accordance with the fee 
schedule in Sec. 170.21 and Sec. 170.31 of this chapter. A license 
application will not be processed unless the specified fee is received.
    (c) A license application should be filed on NRC Form 7, except that 
an import license application and a production or utilization facility 
export license application should be filed by letter.
    (d) Each person shall provide in the license application, as 
appropriate, the information specified in Sec. 110.32. The Commission 
also may require the submission of additional information if necessary 
to complete its review.
    (e) An application may cover multiple shipments and destinations.
    (f) The applicant shall withdraw an application when it is no longer 
needed. The Commission's official files retain all documents related to 
a withdrawn application.

[58 FR 13003, Mar. 9, 1993. Redesignated and amended at 59 FR 48998, 
Sept. 26, 1994; 65 FR 70291, Nov. 22, 2000]



Sec. 110.32  Information required in an application for a specific license/NRC Form 7.

    (a) Name and address of applicant.
    (b) Name and address of supplier of equipment or material.
    (c) Country of origin of equipment or material, and any other 
countries that have processed the material prior to its import into the 
U.S.
    (Note: This is meant to include all obligations attached to the 
material, according to the definition of obligations in Sec. 110.2. 
Licensees must keep records of obligations attached to material which 
they own or is in their possession.)''
    (d) Names and addresses of all intermediate and ultimate consignees, 
other than intermediate consignees performing shipping services only.
    (e) Dates of proposed first and last shipments.
    (f) Description of the equipment or material including, as 
appropriate, the following:
    (1) Maximum quantity of material in grams or kilograms (curies for 
byproduct material) and its chemical and physical form.
    (2) For enriched uranium, the maximum weight percentage of 
enrichment and maximum weight of contained U-235.
    (3) For nuclear equipment, total dollar value.
    (4) For nuclear reactors, the name of the facility and its design 
power level.
    (5) For proposed exports or imports of radioactive waste, and for 
proposed exports of incidental radioactive material--the volume, 
classification (as defined in Sec. 61.55 of this chapter), physical and 
chemical characteristics, route of transit of shipment, and ultimate 
disposition (including forms of management) of the waste.
    (6) For proposed imports of radioactive waste--the industrial or 
other process responsible for generation of the waste, and the status of 
the arrangements for disposition, e.g., any agreement by a low-level 
waste compact or State to accept the material for management purposes or 
disposal.
    (7) Description of end use by all consignees in sufficient detail to 
permit accurate evaluation of the justification for the proposed export 
or import, including the need for shipment by the dates specified.

[49 FR 47200, Dec. 3, 1984, as amended at 58 FR 13004, Mar. 9, 1993. 
Redesignated at 59 FR 48998, Sept. 26, 1994; 60 FR 37564, July 21, 1995; 
65 FR 70291, Nov. 22, 2000]



                Subpart D--Review of License Applications



Sec. 110.40  Commission review.

    (a) Immediately after receipt of a license application for an export 
or import requiring a specific license under this part, the Commission 
will initiate its licensing review and, to the maximum extent feasible, 
will expeditiously process the application concurrently with any 
applicable review by the Executive Branch.
    (b) The Commissioners shall review a license application for export 
of the following:
    (1) A production or utilization facility.

[[Page 586]]

    (2) More than one effective kilogram of high-enriched uranium, 
plutonium or U-233.
    (3) 1,000 kilograms or more of nuclear grade graphite or deuterium 
oxide (heavy water), other than exports of heavy water to Canada.
    (4) An export involving assistance to end uses related to isotope 
separation, chemical reprocessing, heavy water production, advanced 
reactors, or the fabrication of nuclear fuel containing plutonium, 
except for exports of source material or low-enriched uranium to EURATOM 
or Japan for enrichment up to 5 percent in the isotope uranium-235, and 
those categories of exports which the Commission has approved in advance 
as constituting permitted incidental assistance.
    (5) The initial export to a country since March 10, 1978 of source 
or special nuclear material for nuclear end use.
    (6) An export involving over: (i) 10 grams of plutonium, U-233 or 
high-enriched uranium; (ii) 1 effective kilogram of low-enriched 
uranium; (iii) 250 kilograms of source material, heavy water or nuclear 
grade graphite; or (iv) 1,000 curies of tritium, to any country listed 
in Sec. 110.28 or Sec. 110.29.
    (7) Any export subject to special limitations as determined by the 
staff or a majority of the Commissioners.
    (c) If the Commission has not completed action on a license 
application within 60 days after receipt of the Executive Branch 
judgment, as provided for in Sec. 110.41, or the license application 
when an Executive Branch judgment is not required, it will inform the 
applicant in writing of the reason for delay and, as appropriate, 
provide followup reports.

[43 FR 21641, May 19, 1978, as amended at 45 FR 51184, Aug. 1, 1980; 49 
FR 47200, Dec. 3, 1984; 58 FR 13004, Mar. 9, 1993; 60 FR 37564, July 21, 
1995]



Sec. 110.41  Executive Branch review.

    (a) An application for a license to export the following will be 
promptly forwarded to the Executive Branch for review:
    (1) A production or utilization facility.
    (2) More than one effective kilogram of high-enriched uranium or 10 
grams of plutonium or U-233.
    (3) Nuclear grade graphite, more than 100 curies of tritium, and 
deuterium oxide (heavy water), other than exports of heavy water to 
Canada.
    (4) One kilogram or more of source or special nuclear material to be 
exported under the US-IAEA Agreement for Cooperation.
    (5) An export involving assistance to end uses related to isotope 
separation, chemical reprocessing, heavy water production, advanced 
reactors, or the fabrication of nuclear fuel containing plutonium, 
except for exports of source material or low-enriched uranium to EURATOM 
and Japan for enrichment up to 5 percent in the isotope uranium-235, and 
those categories of exports approved in advance by the Executive Branch 
as constituting permitted incidental assistance.
    (6) The initial export of nuclear material or equipment to a foreign 
reactor.
    (7) An export involving radioactive waste.
    (8) An export to any country listed in Sec. 110.28 or Sec. 110.29.
    (9) An export subject to special limitations as determined by the 
Commission or the Executive Branch.
    (b) The Executive Branch will be requested to:
    (1) Provide its judgment as to whether the proposed export would be 
inimical to the common defense and security, along with supporting 
rationale and information.
    (2) Where applicable, confirm that the proposed export would be 
under the terms of an agreement for cooperation; and
    (3) Address the extent to which the export criteria in Sec. 110.42 
are met, if applicable, and the extent to which the recipient country or 
group of countries has adhered to the provisions of any applicable 
agreement for cooperation.
    (c) The Commission may request the Executive Branch to address 
specific concerns and provide additional data and recommendations as 
necessary.

[43 FR 21641, May 19, 1978, as amended at 49 FR 47200, Dec. 3, 1984; 58 
FR 13004, Mar. 9, 1993; 60 FR 37564, July 21, 1995; 61 FR 35602, July 8, 
1996]

[[Page 587]]



Sec. 110.42  Export licensing criteria.

    (a) The review of license applications for export for peaceful 
nuclear uses of production or utilization facilities 1 or for 
export for peaceful nuclear uses of special nuclear or source material 
requiring a specific license under this part is governed by the 
following criteria:
---------------------------------------------------------------------------

    \1\ Exports of nuclear reactors, reactor pressure vessels, reactor 
primary coolant pumps, ``on-line'' reactor fuel charging and discharging 
machines, and complete reactor control rod systems, as specified in 
paragraphs (1) through (4) of appendix A to this part, are subject to 
the export licensing criteria in Sec. 110.42(a). Exports of nuclear 
reactor components, as specified in paragraphs (5) through (9) of 
appendix A to this part, when exported separately from the items 
described in paragraphs (1) through (4) of appendix A of this part, are 
subject to the export licensing criteria in Sec. 110.42(b).
---------------------------------------------------------------------------

    (1) IAEA safeguards as required by Article III (2) of the NPT will 
be applied with respect to any such facilities or material proposed to 
be exported, to any such material or facilities previously exported and 
subject to the applicable agreement for cooperation, and to any special 
nuclear material used in or produced through the use thereof.
    (2) No such material or facilities proposed to be exported or 
previously exported and subject to the applicable agreement for 
cooperation, and no special nuclear material produced through the use of 
such material or facilities, will be used for any nuclear explosive 
device or for research on or development of any nuclear explosive 
device.
    (3) Adequate physical security measures will be maintained with 
respect to such material or facilities proposed to be exported and to 
any special nuclear material used in or produced through the use 
thereof. Physical security measures will be deemed adequate if such 
measures provide a level of protection equivalent to that set forth in 
Sec. 110.44.
    (4) No such material or facilities proposed to be exported, and no 
special nuclear material produced through the use of such material, will 
be retransferred to the jurisdiction of any other country or group of 
countries unless the prior approval of the United States is obtained for 
such retransfer.
    (5) No such material proposed to be exported and no special nuclear 
material produced through the use of such material will be reprocessed, 
and no irradiated fuel elements containing such material removed from a 
reactor will be altered in form or content, unless the prior approval of 
the United States is obtained for such reprocessing or alteration.
    (6) With respect to exports of such material or facilities to 
nonnuclear weapon states, IAEA safeguards will be maintained with 
respect to all peaceful activities in, under the jurisdiction of, or 
carried out under the control of such state at the time of export. This 
criterion will not be applied if the Commission has been notified by the 
President in writing that failure to approve an export because this 
criterion has not been met would be seriously prejudicial to the 
achievement of United States nonproliferation objectives or otherwise 
jeopardize the common defense and security, in which case the provisions 
of section 128 of the Atomic Energy Act regarding Congressional review 
will apply.
    (7) The proposed export of a facility or of more than 0.003 
effective kilograms of special nuclear material, other than plutonium 
containing 80 percent or more by weight of plutonium-238, would be under 
the terms of an agreement for cooperation.
    (8) The proposed export is not inimical to the common defense and 
security and, in the case of facility exports, does not constitute an 
unreasonable risk to the public health and safety in the United States.
    (9)(i) With respect to exports of high-enriched uranium to be used 
as a fuel or target in a nuclear research or test reactor, the 
Commission determines that:
    (A) There is no alternative nuclear reactor fuel or target enriched 
to less than 20 percent in the isotope U-235 that can be used in that 
reactor;
    (B) The proposed recipient of the uranium has provided assurances 
that, whenever an alternative nuclear reactor fuel or target can be used 
in that reactor, it will use that alternative

[[Page 588]]

fuel or target in lieu of highly-enriched uranium; and
    (C) The United States Government is actively developing an 
alternative nuclear reactor fuel or target that can be used in that 
reactor.
    (ii) A fuel or target ``can be used'' in a nuclear research or test 
reactor if--
    (A) The fuel or target has been qualified by the Reduced Enrichment 
Research and Test Reactor Program of the Department of Energy; and
    (B) Use of the fuel or target will permit the large majority of 
ongoing and planned experiments and isotope production to be conducted 
in the reactor without a large percentage increase in the total cost of 
operating the reactor.
    (b) The review of license applications for the export of nuclear 
equipment, other than a production or utilization facility, and for 
deuterium and nuclear grade graphite, is governed by the following 
criteria:
    (1) IAEA safeguards as required by Article III (2) of the NPT will 
be applied with respect to such equipment or material.
    (2) No such equipment or material will be used for any nuclear 
explosive device or for research on or development of any nuclear 
explosive device.
    (3) No such equipment or material will be retransferred to the 
jurisdiction of any other country or group of countries without the 
prior consent of the United States.
    (4) The proposed export is not inimical to the common defense and 
security.
    (c) Except where paragraph (d) is applicable, the review of license 
applications for export of byproduct material or for export of source 
material for non-nuclear end uses requiring a specific license under 
this part is governed by the criterion that the proposed export is not 
inimical to the common defense and security.
    (d) The review of license applications for the export of radioactive 
waste requiring a specific license under this part is governed by the 
following criteria:
    (1) The proposed export is not inimical to the common defense and 
security.
    (2) The receiving country, after being advised of the information 
required by Sec. 110.32(f)(5), finds that it has the administrative and 
technical capacity and regulatory structure to manage and dispose of the 
waste and consents to the receipt of the radioactive waste. In the case 
of radioactive waste containing a nuclear material to which paragraph 
(a) or (b) of this section is applicable, the criteria in this paragraph 
(d) shall be in addition to the criteria provided in paragraph (a) or 
(b) of this section.

[49 FR 47200, Dec. 3, 1984, as amended at 55 FR 34519, Aug. 23, 1990; 58 
FR 13004, Mar. 9, 1993; 58 FR 57964, Oct. 28, 1993; 60 FR 37564, July 
21, 1995]



Sec. 110.43  Import licensing criteria.

    The review of license applications for imports requiring a specific 
license under this part is governed by the following criteria:
    (a) The proposed import is not inimical to the common defense and 
security.
    (b) The proposed import does not constitute an unreasonable risk to 
the public health and safety.
    (c) Any applicable requirements of subpart A of part 51 of this 
chapter are satisfied.
    (d) With respect to the import of radioactive waste, an appropriate 
facility has agreed to accept the waste for management or disposal.

[60 FR 37565, July 21, 1995]



Sec. 110.44  Physical security standards.

    (a) Physical security measures in recipient countries must provide 
protection at least comparable to the recommendations in the current 
version of IAEA publication INFCIRC/225/Rev. 4 (corrected), June 1999, 
``The Physical Protection of Nuclear Material and Nuclear Facilities,'' 
and is incorporated by reference in this part. This incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Notice of any changes 
made to the material incorporated by reference will be published in the 
Federal Register. Copies of INFCIRC/225/Rev. 4 may be obtained from the 
Deputy Director, Office of International Programs, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555-

[[Page 589]]

0001, and are available for inspection at the NRC library, 11545 
Rockville Pike, Rockville, Maryland 20852-2738. A copy is available for 
inspection at the library of the Office of the Federal Register, 800 N. 
Capitol Street, NW., Suite 700, Washington, DC.
    (b) Commission determinations on the adequacy of physical security 
measures are based on--
    (1) Receipt of written assurances from recipient countries that 
physical security measures providing protection at least comparable to 
the recommendations set forth in INFCIRC/225/Rev. 4 (corrected).
    (2) Information obtained through country visits, information 
exchanges, or other sources. Determinations are made on a country-wide 
basis and are subject to continuing review. Appendix M to this part 
describes the different categories of nuclear material to which physical 
security measures are applied.

[58 FR 13004, Mar. 9, 1993, as amended at 59 FR 48998, Sept. 26, 1994; 
59 FR 50689, Oct. 5, 1994. Redesignated at 60 FR 37565, July 21, 1995, 
as amended at 61 FR 35602, July 8, 1996; 65 FR 70291, Nov. 22, 2000]



Sec. 110.45  Issuance or denial of licenses.

    (a) The Commission will issue an export license if it has been 
notified by the State Department that it is the judgment of the 
Executive Branch that the proposed export will not be inimical to the 
common defense and security; and:
    (1) Finds, based upon a reasonable judgment of the assurances 
provided and other information available to the Federal government, that 
the applicable criteria in Sec. 110.42, or their equivalent, are met. 
(If an Executive Order provides an exemption pursuant to section 126a of 
the Atomic Energy Act, proposed exports to EURATOM countries are not 
required to meet the critieria in Sec. 110.42(a) (4) and (5)); or
    (2) Finds that there are no material changed circumstances 
associated with an export license application (except for byproduct 
material applications) from those existing at the time of issuance of a 
prior license to export to the same country, if the prior license was 
issued under the provisions of paragraph (a)(1) of this section.
    (b) The Commission will issue an import license if it finds that:
    (1) The proposed import will not be inimical to the common defense 
and security;
    (2) The proposed import will not constitute an unreasonable risk to 
the public health and safety;
    (3) The requirements of subpart A of part 51 of this chapter (to the 
extent applicable to the proposed import) have been satisfied; and
    (4) With respect to a proposed import of radioactive waste, an 
appropriate facility has agreed to accept the waste for management or 
disposal.
    (c) If, after receiving the Executive Branch judgement that the 
issuance of a proposed export license will not be inimical to the common 
defense and security, the Commission does not issue the proposed license 
on a timely basis because it is unable to make the statutory 
determinations required under the Atomic Energy Act, the Commission will 
publicly issue a decision to that effect and will submit the license 
application to the President. The Commission's decision will include an 
explanation of the basis for the decision and any dissenting or separate 
views. The provisions in this paragraph do not apply to Commission 
decisions regarding license applications for the export of byproduct 
material or radioactive waste requiring a specific license.
    (d) The Commission will deny: (1) Any export license application for 
which the Executive Branch judgment does not recommend approval; (2) any 
byproduct material export license application for which the Commission 
is unable to make the finding in paragraph (a)(1) of this section; or 
(3) any import license application for which the Commission is unable to 
make the finding in paragraph (b) of this section. The applicant will be 
notified in writing of the reason for denial.

[49 FR 47201, Dec. 3, 1984. Redesignated and amended at 60 FR 37565, 
July 21, 1995]



Sec. 110.46  Conduct resulting in termination of nuclear exports.

    (a) Except as provided in paragraph (c) of this section, no license 
will be issued to export nuclear equipment or material, other than 
byproduct material, to any non-nuclear weapon state

[[Page 590]]

that is found by the President to have, after March 10, 1978:
    (1) Detonated a nuclear explosive device;
    (2) Terminated or abrogated IAEA safeguards;
    (3) Materially violated an IAEA safeguards agreement; or
    (4) Engaged in activities involving source or special nuclear 
material and having direct significance for the manufacture or 
acquisition of nuclear explosive devices, and failed to take steps which 
represent sufficient progress toward terminating such activities.
    (b) Except as provided in paragraph (c) of this section, no license 
will be issued to export nuclear equipment or material, other than 
byproduct material, to any country or group of countries that is found 
by the President to have, after March 10, 1978:
    (1) Materially violated an agreement for cooperation with the United 
States or the terms of any other agreement under which nuclear equipment 
or material has been exported;
    (2) Assisted, encouraged or induced any non-nuclear weapon state to 
engage in activities involving source or special nuclear material and 
having direct significance for the manufacture or acquistion of nuclear 
explosive devices, and failed to take steps which represent sufficient 
progress toward terminating such assistance, encouragement or 
inducement; or
    (3) Entered into an agreement for the transfer of reprocessing 
equipment, materials or technology to the sovereign control of a non-
nuclear weapon state, except in connection with an international fuel 
cycle evaluation in which the United States is a participant or pursuant 
to an international agreement or understanding to which the United 
States subscribes.
    (c) Under section 129 of the Atomic Energy Act, the President may 
waive the requirement for the termination of exports to a country 
described in paragraph (a) or (b) of this section after determining in 
writing that the cessation of exports would seriously prejudice the 
achievement of United States nonproliferation objectives or otherwise 
jeopardize the common defense and security. If the President makes this 
determination, the Commission will issue licenses to export to that 
country, if other applicable statutory provisions are met.

[43 FR 21641, May 19, 1978, as amended at 49 FR 47202, Dec. 3, 1984. 
Redesignated at 60 FR 37565, July 21, 1995]



             Subpart E--License Terms and Related Provisions



Sec. 110.50  Terms.

    (a) General and specific licenses. (1) Each license is subject to 
all applicable provisions of the Atomic Energy Act and to all applicable 
rules, regulations, decisions and orders of the Commission.
    (2) Each license is subject to amendment, suspension, revocation or 
incorporation of separate conditions when required by amendments of the 
Atomic Energy Act or other applicable law, or by other rules, 
regulations, decisions or orders issued in accordance with the terms of 
the Atomic Energy Act or other applicable law.
    (3) Each license authorizes export or import only and does not 
authorize any person to receive title to, acquire, receive, possess, 
deliver, use or transfer nuclear equipment or material.
    (4) Each nuclear material license authorizes the export or import of 
only the nuclear material and accompanying packaging and fuel element 
hardware.
    (5) No nuclear equipment license confers authority to export or 
import nuclear material.
    (6) Each nuclear equipment export license authorizes the export of 
only those items required for use in the foreign nuclear installation 
for which the items are intended.
    (7) A licensee shall not proceed to export or import and shall 
notify the Commission promptly if he knows or has reason to believe that 
the packaging requirements of part 71 of this chapter have not been met.
    (b) Specific licenses. (1) Each specific license will have an 
expiration date.
    (2) A licensee may export or import only for the purpose stated in 
the license application.
    (3) Unless a license specifically authorizes the export of foreign-
origin

[[Page 591]]

nuclear material or equipment, a licensee may not ship such material or 
equipment until;
    (i) The licensee has given at least 40 days advance notice of the 
intended shipment in writing to the Deputy Director, Office of 
International Programs (OIP), and
    (ii) The Deputy Director, OIP, has
    (A) Obtained confirmation, through either the Department of Energy 
or State, that the foreign government in question has given its consent 
to the intended shipment pursuant to its agreement for cooperation with 
the United States, and
    (B) Communicated this in writing to the licensee.
    (4) A licensee authorized to export or import nuclear material is 
responsible for compliance with applicable requirements of parts 40, 70, 
and 73 of this chapter, unless a domestic licensee of the Commission has 
assumed that responsibility and the Commission has been so notified.
    (5) A license may be transferred, disposed of or assigned to another 
person only with the approval of the Commission by license amendment.

[43 FR 21641, May 19, 1978, as amended at 49 FR 47202, Dec. 3, 1984; 49 
FR 49841, Dec. 24, 1984; 52 FR 9655, Mar. 26, 1987; 53 FR 4112, Feb. 12, 
1988; 58 FR 13004, Mar. 9, 1993; 59 FR 48998, Sept. 26, 1994; 65 FR 
70291, Nov. 22, 2000]



Sec. 110.51  Amendment and renewal of licenses.

    (a) A licensee may submit an application to renew a license or to 
amend a license.
    (b) If an application to renew a license is submitted 30 days or 
more before the license expires, the license remains valid until the 
Commission acts on the renewal application. An expired license is not 
renewable.
    (c) An amendment is not required for:
    (1) Changes in value (but not amount or quantity);
    (2) Changes in the mailing addresses within the same countries of 
intermediate or ultimate consignees; or
    (3) The addition of intermediate consignees in any of the importing 
countries specified in the license (for a nuclear equipment license 
only).
    (d) In acting upon license renewal and amendment applications, the 
Commission will use, as appropriate, the same procedures and criteria it 
uses for original license applications.

[49 FR 47202, Dec. 3, 1984]



Sec. 110.52  Revocation, suspension, and modification.

    (a) A license may be revoked, suspended, or modified for a condition 
which would warrant denial of the original license application.
    (b) The Commission may require further information from a licensee 
to determine whether a license should be revoked, suspended, or 
modified.
    (c) Except when the common defense and security or public health and 
safety requires otherwise, no license will be revoked, suspended, or 
modified before the licensee is informed in writing of the grounds for 
such action and afforded the opportunity to reply and be heard under 
procedures patterned on those in subpart I.

[43 FR 21641, May 19, 1978, as amended at 62 FR 59277, Nov. 3, 1997



Sec. 110.53  United States address, records, and inspections.

    (a) Each licensee shall have an office in the United States where 
papers may be served and where records required by the Commission will 
be maintained.
    (b)(1) Each licensee shall maintain records concerning his exports 
or imports. The licensee shall retain these records for five years after 
each export or import except that byproduct material records must be 
retained for three years after each export or import.
    (2) 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 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

[[Page 592]]

stamps, initials, and signatures. The licensee shall maintain adequate 
safeguards against tampering with and loss of records.
    (c) Each licensee shall permit the Commission to inspect his 
records, premises, and activities pertaining to his exports and imports 
when necessary to fulfill the requirements of the Atomic Energy Act.

[43 FR 21641, May 19, 1978, as amended at 53 FR 19263, May 27, 1988]



                  Subpart F--Violations and Enforcement



Sec. 110.60  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 55080, Nov. 24, 1992]



Sec. 110.61  Notice of violation.

    (a) Before instituting any enforcement action the Commission will 
serve on the licensee written notice of violation, except as provided in 
paragraph (d).
    (b) The notice will state the alleged violation; require the 
licensee to respond in writing, within 20 days or other specified time; 
and may also require the licensee to state the corrective steps taken or 
to be taken and the date when full compliance will be achieved.
    (c) The notice may provide that, if an adequate and timely reply is 
not received, an order to show cause may be issued pursuant to 
Sec. 110.62 or a proceeding instituted to impose a civil penalty 
pursuant to Sec. 110.64.
    (d) The notice may be omitted and an order to show cause issued when 
the Commission determines that the violation is willful or that the 
public health, safety, or interest so requires.



Sec. 110.62  Order to show cause.

    (a) In response to an alleged violation, described in Sec. 110.60, 
the Commission may institute a proceeding to revoke, suspend, or modify 
a license by issuing an order to show cause:
    (1) Stating the alleged violation and proposed enforcement action; 
and
    (2) Informing the licensee of his right, within 20 days or other 
specified time, to file a written answer and demand a hearing.
    (b) An answer consenting to the proposed enforcement action shall 
constitute a waiver by the licensee of a hearing and of all rights to 
seek further Commission or judicial review.
    (c) The order to show cause may be omitted and an order issued to 
revoke, suspend, or modify the license in cases where the Commission 
determines that the violation is willful or that the public health, 
safety, or interest so requires.



Sec. 110.63  Order for revocation, suspension, or modification.

    (a) In response to an alleged violation described in Sec. 110.60, 
the Commission may revoke, suspend, or modify a license by issuing an 
order:
    (1) Stating the violation and the effective date of the proposed 
enforcement action; and
    (2) Informing the licensee of his right, within 20 days or other 
specified time, to file a written answer and demand a hearing.

[[Page 593]]

    (b) If an answer is not filed within the time specified, the 
enforcement action will become effective and permanent as proposed.
    (c) If a timely answer is filed, the Commission, after considering 
the answer, will issue an order dismissing the proceeding, staying the 
effectiveness of the order or taking other appropriate action.
    (d) The order may be made effective immediately, with reasons 
stated, pending further hearing and order, when the Commission 
determines that the violation is willful or that the public health, 
safety, or interest so requires.



Sec. 110.64  Civil penalty.

    (a) In response to a violation, the Commission may institute a 
proceeding to impose a civil penalty under section 234 of the Atomic 
Energy Act by issuing a notice to the licensee:
    (1) Stating the alleged violation and the amount of the proposed 
penalty;
    (2) Informing the licensee of his right, within 20 days or other 
specified time, to file a written answer; and
    (3) Advising that a delinquent payment for a subsequently imposed 
penalty may be referred to the Attorney General for collection pursuant 
to section 234c. of the Atomic Energy Act.
    (b) If an answer is not filed within the time specified, the 
Commission will issue an order imposing the proposed penalty.
    (c) If a timely answer is filed, the Commission, after considering 
the answer, will issue an order dismissing the proceeding or imposing a 
penalty subject to any required hearing.
    (d) If an order imposing a civil penalty is issued, the licensee may 
request a hearing within 20 days or other specified time.
    (e) Except when the matter has been referred to the Attorney General 
for collection, payment of penalties shall be made by check, draft, or 
money order payable to the Treasurer of the United States, and mailed to 
the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001.
    (f) An enforcement action to impose a civil penalty will not itself 
revoke, modify, or suspend any license under this part.

[43 FR 21641, May 19, 1978, as amended at 62 FR 27495, May 20, 1997]



Sec. 110.65  Settlement and compromise.

    At any time after issuance of an order for any enforcement action 
under this subpart, an agreement may be entered into for settlement of 
the proceeding or compromise of a penalty. Upon approval by the 
Commission, or presiding officer if a hearing has been requested, the 
terms of the settlement or compromise will be embodied in the order 
disposing of the enforcement action.



Sec. 110.66  Enforcement hearing.

    (a) If the licensee demands a hearing, the Commission will issue an 
order specifying the time and place.
    (b) A hearing pursuant to this subpart will be conducted under the 
procedures in subpart G of part 2.



Sec. 110.67  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 110 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 110 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 110.1, 110.2, 110.3, 110.4, 110.7, 110.10, 110.11, 110.30, 110.31, 
110.32, 110.40, 110.41, 110.42, 110.43, 110.44, 110.45, 110.46, 110.51, 
110.52, 110.60, 110.61, 110.62, 110.63, 110.64, 110.65, 110.66, 110.67, 
110.70, 110.71, 110.72, 110.73, 110.80, 110.81, 110.82, 110.83, 110.84, 
110.85, 110.86, 110.87, 110.88, 110.89, 110.90, 110.91, 110.100, 
110.101, 110.102, 110.103, 110.104, 110.105, 110.106, 110.107, 110.108, 
110.109, 110.110, 110.111, 110.112, 110.113, 110.120, 110.122, 110.124, 
110.130, 110.131, 110.132, 110.133, 110.134, and 110.135.

[57 FR 55080, Nov. 24, 1992; 57 FR 62605, Dec. 31, 1992; 60 FR 37565, 
July 21, 1995]

[[Page 594]]



Subpart G--Public Notification and Availability of Documents and Records



Sec. 110.70  Public notice of receipt of an application.

    (a) The Commission will notice the receipt of each license 
application for an export or import for which a specific license is 
required by making a copy available at the NRC Web site, http://
www.nrc.gov.
    (b) The Commission will also publish in the Federal Register a 
notice of receipt of an application for a license to export the 
following:
    (1) A production or utilization facility.
    (2) Five effective kilograms or more of plutonium, high-enriched 
uranium or uranium-233.
    (3) 10,000 kilograms or more of heavy water or nuclear grade 
graphite.
    (4) Radioactive waste.
    (Note: Does not apply to exports of heavy water to Canada.)
    (c) The Commission will also publish in the Federal Register a 
notice of receipt of a license application for an import of radioactive 
waste for which a specific license is required.

[43 FR 21641, May 19, 1978, as amended at 49 FR 47202, Dec. 3, 1984; 53 
FR 4112, Feb. 12, 1988; 58 FR 13004, Mar. 9, 1993; 60 FR 37565, July 21, 
1995; 64 FR 48955, Sept. 9, 1999; 65 FR 70291, Nov. 22, 2000]



Sec. 110.71  Notice of withdrawal of an application.

    The Commission will notice the withdrawal of an application by 
making a copy available at the NRC Web site, http://www.nrc.gov.

[64 FR 48955, Sept. 9, 1999]



Sec. 110.72  Public availability of documents.

    Unless exempt from disclosure under part 9 of this chapter, the 
following documents pertaining to each license and license application 
for an import or export requiring a specific license under this part 
will be made available at the NRC Web site, http://www.nrc.gov, and/or 
at the NRC Public Document Room:
    (a) The license application and any requests for amendments;
    (b) Commission correspondence with the applicant or licensee;
    (c) Federal Register notices;
    (d) The Commission letter requesting Executive Branch views;
    (e) Correspondence from the State Department with Executive Branch 
views;
    (f) Correspondence from foreign governments and international 
organizations;
    (g) Filings pursuant to subpart I and Commission and Executive 
Branch responses, if any;
    (h) If a hearing is held, the hearing record and decision;
    (i) A statement of staff conclusions; and
    (j) The license, requests for license amendments and amendments.

[43 FR 21641, May 19, 1978, as amended at 60 FR 37565, July 21, 1995; 64 
FR 48955, Sept. 9, 1999]



Sec. 110.73  Availability of NRC records.

    (a) Commission records under this part will be made available to the 
public only in accordance with part 9 of this chapter.
    (b) Proprietary information provided under this part may be 
protected under part 9 and Sec. 2.790 (b), (c), and (d) of this chapter.



     Subpart H--Public Participation Procedures Concerning License 
                              Applications



Sec. 110.80  Basis for hearings.

    The procedures in this part will constitute the exclusive basis for 
hearings on export license applications.



Sec. 110.81  Written comments.

    (a) The Commission encourages written comments from the public 
regarding export and import license applications. The Commission will 
consider and, if appropriate, respond to these comments.
    (b) If possible, these comments should be submitted within 30 days 
after public notice of receipt of the application and addressed to the 
Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555-
0001, Attention: Rulemakings and Adjudications Staff.

[[Page 595]]

    (c) The Commission will provide the applicant with a copy of the 
comments and, if appropriate, a reasonable opportunity for response.

[43 FR 21641, May 19, 1978, as amended at 62 FR 27495, May 20, 1997]



Sec. 110.82  Hearing request or intervention petition.

    (a) A person may request a hearing or petition for leave to 
intervene on a license application for an import or export requiring a 
specific license.
    (b) Hearing requests and intervention petitions must:
    (1) State the name, address and telephone number of the requestor or 
petitioner;
    (2) Set forth the issues sought to be raised;
    (3) Explain why a hearing or an intervention would be in the public 
interest and how a hearing or intervention would assist the Commission 
in making the determinations required by Sec. 110.45.
    (4) Specify, when a person asserts that his interest may be 
affected, both the facts pertaining to his interest and how it may be 
affected, with particular reference to the factors in Sec. 110.84.
    (c) Hearing requests and intervention petitions will be considered 
timely only if filed not later than:
    (1) 30 days after notice of receipt in the Federal Register, for 
those applications published in the Federal Register;
    (2) 30 days after notice of receipt in the Public Document Room, for 
all other applications; or
    (3) Such other time as may be provided by the Commission.

[43 FR 21641, May 19, 1978, as amended at 49 FR 47202, Dec. 3, 1984; 60 
FR 37565, July 21, 1995; 60 FR 55183, Oct. 30, 1995; 65 FR 70291, Nov. 
22, 2000]



Sec. 110.83  Answers and replies.

    (a) Unless otherwise specified by the Commission, an answer to a 
hearing request or intervention petition may be filed within 30 days 
after the request or petition has been served.
    (b) Unless otherwise specified by the Commission, a reply to an 
answer may be filed within 10 days after all timely answers have been 
filed.
    (c) Answers and replies should address the factors in Sec. 110.84.

[43 FR 21641, May 19, 1978, as amended at 49 FR 47203, Dec. 3, 1984]



Sec. 110.84  Commission action on a hearing request or intervention petition.

    (a) In an export licensing proceeding, or in an import licensing 
proceeding in which a hearing request or intervention petition does not 
assert or establish an interest which may be affected, the Commission 
will consider:
    (1) Whether a hearing would be in the public interest; and
    (2) Whether a hearing would assist the Commission in making the 
statutory determinations required by the Atomic Energy Act.
    (b) If a hearing request or intervention petition asserts an 
interest which may be affected, the Commission will consider:
    (1) The nature of the alleged interest;
    (2) How that interest relates to issuance or denial; and
    (3) The possible effect of any order on that interest, including 
whether the relief requested is within the Commission's authority, and, 
if so, whether granting relief would redress the alleged injury.
    (c) Untimely hearing requests or intervention petitions may be 
denied unless good cause for failure to file on time is established. In 
reviewing untimely requests or petitions, the Commission will also 
consider:
    (1) The availability of other means by which the requestor's or 
petitioner's interest, if any, will be protected or represented by other 
participants in a hearing; and
    (2) The extent to which the issues will be broadened or action on 
the application delayed.
    (d) Before granting or denying a hearing request or intervention 
petition, the Commission will review the Executive Branch's views on the 
license application and may request further information from the 
petitioner, requester, the Commission staff, the Executive Branch or 
others.
    (e) The Commission will deny a request or petition that pertains 
solely to matters outside its jurisdiction.
    (f) If an issue has been adequately explored in a previous licensing 
hearing

[[Page 596]]

conducted pursuant to this part, a request for a new hearing in 
connection with that issue will be denied unless:
    (1) A hearing request or intervention petition establishes that an 
interest may be affected; or
    (2) The Commission determines that changed circumstances or new 
information warrant a new hearing.
    (g) After consideration of the factors covered by paragraphs (a) 
through (f), the Commission will issue a notice or order granting or 
denying a hearing request or intervention petition. Upon the affirmative 
vote of two Commissioners a hearing will be ordered. A notice granting a 
hearing will be published in the Federal Register and will specify 
whether the hearing will be oral or consist of written comments. A 
denial notice will set forth the reasons for denial.

[43 FR 21641, May 19, 1978, as amended at 49 FR 47203, Dec. 3, 1984]



Sec. 110.85  Notice of hearing consisting of written comments.

    (a) A notice of hearing consisting of written comments will:
    (1) State the issues to be considered;
    (2) Provide the names and addresses of participants;
    (3) Specify the time limits for participants and others to submit 
written views and respond to any written comments; and
    (4) State any other instructions the Commission deems appropriate.
    (b) The Secretary will give notice of any hearing under this section 
and Sec. 110.86 to any person who so requests.



Sec. 110.86  Notice of oral hearing.

    (a) A notice of oral hearing will:
    (1) State the time, place and issues to be considered;
    (2) Provide names and addresses of participants;
    (3) Designate the presiding officer;
    (4) Specify the time limit for participants and others to indicate 
whether they wish to present views; and
    (5) State any other instructions the Commission deems appropriate.
    (b) If the Commission is not the presiding officer, the notice of 
oral hearing will also state:
    (1) When the jurisdiction of the presiding officer commences and 
terminates;
    (2) The powers of the presiding officer; and
    (3) Instructions to the presiding officer to certify promptly the 
completed hearing record to the Commission without preliminary decision 
or findings, unless the Commission directs otherwise.



Sec. 110.87  Conditions in a notice or order.

    (a) A notice or order granting a hearing or permitting intervention 
may restrict irrelevant or duplicative testimony, or require common 
interests to be represented by a single spokesman.
    (b) If a participant's interests do not extend to all the issues in 
the hearing, the notice or order may limit his participation 
accordingly.
    (c) Unless authorized by the Commission, the granting of 
participation will not broaden the hearing issues.



Sec. 110.88  Authority of the Secretary.

    The Secretary is authorized to prescribe time schedules and other 
procedural arrangements, when not covered by this part, and rule on 
related procedural requests.



Sec. 110.89  Filing and service.

    (a) Hearing requests, intervention petitions, answers, replies and 
accompanying documents must be filed with the Commission by delivery or 
by mail or telegram to the Secretary, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001, Attention: Rulemakings and 
Adjudications Staff. Filing by mail or telegram is complete upon deposit 
in the mail or with a telegraph company.
    (b) All filing and Commission notices and orders must be served upon 
the applicant; the General Counsel, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555; the Executive Secretary, Department of State, 
Washington, DC 20520; and participants if any. Hearing requests, 
intervention petitions, and answers and replies must be served by the 
person filing those pleadings.
    (c) Service is completed by:

[[Page 597]]

    (1) Delivering the paper to the person; or leaving it in his office 
with someone in charge; or, if there is no one in charge, leaving it in 
a conspicuous place in the office; or, if he has no office or it is 
closed, leaving it at his usual place of residence with some occupant of 
suitable age and discretion;
    (2) Depositing it with a telegraph company, properly addressed and 
with charges prepaid;
    (3) Depositing it in the United States mail, properly stamped and 
addressed; or
    (4) Any other manner authorized by law, when service cannot be made 
as provided in paragraphs (c)(1) through (3) of this section.
    (d) Proof of service, stating the name and address of the person 
served and the manner and date of service, shall be shown, and may be 
made by:
    (1) Written acknowledgment of the person served or an authorized 
representative; or
    (2) The certificate or affidavit of the person making the service.
    (e) The Commission may make special provisions for service when 
circumstances warrant.

[43 FR 21641, May 19, 1978, as amended at 49 FR 47203, Dec. 3, 1984; 51 
FR 35999, Oct. 8, 1986; 62 FR 27495, May 20, 1997]



Sec. 110.90  Computation of time.

    (a) In computing time, the first day of a designated time period is 
not included and the last day is included. If the last day is a 
Saturday, Sunday or legal holiday at the place where the required action 
is to be accomplished, the time period will end on the next day which is 
not a Saturday, Sunday or legal holiday.
    (b) In time periods of 7 days or less, Saturdays, Sundays and 
holidays are not counted.
    (c) Whenever an action is required within a prescribed period by a 
paper served pursuant to Sec. 110.89, 3 days shall be added to the 
prescribed period if service is by mail.
    (d) An interpretation of this section is contained in Sec. 8.3 of 
this chapter.



Sec. 110.91  Commission consultations.

    The Commission may consult at any time on a license application with 
the staff, the Executive Branch or other persons.

[49 FR 47203, Dec. 3, 1984]



                           Subpart I--Hearings



Sec. 110.100  Public hearings.

    Hearings under this part will be public unless the Commission 
directs otherwise.



Sec. 110.101  Filing and service.

    Filing and service of hearing documents shall be pursuant to 
Sec. 110.89.



Sec. 110.102  Hearing docket.

    For each hearing, the Secretary will maintain a docket which will 
include the hearing transcript, exhibits and all papers filed or issued 
pursuant to the hearing.



Sec. 110.103  Acceptance of hearing documents.

    (a) Each document filed or issued must be clearly legible and bear 
the docket number, license application number and hearing title.
    (b) Each document shall be filed in one original and signed by the 
participant or his authorized representative, with his address and date 
of signature indicated. The signature is a representation that the 
document is submitted with full authority, the signator knows its 
contents and that, to the best of his knowledge, the statements made in 
it are true.
    (c) A document not meeting the requirements of this section may be 
returned with an explanation for nonacceptance and, if so, will not be 
docketed.

[43 FR 21641, May 19, 1978, as amended at 49 FR 47203, Dec. 3, 1984]



Sec. 110.104  Presiding officer.

    (a) The full Commission will ordinarily be the presiding officer at 
a hearing under this part. However, the Commission may provide in a 
hearing notice that one or more Commissioners, or any other person as 
provided by law, will preside.
    (b) A participant may submit a written motion for the 
disqualification of any person presiding. The motion shall be supported 
by affidavit setting forth

[[Page 598]]

the alleged grounds for disqualification. If the presiding officer does 
not grant the motion or the person does not disqualify himself, the 
Commission will decide the matter.
    (c) If any presiding officer designated by the Commission deems 
himself disqualified, he shall withdraw by notice on the record after 
notifying the Commission.
    (d) If a presiding officer becomes unavailable, the Commission will 
designate a replacement.
    (e) Any motion concerning the designation of a replacement presiding 
officer shall be made within 5 days after the designation.
    (f) Unless otherwise ordered by the Commission, the jurisdiction of 
a presiding officer other than the Commission commences as designated in 
the hearing notice and terminates upon certification of the hearing 
record to the Commission, or when the presiding officer is disqualified.



Sec. 110.105  Responsibility and power of the presiding officer in an oral hearing.

    (a) The presiding officer in any oral hearing shall conduct a fair 
hearing, develop a record that will contribute to informed 
decisionmaking, and, within the framework of the Commission's orders, 
have the power necessary to achieve these ends, including the power to:
    (1) Take action to avoid unnecessary delay and maintain order;
    (2) Dispose of procedural requests;
    (3) Question participants and witnesses, and entertain suggestions 
as to questions which may be asked of participants and witnessess;
    (4) Order consolidation of participants;
    (5) Establish the order of presentation;
    (6) Hold conferences before or during the hearing;
    (7) Establish reasonable time limits;
    (8) Limit the number of witnesses; and
    (9) Strike or reject duplicative or irrelevant presentations.
    (b) Where the Commission itself does not preside:
    (1) The presiding officer may certify questions or refer rulings to 
the Commission for decision;
    (2) Any hearing order may be modified by the Commission; and
    (3) The presiding officer will certify the completed hearing record 
to the Commission, which may then issue its opinion on the hearing or 
provide that additional testimony be presented.



Sec. 110.106  Participation in a hearing.

    (a) Unless otherwise limited by this part or by the Commission, 
participants in a hearing may submit:
    (1) Initial and concluding written statements of position on the 
issues;
    (2) Written questions to the presiding officer; and
    (3) Written responses and rebuttal testimony to the statements of 
other participants.
    (b) Participants in an oral hearing may also submit oral statements, 
questions, responses and rebuttal testimony.
    (c) A participant in an import licensing hearing establishing that 
his interest may be affected, may be accorded additional procedural 
rights under subpart G of part 2 with respect to resolution of domestic 
factual issues regarding the public health, safety and environment of 
the United States, and the protection of the United States public 
against domestic theft, diversion or sabotage, to the extent that such 
issues are separable from the nondomestic issues associated with the 
license application.



Sec. 110.107  Presentation of testimony in an oral hearing.

    (a) All direct testimony in an oral hearing shall be filed no later 
than 7 days before the hearing or as otherwise ordered or allowed.
    (b) Written testimony will be received into evidence in exhibit 
form.
    (c) Unless proscribed under Sec. 110.87, members of groups which are 
designated as participants may testify in their individual capacities.
    (d) Participants may present their own witnesses.
    (e) Testimony by the Commission and the Executive Branch will be 
presented only by persons officially designated for that purpose.

[[Page 599]]

    (f) Participants and witnesses will be questioned orally or in 
writing and only by the presiding officer. Questions may be addressed to 
individuals or to panels of participants or witnesses.
    (g) The presiding officer may accept written testimony from a person 
unable to appear at the hearing, and may request him to respond to 
questions.
    (h) No subpoenas will be granted at the request of participants for 
attendance and testimony of participants or witnesses or the production 
of evidence.



Sec. 110.108  Appearance in an oral hearing.

    (a) A participant may appear in a hearing on his own behalf or be 
represented by an authorized representative.
    (b) A person appearing shall file a written notice stating his name, 
address and telephone number, and if an authorized representative, the 
basis of his eligibility and the name and address of the participant on 
whose behalf he appears.
    (c) A person may be excluded from a hearing for disorderly, dilatory 
or contemptuous conduct, provided he is informed of the grounds and 
given an opportunity to respond.



Sec. 110.109  Motions and requests.

    (a) Motions and requests shall be addressed to the presiding 
officer, and, if written, also filed with the Secretary and served on 
other participants.
    (b) Other participants may respond to the motion or request. 
Responses to written motions or requests shall be filed within 5 days 
after service.
    (c) When the Commission does not preside, in response to a motion or 
request, the presiding officer may refer a ruling or certify a question 
to the Commission for decision and notify the participants.
    (d) Unless otherwise ordered by the Commission, a motion or request, 
or the certification of a question or referral of a ruling, shall not 
stay or extend any aspect of the hearing.



Sec. 110.110  Default.

    When a participant fails to act within a specified time, the 
presiding officer may consider him in default, issue an appropriate 
ruling and proceed without further notice to the defaulting participant.



Sec. 110.111  Waiver of a rule or regulation.

    (a) A participant may petition that a Commission rule or regulation 
be waived with respect to the license application under consideration.
    (b) The sole ground for a waiver shall be that, because of special 
circumstances concerning the subject of the hearing, application of a 
rule or regulation would not serve the purposes for which it was 
adopted.
    (c) Waiver petition shall specify why application of the rule or 
regulation would not serve the purposes for which it was adopted.
    (d) Other participants may, within 10 days, file a response to a 
waiver petition.
    (e) When the Commission does not preside, the presiding officer will 
certify the waiver petition to the Commission, which, in response, will 
grant or deny the waiver or direct any further proceedings.
    (f) Regardless of whether a waiver is granted or denied, a separate 
petition for rulemaking may be filed pursuant to subpart K of this part.

[43 FR 21641, May 19, 1978, as amended at 62 FR 59277, Nov. 3, 1997]



Sec. 110.112  Reporter and transcript for an oral hearing.

    (a) A reporter designated by the Commission will record an oral 
hearing and prepare the official hearing transcript.
    (b) Except for any classified portions, transcripts will be made 
available at the NRC Web site, http://www.nrc.gov, and/or at the NRC 
Public Document Room.
    (c) Corrections of the official transcript may be made only as 
specified by the Secretary.

[43 FR 21641, May 19, 1978, as amended at 64 FR 48955, Sept. 9, 1999]



Sec. 110.113  Commission action.

    (a) Upon completion of a hearing, the Commission will issue a 
written opinion including its decision on the license application, the 
reasons for the decision and any dissenting views.

[[Page 600]]

    (b) While the Commission will consider fully the hearing record, the 
licensing decision will be based on all relevant information, including 
information which might go beyond that in the hearing record.
    (c) If the Commission considers information not in the hearing 
record in reaching its licensing decision, the hearing participants will 
be informed and, if not classified or otherwise privileged, the 
information will be made available at the NRC Web site, http://
www.nrc.gov, and furnished to the participants.
    (d) The Commission may issue a license before completion of a 
hearing if it finds that:
    (1) Prompt issuance is required in the public interest, particularly 
the common defense and security; and
    (2) A participant establishing that his interest may be affected has 
been provided a fair opportunity to present his views.
    (e) The Commission may:
    (1) Defer any hearing;
    (2) Consolidate applications for hearing;
    (3) Narrow or broaden the hearing issues; and
    (4) Take other action, as appropriate.

[43 FR 21641, May 19, 1978, as amended at 64 FR 48955, Sept. 9, 1999]



  Subpart J--Special Procedures for Classified Information in Hearings



Sec. 110.120  Purpose and scope.

    (a) This subpart contains special procedures concerning access to, 
and introduction of, classified information into hearings under this 
part.
    (b) These procedures do not in any way apply to classified 
information exchanged between the Executive Branch and the Commission 
not introduced into a hearing. Such information will be declassified to 
the maximum extent feasible. The public statements of the Commission 
staff and Executive Branch will, to the extent consistent with 
classification requirements, reflect consideration of any such 
classified information.



Sec. 110.121  Security clearances and access to classified information.

    (a) No person without a security clearance will have access to 
classified information.
    (b) Only the Commission will act upon an application for access to 
classified information.
    (c) To the extent practicable, applications for access to classified 
information shall describe the information to which access is desired 
and its level of classification (confidential, secret or other); the 
reasons for requesting access; the names of individuals for whom access 
is requested; and the reasons why access is requested for those 
individuals.
    (d) The Commission will consider requests for appropriate security 
clearances in reasonable numbers; conduct its review and grant or deny 
these in accordance with part 10 of this chapter; and make a reasonable 
charge to cover costs.
    (e) The Commission will not grant security clearances for access to 
classified information, unless it determines that the available 
unclassified information is inadequate on the subject matter involved.
    (f) When an application demonstrates that access to classified 
information not introduced into a hearing may be needed to prepare a 
participant's position on the hearing issues, the Commission may issue 
an order granting access to this information to the participant, his 
authorized representative or other persons. Access will be subject to 
the conditions in paragraphs (e) and (j) and will not be granted unless 
required security clearances have been obtained.
    (g) Once classified information has been introduced into a hearing, 
the Commission will grant access to a participant, his authorized 
representative or such other persons as the Commission determines may be 
needed by the participant to prepare his position on the hearing issues. 
Access will be subject to the conditions in paragraphs (e) and (j) of 
this section and will not be granted unless required security clearances 
have been obtained.

[[Page 601]]

    (h) For good cause, the Commission may postpone action upon an 
application for access to classified information.
    (i) The Commission will grant access to classified information only 
up to the level for which the persons described in paragraphs (f) and 
(g) of this section are cleared and only upon an adequate commitment by 
them not to disclose such information subject to penalties as provided 
by law.
    (j) The Commission will not in any circumstances grant access to 
classified information:
    (1) Unless it determines that the grant is not inimical to the 
common defense and security; and
    (2) Which it has received from another Government agency, without 
the prior consent of the originating agency.
    (k) Upon completion of a hearing, the Commission will terminate all 
security clearances granted pursuant to the hearing and may require the 
disposal of classified information to which access has been granted or 
the observance of other procedures to safeguard this information.



Sec. 110.122  Classification assistance.

    On the request of any hearing participant or the presiding officer 
(if other than the Commission), the Commission will designate a 
representative to advise and assist the presiding officer or the 
participants with respect to security classification of information and 
the protective requirements to be observed.



Sec. 110.123  Notice of intent to introduce classified information.

    (a) A participant shall seek the required security clearances, where 
necessary, and file with the Secretary a notice of intent to introduce 
classified information into a hearing at the earliest possible time 
after the notice of hearing.
    (b) If a participant has not filed a notice of intent in accordance 
with this section, he may introduce classified information only if he 
gives to the other participants and the Commission prompt written notice 
of intent and only as permitted by the Commission when it determines 
that the public interest will not be prejudiced.
    (c) The notice of intent shall be unclassified and, to the extent 
consistent with classification requirements, state:
    (1) The subject matter of the classified information, which it is 
anticipated will be involved;
    (2) The highest level of classification of the information 
(confidential, secret or other);
    (3) When it is anticipated that the information would be introduced; 
and
    (4) The relevance and materiality of the information to the hearing 
issues.



Sec. 110.124  Rearrangement or suspension of a hearing.

    When a participant gives notice of intent to introduce classified 
information and other participants do not have the required security 
clearances, subject to Sec. 110.121, the Commission may:
    (a) Suspend or rearrange the normal order of the hearing to give 
other participants an opportunity to obtain the required security 
clearances with minimum delay in the conduct of the hearing; or
    (b) Take such other action as it determines to be in the public 
interest.



Sec. 110.125  Unclassified statements required.

    (a) It is the obligation of hearing participants to introduce 
information in unclassified form wherever possible, and to declassify, 
to the maximum extent feasible, any classified information introduced 
into the hearing. This obligation rests on each participant whether or 
not any other participant has the required security clearances.
    (b) When classified information is offered for introduction into a 
hearing:
    (1) The participant offering it shall, to the extent consistent with 
classification requirements, submit to the presiding officer and other 
participants an unclassified statement describing the substance of the 
classified information as accurately and completely as possible;
    (2) In accordance with procedures agreed upon by the participants or 
prescribed by the presiding officer, and after notice to all 
participants and opportunity to be heard on the notice, the presiding 
officer will determine

[[Page 602]]

whether an unclassified statement may be substituted for the classified 
information in the hearing record without prejudice to the interest of 
any participant or the public;
    (3) If the Commission determines that the unclassified statement 
(together with such unclassified modifications as it finds are necessary 
or appropriate to protect the interest of other participants and the 
public) adequately sets forth information in the classified matter which 
is relevant and material to the issues in the hearing, it will direct 
that the classified matter be excluded from the record of the hearing; 
and
    (4) The Commission may postpone any of the procedures in this 
section until all other evidence has been received. However, a 
participant shall not postpone service of any unclassified statement 
required in this section.



Sec. 110.126  Protection of classified information.

    Nothing in this subpart shall relieve any person from safeguarding 
classified information as required by law and rules, regulations or 
orders of any Government agency.



                          Subpart K--Rulemaking



Sec. 110.130  Initiation of rulemaking.

    The Commission may initiate action to amend the regulations in this 
part on its own initiative or in response to a petition.



Sec. 110.131  Petition for rulemaking.

    (a) A petition for rulemaking should be addressed to the Secretary, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, 
Attention: Rulemakings and Adjudications Staff.
    (b) The petition shall state the basis for the requested amendment.
    (c) The petition may request the Commission to suspend all or part 
of any licensing proceeding under this part pending disposition of the 
petition.
    (d) The Secretary will assign a docket number to the petition, place 
a copy in the Public Document Room and notice its receipt in the Federal 
Register.
    (e) Publication may be limited by order of the Commission to the 
extent required by section 181 of the Atomic Energy Act.

[43 FR 21641, May 19, 1978, as amended at 63 FR 15744, Apr. 1, 1998]



Sec. 110.132  Commission action on a petition.

    (a) The Commission may grant or deny the petition in whole or in 
part.
    (b) If the petition is granted, a notice of proposed rulemaking or a 
notice of rulemaking will be published in the Federal Register.
    (c) If the petition is denied, the petitioner will be informed of 
the grounds.
    (d) Commission action on a petition will normally follow, whenever 
appropriate, receipt and evaluation of Executive Branch views.
    (e) The Commission, in exercising the discretion authorized by 
section 4(a)(1) of the Administrative Procedure Act (5 U.S.C. 
553(a)(1)), will decide what, if any, public rulemaking procedures will 
be followed.



Sec. 110.133  Notice of proposed rulemaking.

    (a) When the Commission proposes to amend the regulations in this 
part, it will normally publish a notice of proposed rulemaking in the 
Federal Register.
    (b) A notice of proposed rulemaking will include:
    (1) The authority for the proposed rule;
    (2) The substance and purpose of the proposed rule;
    (3) Directions for public participation;
    (4) The time and place of any public hearing; and
    (5) If a hearing is to be held by other than the Commission, 
designating of a presiding officer and instructions for the conduct of 
the hearing.
    (c) A notice of proposed rulemaking will be published not less than 
15 days before any hearing, unless the Commission for good cause 
provides otherwise in the notice.



Sec. 110.134  Public participation.

    (a) The Commission may hold an oral hearing on a proposed rule or 
permit

[[Page 603]]

any person to participate in a rulemaking proceeding through the 
submission of written comments.
    (b) When it is in the public interest and is authorized by law, 
public rule-making procedures may be omitted and a notice of rulemaking 
published pursuant to Sec. 110.135.



Sec. 110.135  Notice of rulemaking.

    (a) Upon approval of an amendment, the Commission will publish in 
the Federal Register a notice of rule-making which includes a statement 
of its basis and purpose, effective date and, where appropriate, any 
significant variations from the amendment as proposed in any notice of 
proposed rulemaking.
    (b) The effective date of an amendment will normally be no earlier 
than 30 days after publication of the notice of rulemaking, unless the 
Commission for good cause provides otherwise in the notice.

 Appendix A to Part 110--Illustrative List of Nuclear Reactor Equipment 
                  Under NRC Export Licensing Authority

    Note--A nuclear reactor basically includes the items within or 
attached directly to the reactor vessel, the equipment which controls 
the level of power in the core, and the components which normally 
contain or come in direct contact with or control the primary coolant of 
the reactor core.
    (1) Reactor pressure vessels, i.e., metal vessels, as complete units 
or major shop-fabricated parts, especially designed or prepared to 
contain the core of a nuclear reactor and capable of withstanding the 
operating pressure of the primary coolant.
    (2) On-line (e.g., CANDU) reactor fuel charging and discharging 
machines, i.e., manipulative equipment especially designed for inserting 
or removing fuel in an operating nuclear reactor.
    (3) Complete reactor control rod system, i.e., rods especially 
designed or prepared for the control of the reaction rate in a nuclear 
reactor, including the neutron absorbing part and the support or 
suspension structures therefor;
    (4) Reactor primary coolant pumps, i.e., pumps especially designed 
or prepared for circulating the primary coolant in a nuclear reactor.
    (5) Reactor pressure tubes, i.e., tubes especially designed or 
prepared to contain fuel elements and the primary coolant in a nuclear 
reactor at an operating pressure in excess of 50 atmospheres.
    (6) Zirconium tubes, i.e., zirconium metal and alloys in the form of 
tubes or assemblies of tubes especially designed or prepared for use in 
a nuclear reactor.
    (7) Reactor internals, e.g., core support structures, control and 
rod guide tubes, thermal shields, baffles, core grid plates and diffuser 
plates especially designed or prepared for use in a nuclear reactor.
    (8) Reactor control rod drive mechanisms, including detection and 
measuring equipment to determine flux levels.
    (9) Any other components especially designed or prepared for use in 
a nuclear reactor or in any of the components described in this 
appendix.

[55 FR 30450, July 26, 1990, as amended at 55 FR 34519, Aug. 23, 1990; 
58 FR 13004, Mar. 9, 1993; 61 FR 35602, July 8, 1996; 65 FR 70291, Nov. 
22, 2000]

 Appendix B to Part 110--Illustrative List of Gas Centrifuge Enrichment 
         Plant Components Under NRC's Export Licensing Authority

    1. Assemblies and components especially designed or prepared for use 
in gas centrifuges.

    Note: The gas centrifuge normally consists of a thin-walled 
cylinder(s) of between 75mm (3 ins.) and 400 mm (16 ins.) diameter 
contained in a vacuum environment and spun at high peripheral speed (of 
the order of 300 m/per second and more) with the central axis vertical. 
In order to achieve high speed, the materials of construction for the 
rotating rotor assembly, and hence its individual components, have to be 
manufactured to very close tolerances in order to minimize the 
unbalance. In contrast to other centrifuges, the gas centrifuge for 
uranium enrichment is characterized by having within the rotor chamber a 
rotating disc-shaped baffle(s) and a stationary tube arrangement for 
feeding and extracting UF6 gas and featuring at least 3 
separate channels of which 2 are connected to scoops extending from the 
rotor axis towards the periphery of the rotor chamber. Also contained 
within the vacuum environment are a number of critical items which do 
not rotate and which, although they are especially designed, are not 
difficult to fabricate nor are they fabricated out of unique materials. 
A centrifuge facility, however, requires a large number of these 
components so that quantities can provide an important indication of end 
use.

    1.1  Rotating Components.

[[Page 604]]

    (a) Complete Rotor Assemblies: Thin-walled cylinders, or a number of 
interconnected thin-walled cylinders, manufactured from one of the high 
strength-to-density ratio materials described in the Footnote to this 
Section.
    If interconnected, the cylinders are joined together by flexible 
bellows or rings as described in Sec. 1.1(c). The rotor is fitted with 
an internal baffle(s) and end caps, as described in Sec. 1.1 (d) and 
(e), if in final form. However, the complete assembly may be delivered 
only partly assembled.
    (b) Rotor Tubes: Especially designed or prepared thin-walled 
cylinders with thickness of 12mm (.50 in.) or less, a diameter of 
between 75mm (3 ins.) and 400mm (16 ins.), and manufactured from one of 
the high strength-to-density ratio materials described in the Footnote 
to this Section.
    (c) Rings or Bellows: Components especially designed or prepared to 
give localized support to the rotor tube or to join together a number of 
rotor tubes. The bellows in a short cylinder of wall thickness 3mm (.125 
in.) or less, a diameter of between 75mm (3 ins.) and 400mm (16 ins.), 
having a convolute, and manufactured from one of the high strength-to-
density ratio materials described in the footnote to this section.
    (d) Baffles: Disc shaped components of between 75mm (3 ins.) and 
400mm (16 ins.) diameter especially designed or prepared to be mounted 
inside the centrifuge rotor tube, in order to isolate the take-off 
chamber from the main separation chamber and, in some cases, to assist 
the UF6 gas circulation within the main separation chamber of 
the rotor tube, and manufactured from one of the high strength-to-
density ratio materials described in the Footnote to this Section.
    (e) Top Caps/Bottom Caps: Disc shaped components of between 75mm (3 
ins.) and 400mm (16 ins.) diameter especially designed or prepared to 
fit to the ends of the rotor tube, and so contain the UF6 
within the rotor tube, and in some cases to support, retain or contain 
as an integrated part, an element of the upper bearing (top cap) or to 
carry the rotating elements of the motor and lower bearing (bottom cap), 
and manufactured from one of the high strength-to-density ratio 
materials described in the Footnote to this Section.

                                Footnote

    The materials used for centrifuge rotating components are:
    (a) Maraging steel capable of an ultimate tensile strength of 
2.050x10\9\ N/m\2\ (300,000 lb/in.\2\ ) or more.
    (b) Aluminium alloys capable of an ultimate tensile strength of 
0.460x10\9\ N/m\2\ (67,000 lb/in.\2\ ) or more.
    (c) Filamentary materials suitable for use in composite structures 
and having a specific modulus of 3.18 x 10\6\ m or greater and a 
specific ultimate tensile strength of 7.62 x 10\4\ m or greater.

(``Specific Modulus'' is the Young's modulus in N/m \2\ divided by the 
specific weight in N/m \3\ when measured at a temperature of 
2320C and a relative humidity of 505%. 
``Specific tensile strength'' is the ultimate tensile strength in N/m 
\2\ divided by the specific weight in N/m \3\ when measured at a 
temperature of 2320C and a relative humidity of 
505%.)
    1.2  Static Components.
    (a) Magnetic Suspension Bearings: Especially designed or prepared 
bearing assemblies consisting of an annular magnet suspended within a 
housing containing a damping medium. The housing will be manufactured 
from a UF6 resistant material (see footnote to section 2). 
The magnet couples with a pole piece or a second magnet fitted to the 
top cap described in Section 1.1(e). The magnet may be ring-shaped with 
a relation between outer and inner diameter smaller or equal to 1.6:1. 
The magnet may be in a form having an initial permeability of 0.15 
Henry/meter (120,000 in CGS units) or more, or a remanence of 98.5 
percent or more, or an energy product of greater than 80,000 joules/m\3\ 
(10x10\6\ gauss-oersteds.) In addition to the usual material properties, 
it is a prerequisite that the deviation of the magnetic axes from the 
geometrical axes is limited to very small tolerances (lower than 0.1mm) 
or that homogeneity of the material of the magnet is specially called 
for.
    (b) Bearings/Dampers: Especially designed or prepared bearings 
comprising a pivot/cup assembly mounted on a damper. The pivot is 
normally a hardened steel shaft polished into a hemisphere at one end 
with a means of attachment to the bottom cap described in Section 1.1(e) 
at the other. The shaft may, however, have a hydrodynamic bearing 
attached. The cup is pellet-shaped with hemispherical indentation in one 
surface. These components are often supplied separately to the damper.
    (c) Molecular Pumps: Especially designed or prepared cylinders 
having internally machined or extruded helical grooves and internally 
machined bores. Typical dimensions are as follows: 7mm (0.3 ins.) to 
400mm (16 ins.) internal diameter, 10mm (0.4 ins.) or more wall 
thickness, 1 to 1 length to diameter ratio. The grooves are typically 
rectangular in cross-section and 2mm (0.08 in.) or more in depth.
    (d) Motor Stators: Especially designed or prepared ring shaped 
stators for high speed multi-phase AC hysteresis (or reluctance) motors 
for synchronous operation within a vacuum in the frequency range of 600-
2000 Hz and a power range of 50-1000 volts amps. The stators consist of 
multi-phase windings on a laminated low loss iron core comprised of thin 
layers typically 2.0mm (0.08 in.) thick or less.

[[Page 605]]

    (e) Centrifuge housing/recipients: Components especially designed or 
prepared to contain the rotor tube assembly of a gas centrifuge. The 
housing consists of a rigid cylinder of wall thickness up to 30 mm 
(1.2in) with precision machined ends to locate the bearings and with one 
or more flanges for mounting. The machined ends are parallel to each 
other and perpendicular to the cylinder's longitudinal axis to within 
0.05 degrees or less. The housing may also be a honeycomb type structure 
to accommodate several rotor tubes. The housings are made of or 
protected by materials resistant to corrosion by UF6.
    (f) Scoops: Especially designed or prepared tubes of up to 12 mm 
(0.5in) internal diameter for the extraction of UF6 gas from within the 
rotor tube by a Pitot tube action (that is, with an aperture facing into 
the circumferential gas flow within the rotor tube, for example by 
bending the end of a radially disposed tube) and capable of being fixed 
to the central gas extraction system. The tubes are made of or protected 
by materials resistant to corrosion by UF6.
    2. Especially designed or prepared auxiliary systems, equipment and 
components for gas centrifuge enrichment plants.

    Note: The auxiliary systems, equipment and components for a gas 
centrifuge enrichment plant are the systems of the plant needed to feed 
UF6 to the centrifuges to link the individual centrifuges to 
each other to form cascades (or stages) to allow for progressively 
higher enrichments and to extract the product and tails of 
UF6 from the centrifuges, together with the equipment 
required to drive the centrifuges or to control the plant.

    Normally UF6 is evaporated from the solid using heated 
autoclaves and is distributed in gaseous form to the centrifuges by way 
of cascade header pipework. The ``product'' and ``tails'' of 
UF6 gaseous streams flowing from the centrifuges are also 
passed by way of cascade header pipework to cold traps (operating at 
about -70  deg.C) where they are condensed prior to onward transfer into 
suitable containers for transportation or storage. Because an enrichment 
plant consists of many thousands of centrifuges arranged in cascades, 
there are many kilometers of cascade header pipework incorporating 
thousands of welds with a substantial amount of repetition of layout. 
The equipment, component and piping systems are fabricated to very high 
vacuum and cleanliness standards.
    The following items either come into direct contact with 
UF6 process gas or directly control the centrifuge and the 
passage of the gas from centrifuge to centrifuge and cascade to cascade.
    (a) Feed Systems/Product and Tails Withdrawal Systems:
    Especially designed or prepared process systems including:
    1. Feed autoclaves (or stations), used for passing UF6 to 
the centrifuge cascades at up to 100 KN/m\2\ (15 psi) and at a rate of 1 
kg/h or more.
    2. Desublimers (or cold traps) used to remove UF6 from 
the cascades at up to 3 kN/m\2\ (0.5 lb/in\2\) pressure. The desublimers 
are capable of being chilled to -70  deg.C and heated to 70  deg.C.
    3. Product and tails stations used for trapping UF6 into 
containers.
    This plant equipment and pipework are wholly made of or lined with 
UF6 resistant materials (see Footnote to this Section) and 
are fabricated to very high vacuum and cleanliness standards.
    (b) Machine Header Piping Systems:
    Especially designed or prepared piping systems and header systems 
for handling UF6 within the centrifuge cascades.
    This piping network is normally of the ``triple'' header system with 
each centrifuge connected to each of the headers. There is thus a 
substantial amount of repetition in its form. It is wholly made of 
UF6 resistant materials (see Note to this Section) and is 
fabricated to very high vacuum and cleanliness standards.
    (c) UF6 Mass Spectrometers/Ion Sources: Especially 
designed or prepared magnetic or quadrapole mass spectrometers capable 
of taking ``on-line'' sample of feed, product or tails from 
UF6 gas streams and having all of the following 
characteristics:
    1. Unit resolution for mass greater than 320.
    2. Ion sources constructed of or lined with nichrome, monel or 
nickel-plate.
    3. Electron bombardment ionization sources.
    4. Having a collector system suitable for isotope analysis.
    (d) Frequency Changers: Frequency changers (also known as converters 
or invertors) especially designed or prepared to supply motor stators as 
defined under Section 1.2(d), or parts, components and subassemblies of 
such frequency changers having all of the following characteristics:
    1. A multiphase output of 600 Hz to 2000Hz.
    2. High stability (with frequency control better than 0.1%).
    3. Low harmonic distortion (less than 2%).
    4. An efficiency of greater than 80%.

                                Footnote

    Materials resistant to corrosion by UF6 include stainless 
steel, aluminum, aluminum alloys, nickel or alloys containing 60% or 
more nickel.

[49 FR 47203, Dec. 3, 1984. Redesignated at 55 FR 30450, July 26, 1990; 
58 FR 13005, Mar. 9, 1993; 61 FR 35602, July 8, 1996; 65 FR 70291, Nov. 
22, 2000]

[[Page 606]]

     Appendix C to Part 110--Illustrative List of Gaseous Diffusion 
 Enrichment Plant Assemblies and Components Under NRC Export Licensing 
                                Authority

    Note--In the gaseous diffusion method of uranium isotope separation, 
the main technological assembly is a special porous gaseous diffusion 
barrier, heat exchanger for cooling the gas (which is heated by the 
process of compression), seal valves and control valves, and pipelines. 
Inasmuch as gaseous diffusion technology uses uranium hexafluoride 
(UF6), all equipment, pipeline and instrumentation surfaces 
(that come in contact with the gas) must be made of materials that 
remain stable in contact with UF6. A gaseous diffusion 
facility requires a number of these assemblies, so that quantities can 
provide an important indication of end use.
    The auxiliary systems, equipment and components for gaseous 
diffusion enrichment plants are the systems of plant needed to feed 
UF6 to the gaseous diffusion assembly to link the individual 
assemblies to each other to form cascades (or stages) to allow for 
progressively higher enrichments and to extract the ``product'' and 
``tails'' UF6 from the diffusion cascades. Because of the 
high inertial properties of diffusion cascades, any interruption in 
their operation, and especially their shut-down, leads to serious 
consequences. Therefore, a strict and constant maintenance of vacuum in 
all technological systems, automatic protection for accidents, and 
precise automated regulation of the gas flow is of importance in a 
gaseous diffusion plant. All this leads to a need to equip the plant 
with a large number of special measuring, regulating, and controlling 
systems.
    Normally UF6 is evaporated from cylinders placed within 
autoclaves and is distributed in gaseous form to the entry point by way 
of cascade header pipework. The ``product'' and ``tails'' UF6 
gaseous streams flowing from exit points are passed by way of cascade 
header pipework to either cold traps or to compression stations where 
the UF6 gas is liquified prior to onward transfer into 
suitable containers for transportation or storage. Because a gaseous 
diffusion enrichment plant consists of a large number of gaseous 
diffusion assemblies arranged in cascades, there are many kilometers of 
cascade header pipework, incorporating thousands of welds with 
substantial amounts of repetition of layout. The equipment, components 
and piping systems are fabricated to very high vacuum and cleanliness 
standards.
    The items listed below either come into direct contact with the 
UF6 process gas or directly control the flow within the 
cascade. All surfaces which come into contact with the process gas are 
wholly made of, or lined with, UF6-resistant materials. For 
the purposes of this appendix the materials resistant to corrosion by 
UF6 include stainless steel, aluminum, aluminum alloys, 
aluminum oxide, nickel or alloys containing 60 percent or more nickel, 
and UF6-resistant fully fluorinated hydrocarbon polymers.
    1. Assemblies and components especially designed or prepared for use 
in gaseous diffusion enrichment.

                     1.1 Gaseous Diffusion Barriers

    Especially designed or prepared thin, porous filters, with a pore 
size of 100-1000 A (angstroms), a thickness of 5 mm or less, and for 
tubular forms, a diameter of 25 mm or less, made of metallic, polymer or 
ceramic materials resistant to corrosion by UF6, and 
especially prepared compounds or powders for the manufacture of such 
filters. Such compounds and powders include nickel or alloys containing 
60 percent or more nickel, aluminum oxide, or UF6-resistant 
fully fluorinated hydrocarbon polymers having a purity of 99.9 percent 
or more, a particle size less than 10 microns, and a high degree of 
particle size uniformity, which are especially prepared for the 
manufacture of gaseous diffusion barriers.

                          1.2 Diffuser Housings

    Especially designed or prepared hermetically sealed cylindrical 
vessels greater than 30 cm in diameter and greater than 90 cm in length, 
or rectangular vessels of comparable dimensions, which have an inlet 
connection and two outlet connections all of which are greater than 5 cm 
in diameter, for containing the gaseous diffusion barrier, made of or 
lined with UF6-resistant materials and designed for 
horizontal or vertical installation.

                     1.3 Compressors and Gas Blowers

    Especially designed or prepared axial, centrifugal, or positive 
displacement compressors, or gas blowers with a suction volume capacity 
of 1 m3/min or more of UF6, and with a discharge 
pressure of up to several hundred kN/m2 (100 PSI), designed 
for long-term operation in the UF6 environment with or 
without an electrical motor of appropriate power, as well as separate 
assemblies of such compressors and gas blowers. These compressors and 
gas blowers have a pressure ratio between 2/1 and 6/1 and are made of, 
or lined with, materials resistant to UF6.

                         1.4 Rotary Shaft Seals

    Especially designed or prepared vacuum seals, with seal feed and 
seal exhaust connections, for sealing the shaft connecting the 
compressor or the gas blower rotor with the driver motor so as to ensure 
a reliable seal against in-leaking of air into the inner chamber of the 
compressor or gas blower

[[Page 607]]

which is filled with UF6. Such seals are normally designed 
for a buffer gas in-leakage rate of less than 1000 cm\3\/min.

             1.5 Heat Exchangers for Cooling UF6

    Especially designed or prepared heat exchangers made of or lined 
with UF6 resistant materials (except stainless steel) or with 
copper or any combination of those metals, and intended for a leakage 
pressure change rate of less than 10 N/m\2\ (0.0015 PSI) per hour under 
a pressure difference of 100 kN/m\2\ (15 PSI).
    2. Auxiliary systems, equipment and components especially designed 
or prepared for use in gaseous diffusion enrichment.

          2.1 Feed Systems/Product and Tails Withdrawal Systems

    Especially designed or prepared process systems, capable of 
operating at pressures of 300 kN/m\2\ (45 PSI) or less, including:
    1. Feed autoclaves (or systems), used for passing UF6 to 
the gaseous diffusion cascades;
    2. Desublimers (or cold traps) used to remove UF6 from 
diffusion cascades;
    3. Liquefaction stations where UF6 gas from the cascade 
is compressed and cooled to form liquid UF6;
    4. ``Product'' or ``tails'' stations used for transferring 
UF6 into containers.

                        2.2 Header Piping Systems

    Especially designed or prepared piping systems and header systems 
for handling UF6 within the gaseous diffusion cascades. This 
piping network is normally of the ``double'' header system with each 
cell connected to each of the headers.

                           2.3 Vacuum Systems

    (a) Especially designed or prepared large vacuum manifolds, vacuum 
headers and vacuum pumps having a suction capacity of 5 m\3\/min or 
more.
    (b) Vacuum pumps especially designed for service in UF6-
bearing atmospheres made of, or lined with, aluminum, nickel, or alloys 
bearing more than 60 percent nickel. These pumps may be either rotary or 
positive displacement, may have fluorocarbon seals, and may have special 
working fluids present.

                 2.4 Special Shut-Off and Control Valves

    Especially designed or prepared manual or automated shut-off and 
control bellows valves made of UF6 resistant materials with a 
diameter of 4 cm to 1.5 m for installation in main and auxiliary systems 
of gaseous diffusion enrichment plants.

            2.5 UF6 Mass Spectrometers/Ion Sources

    Especially designed or prepared magnetic or quadruple mass 
spectrometers capable of taking ``on-line'' samples of feed, product or 
tails, from UF6 gas streams and having all of the following 
characteristics:
    (a) unit resolution for mass greater than 320;
    (b) ion sources constructed of or lined with nichrome or monel or 
nickel plated;
    (c) electron bombardment ionization sources;
    (d) having a collector system suitable for isotopic analysis.

[55 FR 30451, July 26, 1990]

  Appendix D to Part 110--Illustrative List of Aerodynamic Enrichment 
   Plant Equipment and Components Under NRC Export Licensing Authority

    Note--In aerodynamic enrichment processes, a mixture of gaseous UF6 
and light gas (hydrogen or helium) is compressed and then passed through 
separating elements wherein isotopic separation is accomplished by the 
generation of high centrifugal forces over a curved-wall geometry. Two 
processes of this type have been successfully developed: the separation 
nozzle process and the vortex tube process. For both processes the main 
components of a separation stage included cylindrical vessels housing 
the special separation elements (nozzles or vortex tubes), gas 
compressors and heat exchangers to remove the heat of compression. An 
aerodynamic plant requires a number of these stages, so that quantities 
can provide an important indication of end use. Because aerodynamic 
processes use UF6, all equipment, pipeline and instrumentation surfaces 
(that come in contact with the gas) must be made of materials that 
remain stable in contact with UF6. All surfaces which come into contact 
with the process gas are made of or protected by UF6-resistant 
materials; including copper, stainless steel, aluminum, aluminum alloys, 
nickel or alloys containing 60% or more nickel and UF6-resistant fully 
fluorinated hydrocarbon polymers.

    The following items either come into direct contact with the UF6 
process gas or directly control the flow within the cascade:
    (1) Separation nozzles and assemblies.
    Especially designed or prepared nozzles that consist of slit-shaped, 
curved channels having a radius of curvature less than 1 mm (typically 
0.1 to 0.05 mm). The nozzles are resistant to UF6 corrosion and have a 
knife-edge within the nozzle that separates the gas flowing through the 
nozzle into two fractions.
    (2) Vortex tubes and assemblies.
    Especially designed or prepared vortex tubes that are cylindrical or 
tapered, made of or protected by materials resistant to UF6 corrosion, 
have a diameter of between 0.5 cm and 4 cm, a length to diameter ratio 
of 20:1

[[Page 608]]

or less and with one or more tangential inlets. The tubes may be 
equipped with nozzle-type appendages at either or both ends.
    The feed gas enters the vortex tube tangentially at one end or 
through swirl vanes or at numerous tangential positions along the 
periphery of the tube.
    (3) Compressors and gas blowers.
    Especially designed or prepared axial, centrifugal, or positive 
displacement compressors or gas blowers made of or protected by 
materials resistant to UF6 corrosion and with a suction volume capacity 
of 2 m \3\/min or more of UF6/carrier gas (hydrogen or helium) mixture. 
These compressors and gas blowers typically have a pressure ratio 
between 1.2:1 and 6:1.
    (4) Rotary shaft seals.
    Especially designed or prepared seals, with seal feed and seal 
exhaust connections, for sealing the shaft connecting the compressor 
rotor or the gas blower rotor with the driver motor to ensure a reliable 
seal against out-leakage of process gas or in-leakage of air or seal gas 
into the inner chamber of the compressor or gas blower which is filled 
with a UF6/carrier gas mixture.
    (5) Heat exchangers for gas cooling.
    Especially designed or prepared heat exchangers, made of or 
protected by materials resistant to UF6 corrosion.
    (6) Separation element housings.
    Especially designed or prepared separation element housings, made of 
or protected by materials resistant to UF6 corrosion, for containing 
vortex tubes or separation nozzles.
    These housings may be cylindrical vessels greater than 300 mm in 
diameter and greater than 900 mm in length, or may be rectangular 
vessels of comparable dimensions, and may be designed for horizonal or 
vertical installation.
    (7) Feed systems/product and tails withdrawal systems.
    Especially designed or prepared process systems or equipment for 
enrichment plants made of or protected by materials resistant to UF6 
corrosion, including:
    (i) Feed autoclaves, ovens, or systems used for passing UF6 to the 
enrichment process;
    (ii) Desublimers (or cold traps) used to remove UF6 from the 
enrichment process for subsequent transfer upon heating;
    (iii) Solidification or liquefaction stations used to remove UF6 
from the enrichment process by compressing and converting UF6 to a 
liquid or solid form; and
    (iv) ``Product'' or ``tails'' stations used for transferring UF6 
into containers.
    (8) Header piping systems.
    Especially designed or prepared header piping systems, made of or 
protected by materials resistant to UF6 corrosion, for handling UF6 
within the aerodynamic cascades.
    The piping network is normally of the ``double'' header design with 
each stage or group of stages connected to each of the headers.
    (9) Vacuum systems and pumps.
    Especially designed or prepared vacuum systems having a suction 
capacity of 5 m\3\/min or more, consisting of vacuum manifolds, vacuum 
headers and vacuum pumps, and designed for service in UF6-bearing 
atmospheres.
    Especially designed or prepared vacuum pumps for service in UF6-
bearing atmospheres and made of or protected by materials resistant to 
UF6 corrosion. These pumps may use fluorocarbon seals and special 
working fluids.
    (10) Special shut-off and control valves.
    Especially designed or prepared manual or automated shut-off and 
control bellows valves made of or protected by materials resistant to 
UF6 corrosion with a diameter of 40 to 1500 mm for installation in main 
and auxiliary systems of aerodynamic enrichment plants.
    (11) UF6 mass spectrometers/ion sources.
    Especially designed or prepared magnetic or quadrupole mass 
spectrometers capable of taking ``on-line'' samples of feed, ``product'' 
or ``tails'', from UF6 gas streams and having all of the following 
characteristics:
    (i) Unit resolution for mass greater than 320;
    (ii) Ion sources constructed of or lined with nichrome or monel or 
nickel plated;
    (iii) Electron bombardment ionization sources; and
    (iv) Collector system suitable for isotopic analysis.
    (12) UF6/carrier gas separation systems.
    Especially designed or prepared process systems for separating UF6 
from carrier gas (hydrogen or helium).
    These systems are designed to reduce the UF6 content in the carrier 
gas to 1 ppm or less and may incorporate equipment such as:
    (i) Cryogenic heat exchangers and cryoseparators capable of 
temperatures of -120 deg.C or less;
    (ii) Cryogenic refrigeration units capable of temperatures of -
120 deg.C or less;
    (iii) Separation nozzle or vortex tube units for the separation of 
UF6 from carrier gas; or
    (iv) UF6 cold traps capable of temperatures of -20 deg.C or less.

[61 FR 35603, July 8, 1996]

 Appendix E to Part 110--Illustrative List of Chemical Exchange or Ion 
  Exchange Enrichment Plant Equipment and Components Under NRC Export 
                           Licensing Authority

    Note--The slight difference in mass between the isotopes of uranium 
causes small changes in chemical reaction equilibria that can be used as 
a basis for separation of the

[[Page 609]]

isotopes. Two processes have been successfully developed: liquid-liquid 
chemical exchange and solid-liquid ion exchange.

    A. In the liquid-liquid chemical exchange process, immiscible liquid 
phases (aqueous and organic) are countercurrently contacted to give the 
cascading effect of thousands of separation stages. The aqueous phase 
consists of uranium chloride in hydrochloric acid solution; the organic 
phase consists of an extractant containing uranium chloride in an 
organic solvent. The contactors employed in the separation cascade can 
be liquid-liquid exchange columns (such as pulsed columns with sieve 
plates) or liquid centrifugal contactors. Chemical conversions 
(oxidation and reduction) are required at both ends of the separation 
cascade in order to provide for the reflux requirements at each end. A 
major design concern is to avoid contamination of the process streams 
with certain metal ions. Plastic, plastic-lined (including use of 
fluorocarbon polymers) and/or glass-lined columns and piping are 
therefore used.
    (1) Liquid-liquid exchange columns.
    Countercurrent liquid-liquid exchange columns having mechanical 
power input (i.e., pulsed columns with sieve plates, reciprocating plate 
columns, and columns with internal turbine mixers), especially designed 
or prepared for uranium enrichment using the chemical exchange process. 
For corrosion resistance to concentrated hydrochloric acid solutions, 
these columns and their internals are made of or protected by suitable 
plastic materials (such as fluorocarbon polymers) or glass. The stage 
residence time of the columns is designed to be short (30 seconds or 
less).
    (2) Liquid-liquid centrifugal contactors.
    Especially designed or prepared for uranium enrichment using the 
chemical exchange process. These contactors use rotation to achieve 
dispersion of the organic and aqueous streams and then centrifugal force 
to separate the phases. For corrosion resistance to concentrated 
hydrochloric acid solutions, the contactors are made of or are lined 
with suitable plastic materials (such as fluorocarbon polymers) or are 
lined with glass. The stage residence time of the centrifugal contactors 
is designed to be short (30 seconds or less).
    (3) Uranium reduction systems and equipment.
    (i) Especially designed or prepared electrochemical reduction cells 
to reduce uranium from one valence state to another for uranium 
enrichment using the chemical exchange process. The cell materials in 
contact with process solutions must be corrosion resistant to 
concentrated hydrochloric acid solutions.
    The cell cathodic compartment must be designed to prevent re-
oxidation of uranium to its higher valence state. To keep the uranium in 
the cathodic compartment, the cell may have an impervious diaphragm 
membrane constructed of special cation exchange material. The cathode 
consists of a suitable solid conductor such as graphite.
    These systems consist of solvent extraction equipment for stripping 
the U+4 from the organic stream into an aqueous solution, evaporation 
and/or other equipment to accomplish solution pH adjustment and control, 
and pumps or other transfer devices for feeding to the electrochemical 
reduction cells. A major design concern is to avoid contamination of the 
aqueous stream with certain metal ions. For those parts in contact with 
the process stream, the system is constructed of equipment made of or 
protected by materials such as glass, fluorocarbon polymers, polyphenyl 
sulfate, polyether sulfone, and resin-impregnated graphite.
    (ii) Especially designed or prepared systems at the product end of 
the cascade for taking the U+4 out of the organic stream, adjusting the 
acid concentration and feeding to the electrochemical reduction cells.
    These systems consist of solvent extraction equipment for stripping 
the U+4 from the organic stream into an aqueous solution, evaporation 
and/or other equipment to accomplish solution pH adjustment and control, 
and pumps or other transfer devices for feeding to the electrochemical 
reduction cells. A major design concern is to avoid contamination of the 
aqueous stream with certain metal ions. For those parts in contact with 
the process stream, the system is constructed of equipment made of or 
protected by materials such as glass, fluorocarbon polymers, polyphenyl 
sulfate, polyether sulfone, and resin-impregnated graphite.
    (4) Feed preparation systems.
    Especially designed or prepared systems for producing high-purity 
uranium chloride feed solutions for chemical exchange uranium isotope 
separation plants.
    These systems consist of dissolution, solvent extraction and/or ion 
exchange equipment for purification and electrolytic cells for reducing 
the uranium U+6 or U+4 to U+3. These systems produce uranium chloride 
solutions having only a few parts per million of metallic impurities 
such as chromium, iron, vanadium, molybdenum and other bivalent or 
higher multi-valent cations. Materials of construction for portions of 
the system processing high-purity U+3 include glass, fluorocarbon 
polymers, polyphenyl sulfate or polyether sulfone plastic-lined and 
resin-impregnated graphite.
    (5) Uranium oxidation systems.
    Especially designed or prepared systems for oxidation of U+3 to U+4 
for return to the uranium isotope separation cascade in the chemical 
exchange enrichment process.
    These systems may incorporate equipment such as:

[[Page 610]]

    (i) Equipment for contacting chlorine and oxygen with the aqueous 
effluent from the isotope separation equipment and extracting the 
resultant U+4 into the stripped organic stream returning from the 
product end of the cascade; and
    (ii) Equipment that separates water from hydrochloric acid so that 
the water and the concentrated hydrochloric acid may be reintroduced to 
the process at the proper locations.
    B. In the solid-liquid ion-exchange process, enrichment is 
accomplished by uranium adsorption/desorption on a special, fast-acting, 
ion-exchange resin or adsorbent. A solution of uranium in hydrochloric 
acid and other chemical agents is passed through cylindrical enrichment 
columns containing packed beds of the adsorbent. For a continuous 
process, a reflux system is necessary to release the uranium from the 
adsorbent back in the liquid flow so that ``product'' and ``tails'' can 
be collected. This is accomplished with the use of suitable reduction/
oxidation chemical agents that are fully regenerated in separate 
external circuits and that may be partially regenerated within the 
isotopic separation columns themselves. The presence of hot concentrated 
hydrochloric acid solutions in the process requires that the equipment 
be made of or protected by special corrosion-resistant materials.
    (1) Fast reacting ion exchange resins/adsorbents.
    Especially designed or prepared for uranium enrichment using the ion 
exchange process, including porous macroreticular resins, and/or 
pellicular structures in which the active chemical exchange groups are 
limited to a coating on the surface of an inactive porous support 
structure, and other composite structures in any suitable form including 
particles or fibers. These ion exchange resins/adsorbents have diameters 
of 0.2 mm or less and must be chemically resistant to concentrated 
hydrochloric acid solutions as well as physically strong enough so as 
not to degrade in the exchange columns. The resins/adsorbents are 
especially designed to achieve very fast uranium isotope exchange 
kinetics (exchange rate half-time of less than 10 seconds) and are 
capable of operating at a temperature in the range of 100 deg.C to 
200 deg.C.
    (2) Ion exchange columns.
    Cylindrical columns greater than 1000 mm in diameter for containing 
and supporting packed beds of ion exchange resin/adsorbent, especially 
designed or prepared for uranium enrichment using the ion exchange 
process. These columns are made of or protected by materials (such as 
titanium or fluorocarbon plastics) resistant to corrosion by 
concentrated hydrochloric acid solutions and are capable of operating at 
a temperature in the range of 100 deg.C to 200 deg.C and pressures above 
0.7 MPa (102 psia).
    (3) Ion exchange reflux systems.
    (i) Especially designed or prepared chemical or electrochemical 
reduction systems for regeneration of the chemical reducing agent(s) 
used in ion exchange uranium enrichment cascades.
    The ion exchange enrichment process may use, for example, trivalent 
titanium (Ti+3) as a reducing cation in which case the reduction system 
would regenerate Ti+3 by reducing Ti+4.
    (ii) Especially designed or prepared chemical or electrochemical 
oxidation systems for regeneration of the chemical oxidizing agent(s) 
used in ion exchange uranium enrichment cascades.
    The ion exchange enrichment process may use, for example, trivalent 
iron (Fe+3) as an oxidant in which case the oxidation system would 
regenerate Fe+3 by oxidizing Fe+2.

[61 FR 35604, July 8, 1996]

  Appendix F to Part 110--Illustrative List of Laser-Based Enrichment 
   Plant Equipment and Components Under NRC Export Licensing Authority

    Note--Present systems for enrichment processes using lasers fall 
into two categories: the process medium is atomic uranium vapor and the 
process medium is the vapor of a uranium compound. Common nomenclature 
for these processes include: first category-atomic vapor laser isotope 
separation (AVLIS or SILVA); second category-molecular laser isotope 
separation (MLIS or MOLIS) and chemical reaction by isotope selective 
laser activation (CRISLA). The systems, equipment and components for 
laser enrichment plants include: (a) Devices to feed uranium-metal vapor 
for selective photo-ionization or devices to feed the vapor of a uranium 
compound for photo-dissociation or chemical activation; (b) devices to 
collect enriched and depleted uranium metal as ``product'' and ``tails'' 
in the first category, and devices to collect dissociated or reacted 
compounds as ``product'' and unaffected material as 'tails' in the 
second category; (c) process laser systems to selectively excite the 
uranium-235 species; and (d) feed preparation and product conversion 
equipment. The complexity of the spectroscopy of uranium atoms and 
compounds may require incorporation of a number of available laser 
technologies.

    All surfaces that come into contact with the uranium or UF6 are 
wholly made of or protected by corrosion-resistant materials. For laser-
based enrichment items, the materials resistant to corrosion by the 
vapor or liquid of uranium metal or uranium alloys include yttria-coated 
graphite and tantalum; and the materials resistant to corrosion by UF6 
include copper, stainless steel, aluminum, aluminum alloys, nickel or 
alloys

[[Page 611]]

containing 60% or more nickel and UF6-resistant fully fluorinated 
hydrocarbon polymers.
    Many of the following items come into direct contact with uranium 
metal vapor or liquid or with process gas consisting of UF6 or a mixture 
of UF6 and other gases:
    (1) Uranium vaporization systems (AVLIS).
    Especially designed or prepared uranium vaporization systems that 
contain high-power strip or scanning electron beam guns with a delivered 
power on the target of more than 2.5 kW/cm.
    (2) Liquid uranium metal handling systems (AVLIS).
    Especially designed or prepared liquid metal handling systems for 
molten uranium or uranium alloys, consisting of crucibles and cooling 
equipment for the crucibles.
    The crucibles and other system parts that come into contact with 
molten uranium or uranium alloys are made of or protected by materials 
of suitable corrosion and heat resistance, such as tantalum, yttria-
coated graphite, graphite coated with other rare earth oxides or 
mixtures thereof.
    (3) Uranium metal ``product'' and ``tails'' collector assemblies 
(AVLIS).
    Especially designed or prepared ``product'' and ``tails'' collector 
assemblies for uranium metal in liquid or solid form.
    Components for these assemblies are made of or protected by 
materials resistant to the heat and corrosion of uranium metal vapor or 
liquid, such as yttria-coated graphite or tantalum, and may include 
pipes, valves, fittings, ``gutters'', feed-throughs, heat exchangers and 
collector plates for magnetic, electrostatic or other separation 
methods.
    (4) Separator module housings (AVLIS).
    Especially designed or prepared cylindrical or rectangular vessels 
for containing the uranium metal vapor source, the electron beam gun, 
and the ``product'' and ``tails'' collectors.
    These housings have multiplicity of ports for electrical and water 
feed-throughs, laser beam windows, vacuum pump connections and 
instrumentation diagnostics and monitoring with opening and closure 
provisions to allow refurbishment of internal components.
    (5) Supersonic expansion nozzles (MLIS).
    Especially designed or prepared supersonic expansion nozzles for 
cooling mixtures of UF6 and carrier gas to 150 K or less which are 
corrosion resistant to UF6.
    (6) Uranium pentafluoride product collectors (MLIS).
    Especially designed or prepared uranium pentafluoride (UF5) solid 
product collectors consisting of filter, impact, or cyclone-type 
collectors, or combinations thereof, which are corrosion resistant to 
the UF5/UF6 environment.
    (7) UF6/carrier gas compressors (MLIS).
    Especially designed or prepared compressors for UF6/carrier gas 
mixtures, designed for long term operation in a UF6 environment. 
Components of these compressors that come into contact with process gas 
are made of or protected by materials resistant to UF6 corrosion.
    (8) Rotary shaft seals (MLIS).
    Especially designed or prepared rotary shaft seals, with seal feed 
and seal exhaust connections, for sealing the shaft connecting the 
compressor rotor with the driver motor to ensure a reliable seal against 
out-leakage of process gas or in-leakage of air or seal gas into the 
inner chamber of the compressor which is filled with a UF6/carrier gas 
mixture.
    (9) Fluorination systems (MLIS).
    Especially designed or prepared systems for fluorinating UF5 (solid) 
to UF6 (gas).
    These systems are designed to fluorinate the collected UF5 powder to 
UF6 for subsequent collection in product containers or for transfer as 
feed to MLIS units for additional enrichment. In one approach, the 
fluorination reaction may be accomplished within the isotope separation 
system to react and recover directly off the ``product'' collectors. In 
another approach, the UF5 powder may be removed/transferred from the 
``product'' collectors into a suitable reaction vessel (e.g., fluidized-
bed reactor, screw reactor or flame tower) for fluorination. In both 
approaches equipment is used for storage and transfer of fluorine (or 
other suitable fluorinating agents) and for collection and transfer of 
UF6.
    (10) UF6 mass spectrometers/ion sources (MLIS).
    Especially designed or prepared magnetic or quadrupole mass 
spectrometers capable of taking ``on-line'' samples of feed, ``product'' 
or ``tails'', from UF6 gas streams and having all of the following 
characteristics:
    (i) Unit resolution for mass greater than 320;
    (ii) Ion sources constructed of or lined with nichrome or monel or 
nickel plated;
    (iii) Electron bombardment ionization sources; and
    (iv) Collector system suitable for isotopic analysis.
    (11) Feed systems/product and tails withdrawal systems (MLIS).
    Especially designed or prepared process systems or equipment for 
enrichment plants made of or protected by materials resistant to 
corrosion by UF6, including:
    (i) Feed autoclaves, ovens, or systems used for passing UF6 to the 
enrichment process;
    (ii) Desublimers (or cold traps) used to remove UF6 from the 
enrichment process for subsequent transfer upon heating;
    (iii) Solidification or liquefaction stations used to remove UF6 
from the enrichment process by compressing and converting UF6 to a 
liquid or solid; and

[[Page 612]]

    (iv) ``Product'' or ``tails'' stations used to transfer UF6 into 
containers.
    (12) UF6/carrier gas separation systems (MLIS).
    Especially designed or prepared process systems for separating UF6 
from carrier gas. The carrier gas may be nitrogen, argon, or other gas.
    These systems may incorporate equipment such as:
    (i) Cryogenic heat exchangers or cryoseparators capable of 
temperatures of -120 deg.C or less;
    (ii) Cryogenic refrigeration units capable of temperatures of -
120 deg.C or less; or
    (iii) UF6 cold traps capable of temperatures of -20 deg.C or less.
    (13) Lasers or Laser systems (AVLIS, MLIS and CRISLA).
    Especially designed or prepared for the separation of uranium 
isotopes. The laser system for the AVLIS process usually consists of two 
lasers: a copper vapor laser and a dye laser. The laser system for MLIS 
usually consists of a CO2 or excimer laser and a multi-pass 
optical cell with revolving mirrors at both ends. Lasers or laser 
systems for both processes require a spectrum frequency stabilizer for 
operation over extended periods.

[61 FR 35605, July 8, 1996]

     Appendix G to Part 110--Illustrative List of Plasma Separation 
  Enrichment Plant Equipment and Components Under NRC Export Licensing 
                                Authority

    Note--In the plasma separation process, a plasma of uranium ions 
passes through an electric field tuned to the 235U ion resonance 
frequency so that they preferentially absorb energy and increase the 
diameter of their corkscrew-like orbits. Ions with a large-diameter path 
are trapped to produce a product enriched in 235U. The plasma, made by 
ionizing uranium vapor, is contained in a vacuum chamber with a high-
strength magnetic field produced by a superconducting magnet. The main 
technological systems of the process include the uranium plasma 
generation system, the separator module with superconducting magnet, and 
metal removal systems for the collection of ``product'' and ``tails''.

    (1) Microwave power sources and antennae.
    Especially designed or prepared microwave power sources and antennae 
for producing or accelerating ions having the following characteristics: 
greater than 30 GHz frequency and greater than 50 kW mean power output 
for ion production.
    (2) Ion excitation coils.
    Especially designed or prepared radio frequency ion excitation coils 
for frequencies of more than 100 kHz and capable of handling more than 
40 kW mean power.
    (3) Uranium plasma generation systems.
    Especially designed or prepared systems for the generation of 
uranium plasma, which may contain high power strip or scanning electron 
beam guns with a delivered power on the target of more than 2.5 kW/cm.
    (4) Liquid uranium metal handling systems.
    Especially designed or prepared liquid metal handling systems for 
molten uranium or uranium alloys, consisting of crucible and cooling 
equipment for the crucibles.
    The crucibles and other system parts that come into contact with 
molten uranium or uranium alloys are made of or protected by corrosion 
and heat resistance materials, such as tantalum, yttria-coated graphite, 
graphite coated with other rare earth oxides or mixtures thereof.
    (5) Uranium metal ``product'' and ``tails'' collector assemblies.
    Especially designed or prepared ``product'' and ``tails'' collector 
assemblies for uranium metal in solid form. These collector assemblies 
are made of or protected by materials resistant to the heat and 
corrosion of uranium metal vapor, such as yttria-coated graphite or 
tantalum.
    (6) Separator module housings.
    Especially designed or prepared cylindrical vessels for use in 
plasma separation enrichment plants for containing the uranium plasma 
source, radio-frequency drive coil and the ``product'' and ``tails'' 
collectors.
    These housings have a multiplicity of ports for electrical feed-
throughs, diffusion pump connections and instrumentation diagnostics and 
monitoring. They have provisions for opening and closure to allow for 
refurbishment of internal components and are constructed of a suitable 
non-magnetic material such as stainless steel.

[61 FR 35606, July 8,1996]

Appendix H to Part 110--Illustrative List of Electromagnetic Enrichment 
   Plant Equipment and Components Under NRC Export Licensing Authority

    Note--In the electromagnetic process, uranium metal ions produced by 
ionization of a salt feed material (typically UCL4) are accelerated and 
passed through a magnetic field that has the effect of causing the ions 
of different isotopes to follow different paths. The major components of 
an electromagnetic isotope separator include: a magnetic field for ion-
beam diversion/separation of the isotopes, an ion source with its 
acceleration system, and a collection system for the separated ions. 
Auxiliary systems for the process include the magnet power supply 
system, the

[[Page 613]]

ion source high-voltage power supply system, the vacuum system, and 
extensive chemical handling systems for recovery of product and 
cleaning/recycling of components.

    (1) Electromagnetic isotope separators.
    Especially designed or prepared for the separation of uranium 
isotopes, and equipment and components therefor, including:
    (i) Ion Sources--especially designed or prepared single or multiple 
uranium ion sources consisting of a vapor source, ionizer, and beam 
accelerator, constructed of materials such as graphite, stainless steel, 
or copper, and capable of providing a total ion beam current of 50 mA or 
greater;
    (ii) Ion collectors--collector plates consisting of two or more 
slits and pockets especially designed or prepared for collection of 
enriched and depleted uranium ion beams and constructed of materials 
such as graphite or stainless steel;
    (iii) Vacuum housings--especially designed or prepared vacuum 
housings for uranium electromagnetic separators, constructed of suitable 
non-magnetic materials such as stainless steel and designed for 
operation at pressures of 0.1 Pa or lower.
    The housings are specially designed to contain the ion sources, 
collector plates and water-cooled liners and have provision for 
diffusion pump connections and opening and closure for removal and 
reinstallation of these components; and
    (iv) Magnet pole pieces--especially designed or prepared magnet pole 
pieces having a diameter greater than 2 m used to maintain a constant 
magnetic field within an electromagnetic isotope separator and to 
transfer the magnetic field between adjoining separators.
    (2) High voltage power supplies.
    Especially designed or prepared high-voltage power supplies for ion 
sources, having all of the following characteristics:
    (i) Capable of continuous operation;
    (ii) Output voltage of 20,000 V or greater;
    (iii) Output current of 1 A or greater; and
    (iv) Voltage regulation of better than 0.01% over an 8 hour time 
period.
    (3) Magnet power supplies.
    Especially designed or prepared high-power, direct current magnet 
power supplies having all of the following characteristics:
    (i) Capable of continuously producing a current output of 500 A or 
greater at a voltage of 100 V or greater; and
    (ii) A current or voltage regulation better than 0.01% over an 8 
hour time period.

[61 FR 35606, July 8, 1996]

    Appendix I to Part 110--Illustrative List of Reprocessing Plant 
             Components Under NRC Export Licensing Authority

    Note--Reprocessing irradiated nuclear fuel separates plutonium and 
uranium from intensely radioactive fission products and other 
transuranic elements. Different technical processes can accomplish this 
separation. However, over the years Purex has become the most commonly 
used and accepted process. Purex involves the dissolution of irradiated 
nuclear fuel in nitric acid, followed by separation of the uranium, 
plutonium, and fission products by solvent extraction using a mixture of 
tributyl phosphate in an organic diluent.
    Purex facilities have process functions similar to each other, 
including: irradiated fuel element chopping, fuel dissolution, solvent 
extraction, and process liquor storage. There may also be equipment for 
thermal denitration of uranium nitrate, conversion of plutonium nitrate 
to oxide metal, and treatment of fission product waste liquor to a form 
suitable for long term storage or disposal. However, the specific type 
and configuration of the equipment performing these functions may differ 
between Purex facilities for several reasons, including the type and 
quantity of irradiated nuclear fuel to be reprocessed and the intended 
disposition of the recovered materials, and the safety and maintenance 
philosophy incorporated into the design of the facility. A plant of the 
reprocessing of irradiated fuel elements, includes the equipment and 
components which normally come in direct contact with and directly 
control the irradiated fuel and the major nuclear material and fission 
product processing streams.
    (1) Fuel element chopping machines, i.e., remotely operated 
equipment specially designed or prepared to cut, chop, or shear 
irradiated nuclear reactor fuel assemblies, bundles, or rods.
    (2) Critically safe tanks, i.e., small diameter, annular or slab 
tanks specially designed or prepared for the dissolution of irradiated 
nuclear reactor fuel.
    (3) Solvent extraction equipment.
    Especially designed or prepared solvent extractors such as packed or 
pulse columns, mixer settlers or centrifugal contactors for use in a 
plant for the reprocessing of irradiated fuel. Because solvent 
extractors must be resistant to the corrosive effect of nitric acid, 
they are normally fabricated to extremely high standards (including 
special welding and inspection and quality assurance and quality control 
techniques) out of low carbon stainless steels, titanium, zirconium or 
other high quality materials.
    (4) Chemical holding or storage vessels.

[[Page 614]]

    Especially designed or prepared holding or storage vessels for use 
in a plant for the reprocessing of irradiated fuel. Because holding or 
storage vessels must be resistant to the corrosive effect of nitric 
acid, they are normally fabricated of materials such as low carbon 
stainless steels, titanium or zirconium, or other high quality 
materials. Holding or storage vessels may be designed for remote 
operation and maintenance and may have the following features for 
control of nuclear criticality:
    (i) Walls or internal structures with a boron equivalent of at least 
2 percent, or
    (ii) A maximum diameter of 7 inches (17.78 cm) for cylindrical 
vessels, or
    (iii) A maximum width of 3 inches (7.62 cm) for either a slab or 
annular vessel.
    (5) Plutonium nitrate to plutonium oxide conversion systems. 
Complete systems especially designed or prepared for the conversion of 
plutonium nitrate to plutonium oxide, in particular adapted so as to 
avoid criticality and radiation effects and to minimize toxicity 
hazards.
    (6) Plutonium metal production systems. Complete systems especially 
designed or prepared for the production of plutonium metal, in 
particular adapted so as to avoid criticality and radiation effects and 
to minimize toxicity hazards.
    (7) Process control instrumentation specially designed or prepared 
for monitoring or controlling the processing of material in a 
reprocessing plant.

[55 FR 30451, July 26, 1990, as amended at 58 FR 13005, Mar. 9, 1993. 
Redesignated at 61 FR 35603, July 8, 1996]

 Appendix J to Part 110--Illustrative List of Uranium Conversion Plant 
  Equipment and Plutonium Conversion Plant Equipment Under NRC Export 
                           Licensing Authority

    Note--Uranium conversion plants and systems may perform one or more 
transformations from one uranium chemical species to another, including: 
conversion of uranium ore concentrates to UO3, conversion of UO3 to UO2, 
conversion of uranium oxides to UF4 or UF6, conversion of UF4 to UF6, 
conversion of UF6 to UF4, conversion of UF4 to uranium metal, and 
conversion of uranium fluorides to UO2. Many key equipment items for 
uranium conversion plants are common to several segments of the chemical 
process industry, including furnaces, rotary kilns, fluidized bed 
reactors, flame tower reactors, liquid centrifuges, distillation columns 
and liquid-liquid extraction columns. However, few of the items are 
available ``off-the-shelf''; most would be prepared according to 
customer requirements and specifications. Some require special design 
and construction considerations to address the corrosive properties of 
the chemicals handled (HF, F2, CLF3, and uranium fluorides). In all of 
the uranium conversion processes, equipment which individually is not 
especially designed or prepared for uranium conversion can be assembled 
into systems which are especially designed or prepared for uranium 
conversion.

    (a) Uranium Conversion Plant Equipment.
    (1) Especially designed or prepared systems for the conversion of 
uranium ore concentrates to UO3.
    Conversion of uranium ore concentrates to UO3 can be performed by 
first dissolving the ore in nitric acid and extracting purified uranyl 
nitrate using a solvent such as tributyl phosphate. Next, the uranyl 
nitrate is converted to UO3 either by concentration and denitration or 
by neutralization with gaseous ammonia to produce ammonium diuranate 
with subsequent filtering, drying, and calcining.
    (2) Especially designed or prepared systems for the conversion of 
UO3 to UF6.
    Conversion of UO3 to UF6 can be performed directly by fluorination. 
The process requires a source of fluorine gas or chlorine trifluoride.
    (3) Especially Designed or Prepared Systems for the conversion of 
UO3 to UO2.
    Conversion of UO3 to UO2 can be performed through reduction of UO3 
with cracked ammonia gas or hydrogen.
    (4) Especially Designed or Prepared Systems for the conversion of 
UO2 to UF4.
    Conversion of UO2 to UF4 can be performed by reacting UO2 with 
hydrogen fluoride gas (HF) at 300-500 deg.C.
    (5) Especially Designed or Prepared Systems for the conversion of 
UF4 to UF6.
    Conversion of UF4 to UF6 is performed by exothermic reaction with 
fluorine in a tower reactor. UF6 is condensed from the hot effluent 
gases by passing the effluent stream through a cold trap cooled to -
10 deg.C. The process requires a source of fluorine gas.
    (6) Especially Designed or Prepared Systems for the conversion of 
UF4 to U metal.
    Conversion of UF4 to U metal is performed by reduction with 
magnesium (large batches) or calcium (small batches). The reaction is 
carried out at temperatures above the melting point of uranium 
(1130 deg.C).
    (7) Especially designed or prepared systems for the conversion of 
UF6 to UO2.
    Conversion of UF6 to UO2 can be performed by one of three processes. 
In the first, UF6 is reduced and hydrolyzed to UO2 using hydrogen and 
steam. In the second, UF6 is hydrolyzed by solution in water, ammonia is 
added to precipitate ammonium diuranate, and the diuranate is reduced to 
UO2 with hydrogen at 820 deg.C. In the third process, gaseous UF6, CO2, 
and NH3 are combined in water, precipitating ammonium uranyl carbonate. 
The ammonium uranyl carbonate is combined with steam and hydrogen at 
500-600 deg.C

[[Page 615]]

to yield UO2. UF6 to UO2 conversion is often performed as the first 
stage of a fuel fabrication plant.
    (8) Especially Designed or Prepared Systems for the conversion of 
UF6 to UF4. Conversion of UF6 to UF4 is performed by reduction with 
hydrogen.
    (9) Especially designed or prepared systems for the conversion of 
UO2 to UCl4 as feed for electromagnetic 
enrichment.
    Note: Plutonium conversion plants and systems may perform one or 
more transformations from one plutonium chemical species to another, 
including: conversion of plutonium nitrate to PuO2, 
conversion of PuO2 to PuF4 and conversion of 
PuF4 to plutonium metal. Plutonium conversion plants are 
usually associated with reprocessing facilities, but may also be 
associated with plutonium fuel fabrication facilities. Many of the key 
equipment items for plutonium conversion plants are common to several 
segments of the chemical process industry. For example, the types of 
equipment employed in these processes may include the following items: 
furnaces, rotary kilns, fluidized bed reactors, flame tower reactors, 
liquid centrifuges, distillation columns and liquid-liquid extraction 
columns. Hot cells, glove boxes and remote manipulators may also be 
required. However, few of the items are available off-the-shelf; most 
would be prepared according to the requirements and specifications of 
the customer. Particular care is essential in designing for the special 
radiological, toxicity and criticality hazards associated with 
plutonium. In some circumstances, special design and construction 
considerations are required to address the corrosive properties of some 
of the chemicals handled (e.g., HF). Finally, it should be noted that, 
for all plutonium conversion processes, items of equipment which 
individually are not especially designed or prepared for plutonium 
conversion can be assembled into systems that are especially designed or 
prepared for use in plutonium conversion.
    (b) Plutonium Conversion Plant Equipment
    (1) Especially designed or prepared systems for the conversion of 
plutonium nitrate to oxide.
    The main functions involved in this process are: process feed 
storage and adjustment, precipitation and solid/liquor separation, 
calcination, product handling, ventilation, waste management, and 
process control. The process systems are particularly adapted so as to 
avoid criticality and radiation effects and to minimize toxicity 
hazards. In most reprocessing facilities, this process involves the 
conversion of plutonium nitrate to plutonium dioxide. Other processes 
can involve the precipitation of plutonium oxalate or plutonium 
peroxide.
    (2) Especially designed or prepared systems for plutonium metal 
production.
    This process usually involves the fluorination of plutonium dioxide, 
normally with highly corrosive hydrogen fluoride, to produce plutonium 
fluoride, which is subsequently reduced using high purity calcium metal 
to produce metallic plutonium and a calcium fluoride slag. The main 
functions involved in this process are the following: fluorination 
(e.g., involving equipment fabricated or lined with a precious metal), 
metal reduction (e.g., employing ceramic crucibles), slag recovery, 
product handling, ventilation, waste management and process control. The 
process systems are particularly adapted so as to avoid criticality and 
radiation effects and to minimize toxicity hazards. Other processes 
include the fluorination of plutonium oxalate or plutonium peroxide 
followed by reduction to metal.

[61 FR 35606, July 8, 1996, as amended at 65 FR 70291, Nov. 22, 2000]

 Appendix K to Part 110--Illustrative List of Equipment and Components 
    Under NRC Export Licensing Authority for Use in a Plant for the 
      Production of Heavy Water, Deuterium and Deuterium Compounds

    Note: Heavy water can be produced by a variety of processes. 
However, two processes have proven to be commercially viable: the water-
hydrogen sulphide exchange process (GS process) and the ammonia-hydrogen 
exchange process.
    A. The water-hydrogen sulphide exchange process (GS process) is 
based upon the exchange of hydrogen and deuterium between water and 
hydrogen sulphide within a series of towers which are operated with the 
top section cold and the bottom section hot. Water flows down the towers 
while the hydrogen sulphide gas circulates from the bottom to the top of 
the towers. A series of perforated trays are used to promote mixing 
between the gas and the water. Deuterium migrates to the water at low 
temperatures and to the hydrogen sulphide at high temperatures. Gas or 
water, enriched in deuterium, is removed from the first stage towers at 
the junction of the hot and cold sections and the process is repeated in 
subsequent stage towers. The product of the last stage, water enriched 
up to 30 percent in deuterium, is sent to a distillation unit to produce 
reactor grade heavy water; i.e., 99.75 percent deuterium oxide.
    B. The ammonia-hydrogen exchange process can extract deuterium from 
synthesis gas through contact with liquid ammonia in the presence of a 
catalyst. The systhesis gas is fed into exchange towers and then to an 
ammonia converter. Inside the towers the gas flows from the bottom to 
the top while the

[[Page 616]]

liquid ammonia flows from the top to the bottom. The deuterium is 
stripped from the hydrogen in the systhesis gas and concentrated in the 
ammonia. The ammonia then flows into an ammonia cracker at the bottom of 
the tower while the gas flows into an ammonia converter at the top. 
Further enrichment takes place in subsequent stages and reactor-grade 
heavy water is produced through final distillation. The synthesis gas 
feed can be provided by an ammonia plant that can be constructed in 
association with a heavy water ammonia-hydrogen exchange plant. The 
ammonia-hydrogen exchange process can also use ordinary water as a feed 
source of deuterium.
    C.1. Much of the key equipment for heavy water production plants 
using either the water-hydrogen sulphide exchange process (GS process) 
or the ammonia-hydrogen exchange process are common to several segments 
of the chemical and petroleum industries; particularly in small plants 
using the GS process. However, few items are available ``off-the-
shelf.'' Both processes require the handling of large quantities of 
flammable, corrosive and toxic fluids at elevated pressures. Thus, in 
establishing the design and operating standards for plants and equipment 
using these processes, careful attention to materials selection and 
specifications is required to ensure long service life with high safety 
and reliability factors. The choice is primarily a function of economics 
and need. Most equipment, therefore, is prepared to customer 
requirements.
    In both processes, equipment which individually is not especially 
designed or prepared for heavy water production can be assembled into 
especially designed or prepared systems for producing heavy water. 
Examples of such systems are the catalyst production system used in the 
ammonia-hydrogen exchange process and the water distillation systems 
used for the final concentration of heavy water to reactor-grade in 
either process.
    C.2. Equipment especially designed or prepared for the production of 
heavy water utilizing either the water-hydrogen sulphide exchange 
process or the ammonia-hydrogen exchange process:

               (i) Water-hydrogen Sulphide Exchange Towers

    Exchange towers fabricated from carbon steel (such as ASTM A516) 
with diameters of 6 m (20 ft) to 9 m (30 ft), capable of operating at 
pressures greater than or equal to 2 MPa (300 psi) and with a corrosion 
allowance of 6mm or greater.

                      (ii) Blowers and Compressors

    Single stage, low head (i.e., 0.2 MPa or 30 psi) centrifugal blowers 
or compressors for hydrogen-sulphide gas circulation (i.e., gas 
containing more than 70 percent H2 S). The blowers or 
compressors have a throughput capacity greater than or equal to 56 m\3\/
second (120,000 SCFM) while operating at pressures greater than or equal 
to 1.8 MPa (260 psi) suction and have seals designed for wet 
H2 S service.

                 (iii) Ammonia-Hydrogen Exchange Towers

    Ammonia-hydrogen exchange towers greater than or equal to 35 m 
(114.3 ft) in height with diameters of 1.5 m (4.9 ft) to 2.5 m (8.2 ft) 
capable of operating at pressures greater than 15 MPa (2225 psi). The 
towers have at least one flanged, axial opening of the same diameter as 
the cylindrical part through which the tower internals can be inserted 
or withdrawn.

   (iv) Tower Internals and Stage Pumps Used in the Ammonia-hydrogen 
                            Exchange Process.

    Tower internals include especially designed stage contactors which 
promote intimate gas/liquid contact. Stage pumps include especially 
designed submersible pumps for circulation of liquid ammonia within a 
contacting stage internal to the stage towers.

  (v) Ammonia Crackers Utilizing the Ammonia-hydrogen Exchange Process.

    Ammonia crackers with operating pressures greater than or equal to 3 
MPa (450 psi).

                   (vi) Infrared Absorption Analyzers

    Infrared absorption analyzers capable of ``on-line'' hydrogen/
deuterium ratio analysis where deuterium concentrations are equal to or 
greater than 90 percent.

 (vii) Catalytic Burners Used in the Ammonia-hydrogen Exchange Process.

    Catalytic burners for the conversion of enriched deuterium gas into 
heavy water.
    (viii) Complete Heavy Water Upgrade Systems or Columns.
    Complete heavy water upgrade systems or columns especially designed 
or prepared for the upgrade of heavy water to reactor-grade deuterium 
concentration. These systems, which usually employ water distillation to 
separate heavy water from light water, are especially designed or 
prepared to produce reactor-grade heavy water (i.e., typically 99.75% 
deuterium oxide) from heavy water feedstock of lesser concentration.

[58 FR 13005, Mar. 9, 1993. Redesignated at 61 FR 35603, July 8, 1996; 
65 FR 70292, Nov. 22, 2000]

[[Page 617]]

 Appendix L to Part 110--Illustrative List of Byproduct Materials Under 
                  NRC Export/Import Licensing Authority

Actinium 225 (Ac 225)
Actinium 227 (Ac 227)
Actinium 228 (Ac 228)
Americium 241 (Am 241)
Americium 242m (Am 242m)
Americium 242 (Am 242)
Americium 243 (Am 243)
Antimony 124 (Sb 124)
Antimony 125 (Sb 125)
Antimony 126 (Sb 126)
Arsenic 73 (As 73)
Arsenic 74 (As 74)
Arsenic 76 (As 76)
Arsenic 77 (As 77)
Barium 131 (Ba 131)
Barium 133 (Ba 133)
Barium 140 (Ba 140)
Bismuth 207 (Bi 207)
Bismuth 210 (Bi 210)
Bromine 82 (Br 82)
Cadmium 109 (Cd 109)
Cadmium 113 (Cd 113)
Cadmium 115m (Cd 115m)
Cadmium 115 (Cd 115)
Calcium 45 (Ca 45)
Calcium 47 (Ca 47)
Californium 248 (Cf 248)
Californium 249 (Cf 249)
Californium 250 (Cf 250)
Californium 251 (Cf 251)
Californium 252 (Cf 252)
Californium 253 (Cf 253)
Californium 254 (Cf 254)
Carbon 14 (C 14)
Cerium 141 (Ce 141)
Cerium 143 (Ce 143)
Cerium 144 (Ce 144)
Cesium 131 (Cs 131)
Cesium 134m (Cs 134m)
Cesium 134 (Cs 134)
Cesium 135 (Cs 135)
Cesium 136 (Cs 136)
Cesium 137 (Cs 137)
Chlorine 36 (Cl 36)
Chlorine 38 (Cl 38)
Chromium 51 (Cr 51)
Cobalt 58m (Co 58m)
Cobalt 58 (Co 58)
Cobalt 60 (Co 60)
Copper 64 (Cu 64)
Curium 240 (Cm 240)
Curium 241 (Cm 241)
Curium 242 (Cm 242)
Curium 243 (Cm 243)
Curium 244 (Cm 244)
Curium 245 (Cm 245)
Curium 247 (Cm 247)
Dysprosium 165 (Dy 165)
Dysprosium 166 (Dy 166)
Einsteinium 252 (Es 252)
Einsteinium 253 (Es 253)
Einsteinium 254 (Es 254)
Einsteinium 255 (Es 255)
Erbium 169 (Er 169)
Erbium 171 (Er 171)
Europium 152 (Eu 152)
Europium 152 9.2 h
  (Eu 152 9.2 h)
Europium 152 13 yr
  (Eu 152 13 yr)
Europium 154 (Eu 154)
Europium 155 (Eu 155)
Fermium 257 (Fm 257)
Fluorine 18 (F 18)
Gadolinium 148 (Gd 148)
Gadolinium 153 (Gd 153)
Gadolinium 159 (Gd 159)
Gallium 72 (Ga 72)
Germanium 68 (Ge 68)
Germanium 71 (Ge 71)
Gold 198 (Au 198)
Gold 199 (Au 199)
Hafnium 172 (Hf 172)
Hafnium 181 (Hf 181)
Holmium 166m (Ho 166m)
Holmium 166 (Ho 166)
Hydrogen 3 (H 3)
Indium 113m (In 113m)
Indium 114m (In 114m)
Indium 115m (In 115m)
Indium 115 (In 115)
Iodine 125 (I 125)
Iodine 126 (I 126)
Iodine 129 (I 129)
Iodine 131 (I 131)
Iodine 132 (I 132)
Iodine 133 (I 133)
Iodine 134 (I 134)
Iodine 135 (I 135)
Iridium 192 (Ir 192)
Iridium 194 (Ir 194)
Iron 55 (Fe 55)
Iron 59 (Fe 59)
Krypton 85 (Kr 85)
Krypton 87 (Kr 87)
Lanthanum 140 (La 140)
Lead 210 (Pb 210)
Lutetium 177 (Lu 177)
Manganese 52 (Mn 52)
Manganese 54 (Mn 54)
Manganese 56 (Mn 56)
Mendelevium 258 (Md 258)
Mercury 197m (Hg 197m)
Mercury 197 (Hg 197)
Mercury 203 (Hg 203)
Molybdenum 99 (Mo 99)
Neodymium 147 (Nd 147)
Neodymium 149 (Nd 149)
Neptunium 235 (Np 235)
Neptunium 237 (Np 237)
Nickel 59 (Ni 59)
Nickel 63 (Ni 63)
Nickel 65 (Ni 65)
Niobium 93m (Nb 93m)
Niobium 94 (Nb 94)
Niobium 95 (Nb 95)
Niobium 97 (Nb 97)
Osmium 185 (Os 185)
Osmium 191m (Os 191m)
Osmium 191 (Os 191)
Osmium 193 (Os 193)
Palladium 103 (Pd 103)
Palladium 109 (Pd 109)
Phosphorus 32 (P 32)
Phosphorus 33 (P 33)
Platinum 191 (Pt 191)
Platinum 193m (Pt 193m)
Platinum 193 (Pt 193)
Platinum 197m (Pt 197m)
Platinum 197 (Pt 197)
Polonium 208 (Po 208)
Polonium 209 (Po 209)
Polonium 210 (Po 210)
Potassium 42 (K 42)
Praseodymium 142 (Pr 142)
Praseodymium 143 (Pr 143)
Promethium 145 (Pm 145)
Promethium 147 (Pm 147)
Promethium 149 (Pm 149)
Radium 223 (Ra 223)
Rhenium 186 (Re 186)
Rhenium 188 (Re 188)
Rhodium 103m (Rh 103m)
Rhodium 105 (Rh 105)
Rubidium 86 (Rb 86)
Rubidium 87 (Rb 87)
Ruthenium 97 (Ru 97)
Ruthenium 103 (Ru 103)
Ruthenium 105 (Ru 105)
Ruthenium 106 (Ru 106)
Samarium 151 (Sm 151)
Samarium 153 (Sm 153)
Scandium 46 (Sc 46)
Scandium 47 (Sc 47)
Scandium 48 (Sc 48)
Selenium 75 (Se 75)
Silicon 31 (Si 31)
Silver 105 (Ag 105)
Silver 110m (Ag 110m)
Silver 111 (Ag 111)
Sodium 22 (Na 22)
Sodium 24 (Na 24)
Strontium 85 (Sr 85)
Strontium 89 (Sr 89)
Strontium 90 (Sr 90)
Strontium 91 (Sr 91)
Strontium 92 (Sr 92)
Sulphur 35 (S 35)
Tantalum 182 (Ta 182)
Technetium 96 (Tc 96)
Technetium 97m (Tc 97m)
Technetium 97 (Tc 97)
Technetium 99m (Tc 99m)
Technetium 99 (Tc 99)
Tellurium 125m (Te 125m)
Tellurium 127m (Te 127m)
Tellurium 127 (Te 127)
Tellurium 129m (Te 129m)
Tellurium 129 (Te 129)
Tellurium 131m (Te 131m)
Tellurium 132 (Te 132)
Terbium 160 (Tb 160)
Thallium 200 (Tl 200)
Thallium 201 (Tl 201)
Thallium 202 (Tl 202)
Thallium 204 (Tl 204)
Thulium 170 (Tm 170)

[[Page 618]]


Thulium 171 (Tm 171)
Tin 113 (Sn 113)
Tin 123 (Sn 123)
Tin 125 (Sn 125)
Tin 126 (Sn 126)
Titanium 44 (Ti 44)
Tritium (H3)
Tungsten 181 (W 181)
Tungsten 185 (W 185)
Tungsten 187 (W 187)
Vanadium 48 (V 48)
Xenon 131m (Xe 131m)
Xenon 133 (Xe 133)
Xenon 135 (Xe 135)
Ytterbium 175 (Yb 175)
Yttrium 90 (Y 90)
Yttrium 91 (Y 91)
Yttrium 92 (Y 92)
Yttrium 93 (Y 93)
Zinc 65 (Zn 65)
Zinc 69m (Zn 69m)
Zinc 69 (Zn 69)
Zirconium 93 (Zr 93)
Zirconium 95 (Zr 95)
Zirconium 97 (Zr 97)

[58 FR 13005, Mar. 9, 1993, as amended at 59 FR 48998, Sept. 26, 1994. 
Redesignated and amended at 61 FR 35603, 35607, July 8, 1996; 65 FR 
70292, Nov. 22, 2000]

     Appendix M to Part 110--Categorization of Nuclear Material \d\

                                         [From IAEA INFCIRC/225, Rev. 1]
----------------------------------------------------------------------------------------------------------------
                                                                                Category
            Material                      Form        ----------------------------------------------------------
                                                              I                  II                III \e\
----------------------------------------------------------------------------------------------------------------
1. Plutonium \a\................  Unirradiated \b\...  2 kg or more...  Less than 2 kg but   500 g or less.
                                                                         more than 500 g.
2. Uranium-235 \c\..............  Unirradiated: \b\..
                                    Uranium enriched   5 kg or more...  Less than 5 kg but   1 kg or less.
                                   to 20 pct U \235\                     more than 1 kg.
                                   or more.
                                    Uranium enriched   ...............  10 kg or more......  Less than 10 kg.
                                   to 10 pct U \235\
                                   but less than 20
                                   pct.
                                    Uranium enriched   ...............  ...................  10 kg or more.
                                   above natural, but
                                   less than 10 pct U
                                   \235\.
3. Uranium-233..................  Unirradiated \b\...  2 kg or more...  Less than 2 kg but   500 g or less.
                                                                         more than 500 g.
----------------------------------------------------------------------------------------------------------------
\a\ All plutonium except that with isotopic concentration exceeding 80 pct in plutonium-238.
\b\ Material not irradiated in a reactor or material irradiated in a reactor but with a radiation level equal to
  or less than 100 rd/h at 1 m unshielded.
\c\ Natural uranium, depleted uranium, thorium and quantities of uranium enriched to less than 10% not falling
  into Category III should be protected in accordance with prudent management practice.
\d\ Irradiated fuel should be protected as category I, II, or III nuclear material depending on the category of
  the fresh fuel. However, fuel which by virtue of its original fissile material content is included as category
  I or II before irradiation should only be reduced one category level, while the radiation level from the fuel
  exceeds 100 rd/h at 1 m unshielded.
\e\ Physical security determinations will not be required for 15 g or less of plutonium, uranium-233 or high-
  enriched uranium, or for 1 kg or less of uranium with an enrichment between 10 and 20 pct in uranium-235.


(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))

[43 FR 21641, May 19, 1978. Redesignated and amended at 49 FR 47204, 
Dec. 3, 1984. Further redesignated at 55 FR 30450, July 26, 1990; 58 FR 
13005, Mar. 9, 1993; 61 FR 35603, July 8, 1996]

 Appendix N to Part 110-Illustrative List of Lithium Isotope Separation 
 Facilities, Plants and Equipment Under NRC's Export Licensing Authority

    a. Facilities or plants for the separation of lithium isotopes.
    b. Equipment for the separation of lithium isotopes, such as:
    (1) Packed liquid-liquid exchange columns especially designed for 
lithium amalgams;
    (2) Mercury and/or lithium amalgam pumps;
    (3) Lithium amalgam electrolysis cells;
    (4) Evaporators for concentrated lithium hydroxide solution.

[65 FR 70292, Nov. 22, 2000]

  Appendix O to Part 110-Illustrative List of Fuel Element Fabrication 
  Plant Equipment and Components Under NRC's Export Licensing Authority

    Note: Nuclear fuel elements are manufactured from source or special 
nuclear material. For oxide fuels, the most common type of fuel 
equipment for pressing pellets, sintering, grinding and grading will be 
present. Mixed oxide fuels are handled in glove boxes (or equivalent 
containment) until they are sealed in the cladding. In all cases the 
fuel is hermetically sealed inside a suitable cladding which is designed 
to be the primary envelope encasing the fuel so as to provide suitable 
performance and safety during reactor operation. Also, in all cases 
precise control of processes, procedures and equipment to extremely high 
standards is necessary in

[[Page 619]]

order to ensure predictable and safe fuel performance.
    (a) Items that are considered especially designed or prepared for 
the fabrication of fuel elements include equipment that:
    (1) Normally comes in direct contact with, or directly processes or 
controls, the production flow of nuclear material;
    (2) Seals the nuclear material within the cladding;
    (3) Checks the integrity of the cladding or the seal; and
    (4) Checks the finished treatment of the sealed fuel.
    (b) This equipment or systems of equipment may include, for example:
    (1) Fully automatic pellet inspection stations especially designed 
or prepared for checking final dimensions and surface defects of fuel 
pellets;
    (2) Automatic welding machines especially designed or prepared for 
welding end caps onto the fuel pins (or rods);
    (3) Automatic test and inspection stations especially designed or 
prepared for checking the integrity of completed fuel pins (or rods). 
This item typically includes equipment for:
    (i) X-ray examination of pin (or rod) end cap welds;
    (ii) Helium leak detection from pressurized pins (or rods); and
    (iii) Gamma-ray scanning of the pins (or rods) to check for correct 
loading of the fuel pellets inside.

[65 FR 70292, Nov. 22, 2000]



PART 140--FINANCIAL PROTECTION REQUIREMENTS AND INDEMNITY AGREEMENTS--Table of Contents




                      Subpart A--General Provisions

Sec.
140.1  Purpose.
140.2  Scope.
140.3  Definitions.
140.4  Interpretations.
140.5  Communications.
140.6  Reports.
140.7  Fees.
140.8  Specific exemptions.
140.9  Modification of indemnity agreements.
140.9a  Information collection requirements: OMB approval.

Subpart B--Provisions Applicable Only to Applicants and Licensees Other 
      Than Federal Agencies and Nonprofit Educational Institutions

140.10  Scope.
140.11  Amounts of financial protection for certain reactors.
140.12  Amount of financial protection required for other reactors.
140.13  Amount of financial protection required of certain holders of 
          construction permits.
140.13a  Amount of financial protection required for plutonium 
          processing and fuel fabrication plants.
140.13b  Amount of liability insurance required for uranium enrichment 
          facilities.
140.14  Types of financial protection.
140.15  Proof of financial protection.
140.16  Commission review of proof of financial protection.
140.17  Special provisions applicable to licensees furnishing financial 
          protection in whole or in part in the form of liability 
          insurance.
140.18  Special provisions applicable to licensees furnishing financial 
          protection in whole or in part in the form of adequate 
          resources.
140.19  Failure by licensees to maintain financial protection.
140.20  Indemnity agreements and liens.
140.21  Licensee guarantees of payment of deferred premiums.
140.22  Commission guarantee and reimbursement agreements.

        Subpart C--Provisions Applicable Only to Federal Agencies

140.51  Scope.
140.52  Indemnity agreements.

     Subpart D--Provisions Applicable Only to Nonprofit Educational 
                              Institutions

140.71  Scope.
140.72  Indemnity agreements.

              Subpart E--Extraordinary Nuclear Occurrences

140.81  Scope and purpose.
140.82  Procedures.
140.83  Determination of extraordinary nuclear occurrence.
140.84  Criterion I--Substantial discharge of radioactive material or 
          substantial radiation levels offsite.
140.85  Criterion II--Substantial damages to persons offsite or property 
          offsite.

                          Subpart F--Violations

140.87  Violations.
140.89  Criminal penalties.

                         Appendices to Part 140

140.91  Appendix A--Form of nuclear energy liability policy for 
          facilities.
140.92  Appendix B--Form of indemnity agreement with licensees 
          furnishing insurance policies as proof of financial 
          protection.

[[Page 620]]

140.93  Appendix C--Form of indemnity agreement with licensees 
          furnishing proof of financial protection in the form of 
          licensee's resources.
140.94  Appendix D--Form of indemnity agreement with Federal agencies.
140.95  Appendix E--Form of indemnity agreement with nonprofit 
          educational institutions.
140.96  Appendix F--Indemnity locations.
140.107  Appendix G--Form of indemnity agreement with licensees 
          processing plutonium for use in plutonium processing and fuel 
          fabrication plants and furnishing insurance policies as proof 
          of financial protection.
140.108  Appendix H--Form of indemnity agreement with licensees 
          possessing plutonium for use in plutonium processing and fuel 
          fabrication plants and furnishing proof of financial 
          protection in the form of the licensee's resources.
140.109  Appendix I.

    Authority: Secs. 161, 170, 68 Stat. 948, 71 Stat. 576, as amended 
(42 U.S.C. 2201, 2210); secs. 201, as amended, 202, 88 Stat. 1242, as 
amended, 1244 (42 U.S.C. 5841, 5842).

    Source: 25 FR 2944, Apr. 7, 1960, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 140.1  Purpose.

    The regulations in this part are issued to provide appropriate 
procedures and requirements for determining:
    (a) The financial protection required of licensees and for the 
indemnification and limitation of liability of certain licensees and 
other persons pursuant to section 170 of the Atomic Energy Act of 1954, 
as amended; and
    (b) The liability insurance required of uranium enrichment facility 
licensees pursuant to section 193 of the Atomic Energy Act of 1954, as 
amended.

[57 FR 18394, Apr. 30, 1992]



Sec. 140.2  Scope.

    (a) The regulations in this part apply:
    (1) To each person who is an applicant for or holder of a license 
issued pursuant to 10 CFR parts 50 and 54 of this chapter to operate a 
nuclear reactor, and
    (2) With respect to extraordinary nuclear occurrences, to each 
person who is an applicant for or holder of a license to operate a 
production facility or a utilization facility, and to other persons 
indemnified with respect to such facility.
    (3) To each person licensed pursuant to part 70 of this chapter to 
possess and use plutonium in a plutonium processing and fuel fabrication 
plant.
    (4) To each person licensed pursuant to parts 40 and 70 of this 
chapter to construct and operate a uranium enrichment facility.
    (b)(1) Subpart B of this part does not apply to any person subject 
to subparts C or D of this part. Subpart C of this part applies only to 
persons found by the Commission to be Federal agencies. Subpart D of 
this part applies only to persons found by the Commission to be 
nonprofit educational institutions with respect to licenses and 
applications for licenses for the conduct of educational activities.
    (2) Any applicant or licensee subject to this part may apply for a 
finding that such applicant or licensee is subject to the provisions of 
subparts C or D of this part. The application should state the grounds 
for the requested finding. Any application for a finding pursuant to 
this paragraph may be included in an application for license.
    (c) Subpart E of this part sets forth the procedures the Commission 
will follow and the criteria the Commission will apply in making a 
determination as to whether or not there has been an extraordinary 
nuclear occurrence. The form of nuclear energy liability policy for 
facilities (appendix A) and the forms of indemnity agreements with 
licensees (appendices B, C, D, and E) include provisions requiring the 
waiver of certain defenses with respect to an extraordinary nuclear 
occurrence. These provisions and subpart E are incorporated in this part 
pursuant to Pub. L. 89-645 (80 Stat. 891). They provide additional 
assurance of prompt compensation under available indemnity and 
underlying financial protection for injury or damage resulting from the 
hazardous properties of radioactive materials or radiation, and they in 
no way detract from the protection

[[Page 621]]

to the public otherwise provided under this part.

[25 FR 2944, Apr. 7, 1960, as amended at 33 FR 15998, Oct. 31, 1968; 42 
FR 48, Jan. 3, 1977; 56 FR 64980, Dec. 13, 1991; 57 FR 18394, Apr. 30, 
1992]



Sec. 140.3  Definitions.

    As used in this part,
    (a) Act means the Atomic Energy Act of 1954 (68 Stat. 919) including 
any amendments thereto.
    (b) Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    (c) Federal agency means a Government agency such that any liability 
in tort based on the activities of such agency would be satisfied by 
funds appropriated by the Congress and paid out of the United States 
Treasury.
    (d) Financial protection means the ability to respond in damages for 
public liability and to meet the cost of investigating and defending 
claims and settling suits for such damages.
    (e) 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.
    (f) Nuclear reactor means any apparatus, other than an atomic 
weapon, designed or used to sustain nuclear fission in a self-supporting 
chain reaction.
    (g) 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), any State or any political subdivision 
thereof, 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.
    (h) Plutonium processing and fuel fabrication plant means a plant in 
which the following operations or activities are conducted:
    (1) Operations for manufacture of reactor fuel containing plutonium, 
where the license or licenses authorize the possession of either five or 
more kilograms of plutonium, excluding that contained in sealed sources 
and welded or otherwise sealed unirradiated or irradiated fuel rods, at 
the site of the plant or authorize the processing of one or more 
kilograms of plutonium, excluding that contained in sealed sources and 
welded or otherwise sealed unirradiated or irradiated fuel rods, at the 
plant, including any of the following processes: (i) Preparation of fuel 
material; (ii) formation of fuel material into desired shapes; (iii) 
application of protective cladding; (iv) recovery of scrap material; and 
(v) storage associated with such operations; or
    (2) Research and development activities involving any of the 
operations described in paragraph (h)(1) of this section, except for 
research and development activities where the operator is licensed to 
possess or use plutonium in amounts less than those specified in 
paragraph (h)(1).
    (i) Source material means source material as defined in the 
regulations contained in part 40 of this chapter.
    (j) 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 artifically enriched by any 
of the foregoing, but does not include source material.
    (k) Testing reactor means a nuclear reactor which is of a type 
described in Sec. 50.21(c) of this chapter 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:

[[Page 622]]

    (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.
    (l) 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).
    (m) 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.

[25 FR 2944, Apr. 7, 1960, as amended at 40 FR 8793, Mar. 3, 1975; 42 FR 
48, Jan. 3, 1977; 45 FR 14201, Mar. 5, 1980; 57 FR 18394, Apr. 30, 1992]



Sec. 140.4  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretations 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. 140.5  Communications.

    Except where otherwise specified in this part, all communications 
and reports concerning the regulations in this part should be addressed 
to the Director of Nuclear Reactor Regulation, or Director of Nuclear 
Material Safety and Safeguards, as appropriate, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555. Communications and reports may be 
delivered in person at the Commission's offices at 2120 L Street NW., 
Washington, DC, or at 11555 Rockville Pike, Rockville, MD.

[53 FR 6140, Mar. 1, 1988, as amended at 53 FR 43422, Oct. 27, 1988]



Sec. 140.6  Reports.

    (a) In the event of bodily injury or property damage arising out of 
or in connection with the possession or use of the radioactive material 
at the location or in the course of transportation or in the event any 
claim is made therefor, written notice containing particulars sufficient 
to identify the licensee and reasonably obtainable information with 
respect to the time, place, and circumstances thereof, or the nature of 
the claim shall be furnished by or for the licensee to the Director of 
Nuclear Reactor Regulation, or Director of Nuclear Material Safety and 
Safeguards, as appropriate, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555 as promptly as practicable. The terms the 
radioactive material, the location, and in the course of transportation 
as used in this section shall have the meanings defined in the 
applicable indemnity agreement between the licensee and the Commission.
    (b) The Commission may require any person subject to this part to 
keep such records and furnish such reports to the Commission as the 
Commission deems necessary for the administration of the regulations in 
this part.

[25 FR 2944, Apr. 7, 1960, as amended at 41 FR 16447, Apr. 19, 1976; 42 
FR 49, Jan. 3, 1977]



Sec. 140.7  Fees.

    (a)(1) Each reactor licensee shall pay a fee to the Commission based 
on the following schedule:
    (i) For indemnification from $500 million to $400 million inclusive, 
a fee of $30 per year per thousand kilowatts of thermal capacity 
authorized in the license;

[[Page 623]]

    (ii) For indemnification from $399 million to $300 million 
inclusive, a fee of $24 per year per thousand kilowatts of thermal 
capacity authorized in the license;
    (iii) For indemnification from $299 million to $200 million 
inclusive, a fee of $18 per year per thousand kilowatts of thermal 
capacity authorized in the license;
    (iv) For indemnification from $199 million to $100 million 
inclusive, a fee of $12 per year per thousand kilowatts of thermal 
capacity authorized in the license; and
    (v) For indemnification from $99 million to $1 million inclusive, a 
fee of $6 per year per thousand kilowatts of thermal capacity authorized 
in the license.
    (2) No fee will be less than $100 per annum for any nuclear reactor. 
This fee is for the period beginning with the date on which the 
applicable indemnity agreement is effective. The various levels of 
indemnity fees are set forth in the schedule in this paragraph. The 
amount of indemnification for determining indemnity fees will be 
computed by subtracting from the statutory limit of liability the amount 
of financial protection required of the licensee. In the case of 
licensees subject to the provision of Sec. 140.11(a)(4), this total 
amount will be the amount, as determined by the Commission, of the 
financial protection available to licensees at the close of the calendar 
year preceding the one in which the fee becomes due. For those instances 
in which a certified financial statement is provided as a guarantee of 
payment of deferred premiums in accordance with Sec. 140.21(e), a fee of 
$1,000 or the indemnity fee, whichever is greater, is required.
    (b) Where a licensee manufactures a number of nuclear reactors each 
having a power level not exceeding 3\1/3\ megawatts, for sale to others 
and operates them at the licensee's location temporarily prior to 
delivery, the licensee shall report to the Commission the maximum number 
of such reactors to be operated at that location at any one time. In 
such cases, the fee shall equal $100 multiplied by the number of 
reactors reported by the licensee. In the event the number of reactors 
operated at any one time exceed the estimate so reported, the licensee 
shall report the additional number of reactors to the Commission and 
additional charges will be made. If experience shows that less than the 
estimated number of reactors have been operated, appropriate adjustment 
in subsequent bills will be made by the Commission.
    (c) Each person licensed to possess and use plutonium in a plutonium 
processing and fuel fabrication plant shall pay to the Commission a fee 
of $5,000 per year for indemnification. This fee is for the period 
beginning with the date on which the applicable indemnity agreement is 
effective.
    (d) Indemnity fee payments, made payable to the U.S. Nuclear 
Regulatory Commission, are to be made in U.S. funds by check, draft, 
money order, credit card, or electronic funds transfer such as ACH 
(Automated Clearing House) using EDI (Electronic Data Interchange). 
Federal agencies may also make payments by the On-Line Payment and 
Collections System (OPAC's). Where specific payment instructions are 
provided on the invoices, payment should be made accordingly, e.g. 
invoices of $5,000 or more should be paid via ACH through NRC's Lockbox 
Bank at the address indicated on the invoice. Credit card payments 
should be made up to the limit established by the credit card bank, in 
accordance with specific instructions provided with the invoices, to the 
Lockbox Bank designated for credit card payments.

[25 FR 2944, Apr. 7, 1960, as amended at 42 FR 49, Jan. 3, 1977; 63 FR 
31851, June 10, 1998]



Sec. 140.8  Specific 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 
are otherwise in the public interest.

[34 FR 19546, Dec. 11, 1969]

[[Page 624]]



Sec. 140.9  Modification of indemnity agreements.

    The Commission will publish in the Federal Register a notice of its 
intent to enter into an indemnity agreement, or agreement amending an 
indemnity agreement, which contains provisions different from the form 
of the applicable indemnity agreement set forth in the appendices to 
this part, as such appendices may be amended from time to time.

[48 FR 1030, Jan. 10, 1983]



Sec. 140.9a  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0039.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 140.6, 140.7, 140.13, 140.13a, 140.13b, 
140.15, 140.17, 140.20, and 140.21.

[62 FR 52190, Oct. 6, 1997]



Subpart B--Provisions Applicable Only to Applicants and Licensees Other 
      Than Federal Agencies and Nonprofit Educational Institutions



Sec. 140.10  Scope.

    This subpart applies to applicants for and holders of licenses 
issued pursuant to 10 CFR parts 50 and 54 of this chapter authorizing 
operation of nuclear reactors, except licenses for the conduct of 
educational activities issued to, or applied for, by persons found by 
the Commission to be nonprofit educational institutions and except 
persons found by the Commission to be Federal agencies. This subpart 
also applies to persons licensed to possess and use plutonium in a 
plutonium processing and fuel fabrication plant.

[56 FR 64980, Dec. 13, 1991]



Sec. 140.11  Amounts of financial protection for certain reactors.

    (a) Each licensee is required to have and maintain financial 
protection:
    (1) In the amount of $1,000,000 for each nuclear reactor he is 
authorized to operate at a thermal power level not exceeding ten 
kilowatts;
    (2) In the amount of $1,500,000 for each nuclear reactor he is 
authorized to operate at a thermal power level in excess of ten 
kilowatts but not in excess of one megawatt;
    (3) In the amount of $2,500,000 for each nuclear reactor other than 
a testing reactor or a reactor licensed under section 104b of the Act 
which he is authorized to operate at a thermal power level exceeding one 
megawatt but not in excess of ten megawatts; and
    (4) In an amount equal to the sum of $200,000,000 and the amount 
available as secondary financial protection (in the form of private 
liability insurance available under an industry retrospective rating 
plan providing for deferred premium charges equal to the pro rata share 
of the aggregate public liability claims and costs, excluding costs 
payment of which is not authorized by subsection 170o.(1)(D) of the Act, 
in excess of that covered by primary financial protection) for each 
nuclear reactor which is licensed to operate and which is designed for 
the production of electrical energy and has a rated capacity of 100,000 
electrical kilowatts or more: Provided, however, that under such a plan 
for deferred premium charges for each nuclear reactor which is licensed 
to operate, no more than $83,900,000 with respect to any nuclear 
incident (plus any surcharge assessed under subsection 170o.(1)(E) of 
the Act) and no more than $10,000,000 per incident within one calendar 
year shall be charged.
    (b) In any case where a person is authorized pursuant to part 50 of 
this chapter to operate two or more nuclear reactors at the same 
location, the total primary financial protection required of the 
licensee for all such reactors is the highest amount which would 
otherwise be required for any one of those reactors: Provided, That such 
primary

[[Page 625]]

financial protection covers all reactors at the location.

[25 FR 2944, Apr. 7, 1960, as amended at 34 FR 706, Jan. 17, 1969; 37 FR 
3423, Feb. 16, 1972; 39 FR 5310, Feb. 12, 1974; 40 FR 7082, Feb. 19, 
1975; 42 FR 49, Jan. 3, 1977; 42 FR 20140, Apr. 18, 1977; 44 FR 20632, 
Apr. 6, 1979; 54 FR 24158, June 6, 1989; 58 FR 42852, Aug. 12, 1993; 63 
FR 39016, July 21, 1998]



Sec. 140.12  Amount of financial protection required for other reactors.

    (a) Each licensee is required to have and maintain financial 
protection for each nuclear reactor for which the amount of financial 
protection is not determined in Sec. 140.11, in an amount determined 
pursuant to the formula and other provisions of this section: Provided, 
That in no event shall the amount of financial protection required for 
any nuclear reactor under this section be less than $4,500,000 or more 
than $74,000,000.
    (b)(1) The formula is:

x=B times P

    (2) In the formula:

x=Amount of financial protection in dollars.
B=Base amount of financial protection.
P=Population factor.

    (3) The base amount of financial protection is equal to $185 times 
the maximum power level, expressed in thermal kilowatts, as authorized 
by the applicable license.
    (4) The population factor (P) shall be determined as follows:
    (i) Step 1. The area to be considered includes all minor civil 
divisions (as shown in the 1950 Census of Population, Bureau of the 
Census, or later data available from the Bureau) which are wholly or 
partly within a circle with the facility at its center and having a 
radius in miles equal to the square root of the maximum authorized power 
level in thermal megawatts.
    (ii) Step 2. Identify all minor civil divisions according to the 
same census which are in whole or in part within the circle determined 
in Step 1. Determine the population of each such minor civil division 
(according to the same census or later data available from the Bureau of 
the Census). For each minor civil division, divide its population by the 
square of the estimated distance to the nearest mile from the reactor to 
the geographic center of the minor civil division: Provided, That no 
such distance shall be deemed to be less than one mile. If the sum of 
the quotients thus obtained for all minor civil divisions wholly or 
partly within the circle is 1,000 or less, the population factor is 1. 
If the sum of these quotients is more than 1,000 but not more than 
3,000, the population factor is 1.2. If the sum of these quotients is 
more than 3,000 but not more than 5,000, the population factor is 1.4. 
If the sum of these quotients is more than 5,000 but not more than 
7,000, the population factor is 1.6. If the sum of these quotients is 
more than 7,000 but not more than 9,000, the population factor is 1.8. 
If the sum of these quotients is more than 9,000 the population factor 
is 2.0.
    (c) In any case where a person is authorized pursuant to part 50 of 
this chapter to operate two or more nuclear reactors at the same 
location, the total financial protection required of the licensee for 
all such reactors is the highest amount which would otherwise be 
required for any one of those reactors: Provided, That such financial 
protection covers all reactors at the location.
    (d) Except in cases where the amount of financial protection 
calculated under this section is a multiple of $100,000, amounts 
determined pursuant to this section shall be adjusted to the next 
highest multiple of $100,000.

[25 FR 2944, Apr. 7, 1960, as amended at 26 FR 1397, Feb. 17, 1961; 32 
FR 8125, June 7, 1967]



Sec. 140.13  Amount of financial protection required of certain holders of construction permits.

    Each holder of a construction permit under part 50 of this chapter 
authorizing construction of a nuclear reactor, who is also the holder of 
a license under part 70 of this chapter authorizing ownership possession 
and storage only of special nuclear material at the site of the nuclear 
reactor for use as fuel in operation of the nuclear reactor after 
issuance of an operating license under part 50 of this chapter, shall 
(during the period prior to issuance of the license authorizing 
operation of the reactor) have and maintain financial protection in the 
amount of $1,000,000. Proof of financial protection shall be

[[Page 626]]

filed with the Commission in the manner specified in Sec. 140.15 prior 
to issuance of the license under part 70 of this chapter.

[25 FR 2944, Apr. 7, 1960, as amended at 32 FR 2563, Feb. 7, 1967]



Sec. 140.13a  Amount of financial protection required for plutonium processing and fuel fabrication plants.

    (a) Each holder of a license issued pursuant to part 70 of this 
chapter to possess and use plutonium at a plutonium processing and fuel 
fabrication plant is required to have and maintain financial protection 
in the form specified in Sec. 140.14 in the amount of $200,000,000. 
Proof of financial protection shall be filed with the Commission in the 
manner in Sec. 140.15 prior to issuance of the license under part 70 of 
this chapter.
    (b) In any case, when a person is authorized pursuant to part 70 of 
this chapter to possess and use plutonium at two or more plutonium 
processing and fuel fabrication plants at the same location, the total 
financial protection required of the licensee for all such plants is the 
highest amount which would otherwise be required for any one of those 
plants: Provided, however, That such financial protection covers all 
such plants at the location.

[42 FR 49, Jan. 3, 1977, as amended at 42 FR 20140, Apr. 18, 1977; 44 FR 
20632, Apr. 6, 1979; 54 FR 24158, June 6, 1989]



Sec. 140.13b  Amount of liability insurance required for uranium enrichment facilities.

    Each holder of a license issued under Parts 40 or 70 of this chapter 
for a uranium enrichment facility that involves the use of source 
material or special nuclear material is required to have and maintain 
liability insurance. The liability insurance must be the type and in the 
amounts the Commission considers appropriate to cover liability claims 
arising out of any occurrence within the United States that causes, 
within or outside the United States, bodily injury, sickness, disease, 
death, loss of or damage to property, or loss of use of property arising 
out of or resulting from the radioactive, toxic, explosive, or other 
hazardous properties of chemical compounds containing source material or 
special nuclear material. Proof of liability insurance must be filed 
with the Commission as required by Sec. 140.15 before issuance of a 
license for a uranium enrichment facility under parts 40 and 70 of this 
chapter.

[57 FR 18394, Apr. 30, 1992]



Sec. 140.14  Types of financial protection.

    (a) The amounts of financial protection required under this part may 
be furnished and maintained in the form of:
    (1) An effective policy of liability insurance from private sources; 
or
    (2) Adequate resources to provide the financial protection required 
by Secs. 140.11, 140.12; 140.13 or Sec. 140.13a; or
    (3) Such other type of financial protection as the Commission may 
approve; or
    (4) Any combination of the foregoing.
    (b) In any case where the Commission has approved proof of financial 
protection filed by a licensee the licensee shall not substitute one 
type of financial protection for another type without first obtaining 
the written approval of the Commission.

[25 FR 2944, Apr. 7, 1960, as amended at 42 FR 49, Jan. 3, 1977]



Sec. 140.15  Proof of financial protection.

    (a)(1) Licensees who maintain financial protection in whole or in 
part in the form of liability insurance shall provide proof of financial 
protection that consists of a copy of the liability policy (or policies) 
together with a certificate by the insurers issuing the policy stating 
that the copy is a true copy of the currently effective policy issued to 
the licensee. The licensee may furnish proof of financial protection in 
the form of the nuclear energy liability insurance policy set forth in 
Sec. 140.91 or in any other form acceptable to the Commission.
    (2) Such proof may alternatively, consist of a copy of the 
declarations page of a nuclear energy liability policy in the form set 
forth in Sec. 140.91 and issued to the licensee: Provided, That such 
policy form has been filed by the insurers with the Commission. The 
declarations page shall be accompanied by a certificate by the insurers 
stating

[[Page 627]]

that said copy is a true copy of the declarations page of a currently 
effective policy and identifying the policy (including endorsements) by 
reference to the policy form which has been filed by them with the 
Commission.
    (3) The Commission will accept any other form of nuclear energy 
liability insurance as proof of financial protection if it determines 
that the provisions of such insurance provide financial protection under 
the requirements of the Commission's regulations and the Act.
    (b) Proof of financial protection in the case of licensees who 
maintain financial protection in whole or in part in the form specified 
in Sec. 140.14(a)(2) shall consist of a showing that the licensee 
clearly has adequate resources to provide the financial protection 
required under this part. For this purpose the applicant or licensee 
shall file with the Commission:
    (1) Annual financial statements for the three complete calendar or 
fiscal years preceding the date of filing, together with an opinion 
thereon by a certified public accountant. The financial statements shall 
include balance sheets, operating statements and such supporting 
schedules as may be needed for interpretation of the balance sheets and 
operating statements.
    (2) If the most recent statements required under paragraph (b)(1) of 
this section have been prepared as of a date more than 90 days prior to 
the date of filing, similar financial statements, prepared as of a date 
not more than 90 days prior to the date of filing, should be included. 
These statements need not be reviewed by a certified public accountant.
    (c) The Commission may require any licensee to file with the 
Commission such additional proof of financial protection or other 
financial information as the Commission determines to be appropriate for 
the purpose of determining whether the licensee is maintaining financial 
protection as required under this part.
    (d) Proof of financial protection shall be subject to the approval 
of the Commission.
    (e) The licensee shall promptly notify the Commission of any 
material change in proof of financial protection or in other financial 
information filed with the Commission under this part.

[25 FR 2944, Apr. 7, 1960, as amended at 33 FR 15999, Oct. 31, 1968; 49 
FR 11148, Mar. 26, 1984]



Sec. 140.16  Commission review of proof of financial protection.

    The Commission will review proof of financial protection filed by 
any licensee or applicant for license. If the Commission finds that the 
licensee or applicant for license is maintaining financial protection in 
accordance with the requirements of this part, approval of the financial 
protection will be evidenced by incorporation of appropriate provision 
in the license.



Sec. 140.17  Special provisions applicable to licensees furnishing financial protection in whole or in part in the form of liability insurance.

    In any case where a licensee undertakes to maintain financial 
protection in the form of liability insurance for all or part of the 
financial protection required by this part,
    (a) The Commission may require proof that the organization or 
organizations which have issued such policies are legally authorized to 
issue them and do business in the United States and have clear ability 
to meet their obligations; and
    (b) At least 30 days prior to the termination of any such policy, 
the licensee shall notify the Commission of the renewal of such policy 
or shall file other proof of financial protection.



Sec. 140.18  Special provisions applicable to licensees furnishing financial protection in whole or in part in the form of adequate resources.

    In any case where a licensee undertakes to maintain financial 
protection in the form specified in Sec. 140.14(a)(2) for all or part of 
the financial protection required by this part, the Commission may 
require such licensee to file with the Commission such financial 
information as the Commission determines to be appropriate for the 
purpose of determining whether the licensee is maintaining financial 
protection as required by this part.

[42 FR 43385, Aug. 29, 1977]

[[Page 628]]



Sec. 140.19  Failure by licensees to maintain financial protection.

    In any case where the Commission finds that the financial protection 
maintained by a licensee is not adequate to meet the requirements of 
this part, the Commission may suspend or revoke the license or may issue 
such order with respect to licensed activities as the Commission 
determines to be appropriate or necessary in order to carry out the 
provisions of this part and of section 170 of the Act.



Sec. 140.20  Indemnity agreements and liens.

    (a) The Commission will execute and issue agreements of indemnity 
pursuant to the regulations in this part or such other regulations as 
may be issued by the Commission. Such agreements, as to any licensee, 
shall be effective on:
    (1)(i) The effective date of the license (issued pursuant to part 50 
of this chapter) authorizing the licensee to operate the nuclear reactor 
involved; or (ii) the effective date of the license (issued pursuant to 
part 70 of this chapter) authorizing the licensee to possess and store 
special nuclear material at the site of the nuclear reactor for use as 
fuel in operation of the nuclear reactor after issuance of an operating 
license for the reactor, whichever is earlier. No such agreement, 
however, shall be effective prior to September 26, 1957; or
    (2) August 1, 1977 or the effective date of the license (issued 
pursuant to part 70 of this chapter) authorizing the licensee to possess 
and use plutonium at the site of the plutonium processing and fuel 
fabrication plant for processing in that plant, whichever date is later.
    (b) If the licensee fails to pay assessed deferred premiums, the 
Commission reserves the right to pay those premiums on behalf of the 
licensee and to recover the amount of such premiums from the licensee.
    (c) The Commission shall require the immediate submission of 
financial statements by those licensees who indicate, after an 
assessment of the retrospective premium by the insurance pools, that 
they will not pay the assessment. Such financial statements shall 
include, as a minimum, exhibits indicating internally generated funds 
from operations and accumulated retained earnings. Subsequent submission 
of financial statements by such licensees may be requested by the 
Commission, as required.
    (d) If premiums are paid by the Commission as provided in paragraph 
(b) of this section, payment by the Commission shall create a lien in 
the amount paid in favor of the United States upon all property and 
rights to property, whether real or personal, belonging to such 
licensee. The lien shall arise at the time payment is made by the 
Commission and shall continue until the liability for the amount (or a 
judgment against the licensee arising out of such liability) is 
satisfied or becomes unenforceable. The Commission will issue a 
certificate of release of any such lien if it finds that the liability 
for the amount has been fully satisfied or has become legally 
unenforceable.
    (e) If the Commission determines that the licensee is financially 
able to reimburse the Commission for a deferred premium payment made in 
its behalf, and the licensee, after notice of such determination by the 
Commission fails to make such reimbursement within 120 days, the 
Commission will take appropriate steps to suspend the license for 30 
days. The Commission may take such further action as is necessary if 
reimbursement is not made within the 30-day suspension period including 
but not limited to termination of the operating license.
    (f)(1)(i) The general form of indemnity agreement to be entered into 
by the Commission with reactor licensees who furnish financial 
protection in the form of the nuclear energy liability insurance policy 
set forth in appendix A is contained in Sec. 140.92, appendix B. The 
general form of indemnity agreement to be entered into by the Commission 
with reactor licensees who furnish financial protection in the form 
specified in Sec. 140.14(a)(2) is set forth in Sec. 140.93, appendix C.
    (ii) The general form of indemnity agreement to be entered into by 
the Commission with persons licensed to possess and use plutonium in a 
plutonium processing and fuel fabrication plant and who furnish 
financial protection in the form of the nuclear energy

[[Page 629]]

liability insurance policy set forth in appendix A \2\ is contained in 
Sec. 140.107, appendix G. The general form of indemnity agreement to be 
entered into by the Commission with such licensees who furnish financial 
protection in the form specified in Sec. 140.14(a)(2) is set forth in 
Sec. 140.108, appendix H.
---------------------------------------------------------------------------

    \2\ The form of the nuclear energy liability insurance policy for 
these licensees will be the subject of pertinent endorsements after 
discussion with the insurance pools.
---------------------------------------------------------------------------

    (2) The form of indemnity agreement to be entered into by the 
Commission with any particular licensee under this subpart shall contain 
such modifications of the applicable form in Sec. Sec. 140.92, 140.93, 
140.107 and 140.108, appendices A, B, C, G and H, as are provided for in 
applicable licenses, regulations or orders of the Commission.
    (3) Each licensee who has executed an indemnity agreement under this 
subpart shall enter into such agreements amending such indemnity 
agreement as are required by applicable licenses, regulations, or orders 
of the Commission.

[42 FR 49, Jan. 3, 1977]



Sec. 140.21  Licensee guarantees of payment of deferred premiums.

    Each licensee required to have and maintain financial protection for 
each nuclear reactor as determined in Sec. 140.11(a)(4) shall at the 
issuance of the license and annually, on the anniversary of the date on 
which the indemnity agreement is effective, provide evidence to the 
Commission that it maintains one of the following types of guarantee of 
payment of deferred premiums in an amount of $10 million for each 
reactor he is licensed to operate:
    (a) Surety bond,
    (b) Letter of credit,
    (c) Revolving credit/term loan arrangement,
    (d) Maintenance of escrow deposits of government securities,
    (e) Annual certified financial statement showing either that a cash 
flow (i.e., cash available to a company after all operating expenses, 
taxes, interest charges, and dividends have been paid) can be generated 
and would be available for payment of retrospective premiums within 
three (3) months after submission of the statement, or a cash reserve or 
a combination of cash flow and cash reserve, or
    (f) Such other type of guarantee as may be approved by the 
Commission.

[42 FR 50, Jan. 3, 1977]



Sec. 140.22  Commission guarantee and reimbursement agreements.

    Each licensee required to have and maintain financial protection for 
each nuclear reactor as determined in Sec. 140.11(a)(4) shall execute an 
indemnity agreement with the Commission that provides for the payment by 
the Commission of deferred premiums not paid by the licensee and 
reimbursement of the Commission by the licensee. The general forms of 
agreement to be entered into by the Committee and licensees are set 
forth in Sec. 140.92, appendix B and Sec. 140.93, appendix C.

[42 FR 50, Jan. 3, 1977]



        Subpart C--Provisions Applicable Only to Federal Agencies



Sec. 140.51  Scope.

    This subpart applies only to persons found by the Commission to be 
Federal agencies, which have applied for or are holders of licenses 
issued pursuant to part 50 of this chapter authorizing operation of 
nuclear reactors.

    Note: Federal agencies are not required to furnish financial 
protection.



Sec. 140.52  Indemnity agreements.

    (a) The Commission will execute and issue agreements of indemnity 
with each Federal agency subject to this subpart pursuant to the 
regulations in this part or such other regulations as may be issued by 
the Commission. Such agreements, as to any licensee, shall be effective 
on:
    (1) The effective date of the license (issued pursuant to part 50 of 
this chapter) authorizing the licensee to operate the nuclear reactor 
involved; or
    (2) The effective date of the license (issued pursuant to part 70 of 
this chapter) authorizing the licensee to possess and store special 
nuclear material at the site of the nuclear reactor for use

[[Page 630]]

as fuel in operation of the nuclear reactor after issuance of an 
operating license for the reactor, whichever is earlier. No such 
agreement, however, shall be effective prior to September 26, 1957.
    (b)(1) The general form of indemnity agreement to be entered into 
with licensees subject to this subpart is contained in Sec. 140.94 
appendix D.
    (2) The form of indemnity agreement to be entered into by the 
Commission with any particular licensee under this subpart shall contain 
such modifications of the form in Sec. 140.94, as are provided for in 
applicable licenses, regulations or orders of the Commission.
    (3) Each licensee who has executed an indemnity agreement under this 
subpart shall enter into such agreements amending such indemnity 
agreement as are required by applicable licenses, regulations or orders 
of the Commission.

[27 FR 2885, Mar. 29, 1962, as amended at 33 FR 15999, Oct. 31, 1968]



     Subpart D--Provisions Applicable Only to Nonprofit Educational 
                              Institutions



Sec. 140.71  Scope.

    This subpart applies only to applicants for and holders of licenses 
issued for the conduct of educational activities to persons found by the 
Commission to be nonprofit educational institutions, except that this 
subpart does not apply to Federal agencies.

    Note: Financial protection is not required with respect to licenses 
issued for the conduct of educational activities to persons found by the 
Commission to be non-profit educational institutions.



Sec. 140.72  Indemnity agreements.

    (a) The Commission will execute and issue agreements of indemnity 
with each non-profit educational institution subject to this subpart 
pursuant to the regulations in this part or such other regulations as 
may be issued by the Commission. Such agreements, as to any licensee, 
shall be effective on:
    (1) The effective date of the license (issued pursuant to part 50 of 
this chapter) authorizing the licensee to operate the nuclear reactor 
involved; or
    (2) The effective date of the license (issued pursuant to part 70 of 
this chapter) authorizing the licensee to possess and store special 
nuclear material at the site of the nuclear reactor for use as fuel in 
operation of the nuclear reactor after issuance of an operating license 
for the reactor, whichever is earlier. No such agreement, however, shall 
be effective prior to September 26, 1957.
    (b)(1) The general form of indemnity agreement to be entered into 
with licensees subject to this subpart is contained in Sec. 140.95 
appendix E.
    (2) The form of indemnity agreement to be entered into by the 
Commission with any particular licensee under this subpart shall contain 
such modifications of the form in Sec. 140.95 appendix E, as are 
provided for in applicable licenses, regulations or orders of the 
Commission.
    (3) Each licensee who has executed an indemnity agreement under this 
subpart shall enter into such agreements amending such indemnity 
agreement as are required by applicable licenses, regulations or orders 
of the Commission.

[27 FR 2885, Mar. 29, 1962, as amended at 33 FR 15999, Oct. 31, 1968]



              Subpart E--Extraordinary Nuclear Occurrences



Sec. 140.81  Scope and purpose.

    (a) Scope. This subpart applies to applicants for and holders of 
licenses authorizing operation of production facilities and utilization 
facilities, and to other persons indemnified with respect to such 
facilities.
    (b) Purpose. One purpose of this subpart is to set forth the 
criteria which the Commission proposes to follow in order to determine 
whether there has been an ``extraordinary nuclear occurrence.'' The 
other purpose is to establish the conditions of the waivers of defenses 
proposed for incorporation in indemnity agreements and insurance 
policies or contracts furnished as proof of financial protection.
    (1) The system is to come into effect only where the discharge or 
dispersal constitutes a substantial amount of source, special nuclear or 
byproduct

[[Page 631]]

material, or has caused substantial radiation levels offsite. The 
various limits in present NRC regulations are not appropriate for direct 
application in the determination of an ``extraordinary nuclear 
occurrence,'' for they were arrived at with other purposes in mind, and 
those limits have been set at a level which is conservatively arrived at 
by incorporating a significant safety factor. Thus, a discharge or 
dispersal which exceeds the limits in NRC regulations, or in license 
conditions, although possible cause for concern, is not one which would 
be expected to cause substantial injury or damage unless it exceeds by 
some significant multiple the appropriate regulatory limit. Accordingly, 
in arriving at the values in the criteria to be deemed ``substantial'' 
it is more appropriate to adopt values separate from NRC health and 
safety regulations, and, of course, the selection of these values will 
not in any way affect such regulations. A substantial discharge, for 
purposes of the criteria, represents a perturbation of the environment 
which is clearly above that which could be anticipated from the conduct 
of normal activities. The criteria are intended solely for the purposes 
of administration of the Commission's statutory responsibilities under 
Pub. L. 89-645, and are not intended to indicate a level of discharge or 
dispersal at which damage to persons or property necessarily will occur, 
or a level at which damage is likely to occur, or even a level at which 
some type of protective action is indicated. It should be clearly 
understood that the criteria in no way establish or indicate that there 
is a specific threshold of exposure at which biological damage from 
radiation will take place. It cannot be emphasized too frequently that 
the levels set to be used as criteria for the first part of the 
determination, that is, the criteria for amounts offsite or radiation 
levels offsite which are substantial, are not meant to indicate that, 
because such amounts or levels are determined to be substantial for 
purposes of administration, they are ``substantial'' in terms of their 
propensity for causing injury or damage.
    (2) It is the purpose of the second part of the determination that 
the Commission decide whether there have in fact been or will probably 
be substantial damages to persons offsite or property offsite. The 
criteria for substantial damages were formulated, and the numerical 
values selected, on a wholly different basis from that on which the 
criteria used for the first part of the determination with respect to 
substantial discharge were derived. The only interrelation between the 
values selected for the discharge criteria and the damage criteria is 
that the discharge values are set so low that it is extremely unlikely 
the damage criteria could be satisfied unless the discharge values have 
been exceeded.
    (3) The first part of the test is designed so that the Commission 
can assure itself that something exceptional has occurred; that 
something untoward and unexpected has in fact taken place and that this 
event is of sufficient significance to raise the possibility that some 
damage to persons or property offsite has resulted or may result. If 
there appears to be no damage, the waivers will not apply because the 
Commission will be unable, under the second part of the test, to make a 
determination that ``substantial damages'' have resulted or will 
probably result. If damages have resulted or will probably result, they 
could vary from de minimis to serious, and the waivers will not apply 
until the damages, both actual and probable, are determined to be 
``substantial'' within the second part of the test.
    (4) The presence or absence of an extraordinary nuclear occurrence 
determination does not concomitantly determine whether or not a 
particular claimant will recover on his claim. In effect, it is intended 
primarily to determine whether certain potential obstacles to recovery 
are to be removed from the route the claimant would ordinarily follow to 
seek compensation for his injury or damage. If there has not been an 
extraordinary nuclear occurrence determination, the claimant must 
proceed (in the absence of settlement) with a tort action subject to 
whatever issues must be met, and whatever defenses are available to the 
defendant, under the law applicable in the relevant jurisdiction. If 
there has been an extraordinary nuclear occurrence determination, the 
claimant

[[Page 632]]

must still proceed (in the absence of settlement) with a tort action, 
but the claimant's burden is substantially eased by the elimination of 
certain issues which may be involved and certain defenses which may be 
available to the defendant. In either case the defendant may defend with 
respect to such of the following matters as are in issue in any given 
claim: The nature of the claimant's alleged damages, the causal 
relationship between the event and the alleged damages, and the amount 
of the alleged damages.

[33 FR 15999, Oct. 31, 1968, as amended at 40 FR 8793, Mar. 3, 1975]



Sec. 140.82  Procedures.

    (a) The Commission may initiate, on its own motion, the making of a 
determination as to whether or not there has been an extraordinary 
nuclear occurrence. In the event the Commission does not so initiate the 
making of a determination, any affected person, or any licensee or 
person with whom an indemnity agreement is executed or a person 
providing financial protection may petition the Commission for a 
determination of whether or not there has been an extraordinary nuclear 
occurrence. If the Commission does not have, or does not expect to have, 
within 7 days after it has received notification of an alleged event, 
enough information available to make a determination that there has been 
an extraordinary nuclear occurrence, the Commission will publish a 
notice in the Federal Register setting forth the date and place of the 
alleged event and requesting any persons having knowledge thereof to 
submit their information to the Commission.
    (b) When a procedure is initiated under paragraph (a) of this 
section, the Commission will designate members of the principal staff to 
begin immediately to assemble the relevant information and prepare a 
report on which the Commission can make its determination.

[33 FR 15999, Oct. 31, 1968, as amended at 40 FR 8794, Mar. 3, 1975]



Sec. 140.83  Determination of extraordinary nuclear occurrence.

    If the Commission determines that both of the criteria set forth in 
Secs. 140.84 and 140.85 have been met, it will make the determination 
that there has been an extraordinary nuclear occurrence. If the 
Commission publishes a notice in the Federal Register in accordance with 
Sec. 140.82(a) and does not make a determination within 90 days 
thereafter that there has been an extraordinary nuclear occurrence, the 
alleged event will be deemed not to be an extraordinary nuclear 
occurrence. The time for the making of a determination may be extended 
by the Commission by notice published in the Federal Register.

[33 FR 15999, Oct. 31, 1968]



Sec. 140.84  Criterion I--Substantial discharge of radioactive material or substantial radiation levels offsite.

    The Commission will determine that there has been a substantial 
discharge or dispersal of radioactive material offsite, or that there 
have been substantial levels of radiation offsite, when, as a result of 
an event comprised of one or more related happenings, radioactive 
material is released from its intended place of confinement or radiation 
levels occur offsite and either of the following findings are also made:
    (a) The Commission finds that one or more persons offsite were, 
could have been, or might be exposed to radiation or to radioactive 
material, resulting in a dose or in a projected dose in excess of one of 
the levels in the following table:

                     Total Projected Radiation Doses
------------------------------------------------------------------------
                       Critical organ                        Dose (rems)
------------------------------------------------------------------------
Thyroid....................................................           30
Whole body.................................................           20
Bone marrow................................................           20
Skin.......................................................           60
Other organs or tissues....................................           30
------------------------------------------------------------------------


Exposures from the following types of sources of radiation shall be 
included:
    (1) Radiation from sources external to the body;

[[Page 633]]

    (2) Radioactive material that may be taken into the body from its 
occurrence in air or water; and
    (3) Radioactive material that may be taken into the body from its 
occurrence in food or on terrestrial surfaces.
    (b) The Commission finds that:
    (1) Surface contamination of at least a total of any 100 square 
meters of offsite property has occurred as the result of a release of 
radioactive material from a production or utilization facility and such 
contamination is characterized by levels of radiation in excess of one 
of the values listed in Column 1 or Column 2 of the following table, or
    (2) Surface contamination of any offsite property has occurred as 
the result of a release of radioactive material in the course of 
transportation and such contamination is characterized by levels of 
radiation in excess of one of the values listed in column 2 of the 
following table:

                 Total Surface Contamination Levels \1\
------------------------------------------------------------------------
                                   Column 1 Offsite
                                       property,
                                     contiguous to
                                    site, owned or
         Type of emitter           leased by person     Column 2 Other
                                     with whom an      offsite property
                                       indemnity
                                     agreement is
                                       executed
------------------------------------------------------------------------
Alpha emission from transuranic   3.5 microcuries     0.35 microcuries
 isotopes.                         per square meter.   per square meter.
Alpha emission from isotopes      35 microcuries per  3.5 microcuries
 other than transuranic isotopes.  square meter.       per square meter.
Beta or gamma mission...........  40 millirads/hour   4 millirads/hour @
                                   @ 1 cm.\2\.         1 cm.\2\
------------------------------------------------------------------------
\1\ The maximum levels (above background), observed or projected, 8 or
  more hours after initial deposition.
\2\ Measured through not more than 7 milligrams per square centimeter of
  total absorber.


[33 FR 15999, Oct. 31, 1968, as amended at 40 FR 8794, Mar. 3, 1975]



Sec. 140.85  Criterion II--Substantial damages to persons offsite or property offsite.

    (a) After the Commission has determined that an event has satisfied 
Criterion I, the Commission will determine that the event has resulted 
or will probably result in substantial damages to persons offsite or 
property offsite if any of the following findings are made:
    (1) The Commission finds that such event has resulted in the death 
or hospitalization, within 30 days of the event, of five or more people 
located offsite showing objective clinical evidence of physical injury 
from exposure to the radioactive, toxic, explosive, or other hazardous 
properties of source, special nuclear, or byproduct material; or
    (2) The Commission finds that $2,500,000 or more of damage offsite 
has been or will probably be sustained by any one person, or $5 million 
or more of such damage in the aggregate has been or will probably be 
sustained, as the result of such event; or
    (3) The Commission finds that $5,000 or more of damage offsite has 
been or will probably be sustained by each of 50 or more persons, 
provided that $1 million or more of such damage in the aggregate has 
been or will probably be sustained, as the result of such event.
    (b) As used in paragraphs (a) (2) and (3) of this section, 
``damage'' shall be that arising out of or resulting from the 
radioactive, toxic, explosive, or other hazardous properties of source, 
special nuclear, or byproduct material, and shall be based upon 
estimates of one or more of the following:
    (1) Total cost necessary to put affected property back into use,
    (2) Loss of use of affected property,
    (3) Value of affected property where not practical to restore to 
use,
    (4) Financial loss resulting from protective actions appropriate to 
reduce or avoid exposure to radiation or to radioactive materials.

[33 FR 15999, Oct. 31, 1968]



                          Subpart F--Violations



Sec. 140.87  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--

[[Page 634]]

    (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 55080, Nov. 24, 1992]



Sec. 140.89  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 140 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 140 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 140.1, 140.2, 140.3, 140.4, 140.5, 140.7, 140.8, 140.9, 140.9a, 
140.10, 140.14, 140.16, 140.18, 140.19, 140.20, 140.51, 140.52, 140.71, 
140.72, 140.81, 140.82, 140.83, 140.84, 140.85, 140.87, 140.89, 140.91, 
140.92, 140.93, 140.94, 140.95, 140.96, 140.107, 140.108, and 140.109.

[57 FR 55080, Nov. 24, 1992]

                         Appendices to Part 140



Sec. 140.91  Appendix A--Form of nuclear energy liability policy for facilities.

    While the text of the policy which follows is exemplary of a 
contract acceptable to the Commission as evidence of the financial 
protection required of the licensee by section 170 of the Atomic Energy 
Act of 1954, as amended, variations on this text submitted by the 
licensee also will be considered by the Commission in determining 
whether the licensee meets the financial protection requirements of the 
Act. The full text of the policy is published solely for the purpose of 
completeness. Publication of this text should not be construed as a 
Commission endorsement of any particular provision pertaining solely to 
the business relationship between the insurers and the insureds or to 
any other matter not within the Commission's statutory jurisdiction 
under the Atomic Energy Act.

                     Nuclear Energy Liability Policy

                             (Facility Form)

    The undersigned members of ----------, hereinafter called the 
``companies,'' each for itself, severally and not jointly, and in the 
respective proportions hereinafter set forth, agree with the insured, 
named in the declarations made a part hereof, in consideration of the 
premium and in reliance upon the statements in the declarations and 
subject to the limit of liability, exclusions, conditions and other 
terms of this policy;

                           insuring agreements

    I. Coverage A--Bodily injury and property damage liability. To pay 
on behalf of the insured:
    (1) All sums which the insured shall become legally obligated to pay 
as damages because of bodily injury or property damage caused by the 
nuclear energy hazard, and the companies shall defend any suit against 
the insured alleging such bodily injury or property damage and seeking 
damages which are payable under the terms of this policy; but the 
companies may make such investigation, negotiation and settlement of any 
claim or suit as they deem expedient;
    (2) Costs taxed against the insured in any such suit and interest on 
any judgment therein;
    (3) Premiums on appeal bonds and on bonds to release attachments in 
any such suit, but without obligation to apply for or furnish such 
bonds;
    (4) Reasonable expenses, other than loss of earnings, incurred by 
the insured at the companies' request.
    Coverage B--Damage to property of an insured away from the facility. 
With respect to property damage caused by the nuclear energy hazard to 
property of an insured which is away from the facility, to pay to such 
insured those sums which such insured would have been legally obligated 
to pay as damages therefor, had such property belonged to another.
    Coverage C--Subrogation--Offsite employees. With respect to bodily 
injury sustained by any employee of an insured and caused by the nuclear 
energy hazard, to pay to the workmen's compensation carrier of such 
insured all sums which such carrier would have been entitled to recover 
and retain as damages from another person or organization, had such 
person or organization alone been legally responsible for such bodily 
injury, by reason of the rights acquired by subrogation

[[Page 635]]

by the payment of the benefits required of such carrier under the 
applicable workmen's compensation or occupational disease law. An 
employer who is a duly qualified self-insurer under such law shall be 
deemed to be a workmen's compensation carrier within the meaning of this 
coverage. This Coverage C does not apply to bodily injury sustained by 
any person who is employed at and in connection with the facility. This 
Coverage C shall not constitute workmen's compensation insurance as 
required under the laws of any state.
    II. Definition of insured. The unqualified word insured includes (a) 
the named insured and (b) any other person or organization with respect 
to his legal responsibility for damages because of bodily injury or 
property damage caused by the nuclear energy hazard.
    Subdivision (b) above does not include as an insured the United 
States of America or any of its agencies.
    Subject to Condition 3 and the other provisions of this policy, the 
insurance applies separately to each insured against whom claim is made 
or suit is brought.
    III. Definitions. Wherever used in this policy:
    Bodily injury means bodily injury, sickness or disease, including 
death resulting therefrom, sustained by any person;
    Property damage means physical injury to or destruction or 
radioactive contamination of property, and loss of use of property so 
injured, destroyed or contaminated, and loss of use of property while 
evacuated or withdrawn from use because possibly so contaminated or 
because of imminent danger of such contamination;
    Nuclear material means source material, special nuclear material or 
byproduct material;
    Source material, special nuclear material, and byproduct material 
have the meanings given them in the Atomic Energy Act of 1954, or in any 
law amendatory thereof;
    Spent fuel means any fuel element or fuel component, solid or 
liquid, which has been used or exposed to radiation in any nuclear 
reactor;
    Waste means any waste material (1) containing byproduct material and 
(2) resulting from the operation by any person or organization of any 
nuclear facility included within the definition of nuclear facility 
under paragraph (1) or (2) thereof;
    The facility means the facility described in the declarations and 
includes the location designated in Item 3 of the declarations and all 
property and operations at such location;
    Nuclear facility means the facility as defined in any Nuclear Energy 
Liability Policy (Facility Form) issued by the companies or by --------
--------------------------.
The term nuclear facility also means
    (1) Any nuclear reactor,
    (2) Any equipment or device designed or used for (a) separating the 
isotopes of uranium or plutonium, (b) processing or utilizing spent 
fuel, or (c) handling, processing or packaging waste,
    (3) Any equipment or device used for the processing, fabricating or 
alloying of special nuclear material if at any time the total amount of 
such material in the custody of the insured at the premises where such 
equipment or device is located consists of or contains more than 25 
grams of plutonium or uranium-233 or any combination thereof, or more 
than 250 grams of uranium-235,
    (4) Any structure, basin, excavation, premises or place prepared or 
used for the storage or disposal of waste, and includes the site on 
which any of the foregoing is located, all operations conducted on such 
site and all premises used for such operations;
    Indemnified nuclear facility means
    (1) The facility as defined in any Nuclear Energy Liability Policy 
(Facility Form) issued by the companies or by --------------------------
--------------------,
    (2) Any other nuclear facility,

if financial protection is required pursuant to the Atomic Energy Act of 
1954, or any law amendatory thereof, with respect to any activities or 
operations conducted thereat;
    Nuclear reactor means any apparatus designed or used to sustain 
nuclear fission in a self-supporting chain reaction or to contain a 
critical mass of fissionable material;
    Nuclear energy hazard means the radioactive, toxic, explosive or 
other hazardous properties of nuclear material, but only if:
    (1) The nuclear material is at the facility or has been discharged 
or dispersed therefrom without intent to relinquish possession or 
custody thereof to any person or organization, or
    (2) The nuclear material is in an insured shipment which is (a) in 
the course of transportation, including handling and temporary storage 
incidental thereto, within the territorial limits of the United States 
of America, its territories or possessions, Puerto Rico or the Canal 
Zone and (b) away from any other nuclear facility;
    Insured shipment means a shipment of source material, special 
nuclear material, spent fuel of waste, herein called material, (1) to 
the facility from a nuclear facility owned by the United States of 
America, but only if the transportation of the material is not by 
predetermination to be interrupted by the removal of the material from a 
transporting conveyance for any purpose other than the continuation of 
its transportation, or (2) from the facility to any other location 
except an indemnified nuclear facility, but only until the material is 
removed from a transporting conveyance for any purpose other than the 
continuation of its transportation.

[[Page 636]]

    IV. Application of policy. This policy applies only to bodily injury 
or property damage (1) which is caused during the policy period by the 
nuclear energy hazard and (2) which is discovered and for which written 
claim is made against the insured, not later than two years after the 
end of the policy period.

                               Exclusions

    This policy does not apply:
    (a) To any obligation for which the insured or any carrier as his 
insurer may be held liable under any workmen's compensation, 
unemployment compensation or disability benefits law, or under any 
similar law;
    (b) Except with respect to liability of another assumed by the 
insured under contract, to bodily injury to any employee of the insured 
arising out of and in the course of his employment by the insured; but 
this exclusion does not apply to bodily injury to any person who is not 
employed at and in connection with the facility if the insured has 
complied with the requirements of the applicable workmen's compensation 
or occupational disease law respecting the securing of compensation 
benefits thereunder to his employees;
    (c) To liability assumed by the insured under contract, other than 
an assumption in a contract with another of the liability of any person 
or organization which would be imposed by law on such person or 
organization in the absence of an express assumption of liability;
    (d) To bodily injury or property damage due to the manufacturing, 
handling or use at the location designated in Item 3 of the 
declarations, in time of peace or war, of any nuclear weapon or other 
instrument of war utilizing special nuclear material or byproduct 
material;
    (e) To bodily injury or property damage due to war, whether or not 
declared, civil war, insurrection, rebellion or revolution, or to any 
act or conditions incident to any of the foregoing;
    (f) To property damage to any property at the location designated in 
Item 3 of the declarations, other than aircraft, watercraft or vehicles 
licensed for highway use, provided such aircraft, watercraft or vehicles 
are not used in connection with the operation of the facility;
    (g) To property damage to nuclear material in the course of 
transportation to or from the facility including handling or storage 
incidental thereto;
    (h) Under Coverage B, to property damage due to neglect of the 
insured to use all reasonable means to save and preserve the property 
after knowledge of the occurrence resulting in such property damage.

                               Conditions

    1. Premium--(1) Definitions. With reference to the premium for this 
policy: advance premium, for any calendar year, is the estimated 
standard premium for that calendar year;
    Standard premium, for any calendar year, is the premium for that 
calendar year computed in accordance with the companies' rules, rates, 
rating plans (other than the Industry Credit Rating Plan), premiums and 
minimum premiums applicable to this insurance;
    Reserve premium means that portion of the standard premium paid to 
the companies and specifically allocated under the Industry Credit 
Rating Plan for incurred losses. The amount of the reserve premium for 
this policy for any calendar year during which this policy is in force 
is the amount designated as such in the Standard Premium Endorsement for 
that calendar year;
    Industry reserve premium, for any calendar year, is the sum of the 
reserve premiums for that calendar year for all Nuclear Energy Liability 
Policies issued by the Nuclear Energy Liability Insurance Association 
and Mutual Atomic Energy Liability Underwriters and subject to the 
Industry Credit Rating Plan;
    Policy refund ratio, for any calendar year, is the ratio of the 
named insured's reserve premium for that calendar year to the industry 
reserve premium for that calendar year;
    Incurred losses means the sum of:
    (1) All losses and expenses by Nuclear Energy Liability Insurance 
Association and Mutual Atomic Energy Liability Underwriters, and
    (2) All reserves for unpaid losses and expenses as estimated by 
Nuclear Energy Liability Insurance Association and Mutual Atomic Energy 
Liability Underwriters because of obligations assumed and the expenses 
incurred in connection with such obligations by members of Nuclear 
Energy Liability Insurance Association and Mutual Atomic Energy 
Liability Underwriters under all Nuclear Energy Liability Policies 
issued by Nuclear Energy Liability Insurance Association and Mutual 
Atomic Energy Liability Underwriters and subject to the Industry Credit 
Rating Plan;
    Reserve for refunds, at the end of any calendar year, is the amount 
by which (1) the sum of all industry reserve premiums for the period 
from January 1, 1957 through the end of such calendar year exceeds (2) 
the total for the same period of (a) all incurred losses, valued as of 
the next following July 1, and (b) all reserve premium refunds made 
under the Industry Credit Rating Plan by members of Nuclear Energy 
Liability Insurance Association and Mutual Atomic Energy Liability 
Underwriters;
    Industry reserve premium refund, for any calendar year, is 
determined by multiplying the reserve for refunds at the end of the 
ninth

[[Page 637]]

calendar year thereafter by the ratio of the industry reserve premium 
for the calendar year for which the premium refund is being determined 
to the sum of such amount and the total industry reserve premiums for 
the next nine calendar years thereafter, provided that the industry 
reserve premium refund for any calendar year shall in no event be 
greater than the industry reserve premium for such calendar year.
    (2) Payment of advance and standard premiums. The named insured 
shall pay the companies the advance premium stated in the declarations, 
for the period from the effective date of this policy through December 
31 following. Thereafter, at the beginning of each calendar year while 
this policy is in force, the named insured shall pay the advance premium 
for such year to the companies. The advance premium for each calendar 
year shall be stated in the Advance Premium Endorsement for such 
calendar year issued to the named insured as soon as practicable prior 
to or after the beginning of such year.
    As soon as practicable after each December 31 and after the 
termination of this policy, the standard premium for the preceding 
calendar year shall be finally determined and stated in the Standard 
Premium Endorsement for that calendar year. If the standard premium so 
determined exceeds the advance premium previously paid for such calendar 
year, the named insured shall pay the excess to the companies; if less, 
the companies shall return to the named insured the excess portion paid 
by such insured.
    The named insured shall maintain records of the information 
necessary for premium computation and shall send copies of such records 
to the companies as directed, at the end of each calendar year, at the 
end of the policy period and at such other times during the policy 
period as the companies may direct.
    (3) Use of reserve premiums. All reserve premiums paid or payable 
for this policy may be used by the members of Nuclear Energy Liability 
Insurance Association or Mutual Atomic Energy Liability Underwriters to 
discharge their obligations with respect to incurred losses whether such 
losses are incurred under this policy or under any other policy issued 
by the Nuclear Energy Liability Insurance Association or Mutual Atomic 
Energy Liability Underwriters.
    (4) Reserve premium refunds. A portion of the reserve premium for 
this policy for the first calendar year of any group of ten consecutive 
calendar years shall be returnable to the named insured provided there 
is a reserve for refunds at the end of the tenth calendar year.
    (5) Computation of reserve premium refunds. The reserve premium 
refund due the named insured for any calendar year shall be determined 
by multiplying any industry reserve premium refund for such calendar 
year by the policy refund ratio for such calendar year. The reserve 
premium refund for any calendar year shall be finally determined as soon 
as practicable after July 1 of the tenth calendar year thereafter.
    (6) Final premium. The final premium for this policy shall be the 
sum of the standard premiums for each calendar year, or portion thereof, 
during which this policy remains in force less the sum of all refunds of 
reserve premiums due the named insured under the provisions of this 
Condition 1.
    (7) Reserve premium refund agreement. Each member of Nuclear Energy 
Liability Insurance Association or Mutual Atomic Energy Liability 
Underwriters subscribing this policy for any calendar year, or portion 
thereof, thereby agrees for itself, severally and not jointly, and in 
the respective proportion of its liability assumed under this policy for 
that calendar year, to return to the named insured that portion of any 
reserve premium refund due the named insured for that calendar year, 
determined in accordance with the provisions of this Condition 1.
    2. Inspection; suspension. The companies shall be permitted to 
inspect the facility and to examine the insured's books and records at 
any time, as far as they relate to the subject-matter of this insurance.
    If a representative of the companies discovers a condition which he 
believes to be unduly dangerous with respect to the nuclear energy 
hazard, a representative of the companies may request that such 
condition be corrected without delay. In the event of noncompliance with 
such request, a representative of the companies may, by notice to the 
named insured, to any other person or organization considered by the 
companies to be responsible for the continuance of such dangerous 
condition, and to the United States Atomic Energy Commission, suspend 
the insurance with respect to the named insured and such other person or 
organization effective 12:00 midnight of the next business day of such 
Commission following the date that such Commission receives such notice. 
The period of such suspension shall terminate as of the time stated in a 
written notice from the companies to the named insured and to each such 
person or organization that such condition has been corrected.
    3. Limit of liability; termination of policy upon exhaustion of 
limit. Regardless of the number of persons and organizations who are 
insureds under this policy, and regardless of the number of claims made 
and suits brought against any or all insureds because of one or more 
occurrences resulting in bodily injury or property damage caused during 
the policy period by the nuclear energy hazard, the limit of the 
companies' liability stated in the declarations is the total liability 
of the companies for their obligations under this

[[Page 638]]

policy and the expenses incurred by the companies in connection with 
such obligations, including.
    (a) Payments in settlement of claims and in satisfaction of 
judgments against the insureds for damages because of bodily injury or 
property damage, payments made under parts (2), (3) and (4) of Coverage 
A and payments made in settlement of claims under Coverages B and C;
    (b) Payments for expenses incurred in the investigation, 
negotiation, settlement and defense of any claim or suit, including, but 
not limited to, the cost of such services by salaried employees of the 
companies, fees and expenses of independent adjusters, attorneys' fees 
and disbursements, expenses for expert testimony, inspection and 
appraisal of property, examination, X-ray or autopsy or medical expenses 
of any kind;
    (c) Payments for expenses incurred by the companies in investigating 
an occurrence resulting in bodily injury or property damage or in 
minimizing its effects.

Each payment made by the companies in discharge of their obligations 
under this policy or for expenses incurred in connection with such 
obligations shall reduce by the amount of such payment the limit of the 
companies' liability under this policy.
    If, during the policy period or subsequent thereto, the total of 
such payments made by the companies shall exhaust the limit of the 
companies' liability under this policy, all liability and obligations of 
the companies under this policy shall thereupon terminate and shall be 
conclusively presumed to have been discharged. This policy, if not 
theretofore canceled, shall thereupon automatically terminate.
    Regardless of the number of years this policy shall continue in 
force and the number of premiums which shall be payable or paid, the 
limit of the companies' liability stated in the declarations shall not 
be cumulative from year to year.
    4. Limitation of liability; common occurrence. Any occurrence or 
series of occurrences resulting in bodily injury or property damage 
arising out of the radioactive, toxic, explosive or other hazardous 
properties of
    (a) Nuclear material discharged or dispersed from the facility over 
a period of days, weeks, months or longer and also arising out of such 
properties of other nuclear material so discharged or dispersed from one 
or more other nuclear facilities insured by the companies under a 
Nuclear Energy Liability Policy (Facility Form), or
    (b) Source material, special nuclear material, spent fuel or waste 
in the course of transportation for which insurance is afforded under 
this policy and also arising out of such properties of other source 
material, special nuclear material, spent fuel or waste in the course of 
transportation for which insurance is afforded under one or more other 
Nuclear Energy Liability Policies (Facility Form) issued by the 
companies, shall be deemed to be a common occurrence resulting in bodily 
injury or property damage caused by the nuclear energy hazard.
    With respect to such bodily injury and property damage (1) the total 
aggregate liability of the companies under all Nuclear Energy Liability 
Policies (Facility Form), including this policy, applicable to such 
common occurrence shall be the sum of the limits of liability of all 
such policies, the limit of liability of each such policy being as 
determined by Condition 3 thereof, but in no event shall such total 
aggregate liability of the companies exceed $ --------;\1\ (2) the total 
liability of the companies under this policy shall not exceed that 
proportion of the total aggregate liability of the companies, as stated 
in clause (1) above, which (a) the limit of liability of this policy, as 
determined by Condition 3, bears to (b) the sum of the limits of 
liability of all such policies issued by the companies, the limit of 
liability of each such policy being as determined by Condition 3, 
thereof.
---------------------------------------------------------------------------

    \1\ For policies issued by Nuclear Energy Liability-Property 
Insurance Association the amount will be ``$124,000,000,'' for policies 
issued by Mutual Atomic Energy Liability Underwriters, the amount will 
be ``$36,000,000.''
---------------------------------------------------------------------------

    The provisions of this condition shall not operate to increase the 
limit of the companies' liability under this policy.
    5. Notice of occurrence, claim, or suit. In the event of bodily 
injury or property damage to which this policy applies or of an 
occurrence which may give rise to claims therefor, written notice 
containing particulars sufficient to identify the insured and also 
reasonably obtainable information with respect to the time, place and 
circumstances thereof, and the names and addresses of the injured and of 
available witnesses, shall be given by or for the insured to ----------
--or the companies as soon as practicable. If claim is made or suit is 
brought against the insured, he shall immediately forward to ---------- 
or the companies every demand, notice, summons or other process received 
by him or his representative.
    6. Assistance and cooperation of the insured. The insured shall 
cooperate with the companies and, upon the companies' request, attend 
hearings and trials and assist in making settlements, securing and 
giving evidence, obtaining the attendance of witnesses and in the 
conduct of any legal proceedings in connection with the subject matter 
of this insurance. The insured shall not, except at his own cost, make 
any payment, assume any obligation or incur any expense.

[[Page 639]]

    7. Action against companies--Coverages A and C. No action shall lie 
against the companies or any of them unless, as a condition precedent 
thereto, the insured shall have fully complied with all the terms of 
this policy, nor until the amount of the insured's obligation to pay 
shall have been finally determined either by judgment against the 
insured after actual trial or by written agreement of the insured, the 
claimant and the companies.
    Any person or organization or the legal representative thereof who 
has secured such judgment or written agreement shall thereafter be 
entitled to recover under this policy to the extent of the insurance 
afforded by this policy. No person or organization shall have any right 
under this policy to join the companies or any of them as parties to any 
action against the insured to determine the insured's liability, nor 
shall the companies or any of them be impleaded by the insured or his 
legal representative. Bankruptcy or insolvency of the insured or of the 
insured's estate shall not relieve the companies of any of their 
obligations hereunder.
    8. Action against companies--Coverage B. No suit or action on this 
policy for the recovery of any claim for property damage to which 
Coverage B applies shall be sustainable in any court of law or equity 
unless all the requirements of this policy shall have been complied with 
and unless commenced within two years after the occurrence resulting in 
such property damage.
    9. Insured's duties when loss occurs--Coverage B. In the event of 
property damage to which Coverage B applies, the insured shall furnish a 
complete inventory of the property damage claimed, showing in detail the 
amount thereof. Within ninety-one days after the occurrence resulting in 
such property damage, unless such time is extended in writing by the 
companies, the insured shall render to the companies a proof of loss, 
signed and sworn to by the insured, stating the knowledge and belief of 
the insured as to the following: identification of such occurrence; the 
interest of the insured in the property destroyed or damaged, and the 
amount of each item of property damage claimed; all encumbrances on such 
property; and all other contracts of insurance, whether valid or not, 
covering any of such property. The insured shall include in the proof of 
loss a copy of all descriptions and schedules in all policies. Upon the 
companies' request, the insured shall furnish verified plans and 
specifications of any such property. The insured, as often as may be 
reasonably required, shall exhibit to any person designated by the 
companies any of such property, and submit to examinations under oath by 
any person named by the companies and subscribe the same; and, as often 
as may be reasonably required, shall produce for examination all books 
of account, records, bills, invoices and other vouchers, or certified 
copies thereof if originals be lost, at such reasonable time and place 
as may be designated by the companies or their representatives, and 
shall permit extracts and copies thereof to be made.
    10. Appraisal--Coverage B. In case the insured and the companies 
shall fail to agree as to the amount of property damage, then, on the 
written demand of either, each shall select a competent and 
disinterested appraiser and notify the other of the appraiser selected 
within twenty days of such demand. The appraisers shall first select a 
competent and disinterested umpire and, failing for fifteen days to 
agree upon such umpire, then, on request of the insured or the 
companies, such umpire shall be selected by a judge of a court of record 
in the state in which the property is located. The appraisers shall then 
appraise each item of property damage and, failing to agree, shall 
submit their differences only to the umpire. An award in writing, so 
itemized, of any two when filed with the companies shall determine the 
amount of property damage. Each appraiser shall be paid by the party 
selecting him and the expenses of the appraisal and umpire shall be paid 
by the parties equally. The companies shall not be held to have waived 
any of their rights by any act relating to appraisal.
    11. Subrogation. In the event of any payment under this policy, the 
companies shall be subrogated to all the insured's rights of recovery 
therefor against any person or organization, and the insured shall 
execute and deliver instruments and papers and do whatever else is 
necessary to secure such rights. Prior to knowledge of bodily injury or 
property damage caused by the nuclear energy hazard the insured may 
waive in writing any right or recovery against any person or 
organization, but after such knowledge the insured shall not waive or 
otherwise prejudice any such right of recovery.
    The companies hereby waive any rights of subrogation acquired 
against the United States of America or any of its agencies by reason of 
any payment under this policy.
    The companies do not relinquish, by the foregoing provisions, any 
right to restitution from the insured out of any recoveries made by the 
insured on account of a loss covered by this policy of any amounts to 
which the companies would be entitled had such provisions, or any of 
them, not been included in this policy.
    12. Other insurance. If the insurance afforded by this policy for 
loss or expense is concurrent with insurance afforded for such loss or 
expense by a Nuclear Energy Liability Policy (Facility Form) issued to 
the named insured by ---------- hereinafter called ``concurrent 
insurance,'' the companies shall not be liable under this policy for a 
greater proportion of such loss or expense

[[Page 640]]

than the limit of liability stated in the declarations of this policy 
bears to the sum of such limit and the limit of liability stated in the 
declarations of such concurrent policy.
    If the insured has other valid and collectible insurance (other than 
such concurrent insurance or any other nuclear energy liability 
insurance issued by the companies or ---------- to any person or 
organization) applicable to loss or expense covered by this policy, the 
insurance afforded by this policy shall be excess insurance over such 
other insurance; provided, with respect to any person who is not 
employed at and in connection with the facility, such insurance as is 
afforded by this policy for bodily injury to an employee of the insured 
arising out of and in the course of his employment shall be primary 
insurance under such other insurance.
    13. Changes. Notice to any agent or knowledge possessed by any agent 
or by any other person shall not effect a waiver or a change in any part 
of this policy or stop the companies from asserting any right under the 
terms of this policy; nor shall the terms of this policy be waived or 
changed except by endorsement issued to form a part of this policy 
executed by ---------- on behalf of the companies.
    14. Assignment. Assignment of interest by the named insured shall 
not bind the companies until their consent is endorsed hereon; if, 
however, the named insured shall die or be declared bankrupt or 
insolvent, this policy shall cover such insured's legal representative, 
receiver or trustee as an insured under this policy, but only with 
respect to his liability as such, and then only provided written notice 
of his appointment as legal representative, receiver or trustee is given 
to the companies within ten days after such appointment.
    15. Cancellation. This policy may be canceled by the named insured 
by mailing to the companies and the United States Nuclear Regulatory 
Commission written notice stating when, not less than thirty days 
thereafter, such cancellation shall be effective. This policy may be 
canceled by the companies by mailing to the named insured at the address 
shown in this policy and to the United States Nuclear Regulatory 
Commission written notice stating when, not less than ninety days 
thereafter, such cancellation shall be effective; provided in the event 
of non-payment of premium or if the operator of the facility, as 
designated in the declarations, is replaced by another person or 
organization, this policy may be canceled by the companies by mailing to 
the named insured at the address shown in this policy and to the United 
States Nuclear Regulatory Commission written notice stating when, not 
less than thirty days thereafter, such cancellation shall be effective. 
The mailing of notice as aforesaid shall be sufficient proof of notice. 
The effective date and hour of cancellation stated in the notice shall 
become the end of the policy period. Delivery of such written notice 
either by the named insured or by the companies shall be equivalent to 
mailing.
    Upon termination or cancellation of this policy, other than as of 
the end of December 31 in any year, the earned premium for the period 
this policy has been in force since the preceding December 31 shall be 
computed in accordance with the following provisions:
    (a) If this policy is terminated, pursuant to Condition 3, by reason 
of the exhaustion of the limit of the companies' liability, all premium 
theretofore paid or payable shall be fully earned;
    (b) If the named insured cancels, the earned premium for such period 
shall be computed in accordance with the customary annual short rate 
table and procedure, provided if the named insured cancels after 
knowledge of bodily injury or property damage caused by the nuclear 
energy hazard, all premiums theretofore paid or payable shall be fully 
earned;
    (c) If the companies cancel, the earned premium for such period 
shall be computed pro rata.

Premium adjustment, if any, may be made either at the time cancellation 
is effected or as soon as practicable after cancellation becomes 
effective, but payment or tender of unearned premium is not a condition 
of cancellation.
    16. Company representation. (a) Any notice, sworn statement or proof 
of loss which may be required by the provisions of this policy may be 
given to any one of the companies, and such notice, statement or proof 
of loss so given shall be valid and binding as to all companies.
    (b) In any action or suit against the companies, service of process 
may be made on any one of them, and such service shall be deemed valid 
and binding service on all companies.
    (c) ---------- is the agent of the companies with respect to all 
matters pertaining to this insurance. All notices or other 
communications required by this policy to be given to the companies may 
be given to such agent, at its office at ---------- with the same force 
and effect as if given directly to the companies. Any requests, demands 
or agreements made by such agent shall be deemed to have been made 
directly by the companies.
    17. Authorization of named insured. Except with respect to 
compliance with the obligations imposed on the insured by Conditions 5, 
6, 7, 8, 9, 10 and 11 of this policy, the named insured is authorized to 
act for every other insured in all matters pertaining to this insurance.
    18. Changes in subscribing companies and in their proportionate 
liability. By acceptance of this policy the named insured agrees that 
the members of ---------- liable under this

[[Page 641]]

policy, and the proportionate liability of each such member, may change 
from year to year, and further agrees that regardless of such changes:
    (1) Each company subscribing this policy upon its issuance shall be 
liable only for its stated proportion of any obligation assumed or 
expense incurred under this policy because of bodily injury or property 
damage caused, during the period from the effective date of this policy 
to the close of December 31 next following, by the nuclear energy 
hazard; for each subsequent calendar year, beginning January 1 next 
following the effective date of this policy, the subscribing companies 
and the proportionate liability of each such company shall be stated in 
an endorsement issued to form a part of this policy, duly executed and 
attested by the ---------- of ------------------------ on behalf of each 
such company, and mailed or delivered to the named insured;
    (2) This policy shall remain continuously in effect from the 
effective date stated in the declarations until terminated in accordance 
with Condition 3 or Condition 15;
    (3) Neither the liability of any company nor the limit of liability 
stated in the declarations shall be cumulative from year to year.
    19. Declarations. By acceptance of this policy the named insured 
agrees that the statements in the declarations are the agreements and 
representations of the named insured, that this policy is issued in 
reliance upon the truth of such representations and that this policy 
embodies all agreements between the named insured and the companies or 
any of their agents relating to this insurance.
    In Witness Whereof, each of the subscribing companies has caused 
this policy to be executed and attested on its behalf by the --------of 
-------------------- and duly countersigned on the declarations page by 
an authorized representative.
    For the subscribing companies.
                                           By --------------------------

                Subscribing Companies Proportion of 100%

       Nuclear Energy Liability Policy No.-------- (Facility Form)

                              Declarations

    Item 1. Named Insured ----------------.
Address --------------------------------.
(No.  Street  Town or City  State)
    Item 2. Policy Period: Beginning at 12:01 a.m. on the ---- day of --
------------, 19--, and continuing through the effective date of the 
cancellation or termination of this policy, standard time at the address 
of the named insured as stated herein.
    Item 3. Description of the Facility:

Location________________________________________________________________

Type____________________________________________________________________

    The Operator of the facility is --------.
    Item 4. The limit of the companies' liability is $------ subject to 
all the terms of this policy having reference thereto.
    Item 5. Advance Premium $------.
    Item 6. These declarations and the schedules forming a part hereof 
give a complete description of the facility, insofar as it relates to 
the nuclear energy hazard, except as noted ----------------------------
--------

    Date of Issue ------------, 19--.
Countersigned by --------------------------
                                             (Authorized representative)

                     Nuclear Energy Liability Policy

                             (Facility Form)

   Amendment of Transportation Coverage (Indemnified Nuclear Facility)

    It is agreed that the definition of insured shipment in Insuring 
Agreement III is amended to read: insured shipment means a shipment of 
source material, special nuclear material, spent fuel or waste, herein 
called material, (1) to the facility from any location except an 
indemnified nuclear facility, but only if the transportation of the 
material is not by predetermination to be interrupted by removal of the 
material from a transporting conveyance for any purpose other than the 
continuation of its transportation, or (2) from the facility to any 
other location, but only until the material is removed from a 
transporting conveyance for any purpose other than the continuation of 
its transportation.
    Effective date of this endorsement ------ to form a part of Policy 
No. ------.
Issued to ------------------------------
Date of Issue --------------------------.
    For the subscribing companies.
________________________________________________________________________
                                       By ------------------------------
Countersigned by --------------------------
Endorsement No. --------------.

                     Optional Amendatory Endorsement

                             (Facility Form)

    It is agreed that:
    I. The first sentence of the definition of nuclear facility is 
amended to read:
nuclear facility means the facility as defined in any Nuclear Energy 
Liability Policy (Facility Form) issued by ---------- or by ------------
----.
    II. The definition of indemnified nuclear facility is replaced by 
the following:
indemnified nuclear facility means
    (1) the facility as defined in any Nuclear Energy Liability Policy 
(Facility Form) issued by -------- or by -------- or
    (2) any other nuclear facility,


[[Page 642]]


if financial protection is required pursuant to the Atomic Energy Act of 
1954, or any law amendatory thereof; with respect to any activities or 
operations conducted thereat:
    III. Condition 4 is replaced by the following:
    Limitation of liability; common occurrence. Any occurrence or series 
of occurrences resulting in bodily injury or property damage arising out 
of the radioactive, toxic, explosive, or other hazardous properties of
    (a) nuclear material discharged or dispersed from the facility over 
a period of days, weeks, months or longer and also arising out of such 
properties of other nuclear material so discharged or dispersed from one 
or more other nuclear facilities insured under any Nuclear Energy 
Liability Policy (Facility Form) issued by ------------ or,
    (b) source material, special nuclear material, spent fuel or waste 
in the course of transportation for which insurance is afforded under 
this policy and also arising out of such properties of other source 
material, special nuclear material, spent fuel or waste in the course of 
transportation for which insurance is afforded under one or more other 
Nuclear Energy Liability Policies (Facility Form) issued by ------------
----.

shall be deemed to be a common occurrence resulting in bodily injury or 
property damage caused by the nuclear energy hazard.
    With respect to such bodily injury and property damage (1) the total 
aggregate liability of the members of --------, under all Nuclear Energy 
Liability Policies (Facility Form), including this policy, applicable to 
such common occurrence shall be the sum of the limits of liability of 
all such policies, the limit of liability of each such policy being as 
determined by Condition 3 thereof, but in no event shall such total 
aggregate liability of such members exceed $--------;\1\ (2) the total 
liability of the companies under this policy shall not exceed that 
proportion of the total aggregate liability of the members of --------, 
as stated in clause (1) above, which (a) the limit of liability of this 
policy, as determined by Condition 3, bears to (b) the sum of the limits 
of liability of all such policies issued by such members the limit of 
liability of each such policy being as determined by Condition 3 
thereof.
---------------------------------------------------------------------------

    \1\ For policies issued by Nuclear Energy Liability-Property 
Insurance Association the amount will be ``$124,000,000,'' for policies 
issued by Mutual Atomic Energy Liability Underwriters, the amount will 
be ``$36,000,000.''
---------------------------------------------------------------------------

    The provisions of this condition shall not operate to increase the 
limit of the companies' liability under this policy.
    IV. The second paragraph of Condition 12 Other Insurance is amended 
to read:
    If the insured has other valid and collectable insurance (other than 
such concurrent insurance or any other nuclear energy liability 
insurance issued by -------- or to any person or organization) 
applicable to loss or expense covered by this policy the insurance 
afforded by this policy shall be excess insurance over such other 
insurance; provided, with respect to any person who is not employed at 
and in connection with the facility, such insurance as is afforded by 
this policy for bodily injury to an employee of the insured arising out 
of and in the course of his employment shall be primary insurance under 
such other insurance.

                     Nuclear Energy Liability Policy

                             (Facility Form)

              Restoration of Limit of Liability Endorsement

    It is agreed that:
    1. Payments made by the companies under this policy have reduced the 
limit of the companies' liability, stated in Item 4 of the declarations, 
to $--------.
    2. Such reduced limit is restored to the amount stated in Item 4 of 
the declarations. Such restored limit applies to obligations assumed or 
expenses incurred because of bodily injury or property damage caused 
during the period from the effective date of this endorsement to the 
termination of the policy, by the nuclear energy hazard.

    Note: When the reduction of the limit of liability results from a 
clearly identifiable nuclear event and restoration is offered 
retroactive to the effective date of the policy for claims other than 
those resulting from said event, above paragraph 2 will be replaced by 
the following:
    2. Such reduced limit is restored to the amount stated in Item 4 of 
the declarations, except with respect to bodily injury or property 
damage resulting from (describe nuclear event).
    3. The reduced limit of liability stated in paragraph 1 above, and 
the limit of liability stated in Item 4 of the declarations, as restored 
by this endorsement, shall not be cumulative; and each payment made by 
the companies after the effective date of this endorsement for any loss 
or expense covered by the policy shall reduce by the amount of such 
payment both the reduced limit of liability stated in paragraph 1 above 
and the limit of liability stated in Item 4 of the declarations, as 
restored by this endorsement, regardless of which limit of liability 
applies with respect to bodily injury or property damage out of which 
such loss or expense arises.
    Effective date of this endorsement ------to form a part of Policy 
No. --------
    Issued to ------------.
    Date of Issue ------------.
    For the subscribing companies


[[Page 643]]


________________________________________________________________________
                                                     By ----------------
Countersigned by --------------------------
Endorsement No. ------.

                     Nuclear Energy Liability Policy

                             (Facility Form)

                         Amendatory Endorsement

    This policy does not apply to bodily injury or property damage with 
respect to which the insured is entitled to indemnity from the United 
States Nuclear Regulatory Commission under the provisions of Indemnity 
Agreement No. ------ between the United States Nuclear Regulatory 
Commission and ----------, dated ----------, as now in effect or as 
hereafter amended.

                                * * * * *

    Effective date of this endorsement to form a part of Policy No.
    Issued to ----------.
    Date of issue ----------.
    For the subscribing companies --------

                                           By --------------------------
Countersigned by ----------------------------
Endorsement No. ------.

                     Nuclear Energy Liability Policy

                             (Facility Form)

                     Waiver of Defenses Endorsement

                   (Extraordinary Nuclear Occurrence)

    The named insured, acting for himself and every other insured under 
the policy, and the members of ------------------------ agree as 
follows:
    1. With respect to any extraordinary nuclear occurrence to which the 
policy applies as proof of financial protection and which--
    (a) Arises out of or results from or occurs in the course of the 
construction, possession, or operation of the facility, or
    (b) Arises out of or results from or occurs in the course of the 
transportation of nuclear material to or from the facility, the insureds 
and the companies agree to waive
    (1) Any issue or defense as to the conduct of the claimant or the 
fault of the insureds, including, but not limited to:
    (i) Negligence,
    (ii) Contributory negligence,
    (iii) Assumption of risk, and
    (iv) Unforeseeable intervening causes whether involving the conduct 
of a third person or an act of God,
    (2) Any issue or defense as to charitable or governmental immunity, 
and
    (3) Any issue or defense based on any statue of limitations if suit 
is instituted within 3 years from the date on which the claimant first 
knew, or reasonably could have known, of his bodily injury or property 
damage and the cause thereof, but in no event more than 10 years after 
the date of the nuclear incident.

The waiver of any such issue or defense shall be effective regardless of 
whether such issue or defense may otherwise be deemed jurisdictional or 
relating to an element in the cause of action.
    2. The waivers set forth in paragraph 1 above do not apply to
    (a) Bodily injury or property damage which is intentionally 
sustained by the claimant or which results from a nuclear incident 
intentionally and wrongfully caused by the claimant;
    (b) Bodily injury sustained by any claimant who is employed at the 
site of and in connection with the activity where the extraordinary 
nuclear occurrence takes place if benefits therefor are either payable 
or required to be provided under any workmen's compensation or 
occupational disease law;
    (c) Any claim for punitive or exemplary damages, provided, with 
respect to any claim for wrongful death under any State law which 
provides for damages only punitive in nature, this exclusion does not 
apply to the extent that the claimant has sustained actual damages, 
measured by the pecuniary injuries resulting from such death but not to 
exceed the maximum amount otherwise recoverable under such law.
    3. The waivers set forth in paragraph 1 above shall be effective 
only with respect to bodily injury or property damage to which the 
policy applies under its terms other than this endorsement.
    Such waivers shall not apply to, or prejudice the prosecution or 
defense of any claim or portion of claim which is not within the 
protection afforded under--
    (1) The provisions of the policy applicable to the financial 
protection required of the named insured,
    (2) The agreement of indemnification between the named insured and 
the Nuclear Regulatory Commission made pursuant to section 170 of the 
Atomic Energy Act of 1954, as amended, and
    (3) The limit of liability provisions of subsection 170 e. of the 
Atomic Energy Act of 1954, as amended.

Such waivers shall not preclude a defense based upon the failure of the 
claimant to take reasonable steps to mitigate damages.
    4. Subject to all of the limitations stated in this endorsement and 
in the Atomic Energy Act of 1954, as amended, the waivers set forth in 
paragraph 1 above shall be judicially enforceable in accordance with 
their terms against any insured in an action to recover damages because 
of bodily injury or property damage to which the policy applies as proof 
of financial protection.
    5. As used herein:

[[Page 644]]

    Extraordinary nuclear occurrence means an event which the Nuclear 
Regulatory Commission has determined to be an extraordinary nuclear 
occurrence as defined in the Atomic Energy Act of 1954, as amended, 
financial protection and nuclear incident have the meanings given them 
in the Atomic Energy Act of 1954, as amended.
    Claimant means the person or organization actually sustaining the 
bodily injury or property damage and also includes his assignees, legal 
representatives and other persons or organizations entitled to bring an 
action for damages on account of such injury or damage.

                     Nuclear Energy Liability Policy

                             (Facility Form)

                         Amendatory Endorsement

                         (Application of Policy)

    It is agreed that insuring agreement IV of the policy, captioned 
Application of Policy is amended to read as follows: Application of 
Policy. This policy applies only to bodily injury or property damage: 
(1) Which is caused during the policy period by the nuclear energy 
hazard, and (2) which is discovered and for which written claim is made 
against the insured, not later than 10 years after the end of the policy 
period.

                     Nuclear Energy Liability Policy

                             (Facility Form)

                      Waiver of Defense Endorsement

                   (Extraordinary Nuclear Occurrence)

The named insured, acting for himself and every other insured under the 
policy, and the members of______________________________________________
agree as follows:
    1. With respect to any extraordinary nuclear occurrence to which the 
policy applies as proof of financial protection and which
    (a) Arises out of or results from or occurs in the course the 
construction, possession, or operation of the facility, or
    (b) Arises out of or results from or occurs in the course of the 
transportation of nuclear material to or from the facility.

the insured and the companies agree to waive.
    (1) Any issue or defense as to the conduct of the claimant or the 
fault of the insureds, including but not limited to:
    (i) Negligence,
    (ii) Contributory negligence,
    (iii) Assumption of risk, and
    (iv) Unforeseeable intervening causes, whether involving the conduct 
of a third person, or an act of God,
    (2) Any issue or defense as to charitable or governmental immunity, 
and
    (3) Any issue or defense based on any statute of limitations if suit 
is instituted within three (3) years from the date on which the claimant 
first knew, or reasonably could have known, of his bodily injury or 
property damage and the cause thereof, but in no event more than twenty 
(20) years after the date of the nuclear incident.

The waiver of any such issue or defense shall be effective regardless of 
whether such issue or defense may otherwise be deemed jurisdictional or 
relating to an element in the cause of action.
    2. The waivers set forth in paragraph 1. above do not apply to
    (a) Bodily injury or property damage which is intentionally 
sustained by the claimant or which results from a nuclear incident 
intentionally and wrongfully caused by the claimant;
    (b) Bodily injury sustained by any claimant who is employed at the 
site of and in connection with the activity where the extraordinary 
nuclear occurrence takes place if benefits therefor are either payable 
or required to be provided under any workmen's compensation or 
occupational disease law;
    (c) Any claim for punitive or exemplary damages, provided, with 
respect to any claim for wrongful death under any State law which 
provides for damages only punitive in nature, this exclusion does not 
apply to the extent that the claimant has sustained actual damages, 
measured by the pecuniary injuries resulting from such death but not to 
exceed the maximum amount otherwise recoverable under such law.
    3. The waivers set forth in paragraph 1. above shall be effective 
only with respect to bodily injury or property damage to which the 
policy applies under its terms other than this endorsement; provided, 
however, that with respect to bodily injury or property damage resulting 
from an extraordinary nuclear occurrence. Insuring Agreement IV, 
``Application of Policy,'' shall not operate to bar coverage for bodily 
injury or property damage (a) which is caused during the policy period 
by the nuclear energy hazard and (b) which is discovered and for which 
written claim is made against the insured not later than twenty (20) 
years after the date of the extraordinary nuclear occurrence.
    Such waivers shall not apply to, or prejudice the prosecution or 
defense of any claim or portion of claim which is not within the 
protection afforded under
    (a) The provisions of the policy applicable to the financial 
protection required of the named insured;
    (b) The agreement of indemnification between the named insured and 
the Nuclear Regulatory Commission made pursuant to section 170 of the 
Atomic Energy Act of 1954, as amended; and

[[Page 645]]

    (c) The limit of liability provisions of Subsection 170e. of the 
Atomic Energy Act of 1954, as amended.
    Such waivers shall not preclude a defense based upon the failure of 
the claimant to take reasonable steps to mitigate damages.
    4. Subject to all of the limitations stated in this endorsement and 
in the Atomic Energy Act of 1954, as amended, the waivers set forth in 
paragraph 1. above shall be judicially enforceable in accordance with 
their terms against any insured in an action to recover damages because 
of bodily injury or property damage to which the policy applies as proof 
of financial protection.
    5. As used herein:
    Extraordinary nuclear occurrence means an event which the Nuclear 
Regulatory Commission has determined to be an extraordinary nuclear 
occurrence as defined in the Atomic Energy Act of 1954, as amended.
    Financial protection and nuclear incident have the meanings given 
them in the Atomic Energy Act of 1954, as amended.
    Claimant means the person or organization actually sustaining the 
bodily injury or property damage and also includes his assignees, legal 
representatives and other persons or organizations entitled to bring an 
action for damages on account of such injury or damage.
    Effective date of this endorsement ------------------------ to form 
a part of Policy No. --------------,                             
  12:01 A.M. Standard Time
    Issued to ----------------------------------.
    Date of issue --------------.                
    Endorsement No. --------------.            
    For the subscribing companies:             
                  By ----------------------,  
                      General Manager    
      Countersigned by ------------------------.  

              Supplementary Endorsement Waiver of Defenses

                  Reactor Construction at the Facility

    It is agreed that in construing the application of paragraph 2.(b) 
of the Waiver of Defenses Endorsement (NE-33a) with respect to an 
extraordinary nuclear occurrence occurring at the facility, a claimant 
who is employed at the facility in connection with the construction of a 
nuclear reactor with respect to which no operating license has been 
issued by the Nuclear Regulatory Commision shall not be considered as 
employed in connection with the activity where the extraordinary nuclear 
occurrence takes place if:
    (1) The claimant is employed exclusively in connection with the 
construction of a nuclear reactor, including all related equipment and 
installations at the facility and
    (2) No operating license has been issued by the Nuclear Regulatory 
Commission with respect to the nuclear reactor, and
    (3) The claimant is not employed in connection with the possession, 
storage, use or transfer of nuclear material at the facility.
    Effective date of this endorsement ------------------------ to form 
a part of Policy No. --------------.                             
  12:01 A.M. Standard Time
    Issued to ----------------------------------.
    Date of issue --------------.
    Endorsement No --------------.             
    For the subscribing companies:             
                  By ----------------------,  
                      General Manager    
      Countersigned by ----------------------.  

                     Nuclear Energy Liability Policy

                             (Facility Form)

 Amendment of Definition of Nuclear Energy Hazard (Indemnified Nuclear 
                                Facility)

    It is agreed that: 1. Solely with respect to an insured shipment to 
which the policy applies as proof of financial protection required by 
the Nuclear Regulatory Commission, subdivision (2) of the definition of 
nuclear energy hazard is amended to read:
    (2) The nuclear material is in an insured shipment which is away 
from any other nuclear facility and is in the course of transportation, 
including handling and temporary storage incidental thereto, within
    (a) The territorial limits of the United States of America, its 
territories or possessions, Puerto Rico or the Canal Zone; or
    (b) International waters or airspace, provided that the nuclear 
material is in the course of transportation between two points located 
within the territorial limits described in (a) above and there are no 
deviations in the course of the transportation for the purpose of going 
to any other country, state or nation, except a deviation in the course 
of said transportation for the purpose of going to or returning from a 
port or place of refuge as the result of an emergency.
    2. As used herein, financial protection has the meaning given it in 
the Atomic Energy Act of 1954, as amended.
    Instructions--This form is to be used to modify all Nuclear Energy 
Liability Facility Forms in force on January 1, 1977 which were issued 
to become effective prior to January 1, 1977 and which are offered by 
the named insured as proof of financial protection being maintained as 
required by the Atomic Energy Act of 1954, as amended.
    Effective date of this Endorsement ------------------------ To form 
a part of Policy No. --------------.                      
12:01 A.M. Standard Time
    Issued to ----------------------------------
    Date of issue --------------.                
    Endorsement No. --------------.            
    For the subscribing companies:            
                  By ----------------------,

[[Page 646]]

                      General Manager    
      Countersigned by ------------------------.  

                     Nuclear Energy Liability Policy

                             (Facility Form)

 Amendment of Definitions of Nuclear Energy Hazard and Insured Shipment 
                     (Indemnified Nuclear Facility)

    It is agreed that: I. In Insuring Agreement III, DEFINITIONS
    A. Solely with respect to an insured shipment to which this policy 
applies as proof of financial protection required by the Nuclear 
Regulatory Commission, Subdivision (2) of the definition of nuclear 
energy hazard is amended to read:
    (2) The nuclear material is in an insured shipment which is away 
from any other nuclear facility and is in the course of transportation, 
including the handling and temporary storage incidental thereto, within
    (a) The territorial limits of the United States of America, its 
territories or possessions, Puerto Rico or the Canal Zone; or
    (b) International waters or airspace, provided that the nuclear 
material is in the course of transportation between two points located 
within the territorial limits described in (a) above and there are no 
deviations in the course of the transportation for the purpose of going 
to any other country, state or nation, except for a deviation in the 
course of said transportation for the purpose of going to or returning 
from a port or place of refuge as the result of an emergency.
    B. The definition of insured shipment is replaced with the 
following:
    Insured shipment means a shipment of source material, special 
nuclear material, spent fuel or waste, herein called material, (1) to 
the facility from any location except an indemnified nuclear facility, 
but only if the transportation of the material is not by 
predetermination to be interrupted by removal of the material from a 
transporting conveyance for any purpose other than the continuation of 
its transportation, or (2) from the facility to any other location, but 
only until the material is removed from a transporting conveyance for 
any purpose other than the continuation of its transportation.
    II. As used herein, financial protection has the meaning given it in 
the Atomic Energy Act of 1954, as amended.
    Instructions--This form is to be used to modify all Nuclear Energy 
Liability Facility Forms which are issued to become effective on or 
after January 1, 1977 and which are offered by the named insured as 
proof of financial protection being maintained as required by the Atomic 
Energy Act of 1954, as amended.
    Effective date of this endorsement -------------------- To form a 
part of Policy No. --------------.                      
12:01 A.M. standard time
    Issued to ------------------------.
    Date of issue --------------.                
    Endorsement No. --------------.            
    For the subscribing companies:            
                By ------------------------,    
                      General Manager.    
    Countersigned by ----------------------.  

                 NE-50 (1/1/80), Amendatory Endorsement

                     (Indemnified Nuclear Facility)

    It is agreed that:
    I. In Insuring Agreement III:
    DEFINITIONS
    A. The first sentence of the definition of nuclear facility is 
amended to read: nuclear facility means the facility as defined in any 
Nuclear Energy Liability Policy (Facility Form) issued by Nuclear Energy 
Liability Insurance Association or by Mutual Atomic Energy Liability 
Underwriters.
    B. The definition of indemnified nuclear facility is replaced by the 
following: indemnified nuclear facility means
    (1) the facility as defined in any Nuclear Energy Liability Policy 
(Facility Form) issued by Nuclear Energy Liability Insurance Association 
or by Mutual Atomic Energy Liability Underwriters, or
    (2) any other nuclear facility, if financial protection is required 
pursuant to the Atomic Energy Act of 1954, or any law amendatory 
thereof, with respect to any activities or operations conducted thereat;
    C. Solely with respect to an insured shipment to which this policy 
applies as proof of financial protection required by the Nuclear 
Regulatory Commission. Subdivision (2) of the definition of nuclear 
energy hazard is amended to read:
    (2) The nuclear material is in an insured shipment which is away 
from any other nuclear facility and is in the course of transportation, 
including the handling and temporary storage incidental thereto, within
    (a) The territorial limits of the United States of America, its 
territories or possessions, or Puerto Rico; or Canal Zone; or
    (b) International waters or airspace, provided that the nuclear 
material is in the course of transportation between two points located 
within the territorial limits described in (a) above and there are no 
deviations in the course of the transportation for the purpose of going 
to any other country, state or nation, except a deviation in the course 
of said transportation for the purpose of going to or returning from a 
port or place of refuge as the result of an emergency.
    D. The definition of insured shipment is replaced with the 
following:
    insured shipment means shipment of source material, special nuclear 
material, spent fuel or waste, or tailings or wastes produced by the 
extraction or concentration of uranium or thorium from any ore processed 
primarily

[[Page 647]]

for its source material content, herein called material, (1) to the 
facility from any location except an indemnified nuclear facility, but 
only if the transportation of the material is not by predetermination to 
be interrupted by removal of the material from a transporting conveyance 
for any purpose other than the continuation of its transportation, or 
(2) from the facility to any other location, but only until the material 
is removed from a transporting conveyance for any purpose other than the 
continuation of its transportation.
    E. As used herein, financial protection has the meaning given it in 
the Atomic Energy Act of 1954, as amended.
    II. Insuring Agreement IV is replaced by the following:
    IV. APPLICATION OF POLICY. This policy applies only to bodily injury 
or property damage (1) which is caused during the policy period by the 
nuclear energy hazard and (2) which is discovered and for which written 
claim is made against the insured, not later than ten years after the 
end of the policy period.
    III. Condition 2 is replaced by the following:
    2. INSPECTION: SUSPENSION. The companies shall at any time be 
permitted but not obligated to inspect the facility and all operations 
relating thereto and to examine the insured's books and records as far 
as they relate to the subject of this insurance and any property 
insurance afforded the insured through American Nuclear Insurers. If a 
representative of the companies discovers a condition which he believes 
to be unduly dangerous with respect to the nuclear energy hazard, a 
representative of the companies may request that such condition be 
corrected without delay. In the event of noncompliance with such 
request, a representative of the companies may, by notice to the named 
insured, to any other person or organization considered by the companies 
to be responsible for the continuation of such dangerous condition, and 
to the United States Nuclear Regulatory Commission, suspend this 
insurance with respect to named insured and such other person or 
organization effective 12:00 midnight of the next business day of such 
Commission following the date that such Commission receives such notice. 
The period of such suspension shall terminate as of the time stated in a 
written notice from the companies to the named insured and to each such 
person or organization that such condition has been corrected.
    Neither the right to make such inspections and examinations nor the 
making thereof nor any advice or report resulting therefrom shall 
constitute an undertaking, on behalf of or for the benefit of the 
insured or others, to determine or warrant that such facility or 
operations are safe or healthful, or are in compliance with any law, 
rule or regulation. In consideration of the issuance or continuation of 
this policy, the insured agrees that neither the companies nor any 
pesons or organizations making such inspections or exminations on their 
behalf shall be liable with respect to injury to or destruction of 
property at the facility, or any consequential loss or expense resulting 
therefrom, or any loss resulting from interruption of business or 
manufacture, arising out of the making of or a failure to make any such 
inspection or examination, or any report thereon, or any such suspension 
of insurance, but this provision does not limit the contractual 
obligations of the companies under this policy or any policy affording 
the insured property insurance through American Nuclear Insurers.
    IV. Condition 4 is replaced by the following:
    4. LIMITATION OF LIABILITY: COMMON OCCURRENCE. Any occurrence or 
series of occurrences resulting in bodily injury or property damage 
arising out of the radioactive, toxic, explosive or other hazardous 
properties of
    (a) nuclear material discharged or dispersed from the facility over 
a period of days, weeks, months or longer and also arising out of the 
properties of other nuclear material so discharged or dispersed from one 
or more other nuclear facilities insured under any Nuclear Energy 
Liability Policy (Facility Form) issued by Nuclear Energy Liability 
Insurance Association, or
    (b) source material, special nuclear material, spent fuel or waste 
in the course of transportation for which insurance is afforded under 
this policy and also arising out of such properties of other source 
material, special nuclear material, spent fuel or waste in the course of 
transportation for which insurance is afforded under one or more other 
Nuclear Energy Liability Policies (Facility Form) issued by Nuclear 
Energy Liability Insurance Association, shall be deemed to be a common 
occurrence resulting in bodily injury or property damage caused by the 
nuclear energy hazard.
    With respect to such bodily injury and property damage (1) the total 
aggregate liability of the members of the Nuclear Energy Liability 
Insurance Association under all Nuclear Energy Liability Policies 
(Facility Form), including this policy, applicable to such common 
occurrence shall be the sum of the limits of liability of all such 
policies, the limit of liability of each such policy being as determined 
by Condition 3 thereof, but in no event shall such total aggregate 
liability of such members exceed $124,000,000; (2) the total liability 
of the companies under this policy shall not exceed that proportion of 
the total aggregate liability of the members of Nuclear Energy Liability 
Insurance Association, as stated in clause (1) above, which (a) the 
limit of liability of this policy,

[[Page 648]]

as determined by Condition 3, bears to (b) the sum of the limits of 
liability of all such policies issued by such members, the limit of 
liability of each such policy being as determined by Condition 3 
thereof.
    The provisions of this condition shall not operate to increase the 
limit of the companies' liability under this policy.
    V. The second paragraph of Condition 12, Other Insurance, is amended 
to read:
    If the insured has other valid and collectible insurance (other than 
such concurrent insurance or any other nuclear energy liability 
insurance issued by Nuclear Energy Liability Insurance Association or 
Mutual Atomic Energy Liability Underwriters to any person or 
organization) applicable to loss or expense covered by this policy, the 
insurance afforded by this policy shall be excess insurance over such 
other insurance; provided, with respect to any person who is not 
employed at and in connection with the facility, such insurance as is 
afforded by this policy for bodily injury to an employee of the insured 
arising out of and in the course of his employment shall be primary 
insurance under such other insurance.
    VI. Paragraph (c) of Condition 16, Company Representation, is 
amended to read:
    (c) Nuclear Energy Liability Insurance Association is the agent of 
the companies with respect to all matters pertaining to this insurance. 
All notices or other communications required by this policy to be given 
to the companies may be given to such agent, at its office at the 
Exchange, Suite 245, 270 Farmington Avenue, Farmington, Connecticut 
06032, with the same force and effect as if given directly to the 
companies. Any requests, demand or agreements made by such agent shall 
be deemed to have been made directly by the companies.
    Effective Date of this Endorsement -------- 12:01 a.m. Standard Time 
to form a part of policy No. ------.
    Issued to -------- For the subscribing companies.
    Date of Issue --------.
    By -------- General Manager.
Endorsement No._________________________________________________________
NE-50 (1/1/81)

   NE-51 (1/1/81)--Amendment of Definition of Condition 2 Inspection; 
                     Suspension and Insured Shipment

                     (Indemnified Nuclear Facility)

    It is agreed that:
    (1) Condition 2 Inspection; Suspension is replaced by the following:
    2. Inspection; Suspension. The companies shall at any time be 
permitted but not obligated to inspect the facility and all operations 
relating thereto and to examine the insured's books and records as far 
as they relate to the subject of this insurance and any property 
insurance afforded the insured through American Nuclear Insurers. If a 
representative of the companies discovers a condition which he believes 
to be unduly dangerous with respect to the nuclear energy hazard, a 
representative of the companies may request that such conditions be 
corrected without delay. In the event of noncompliance with such 
requests, a representative of the companies may, by notice to the named 
insured, to any other person or organization considered by the companies 
to be responsible for the continuation of such dangerous condition, and 
to the United States Nuclear Regulatory Commission, suspend this 
insurance with respect to the named insured and such other person or 
organization effective 12:00 midnight of the next business day of such 
Commission following the date that such Commission receives such notice. 
The period of such suspension shall terminate as of the time stated in a 
written notice from the companies to the named insured and to each such 
person or organization that such condition has been corrected.
    Neither the right to make such inspections and examinations nor the 
making thereof nor advice or report resulting therefrom shall constitute 
an undertaking, on behalf of or for the benefit of the insured or 
others, to determine or warrant that such facility or operations are 
safe or healthful, or are in compliance with any law, rule or 
regulation. In consideration of the issuance or continuation of this 
policy, the insured agrees that neither the companies nor any persons or 
organizations making such inspections or examinations on their behalf 
shall be liable with respect to injury to or destruction of property at 
the facility, or any consequential loss or expense resulting therefrom, 
or any loss resulting from interruption of business or manufacture, 
arising out of the making of or a failure to make any such inspection or 
examination, or any report thereon, or any such suspension of insurance, 
but this provision does not limit the contractual obligations of the 
companies under this policy or any policy affording the insured property 
insurance through American Nuclear Insurers.
    (2) The definition of insured shipment in Insuring Agreement III, 
Definitions, is replaced by the following: insured shipment means a 
shipment of source material, special nuclear material, spent fuel, 
waste, or tailings or wastes produced by the extraction or concentration 
of uranium or thorium from any ore processed primarily for its source 
material content herein called material, (1) to the facility from any 
location except an indemnified nuclear facility, but only if the 
transportation of the material is not by predetermination to be 
interrupted by removal from a transporting conveyance for any purpose 
other than the continuation of its transportation, or (2) from the 
facility to

[[Page 649]]

any other location, but only until the material is removed from a 
transporting conveyance for any purpose other than the continuation of 
its transportation.
    Effective Date of this Endorsement -------- 12:01 a.m. Standard Time 
to form a part of Policy No. ------
    Issued to -------- For the subscribing companies.
    Date of Issue --------.
    By -------- General Manager.
Endorsement No._________________________________________________________
NE-51 (1/1/81)

          Amendment of Coverage Endorsement for Workers Claims

                             (Facility Form)

                              NE-64(1/1/88)

                                Preamble

    1. The insurance and rating plan presently used by Nuclear Energy 
Liability Insurance Association (NELIA) and Mutual Atomic Energy 
Liability Underwriters (MAELU) do not make a distinction between workers 
claims arising from catastrophic events and those arising from lesser 
events;
    2. NELIA and MAELU believe that the lack of such a distinction will 
adversely affect their ability to continue to attract from world markets 
very large amounts of nuclear energy liability insurance for the nuclear 
industry;
    3. NELIA and MAELU want to avoid this potential loss of capacity and 
to continue to provide nuclear energy liability insurance for workers 
claims. Accordingly NELIA and MAELU desire to restructure their present 
insurance programs, including this policy, effective January 1, 1988.
    Now, Therefore, the Named Insured and the companies do hereby agree 
as follows:

                             1. Definitions

    When used in reference to this endorsement:
    This policy means the policy of which this endorsement forms a part;
    Nuclear related employment means all work performed at one or more 
than one nuclear facility in the United States of America or in 
connection with the transportation of nuclear material to or from any 
such facility. All of a worker's nuclear related employment shall be 
considered as having begun on the first day of such employment, 
regardless of the number of employers involved or interruptions in such 
employment;
    Worker refers to a person who is or was engaged in nuclear related 
employment;
    Workers claims means claims for damages because of bodily injury to 
a worker caused by the radioactive, toxic, explosive or other hazardous 
properties of nuclear material and arising out of or in the course of 
the worker's nuclear related employment;
    Extraordinary nuclear occurrence means an event which the United 
States Nuclear Regulatory Commission has determined to be an 
extraordinary nuclear occurrence as defined in the Atomic Energy Act of 
1954, or in any law amendatory thereof.

                   2. Application of This Endorsement

    This endorsement applies only to such insurance as is afforded by 
this policy for workers claims which do not arise in whole or in part 
out of an extraordinary nuclear occurrence.

                   3. Exclusion of New Workers Claims

    This policy does not apply to bodily injury to a worker which arises 
in whole or in part out of nuclear related employment that begins on or 
after January 1, 1988.

         4. Application of Policy to Workers Claims Not Excluded

    With respect to such insurance as is afforded by this policy for 
workers claims which are not excluded, Insuring Agreement IV does not 
apply and the following Insuring Agreement IV-A does apply:
    IV-A Application of Policy to Workers Claims. This policy applies 
only to bodily injury (1) which is caused during the policy period by 
the nuclear energy hazard and (2) which is discovered and for which 
written claim is made against the insured not later than the close of 
December 31, 1997.

                5. Availability of Supplemental Insurance

    NELIA and MAELU are offering to make insurance under one or more 
Master Worker Policies available to all holders of Nuclear Energy 
Liability Policies (Facility Form). This offer is contingent on 
sufficient support from policy holders, and may be withdrawn or modified 
by Nelia or Maelu as they deem necessary or appropriate.
    The Master Workers Policies will provide, under their separate terms 
and conditions, coverage for new workers claims. Premiums will be 
subject to a separate Industry Retrospective Rating Plan.
    Coverage under the new master worker policies is not automatic. A 
written request must be submitted to Nelia or Maelu through regular 
market channels.
    It is understood and agreed that all of the provisions of this 
endorsement shall remain in full force and effect without regard to this 
section 5, and without regard to whether or not the Named Insureds 
become insureds under the Master Worker Policies, or whether or not 
NELIA or MAELU terminate such policies or withdraw or modify their offer 
to underwrite such policies.

Executed for the companies


[[Page 650]]


Date____________________________________________________________________

By______________________________________________________________________
(Signature or Authorized Officer)
________________________________________________________________________
(Print or Type Name and Title of Officer)

Executed for the Named Insured

________________________________________________________________________
(Named Insured--Type or Print)

Date____________________________________________________________________

By______________________________________________________________________
(Signature of Authorized Officer)

________________________________________________________________________
(Print or Type Name and Title of Officer)

Effective Date of this Endorsement

________________________________________________________________________
12:01 a.m. Standard Time

To form a part of Policy No.____________________________________________

Issued to_______________________________________________________________

Date of Issue___________________________________________________________

For the subscribing companies

By______________________________________________________________________
General Manager

Endorsement No.
Countersigned by________________________________________________________

AMENDMENT OF COVERAGE ENDORSEMENT FOR WORKERS CLAIMS (Facility Form) NE-
                               66(1/1/88)

    It is agreed that:

                             1. Definitions

    When used in reference to this endorsement:
    This policy means the policy of which this endorsement forms a part;
    Nuclear related employment means all work performed at one or more 
than one nuclear facility in the United States of America or in 
connection with the transportation of nuclear material to or from any 
such facility. All of a worker's nuclear related employment shall be 
considered as having begun on the first day of such employment, 
regardless of the number of employers involved or interruptions in such 
employment;
    Worker refers to a person who is or was engaged in nuclear related 
employment;
    Workers claims means claims for damages because of bodily injury to 
a worker caused by the radioactive, toxic, explosive or other hazardous 
properties of nuclear material and arising out of or in the course of 
the worker's nuclear related employment;
    Extraordinary nuclear occurrence means an event which the United 
States Nuclear Regulatory Commission has determined to be an 
extraordinary nuclear occurrence as defined in the Atomic Energy Act of 
1954, or in any law amendatory thereof.

                   2. Application of This Endorsement

    This endorsement applies only to such insurance as is afforded by 
this policy for workers claims which do not arise in whole or in part 
out of an extraordinary nuclear occurrence.

                   3. Exclusion of New Workers Claims

    This policy does not apply to bodily injury to a worker which arises 
in whole or in part out of nuclear related employment that begins on or 
after January 1, 1988.

         4. Application of Policy To Workers Claims Not Excluded

    With respect to such insurance as is afforded by this policy for 
workers claims which are not excluded, Insuring Agreement IV does not 
apply and the following Insuring Agreement IV-A does apply:

              IV-A Application of Policy To Workers Claims

    This policy applies only to bodily injury (1) which is caused during 
the policy period by the nuclear energy hazard and (2) which is 
discovered and for which written claim is made against the insured not 
later that the close of December 31, 1997.

                5. Availability of Supplemental Insurance

    NELIA and MAELU are offering to make insurance under one or more 
Master Worker Policies available to all holders of Nuclear Energy 
Liability Policies (Facility Form). This offer is contingent on 
sufficient support from policyholders, and may be withdrawn or modified 
by NELIA or MAELU as they deem necessary or appropriate.
    The Master Worker Policies will provide, under their separate terms 
and conditions, coverage for new workers claims. Premiums will be 
subject to a separate Industry Retrospective Rating Plan.
    Coverage under the new master worker policies is not automatic. A 
written request must be submitted to NELIA or MAELU through regular 
market channels.
    It is understood and agreed that all of the provisions of this 
endorsement shall remain in full force and effect without regard to this 
Section 5, and without regard to whether or not the Named Insureds 
become insureds under the Master Worker Policies, or whether or not 
NELIA or MAELU terminate such policies or withdraw or modify their offer 
to underwrite such policies.
    Explanation of Use of This Endorsement: This endorsement is a 
mandatory endorsement which is to be attached to new Facility Form 
Policies issued on or after January 1, 1988.

Effective Date of this Endorsement

________________________________________________________________________
12:01 a.m. Standard Time

To form a part of Policy No.____________________________________________

Issued to_______________________________________________________________

Date of Issue___________________________________________________________
For the subscribing companies


[[Page 651]]


By______________________________________________________________________
General Manager

Endorsement No.
Countersigned by________________________________________________________

             NUCLEAR ENERGY LIABILITY INSURANCE ASSOCIATION

                     Nuclear Energy Liability Policy

Facility Worker Form, herein called Master Worker Policy, NMWP-1(1/1/88)

    The undersigned members of Nuclear Energy Liability Insurance 
Association, hereinafter called the companies, each itself severally and 
not jointly, and in the respective proportion hereinafter set forth, 
agree with the insureds named in Item 1 of the Declarations of each 
Certificate, hereinafter called the Named Insureds, in consideration of 
the payment of the premium, and subject to all of the provisions of the 
applicable Certificate and of this policy, as follows:

      I--Relation Between the Master Worker Policy and Certificates

    No insurance is provided by this policy except through a Certificate 
issued to form a part hereof. The insurance then applies separately to 
the persons and organizations who are defined in Section IV as insureds 
under each such Certificate, except with respect to the Amount of 
Insurance Available.
    The Amount of Insurance Available through such a Certificate to any 
person or organization who is an insured thereunder is limited as 
provided in Section VIII of this policy.

                             II--Definitions

    When used in reference to this policy:
    Bodily injury means bodily injury, sickness or disease, including 
death resulting therefrom;
    Byproduct material has the meaning given in the Atomic Energy Act of 
1954, or in any law amendatory thereof;
    Certificate, unless qualified, refers to a Certificate of Insurance 
(including Declarations and endorsements forming a part thereof) issued 
to form a part of this policy or of a MAELU Policy;
    Claims costs means, with reference to claims or suits the companies 
have the right and duty to defend under this policy;
    (1) Cost taxed against the insured in such suits and interest on any 
judgments therein;
    (2) Premiums on appeal bonds and on bonds to release attachments in 
such suits (but the companies have no obligation to apply for or furnish 
such bonds;
    (3) Reasonable expenses, other than loss of earnings, incurred by 
the insured at the companies' request;
    (4) Payments for expenses incurred in the investigation, 
negotiation, settlement and defense of such claims or suits, including, 
but not limited to, the cost of such allocated claims services by 
employees of the companies, fees and expenses of independent adjusters, 
attorneys' fees and disbursements, expenses for expert testimony, 
examination, x-ray or autopsy or medical expenses of any kind;
    (5) Payments for expenses incurred by the companies in investigating 
an occurrence resulting in bodily injury or in minimizing its effects;
    Discovery period means the period defined in Section VI B hereof;
    Extraordinary nuclear occurrence means an event which the United 
States Nuclear Regulatory Commission has determined to be an 
extraordinary nuclear occurrence as defined in the Atomic Energy Act of 
1954, or in any law amendatory thereof;
    Insured contract means that part of a contract or agreement made 
prior to bodily injury to a new worker under which the insured assumes 
the tort liability of a third person to pay damages because of such 
bodily injury. Tort liability means a liability that would be imposed by 
law on the third person in the absence of an express assumption of 
liability by the third person;
    Insured facility means a facility with respect to which insurance is 
provided through a Certificate;
    Insured shipment means a shipment of source material, special 
nuclear material, spent fuel or waste (herein called material):
    (1) To the facility from any location other than an insured 
facility, but only if the transportation of the material is not by 
predetermination to be interrupted by removal of the material from a 
transporting conveyance for any purpose other than the continuation of 
its transportation; or
    (2) From the facility to any other location, but only until the 
material is removed from a transporting conveyance for any purpose other 
than the continuation of its transportation;
    MAELU means Mutual Atomic Energy Liability Underwriters;
    MAELU Policy means a Nuclear Energy Liability Policy (Facility 
Worker Form) written by members of MAELU;
    NELIA means Nuclear Energy Liability Insurance Association;
    New worker refers to a person who is or was engaged in nuclear 
related employment that begins on or after January 1, 1988;
    New worker's claim means a claim for damages because of bodily 
injury to a new worker caused by the radioactive, toxic, explosive or 
other hazardous properties of nuclear material and arising out of or in 
the course of the new worker's nuclear related employment;
    Non-ratable incurred losses has the meaning given in Attachment 1 to 
this policy;

[[Page 652]]

    Nuclear energy hazard means the radioactive, toxic, explosive or 
other hazardous properties of nuclear material which is:
    (1) At the facility as described in the applicable Certificate 
issued to form a part of this policy or has been discharged or dispersed 
therefrom without intent to relinquish possession of custody thereof to 
any other person or organization; or
    (2) In an insured shipment that is away from any other insured 
nuclear facility and is in the course of transportation, including 
handling and temporary storage incidental thereto within:
    (a) The territorial limits of the United States of America, its 
territories or possessions or Puerto Rico; or
    (b) International waters or airspace, provided that:
    (i) The nuclear material is in the course of transportation between 
two points located within the territorial limits described in (a) above; 
and
    (ii) There are no deviations in the course of the transportation for 
the purpose of going to any other country, state or nation, except to a 
port or place of refuge in an emergency;
    Nuclear facility means any of the following and includes the site on 
which any of them is located, all operations conducted on such site and 
all premises used for such operations:
    (1) The facility as described in any Certificate;
    (2) Any nuclear reactor;
    (3) Any equipment or device designed or used for:
    (a) Separating the isotopes of uranium or plutonium;
    (b) Processing or utilizing spent fuel; or
    (c) Handling, processing or packaging waste;
    (4) Any equipment or device used for the processing, fabricating or 
alloying of special nuclear material if at any time the total amount of 
such material in the custody of the insured at the premises where such 
equipment of device is located consists of or contains more than 25 
grams of plutonium or uranium 233 or any combination thereof, or more 
than 250 grams of uranium 235;
    (5) Any structure, basin, excavation, premises or place prepared or 
used for the storage or disposal of waste;
    Nuclear material means source material, special nuclear material or 
byproduct material;
    Nuclear reactor means any apparatus designed or used to sustain 
nuclear fission in a self-supporting chain reaction or to contain a 
critical mass of fissionable material;
    Nuclear related employment means all work performed at one or more 
than one nuclear facility in the United States of America or in 
connection with the transportation of nuclear material to or from any 
such facility.
    All of a new worker's nuclear related employment shall be considered 
as having begun on the first day of such employment, regardless of the 
number of employers involved or interruptions in such employment;
    Policy period means the period defined in Section VI A hereof;
    Ratable incurred losses has the meaning given in Attachment 1 to 
this policy;
    Source material has the meaning given in the Atomic Energy Act of 
1954, or in any law amendatory thereof, and also includes tailings or 
wastes produced by the extraction of uranium or thorium from ore 
processed primarily for its source material content;
    Special nuclear material has the meaning given in the Atomic Energy 
Act of 1954, or in any law amendatory thereof;
    Spent fuel means any fuel element or fuel component, solid or 
liquid, which has been used or exposed to radiation in any nuclear 
reactor;
    The facility refers to the facility described in the Declarations of 
a Certificate. It includes the location described in Item 3 thereof and 
all property and operations at such location;
    Waste means any waste material that contains byproduct material and 
results from the operation by any person or organization of:
    (1) Any nuclear reactor; or
    (2) Any equipment or device designed or used for:
    (a) Separating the isotopes of uranium or plutonium;
    (b) Processing or utilizing spent fuel; or
    (c) Handling, processing or packaging such waste material.

                              III--Coverage

    In the event that a new worker's claim is made against a person or 
organization who is an insured under a Certificate issued to form a part 
of this policy:
    (1) The companies shall pay on behalf of the insured all sums which 
the insured shall become legally obligated to pay as damages because of 
bodily injury to which this policy applies, sustained by a new worker 
and caused by the nuclear energy hazard.
    The companies shall have the right and duty to defend any suit 
against the insured alleging such injury and seeking damages payable 
under the terms of this policy. But the companies may make such 
investigation and settlement of any claim or suit seeking such damages 
as they deem appropriate.
    (2) The companies shall also pay, as part of the Amount of Insurance 
Available under this policy, the claims costs relating to any such claim 
or suit.
    (3) The companies' obligation to pay damages and claims costs, and 
to defend any claim and suit ends when the Policy Aggregrate Limit has 
been exhausted pursuant to the provisions of Section VIII.

[[Page 653]]

                        IV--Definition of Insured

    When used in reference to a Certificate issued to form a part of 
this policy, the unqualified word insured means:
    (1) each insured named in Item 1 of the Declarations of the 
Certificate; and
    (2) any other person or organization with respect to legal 
responsibility for damages because of bodily injury to a new worker 
caused by the nuclear energy hazard applicable to the Certificate. This 
subsection (2) does not include as an insured the United States of 
America or any of its agencies except the Tennessee Valley Authority.

                              V--Exclusions

    This policy does not apply:
    (1) To any obligation for which the insured or any carrier as his 
insurer may be held liable under any worker's compensation, unemployment 
compensation or disability benefits law, or under any similar law;
    (2) To bodily injury to any employee of the insured arising out of 
or in the course of employment by the insured; but this exclusion (2) 
does not apply to liability assumed by the insured under an insured 
contract;
    (3) To liability assumed by the insured under contract, other than 
an insured contract;
    (4) To bodily injury to a new worker due to the manufacturing, 
handling or use at the location designated in Item 3 of the Declarations 
of any Certificate, in time of peace or war, of any nuclear weapon or 
other instrument of war utilizing special nuclear material or byproduct 
material;
    (5) To bodily injury to a new worker due to war, whether or not 
declared, civil war, insurrection, rebellion or revolution, or to any 
act or condition incident to any of the foregoing;
    (6) To bodily injury to a new worker arising in whole or in part out 
of an extraordinary nuclear occurrence.

       VI--Policy Period; Discovery Period; Application of Policy

                            A. Policy Period

    The policy period of this policy begins at 12:01 a.m. on January 1, 
1988 and ends at the close of December 31, 1992, Eastern Standard Time, 
or when all Certificates issued to form a part hereof have been 
cancelled, whichever first occurs.

                           B. Discovery Period

    The discovery period for claims made under this policy begins at 
12:01 a.m. on January 1, 1988 and ends at the close of December 31, 
1997, Eastern Standard Time.

                        C. Application of Policy

    This policy applies only to bodily injury to a new worker (1) which 
is caused during the policy period by the nuclear energy hazard and (2) 
which is discovered and for which written claim is first made against 
the insured within the discovery period.

                          VII--Other Insurance

    A. This insurance is primary insurance under any insurance afforded 
by a Master Policy-Nuclear Energy Liability Insurance (Secondary 
Financial Protection) issued by NELIA or MAELU.
    B. If an insured has other valid and collectible insurance, except 
under a MAELU Policy, for loss or expense covered by this policy, this 
shall be excess insurance over such other insurance. If the insured has 
insurance under a MAELU Policy, whether the insurance is collectible or 
not, the companies shall then be liable under this policy only for such 
proportion of loss or expense as the amount stated as the Policy 
Aggregate Limit in Section VIII of this policy bears to the sum of such 
amount and the corresponding amount stated in the MAELU Policy.

                   VIII--Amount of Insurance Available

                        A. Policy Aggregate Limit

    1. The Policy Aggregate Limit is $124 million. This limit is not 
cumulative from year to year. The limit applies to all new worker's 
claims that qualify for coverage under this policy (herein called 
qualified claims).
    2. The Policy Aggregate Limit applies collectively to all new 
worker's claims. Such claims may be paid by NELIA on behalf of the 
companies as the claims, in NELIA's discretion, become ready for 
disposition, and claims costs may be paid as they become due, all 
without regard to the order in which such claims were made and without 
any obligation to maintain, reserve or use any portion of the Policy 
Aggregate Limit for claims reported under any particular Certificate.

                B. Limitation of the Companies' Liability

    1. Regardless of the number of (a) Certificates issued to form a 
part of this policy, (b) persons and organizations who are insureds 
under such Certificates, (c) qualified claims, or (d) years this policy 
or any such Certificates shall continue in force, the Policy Aggregate 
Limit is the total liability of the companies for all of their 
obligations under this policy, including the defense of suits and the 
payment of damages and claims costs.
    2. This policy provides for certain automatic reinstatements of the 
Policy Aggregate Limit. Regardless of such provision, if, during the 
policy period or thereafter, the total payments of the companies for
    (a) Non-ratable incurred losses, and
    (b) Those ratable incurred losses for which the companies have not 
been reimbursed

[[Page 654]]

under the Industry Retrospective Rating Plan Premium Endorsement 
described in Attachment 1 to this policy,

equal $124 million, the Policy Aggregate Limit shall be deemed to be 
exhausted, and shall not be further reinstated except by an endorsement 
issued to form a part of this policy for additional premium as 
determined by the companies.
    C. Reduction and Reinstatement of the Policy Aggregate Limit
    1. Each payment made by the companies in discharge of their 
obligations under this policy shall reduce the Policy Aggregate Limit by 
the amount of such payment.
    2. The companies shall, however, automatically reinstate the policy 
aggregate limit until the total amount of such reinstatements equals 
$124 million, but in no event shall there be any automatic 
reinstatements after the Policy Aggregate Limit is exhausted pursuant to 
the provisions of subsection B.2. above. Thereafter, there shall be no 
further reinstatement of the Policy Aggregate Limit except by an 
endorsement issued to form a part of this policy for additional premium 
as determined by the companies.
    3. It is a condition of this insurance that the companies shall have 
the right to reimburse themselves, as a matter of first priority, from 
funds held by NELIA in the Special Reserve Account described in 
Attachment 1 to this policy or from retrospective premiums received by 
NELIA for this insurance. The amount of reimbursement shall be equal to 
95% of each payment made by the companies with respect to their 
obligations under this policy.

             IX--Insured's Duties in Case of Claims or Suits

    A. Notice of Claims or Suits
    In the event of any claim or suit involving bodily injury to which a 
Certificate issued to form a part of this policy applies, written notice 
containing particulars sufficient to identify the insured and also 
reasonably obtainable information with respect to the time, place and 
circumstances thereof shall be given by or for the insured to the 
companies as soon as practicable. The insured shall immediately forward 
to the companies every demand, notice, summons or other process received 
relating to claims or suits against the insured.
    B. Assistance and Cooperation
    The insured shall cooperate with the companies and, upon their 
request, shall:
    (1) Attend hearings and trials; and
    (2) Assist in making settlements, securing and giving evidence, 
obtaining the attendance of witnesses and in the conduct of any legal 
proceedings in connection with the subject matter of this insurance.
    The insured shall not, except at the insured's own cost, make any 
payment, assume any obligation or incur any expense.

                             X--Subrogation

    In the event of any payment through a Certificate to form a part of 
this policy, the companies shall be subrogated to all the insured's 
rights of recovery therefor against any person or organization, and the 
insured shall execute and deliver instruments and papers, and so 
whatever else is necessary to secure such rights. Prior to knowledge of 
bodily injury caused by the nuclear energy hazard the insured may waive 
in writing any or all right of recovery against any person or 
organization, but after such knowledge the insured shall not waive or 
otherwise prejudice any such right of recovery.
    The companies hereby waive any right of subrogation against (1) any 
other insured of (2) the United States of America or any of its agencies 
acquired by reason of any payment under this policy.
    It is a condition of this policy that if an insured makes a recovery 
on account of any such injury, the insured shall repay to the companies 
the amount to which the companies would have been entitled had the 
foregoing provisions, or any of them, not been included in the policy.

                      XI--Inspection and Suspension

    The companies shall be permitted, but not obligated, to inspect at 
any time the facility as described in any Certificate and all books, 
records and operation relating thereto, both with respect to this 
insurance, and any other nuclear energy liability insurance and property 
insurance also afford with respect thereto by members of NELIA, American 
Nuclear Insurers, MAELU or MAERP Reinsurance Association.
    If a representative of the companies discovers a condition which he 
or she believes to be unduly dangerous with respect to the risks insured 
under the Certificate, a representative of the companies may request 
such condition to be corrected without delay. In the event of 
noncompliance with the request, an officer of NELIA may, by written 
notice mailed or delivered to the first Named Insured, with similar 
notice to the United States Nuclear Regulatory Commission, suspend the 
insurance afforded by a Certificate issued by NELIA effective 12:00 
midnight of the next business day of such Commission following the date 
that such Commission receives such notice. The period of such suspension 
shall terminate as of the time stated in a written notice from NELIA to 
the first Named Insured that such condition has been corrected.
    Neither the right to make such inspections or suspensions nor the 
making thereof nor any advice or report resulting therefrom

[[Page 655]]

shall constitute an undertaking, on behalf of or for the benefit of the 
Named Insureds or others to determine or warrant that the facility or 
operations relating thereto are safe or healthful, or are in compliance 
with any law, rule or regulation.
    In consideration of the issuance or continuation of a Certificate, 
the Named Insureds agree that neither the companies nor any persons or 
organizations making such inspections on their behalf shall be liable 
for damage to the facility or any consequential damage or cost resulting 
therefrom, including but not limited to any such damage or cost relating 
to interruption of business or manufacture, arising out of the making of 
or failure to make any such inspection of the facility, any report 
thereon, or any such suspension of insurance, but this provision does 
not limit the companies' contractual obligations under a Certificate 
issued by NELIA or any policy issued by NELIA or American Nuclear 
Insurers affording the insured nuclear energy liability or property 
insurance.

                    XII--Cancellation of Certificates

    The first Named Insured designated in a Certificate issued to from a 
part of this policy any cancel such Certificate by mailing to the 
companies and the United States Nuclear Regulatory Commission written 
notice stating when, not less than 30 days thereafter, such cancellation 
shall be effective.
    The companies may cancel any such Certificate by mailing to the 
first Named Insured designated therein at the address shown in such 
Certificate and to the United States Nuclear Regulatory Commission 
written notice, stating when, not less than 90 days thereafter, such 
cancellation shall be effective; provided in the event of non-payment of 
premium, or if the operator of the facility, as designated in the 
Declarations of the Certificate, is replaced by another person or 
organization, such Certificate may be cancelled by the companies by 
mailing to the first Named Insured at the address shown therein and to 
the United States Nuclear Regulatory Commission written notice, stating 
when, not less than 30 days thereafter, such cancellation shall be 
effective.
    The mailing of notice as aforesaid shall be sufficient proof of 
notice. The effective date and hour of cancellation stated in the notice 
shall become the end of the Certificate period. Delivery of such written 
notice either by the first Named Insured or the companies shall be 
equivalent to mailing.
    Upon cancellation of a Certificate, other than as of the end of 
December 31 in any year, the earned standard premium for the period such 
Certificate has been in force since the preceding December 31 shall be 
computed in accordance with the following provisions:
    (1) If the first Named Insured cancels, the earned standard premium 
for such period shall be computed in accordance with the customary 
annual short rate table and procedure; provided, however, that if the 
first Named Insured cancels after knowledge of bodily injury caused by 
the nuclear energy hazard, all premiums theretofore paid or payable 
shall be fully earned;
    (2) If the companies cancel, the earned standard premium for such 
period shall be computed pro rata.
    Premium adjustment, if any, may be made either at the time of 
cancellation or as soon as practicable after cancellation becomes 
effective, but payment of tender of unearned premium is not a condition 
of cancellation.
    Cancellation of a Certificate shall not affect the rights and 
obligations of the Named Insureds under the Insureds under the Industry 
Retrospective Rating Plan Premium Endorsement forming a part of the 
Certificate.

                        XIII--General Conditions

                               A. Premium

    The Named Insureds designated in a Certificate issued by NELIA shall 
pay the companies the premiums for the Certificate in accordance with 
the provisions of the Industry Retrospective Rating Plan Premium 
Endorsement described in Attachment 1 to this policy.

                        B. Modifications, Waiver

    The provisions of this policy or a Certificate issued to form a part 
hereof shall not be changed or waived except by an endorsement issued by 
the companies to form a part of the policy or Certificate.

                              C. Assignment

    Assignment of interest under a Certificate issued to form a part of 
this policy shall not bind the companies until their consent is endorsed 
thereon. If, however, a Named Insured shall die or be declared bankrupt 
or insolvent, the Certificate shall cover the Named Insured's legal 
representative, receiver or trustee as an insured, but only with respect 
to liability as such, and then only provided written notice of the 
appointment as legal representative, receiver or trustee is given to the 
companies within 10 days after such appointment.

                                 D. Suit

    No suit or action on a Certificate issued to form a part of this 
policy shall lie against the companies or any of them unless, as a 
condition precedent thereto, the insured shall have fully complied with 
all the terms of the policy, nor until the amount of the insured's 
obligation to pay shall have been finally determined either by judgment 
against the insured after actual trial or by written agreement of the 
insured, the claimant and the companies.

[[Page 656]]

    Any person or organization or the legal representative thereof who 
has secured such judgment of written agreement shall thereafter be 
entitled to recover under the Certificate to the extent of the insurance 
afforded by this policy through the Certificate. No person or 
organization shall have any right under the Certificate to join the 
companies or any of them as parties to any action against the insured to 
determine the insured's liability, nor shall the companies or any of 
them be impleaded by the insured or the insured's legal representative.
    Bankruptcy or insolvency of the insured or the insured's estate 
shall not relieve the companies of any of their obligations under this 
policy.

               E. Authorization of The First Named Insured

    Except with respect to compliance with the obligations imposed on 
the insured by the Sections of this policy entitled Insured's Duties in 
Case of Claims or Suits, Subrogation and Suit, the first Named Insured 
designated in the Declarations of a Certificate issued to form a part of 
this policy is authorized to act for every other insured in all matters 
pertaining to this insurance.

                        F. Insured Representation

    Any notice, sworn statement of proof of Loss which may be required 
by the provisions of this policy may be given to any one of the 
companies specified in the Schedule of Subscribing Companies attached 
hereto. Such notice, statement or proof of Loss so given shall be valid 
and binding on all such companies.
    In any action or suit against such companies, service of process may 
be made on any one of them and such service shall be valid and binding 
service on all such companies.
    Nuclear Energy Liability Insurance Association is the agent of the 
companies with respect to all matters pertaining to this insurance. All 
notices or other communications required by this policy may be given to 
such agent at its office at: Nuclear Energy Liability Insurance 
Association, The Exchange, Suite 245, 270 Farmington Avenue, Farmington, 
Connecticut 06032, with the same force and effect as if given directly 
to the companies. Any requests, demands or agreements made by such agent 
shall be deemed to have been made directly by the companies.

  G. Changes in Subscribing Companies and Their Proportionate Liability

    By acceptance of this policy the Named Insureds agree that the 
members of Nuclear Energy Liability Insurance Association liable under 
this policy, and the proportionate liability of each such member, may 
change from year to year, and further agree that regardless of such 
changes:
    (1) Each company subscribing this policy upon its issuance shall be 
liable only for its stated proportion of any obligation assumed or 
expense incurred under this policy because of bodily injury to new 
workers caused, during the period from the effective date of this policy 
to the close of December 31 next following, by the nuclear energy 
hazard; for each subsequent calendar year, beginning January 1 next 
following the effective date of this policy, any change in the 
subscribing companies and the proportionate liability of each such 
company shall be stated in an endorsement issued to form a part of this 
policy, duly executed and attested by the President of Nuclear Energy 
Liability Insurance Association on behalf of each such company, and a 
copy of which will be mailed or delivered to the first Named Insured of 
each Certificate.
    (2) The liability of any subscribing company shall not be cumulative 
from year to year.

                             H. Declarations

    By acceptance of this Master Worker Policy, the Named Insureds 
designated in a Certificate agree that the statements in such 
Certificate are their agreements and representations, that this Master 
Worker Policy and such Certificate are issued in reliance upon the truth 
of such representations and that this Master Worker Policy and such 
Certificate embody all agreements between such Named Insureds and the 
companies or any of their agents relating to this insurance.
    In Witness Whereof, the companies subscribing this policy have 
caused the policy to be executed and attested on their behalf by the 
President of Nuclear Energy Liability Insurance Association and duly 
countersigned by an authorized representative, but this policy shall be 
binding on each company only to the extent of its designated proportion 
of any obligation assumed or expense incurred under this policy.

For the Subscribing Companies:
Date of Issue: --------  19----

________________________________________________________________________
Countersigned by: (Authorized Representative)

             NUCLEAR ENERGY LIABILITY INSURANCE ASSOCIATION

                     Nuclear Energy Liability Policy

      (Facility Worker Form) herein called the Master Worker Policy

                Certificate of Insurance, NMWPC-1(1/1/88)

    Certificate No. ------
    This is to certify that the insured named in Item 1 of the 
Declarations hereof, hereinafter called the Named Insureds, have 
obtained insurance under the Master Worker

[[Page 657]]

Policy issued by Nuclear Energy Liability Insurance Association on 
behalf of its members. The insurance is subject to all of the provisions 
of the Certificate and the Master Worker Policy.

                             1--Declarations

                 Item 1.--Named Insureds and Addresses:

                  Item 2.--Certificate Coverage Period:

    Beginning at 12:01 a.m. January 1, 1988 and ending at the close of 
December 31, 1992, Eastern Standard Time, or at the time and date this 
Certificate is cancelled or terminated, whichever first occurs.

                  Item 3.--Description of the Facility:

    Location:
    Type:
    Operator of the Facility:

                 Item 4.--Amount of Insurance Available:

    The amount of insurance afforded by the Master Worker Policy through 
this Certificate shall be determined by Section VIII of the Master 
Worker Policy and all of the other provisions of the policy relating 
thereto.

                       Item 5.--Advance Premium: $

                      2--Application of Certificate

    This Certificate applies only to bodily injury to a new worker (1) 
which is caused, during the Certificate Coverage Period, by the nuclear 
energy hazard and (2) which is discovered and for which written claim is 
first made against an insured under the Certificate within the discovery 
period of the Master Worker Policy.

                  3--Industry Retrospective Rating Plan

    All insurance under the Master Worker Policy is subject to the 
Industry Retrospective Rating Plan in use by the companies. No insurance 
is provided under this Certificate unless and until the first Named 
Insured has accepted in writing the Industry Retrospective Rating Plan 
Premium Endorsement and a copy of the signed endorsement has been issued 
by the companies to form a part of this Certificate.
    In Witness Whereof, the companies subscribing the Master Worker 
Policy have caused this Certificate to be executed and attested on their 
behalf by the President of Nuclear Energy Liability Insurance 
Association and duly countersigned by an authorized representative.
    For the Subscribing Companies:
    Date of Issue ---------- 19 ------
Countersigned by:_______________________________________________________
(Authorized Representative)

             NUCLEAR ENERGY LIABILITY INSURANCE ASSOCIATION

                   Nuclear Energy Liability Insurance

 Industry Retrospective Rating Plan Premium Endorsement, NE-W-1(1/1/88)

    It is agreed that:

                             1. Definitions

    With reference to the premium for the Certificate of which this 
endorsement forms a part:
    Master Worker Policy means the Master Worker Policy issued by NELIA;
    Certificate Holder means the first Named Insured in a Certificate 
issued to form a part of the Master Worker Policy;
    Advance premium, for any calendar year, is the estimated standard 
premium for that calendar year;
    Standard premium, for any calendar year, is the premium for that 
calendar year computed in accordance with the companies' rules, rates, 
rating plans (other than the Industry Retrospective Rating Plan), 
premiums and minimum premiums applicable to this insurance. Standard 
premium includes elements for premium taxes, expenses, profit and 
contingencies, guaranteed cost insurance and estimated reserve premium. 
The elements of standard premium, other than for premium taxes and 
estimated reserve premium, are not subject to retrospective adjustment;
    Reserve premium means that portion of the premium for a Certificate 
(including reserve premium charges paid) that is specifically allocated 
under the Industry Retrospective Rating Plan for ratable incurred 
losses;
    Industry reserve premium, for any period, is the sum of the reserve 
premiums for that period for all Certificates issued to form a part of 
the Master Worker Policy;
    Retrospective adjustment ratio, for any period, is the ratio of the 
reserve premium for this Certificate for that period to the industry 
reserve premium for the same period;
    Incurred losses means the sum of all:
    (1) Losses and expenses paid by NELIA, and
    (2) Reserves for losses and expenses as estimated by NELIA, because 
of obligations assumed and expenses incurred in connection with such 
obligations by the members of NELIA under the Master Worker Policy;
    Ratable incurred losses means 95% of incurred losses. Ratable 
incurred losses are the portion of incurred losses which are not covered 
by the guaranteed cost insurance element of standard premiums;
    Non-ratable incurred losses means 5% of incurred losses. Nonratable 
incurred losses are the portion of incurred losses which are covered by 
the guaranteed cost insurance element of standard premiums;
    Reserve for refunds, as of any date, is the algebraic difference 
between:

[[Page 658]]

    (1) All industry reserve premium for the period from January 1, 1988 
through such date, minus
    (2) The total for the same period of (a) all ratable incurred losses 
and (b) all industry reserve premium refunds made under the Industry 
Retrospective Rating Plan by members of NELIA;
    Industry reserve premium charge, for any period, means the amount 
determined pursuant to the provisions of Section 4 of this endorsement 
for payment by the Named Insureds under Certificates;
    Reserve premium charge means the portion of an industry reserve 
premium charge payable by the Named Insureds under Certificates;
    Industry reserve premium refund for any period, means the amount 
determined pursuant to the provisions of Section 4 of this endorsement 
for return to the Named Insureds under Certificates;
    Reserve premium refund means the portion of an industry reserve 
premium refund returnable to the Named Insureds under this Certificate.

               2. Payment of Advance and Standard Premiums

    The Named Insureds shall pay the companies the advance premium 
stated in the declarations, for the period from the effective date of 
this Certificate through December 31 following. Thereafter, at the 
beginning of each calendar year while this Certificate is in force, the 
Named Insureds shall pay the advance premium for such year to the 
companies.
    The advance premium for each calendar year shall be stated in the 
Advance and Standard Premium Endorsement for the year issued by the 
companies as soon as practicable prior to or after the beginning of the 
year.
    As soon as practicable after the end of a calendar year or the 
Certificate Coverage Period, the standard premium for the preceding year 
shall be finally determined and stated in the Advance and Standard 
Premium Endorsement for that year. If the Standard Premium exceeds the 
Advance Premium paid for that year, the Named Insureds shall pay the 
excess to the companies; if less, the companies shall return to the 
Named Insureds the excess portion paid.
    The Named Insureds shall maintain records of the information 
necessary for premium computation and shall send copies of such records 
to the companies as directed, at the end of each calendar year, at the 
end of the Certificate Coverage Period and at such other times as the 
companies may direct.

           3. Special Reserve Account; Use of Reserve Premiums

    NELIA shall maintain on behalf of its members a Special Reserve 
Account for holding collectively all reserve premiums paid for all 
Certificates issued to form a part of the Master Worker Policy. Such 
premiums, together with any undistributed net income realized thereon 
after taxes and investment expenses, shall be used for the following 
purposes only:
    (1) To pay ratable incurred losses or, in the event ratable incurred 
losses are paid under the Master Worker Policy from funds advanced by 
the members of NELIA subscribing the policy, to reimburse such members 
as a matter of first priority for the funds advanced;
    (2) To refund any amounts so held to the Named Insureds, as provided 
in Section 4.
    No members of NELIA and no Named Insureds shall have any individual 
interest in or claim upon amounts held in the special Reserve Account, 
except to participate proportionally in any refund or reimbursement 
provided for above.
    All reserve premiums paid or payable for this certificate may be 
used by NELIA to discharge the obligations of its members under the 
Master Worker Policy with respect to the above purposes and arising out 
of claims made under any Certificate issued to form a part of the Master 
Worker Policy.

            4. Payment of Reserve Premium Charges and Refunds

    As soon as practicable after each December 31 the companies will 
review the status of the reserve for refunds and report their findings 
to all Certificate Holders.
    If, at any time, the companies find that there is negative balance 
in the reserve for refunds and that such condition is likely to prevail, 
they shall determine an appropriate industry reserve premium charge. 
Similarly, if the companies find that there is a surplus positive 
balance, they shall determine an appropriate industry reserve premium 
refund.
    The portion of an industry reserve premium charge or an industry 
reserve premium refund that is:
    (1) Payable by the Named Insureds as a reserve premium charge, or
    (2) Due such insureds as reserve premium refund, shall be determined 
by multiplying the industry reserve premium charge or the industry 
reserve premium refund by the retrospective adjustment ratio applicable 
to this Certificate.
    The amount of any reserve premium charge shall be stated in a 
Retrospective Reserve Premium Charge Endorsement. The charge shall be 
paid promptly after receipt of the endorsement.
    When all claims covered by the Master Worker Policy are closed the 
companies shall make a final review and report, and shall determine a 
final industry reserve premium charge or industry reserve premium refund 
equal to the amount of the balance.

[[Page 659]]

                            5. Final Premium

    The final premium for this Certificate shall be (a) the sum of the 
standard premiums for each calendar year, or portion thereof, during 
which the Certificate remains in force plus (b) the sum of all reserve 
premiums, including all reserve premium charges, minus (c) the sum of 
all reserve premium refunds.

                   6. Reserve Premium Charge Agreement

    In consideration of (a) the participation of Named Insureds in other 
Certificates subject to the Industry Retrospective Rating Plan, (b) the 
undertaking of such Named Insureds to pay their appropriate share of any 
industry reserve premium charge and (c) the obligations assumed by the 
members of NELIA under the Master Worker Policy, the Named Insureds, by 
acceptance of the Master Worker Policy, agree:
    (1) That the insurance provided by the Master Policy applies 
collectively to all claims covered by the policy through any and all 
Certificates issued to form a part of the policy.
    (2) That the right of each Named Insured under a Certificate to 
receive reserve premium refunds and the obligation of each such insured 
to pay reserve premiums charges applies to all claims covered by the 
Master Worker Policy and continues until all such claims are closed, 
whether or not such claims were before the inception of the Certificate 
or after its termination.
    (3) To pay all reserve premium charges due promptly after receipt of 
the Retrospective Reserve Premium Charge Endorsement, whether or not the 
Certificate is terminated. Any reserve premium charge shall be overdue 
if not paid within 60 days of the date of the invoice for the charge.
    Overdue reserve premium charges shall bear interest from the due 
date until paid at an annual rate equal to the sum of (a) 3% plus (b) a 
rate of interest equal to Moody's Average Public Utility Bond Yield 
described in the issue of Moody's Bond Survey current on the due date. 
Any reserve premium refund due to Named Insureds under a Certificate 
shall be used to pay any overdue reserve premium charges to such Named 
Insureds.

                   7. Reserve Premium Refund Agreement

    Each member of NELIA subscribing the Master Worker Policy for any 
calendar year, or portion thereof, with respect to which an industry 
reserve premium refund is determined to be payable thereby agrees for 
itself, severally and not jointly, and in the respective proportion of 
its liability assumed under the Master Worker Policy for that calendar 
year, to return promptly to the Named Insureds that portion of such 
refund due such Insureds, as determined in accordance with the 
provisions of this endorsement.
    Accepted and agreed by the first Named Insured in behalf of itself 
and every other Named Insured stated in the Declarations of the 
Certificate of which this endorsement forms a part.
________________________________________________________________________
(First Named Insured--Type or Print
Date____________________________________________________________________
By______________________________________________________________________
(Signature of Authorized Officer)
________________________________________________________________________
(Type of Print Named and Title of Officer)
Effective Date of this Endorsement______________________________________
12:01 a.m. Standard Time
To form a part of Policy No_____________________________________________
Issued to_______________________________________________________________
Date of Issue___________________________________________________________
    For the subscribing companies:
By______________________________________________________________________
General Manager
    Endorsement No:
Countersigned by________________________________________________________

             NUCLEAR ENERGY LIABILITY INSURANCE ASSOCIATION

                   Nuclear Energy Liability Insurance

    Advance Premium and Standard Premium Endorsement, NE-W-2(1/1/88)

                           Calendar Year 1988

                           1. Advance Premium

    It is agreed that the Advance Premium due the companies for the 
period designated above is:
$_______________________________________________________________________

                 2. Standard Premium and Reserve Premium

    In the absence of a change in the Advance Premium indicated above, 
it is agreed that, subject to the previsions of the Industry 
Retrospective Rating Plan, the Standard Premium is said Advance Premium 
and the estimated reserve Premium element of the Standard Premium is:
$_______________________________________________________________________
    Explanation of Use of this Endorsement: This endorsement will be 
used in the first year of the Master Worker Policy. It states the 
Advance Premium and the estimated Reserve Premium for the year for the 
Certificate to which the endorsement is attached.
Effective Date of this Endorsement______________________________________
12:01 a.m. Standard Time
To form a part of Policy No_____________________________________________
Issued to_______________________________________________________________
Date of Issue___________________________________________________________
    For the subscribing companies:
By______________________________________________________________________
General Manager
    Endorsement No:
Countersigned by________________________________________________________

[[Page 660]]

             NUCLEAR ENERGY LIABILITY INSURANCE ASSOCIATION

                   Nuclear Energy Liability Insurance

    Advance Premium and Standard Premium Endorsement, NE-W-3 (1/1/88)

                         Calendar Year --------

    It is agreed that Items 1 and 2 of Endorsement No.        are 
amended to read:

                           1. Advance Premium

    It is agreed that the Advance Premium due the companies for the 
period designated above is:

$_______________________________________________________________________

                 2. Standard Premium and Reserve Premium

    In the absence of a change in the advance premium indicated above, 
it is agreed that, subject to the provisions of the Industry 
Retrospective Rating Plan, the Standard Premium is said Advance Premium 
and the estimated Reserve Premium element of the Standard Premium is:

$_______________________________________________________________________
    Explanation of Use of this Endorsement: This endorsement will be 
used for calendar years of the Master Worker Policy after the 1988 
calendar year. It states the Advance Premium and the estimated Reserve 
Premium for the year for the Certificate to which the endorsement is 
attached.

Effective Date of this Endorsement _____________________________________
12:01 a.m. Standard Time
To form a part of Policy No ____________________________________________
Issued to_______________________________________________________________
Date of Issue __________________________________________________________
    For the subscribing companies:

By _____________________________________________________________________

General Manager
Endorsement No. ________________________________________________________
Countersigned by________________________________________________________

             NUCLEAR ENERGY LIABILITY INSURANCE ASSOCIATION

                   Nuclear Energy Liability Insurance

    Retrospective Reserve Premium Charge Endorsement, NE-W-5 (1/1/88)

                   1. Industry Reserve Premium Charge

    In accordance with Section 4 of the Industry Retrospective Rating 
Plant Premium Endorsement attached to each Certificate to this policy, 
the companies have reviewed the status of the reserve for refunds, found 
that there is a negative balance in the reserve for refunds and have 
determined that an industry reserve premium charge, as indicated below, 
is appropriate:

$_______________________________________________________________________

                    2. Retrospective Adjustment Ratio

    The portion of the industry reserve premium charge payable by the 
Named Insureds under this Certificate is determined by multiplying such 
charge by this Certificate's retrospective adjustment ratio, which is:

________________________________________________________________________

                        3. Reserve Premium Charge

    The Named Insureds' portion of the industry reserve premium charge, 
as calculated above, is:
$_______________________________________________________________________
    Explanation of Use of this Endorsement: This endorsement will be 
issued by the companies under the Master Worker Policy after an industry 
reserve premium charge has been determined because there is a negative 
balance in the reserve for refunds. It states the reserve premium charge 
applicable to the Certificate to which the endorsement is attached.

Effective Date of this Endorsement______________________________________
12:01 a.m. Standard Time
To form a part of Policy No. ___________________________________________
Issued to_______________________________________________________________
Date of Issue __________________________________________________________
    For the subscribing companies
By______________________________________________________________________
General Manager
Endorsement No. ________________________________________________________
Countersigned by _______________________________________________________

[25 FR 2948, Apr. 7, 1960]

    Editorial Note: For Federal Register citations affecting 
Sec. 140.91, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 140.92  Appendix B--Form of indemnity agreement with licensees furnishing insurance policies as proof of financial protection.

    This indemnity agreement -------- is entered into by and between the 
-------- (hereinafter referred to as the licensee) and the United States 
Nuclear Regulatory Commission (hereinafter referred to as the 
Commission) pursuant to subsection 170c of the Atomic Energy Act of 
1954, as amended (hereinafter referred to as the Act).

                                Article I

    As used in this agreement,
    1. Nuclear reactor, byproduct material, person, source material, 
special nuclear material, and precautionary evacuation shall have the 
meanings given them in the Atomic Energy Act of 1954, as amended, and 
the regulations issued by the Commission.
    2.(a) For facilities designed for producing substantial amounts of 
electricity and having a rated capacity of 100,000 electrical kilowatts 
or more, and except when otherwise

[[Page 661]]

specifically provided, amount of financial protection means the amount 
specified in Item 2a. and b. of the Attachment annexed hereto, as 
modified by paragraph 8, Article II, with respect to common occurrences, 
and the amount available as secondary financial protection (in the form 
of private liability insurance available under an industry retrospective 
rating plan for deferred retrospective premium charges).
    (b) For all other facilities, and except where otherwise 
specifically provided, amount of financial protection means the amount 
specified in Item 2a. and b., of the Attachment annexed hereto, as 
modified by paragraph 8, Article II, with respect to common occurrences.
    3. (a) Nuclear incident means any occurrence including an 
extraordinary nuclear occurrence or series of occurrences at the 
location or in the course of transportation causing bodily injury, 
sickness, disease, or death, or loss of or damage to property, or loss 
of use of property, arising out of or resulting from the radioactive, 
toxic, explosive, or other hazardous properties of the radioactive 
material.
    (b) Any occurrence including an extraordinary nuclear occurrence or 
series of occurrences causing bodily injury, sickness, disease or death, 
or loss of or damage to property, or loss of use of property, arising 
out of or resulting from the radioactive, toxic, explosive or other 
hazardous properties of
    i. The radioactive material discharged or dispersed from the 
location over a period of days, weeks, months or longer and also arising 
out of such properties of other material defined as the radioactive 
material in any other agreement or agreements entered into by the 
Commission under subsection 170 c or k of the Act and so discharged or 
dispersed from the location as defined in any such other agreement, or
    ii. The radioactive material in the course of transportation and 
also arising out of such properties of other material defined in any 
other agreement entered into by the Commission pursuant to subsection 
170 c or k of the Act as the radioactive material and which is in the 
course of transportation,
shall be deemed to be a common occurrence. A common occurrence shall be 
deemed to constitute a single nuclear incident.
    4. Extraordinary nuclear occurrence means an event which the 
Commission has determined to be an extraordinary nuclear occurrence as 
defined in the Atomic Energy Act of 1954, as amended.
    5. In the course of transportation means in the course of 
transportation within the United States, or in the course of 
transportation outside the United States and any other nation, and 
moving from one person licensed by the Commission to another person 
licensed by the Commission, including handling or temporary storage 
incidental thereto, of the radioactive material to the location or from 
the location provided that:
    (a) With respect to transportation of the radioactive material to 
the location, such transportation is not by pre-determination to be 
interrupted by the removal of the material from the transporting 
conveyance for any purpose other than the continuation of such 
transportation to the location or temporary storage incidental thereto;
    (b) The transportation of the radioactive material from the location 
shall be deemed to end when the radioactive material is removed from the 
transporting conveyance for any purpose other than the continuation of 
transportation or temporary storage incidental thereto;
    (c) In the course of transportation as used in this agreement shall 
not include transportation of the radioactive material to the location 
if the material is also in the course of transportation from any other 
location as defined in any other agreement entered into by the 
Commission pursuant to subsection 170 c or k of the Act.
    6. Person indemnified means the licensee and any other person who 
may be liable for public liability.
    7. Public liability means any legal liability arising out of or 
resulting from a nuclear incident or precautionary evacuation (including 
all reasonable additional costs incurred by a State, or a political 
subdivision of a State, in the course of responding to a nuclear 
incident or precautionary evacuation), except (1) claims under State or 
Federal Workmen's Compensation Acts of employees of persons indemnified 
who are employed (a) at the location or, if the nuclear incident occurs 
in the course of transportation of the radioactive material, on the 
transporting vehicle, and (b) in connection with the licensee's 
possession, use or transfer of the radioactive material; (2) claims 
arising out of an act of war; and (3) claims for loss of, or damage to, 
or loss of use of (a) property which is located at the location and used 
in connection with the licensee's possession, use, or transfer of the 
radioactive material, and (b) if the nuclear incident occurs in the 
course of transportation of the radioactive material, the transporting 
vehicle, containers used in such transportation, and the radioactive 
material.
    8. The location means the location described in Item 4 of the 
Attachment hereto.
    9. The radioactive material means source, special nuclear, and 
byproduct material which (1) is used or to be used in, or is irradiated 
or to be irradiated by, the nuclear reactor or reactors subject to the 
license or licenses designated in the Attachment hereto, or (2) which is 
produced as the result of operation of said reactor(s).
    10. United States when used in a geographical sense includes Puerto 
Rico and all

[[Page 662]]

territories and possessions of the United States.

                               Article II

    1. At all times during the term of the license or licenses 
designated in Item 3 of the Attachment hereto, the licensee will 
maintain financial protection in the amount specified in Item 2 of the 
Attachment and in the form of the nuclear energy liability insurance 
policy designated in the Attachment. If more than one license is 
designated in Item 3 of the Attachment, the licensee agrees to maintain 
such financial protection until the end of the term of that license 
which will be the last to expire. The licensee shall, notwithstanding 
the expiration, termination, modification, amendment, suspension or 
revocation of any license or licenses designated in Item 3 of the 
Attachment, maintain such financial protection in effect until all the 
radioactive material has been removed from the location and 
transportation of the radioactive material from the location has ended 
as defined in paragraph 5(b), Article I of this section, or until the 
Commission authorizes the termination or the modification of such 
financial protection. The Commission will not unreasonably withhold such 
authorization.
    2. In the event of any payment by the insurer or insurers under a 
policy or policies specified in Item 5 of the Attachment hereto which 
reduces the aggregate limit of such policy or policies below the amount 
of financial protection, the licensee will promptly apply to his 
insurers for reinstatement of the amount specified in Item 2a of the 
Attachment (without reference to paragraph b of Item 2) and will make 
all reasonable efforts to obtain such reinstatement. In the event that 
the licensee has not obtained reinstatement of such amount within ninety 
days after the date of such reduction, and in the absence of good cause 
shown to the contrary, the Commission may issue an order requiring the 
licensee to furnish financial protection for such amount in another 
form.
    3. Any obligations of the licensee under subsection 53e(8) of the 
Act to indemnify the United States and the Commission from public 
liability, together with any public liability satisfied by the insurers 
under the policy or policies designated in the Attachment hereto, shall 
not in the aggregate exceed the amount of financial protection with 
respect to any nuclear incident, including the reasonable costs of 
investigating and settling claims and defending suits for damage.
    4. With respect to any extraordinary nuclear occurrence to which 
this agreement applies, the Commission, and the licensee on behalf of 
itself and other persons indemnified, insofar as their interests appear, 
each agree to waive:
    (a) Any issue or defense as to the conduct of the claimant or fault 
of persons indemnified, including, but not limited to:
    (1) Negligence;
    (2) Contributory negligence;
    (3) Assumption of the risk;
    (4) Unforeseeable intervening causes, whether involving the conduct 
of a third person or an act of God.

As used herein, conduct of the claimant includes conduct of persons 
through whom the claimant derives his cause of action;
    (b) Any issue or defense as to charitable or governmental immunity;
    (c) Any issue or defense based on any statute of limitations if suit 
is instituted within 3 years from the date on which the claimant first 
knew, or reasonably could have known, of his injury or damage and the 
cause thereof.
    The waiver of any such issue or defense shall be effective 
regardless of whether such issue or defense may otherwise be deemed 
jurisdictional or relating to an element in the cause of action. The 
waivers shall be judicially enforceable in accordance with their terms 
by the claimant against the person indemnified.
    5. The waivers set forth in paragraph 4 of this article:
    (a) Shall not preclude a defense based upon a failure to take 
reasonable steps to mitigate damages;
    (b) Shall not apply to injury or damage to a claimant or to a 
claimant's property which is intentionally sustained by the claimant or 
which results from a nuclear incident intentionally and wrongfully 
caused by the claimant;
    (c) Shall not apply to injury to a claimant who is employed at the 
site of and in connection with the activity where the extraordinary 
nuclear occurrence takes place if benefits therefore are either payable 
or required to be provided under any workmen's compensation or 
occupational disease law: Provided, however, That with respect to an 
extraordinary nuclear occurrence occurring at the facility, a claimant 
who is employed at the facility in connection with the construction of a 
nuclear reactor with respect to which no operating license has been 
issued by the Nuclear Regulatory Commission shall not be considered as 
employed in connection with the activity where the extraordinary nuclear 
occurrence takes place if:
    (1) The claimant is employed exclusively in connection with the 
construction of a nuclear reactor, including all related equipment and 
installations at the facility, and
    (2) No operating license has been issued by the NRC with respect to 
the nuclear reactor, and
    (3) The claimant is not employed in connection with the possession, 
storage, use or transfer of nuclear material at the facility;

[[Page 663]]

    (d) Shall not apply to any claim for punitive or exemplary damages, 
provided, with respect to any claim for wrongful death under any State 
law which provides for damages only punitive in nature, this exclusion 
does not apply to the extent that the claimant has sustained actual 
damages, measured by the pecuniary injuries resulting from such death 
but not to exceed the maximum amount otherwise recoverable under such 
law;
    (e) Shall be effective only with respect to those obligations set 
forth in this agreement;
    (f) Shall not apply to, or prejudice the prosecution or defense of, 
any claim or portion of claim which is not within the protection 
afforded under (1) the limit of liability provisions under subsection 
170(e) of the Atomic Energy Act of 1954, as amended, and (2) the terms 
of this agreement and the terms of the nuclear energy liability 
insurance policy or policies designated in the attachment hereto.
    6. The obligations of the licensee under this agreement shall apply 
only with respect to nuclear incidents occurring during the term of this 
agreement.
    7. Upon the expiration or revocation of any license designated in 
Item 3 of the Attachment, the Commission will enter into an appropriate 
amendment of this agreement with the licensee reducing the amount of 
financial protection required under this Article; provided, that the 
licensee is then entitled to a reduction in the amount of financial 
protection under applicable Commission regulations and orders.
    8. With respect to any common occurrence,
    (a) If the sum of limit of liability of any Nuclear Energy Liability 
Insurance Association policy designated in Item 5 of the Attachment and 
the limits of liability of all other nuclear energy liability insurance 
policies (facility form) applicable to such common occurrence and issued 
by Nuclear Energy Liability Insurance Association exceeds $155,000,000 
the amount of financial protection specified in Item 2 a and b of the 
Attachment shall be deemed to be reduced by that proportion of the 
difference between said sum and $155,000,000 as the limit of liability 
of the Nuclear Energy Liability Insurance Association policy designated 
in Item 5 of the Attachment bears to the sum of the limits of liability 
of all nuclear energy liability insurance policies (facility form) 
applicable to such common occurrence and issued by Nuclear Energy 
Liability Insurance Association;
    (b) If the sum of the limit of liability of any Mutual Atomic Energy 
Liability Underwriters policy designated in Item 5 of the Attachment and 
the limits of liability of all other nuclear energy liability insurance 
policies (facility form) applicable to such common occurrence and issued 
by Mutual Atomic Energy Liability Underwriters exceeds $45,000,000, the 
amount of financial protection specified in Item 2 a and b of the 
Attachment shall be deemed to be reduced by that proportion of the 
difference between said sum and $45,000,000 as the limit of liability of 
the Mutual Atomic Energy Liability Underwriters policy designated in 
Item 5 of the Attachment bears to the sum of the limits of liability of 
all nuclear energy liability insurance policies (facility form) 
applicable to such common occurrence and issued by Mutual Atomic Energy 
Liability Underwriters;
    (c) If any of the other applicable agreements is with a person who 
has furnished financial protection in a form other than a nuclear energy 
liability insurance policy (facility form) issued by Nuclear Energy 
Liability Insurance Association or Mutual Atomic Energy Liability 
Underwriters, and if also the sum of the amount of financial protection 
established under this agreement and the amounts of financial protection 
established under all other applicable agreements exceeds an amount 
equal to the sum of $200,000,000 and the amount available as secondary 
financial protection, the obligations of the licensee shall not exceed a 
greater proportion of an amount equal to the sum of $200,000,000 and the 
amount available as secondary financial protection, than the amount of 
financial protection established under this agreement bears to the sum 
of such amount and the amounts of financial protection established under 
all other applicable agreements.
    (d) As used in this paragraph 8., Article II, and in Article III, 
other applicable agreements means each other agreement entered into by 
the Commission pursuant to subsection 170(c) of the Act in which 
agreement the nuclear incident is defined as a common occurrence. As 
used in this paragraph 8., Article II, the obligations of the licensee 
means the obligations of the licensee under subsection 53e(8) of the Act 
to indemnify the United States and the Commission from public liability, 
together with any public liability satisfied by the insurers under the 
policy or policies designated in the Attachment, and the reasonable 
costs incurred by the insurers in investigating and settling claims and 
defending suits for damage.
    9. The obligations of the licensee under this Article shall not be 
affected by any failure or default on the part of the Commission or the 
Government of the United States to fulfill any or all of its obligations 
under this agreement. Bankruptcy or insolvency of any person indemnified 
other than the licensee, or the estate of any person indemnified other 
than the licensee, shall not relieve the licensee of any of his 
obligations hereunder.

[[Page 664]]

                               Article III

    1. The Commission undertakes and agrees to indemnify and hold 
harmless the licensee and other persons indemnified, as their interest 
may appear from public liability.
    2. With respect to damage caused by a nuclear incident to property 
of any person legally liable for the nuclear incident, the Commission 
agrees to pay to such person those sums which such person would have 
been obligated to pay if such property had belonged to another; 
provided, that the obligation of the Commission under this paragraph 2 
does not apply with respect to:
    (a) Property which is located at the location described in Item 4 of 
the Attachment or at the location described in Item 3 of the 
declarations attached to any nuclear energy liability insurance policy 
designated in Item 5 of the Attachment;
    (b) Property damage due to the neglect of the person indemnified to 
use all reasonable means to save and preserve the property after 
knowledge of a nuclear incident;
    (c) If the nuclear incident occurs in the course of transportation 
of the radioactive material, the transporting vehicle and containers 
used in such transportation;
    (d) The radioactive material.
    3. [Reserved]
    4. (a) The obligations of the Commission under this agreement shall 
apply only with respect to such public liability and such damage to 
property of persons legally liable for the nuclear incident (other than 
such property described in the proviso to paragraph 2 of this Article) 
as in the aggregate exceed the amount of financial protection.
    (b) With respect to a common occurrence, the obligations of the 
Commission under this agreement shall apply only with respect to such 
public liability and such damage to property of persons legally liable 
for the nuclear incident (other than such property described in the 
proviso to paragraph 2 of this Article) as in the aggregate exceed 
whichever of the following is lower: (1) The sum of the amounts of 
financial protection established under this agreement and all other 
applicable agreements; or (2) an amount equal to the sum of $200,000,000 
and the amount available as secondary financial protection.
    5. The obligations of the Commission under this agreement shall 
apply only with respect to nuclear incidents occurring during the term 
of this agreement.
    6. The obligations of the Commission under this and all other 
agreements and contracts to which the Commission is a party shall not 
with respect to any nuclear incident, in the aggregate exceed whichever 
of the following is the lowest: (a) $500,000,000; (b) $560,000,000 less 
the amount of financial protection required under this agreement; or (c) 
with respect to a common occurrence, $560,000,000 less the sum of the 
amounts of financial protection established under this agreement and all 
other applicable agreements.
    7. The obligations of the Commission under this agreement, except to 
the licensee for damage to property of the licensee, shall not be 
affected by any failure on the part of the licensee to fulfill its 
obligations under this agreement. Bankruptcy or insolvency of the 
licensee or any other person indemnified or of the estate of the 
licensee or any other person indemnified shall not relieve the 
Commission of any of its obligations hereunder.

                               Article IV

    1. When the Commission determines that the United States will 
probably be required to make indemnity payments under the provisions of 
this agreement, the Commission shall have the right to collaborate with 
the licensee and other persons indemnified in the settlement and defense 
of any claim (provided that no government indemnity that would otherwise 
be available to pay public liability claims is used for these purposes) 
and shall have the right (a) to require the prior approval of the 
Commission for the settlement or payment of any claim or action asserted 
against the licensee or other person indemnified for public liability or 
damage to property of persons legally liable for the nuclear incident 
which claim or action the licensee or the Commission may be required to 
indemnify under this agreement; and (b) to appear through the Attorney 
General of the United States on behalf of the licensee or other person 
indemnified, take charge of such action and settle or defend any such 
action. If the settlement or defense of any such action or claim is 
undertaken by the Commission, the licensee shall furnish all reasonable 
assistance in effecting a settlement or asserting a defense.
    2. Neither this agreement nor any interest therein nor claim 
thereunder may be assigned or transferred without the approval of the 
Commission.

                                Article V

    The parties agree that they will enter into appropriate amendments 
of this agreement to the extent that such amendments are required 
pursuant to the Atomic Energy Act of 1954, as amended, or licenses, 
regulations or orders of the Commission.

                               Article VI

    The licensee agrees to pay to the Commission such fees as are 
established by the Commission pursuant to regulations or orders of the 
Commission.

                               Article VII

    The term of this agreement shall commence as of the date and time 
specified in Item 6 of the Attachment and shall terminate at the time of 
expiration of that license

[[Page 665]]

specified in Item 3 of the Attachment, which is the last to expire; 
provided that, except as may otherwise be provided in applicable 
regulations or orders of the Commission, the term of this agreement 
shall not terminate until all the radioactive material has been removed 
from the location and transportation of the radioactive material from 
the location has ended as defined in paragraph 5(b), Article I of this 
section. Termination of the term of this agreement shall not affect any 
obligation of the licensee or any obligation of the Commission under 
this agreement with respect to any nuclear incident occurring during the 
term of this agreement.

                              Article VIII

    The following provisions are applicable to each licensee operating a 
facility designed for producing substantial amounts of electricity and 
having a rated capacity of 100,000 electrical kilowatts or more;
    1. Each licensee is required to have and maintain financial 
protection in an amount specified in Item 2 a and b of the Attachment 
annexed hereto, and the amount available as secondary financial 
protection (in the form of private liability insurance available under 
an industry retrospective rating plan providing for deferred premium 
charges); Provided, however, That under such a plan for deferred premium 
charges, such charges for each nuclear reactor which is licensed to 
operate shall not exceed $63,000,000 with respect to any single nuclear 
incident (plus any surcharge assessed under subsection 170o.(1)(E) of 
the Act) nor exceed $10,000,000 per incident within one calendar year. 
If the licensee fails to pay assessed deferred premiums, the Commission 
reserves the right to pay those premiums on behalf of the licensee and 
to recover the amount of such premiums from the licensee.
    2. The Commission shall require the immediate submission of 
financial statements by those licensees who indicate, after an 
assessment of the retrospective premium by the insurance pools, that 
they will not pay the assessment. Such financial statements shall 
include, as a minimum, exhibits indicating internally generated funds 
from operations and accumulated retained earnings. Subsequent submission 
of financial statements by such licensees may be requested by the 
Commission, as required.
    3. If premiums are paid by the Commission as provided in paragraph 
1, payment by the Commission shall create a lien in the amount paid in 
favor of the United States upon all property and rights to property, 
whether real or personal, belonging to such licensee. The lien shall 
arise at the time payment is made by the Commission and shall continue 
until the liability for the amount (or a judgment against the licensee 
arising out of such liability) is satisfied or becomes unenforceable. 
The Commission will issue a certificate of release of any such lien if 
it finds that the liability for the amount has been fully satisfied or 
has become legally unenforceable.
    4. If the Commission determines that the licensee is financially 
able to reimburse the Commission for a deferred premium payment made in 
its behalf, and the licensee, after notice of such determination by the 
Commission fails to make such reimbursement within 120 days, the 
Commission will take appropriate steps to suspend the license for 30 
days. The Commission may take any further action as necessary if 
reimbursement is not made within the 30-day suspension period including, 
but not limited to termination of the operating license.

               United States Nuclear Regulatory Commission

Indemnity Agreement No._________________________________________________
Item 1--Licensee________________________________________________________
Address_________________________________________________________________
Item 2--a. Amount of financial protection_______________________________

    b. With respect to any nuclear incident, the amount specified in 
Item 2a of this Attachment shall be deemed to be (i) reduced to the 
extent that any payment made by the insurer or insurers under a policy 
or policies specified in Item 5 of this Attachment reduces the aggregate 
amount of such insurance policies below the amount specified in Item 2a 
and (ii) restored to the extent that, following such reduction, the 
aggregate amount of such insurance policies is reinstated.
Item 3--License number or numbers_______________________________________

Item 4--Location________________________________________________________

Item 5--Insurance Policy No.(s)_________________________________________

Item 6--The indemnity agreement designated above, of which this 
Attachment is a part, is effective as of -- m., on the -- day of ------
------, 19--.
    For the United States Nuclear Regulatory Commission.
                                                   By ------------------
                                              For the ------------------
                                                      (Name of licensee)
                                                   By ------------------
    Dated at Bethesda, MD, the -------- day of ------------, 19--.

[26 FR 3457, Apr. 22, 1961]

    Editorial Note: For Federal Register citations affecting 
Sec. 140.92, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.

[[Page 666]]



Sec. 140.93  Appendix C--Form of indemnity agreement with licensees furnishing proof of financial protection in the form of licensee's resources.

    This indemnity agreement No. ---------- is entered into by and 
between the -------- (hereinafter referred to as the licensee) and the 
United States Nuclear Regulatory Commission (hereinafter referred to as 
the Commission pursuant to subsection 170(c) of the Atomic Energy Act of 
1954, as amended (hereinafter referred to as the Act).

                                Article I

    As used in this agreement,
    1. Nuclear reactor, byproduct material, person, source material, 
special nuclear material, and precautionary evacuation shall have the 
meanings given them in the Atomic Energy Act of 1954, as amended, and 
the regulations issued by the Commission.
    2.(a) For facilities designed for producing substantial amounts of 
electricity and having a rated capacity of 100,000 electrical kilowatts 
or more, and except where otherwise specifically provided, amount of 
financial protection means the amount specified in Item 2 of the 
Attachment annexed hereto, as modified by paragraph 8, Article II, with 
respect to common occurrences, and the amount available as secondary 
financial protection (in the form of private liability insurance 
available under an industry retrospective rating plan providing for 
deferred retrospective premium charges).
    (b) For all other facilities, and except where otherwise 
specifically provided, amount of financial protection means the amount 
specified in Item 2 of the Attachment annexed hereto, as modified by 
paragraph 8, Article II, with respect to common occurrences.
    3. (a) Nuclear incident means any occurrence including an 
extraordinary nuclear occurrence or series of occurrences at the 
location or in the course of transportation causing bodily injury, 
sickness, disease, or death, or loss of or damage to property, or loss 
of use of property, arising out of or resulting from the radioactive, 
toxic, explosive, or other hazardous properties of the radioactive 
material.
    (b) Any occurrence including an extraordinary nuclear occurrence or 
series of occurrences causing bodily injury, sickness, disease or death, 
or loss of or damage to property, or loss of use of property, arising 
out of or resulting from the radioactive, toxic, explosive or other 
hazardous properties of--
    i. The radioactive material discharged or dispersed from the 
location over a period of days, weeks, months or longer and also arising 
out of such properties of other material defined as the radioactive 
material in any other agreement or agreements entered into by the 
Commission under subsection 170(c) or (k) of the Act and so discharged 
or dispersed from the location as defined in any such other agreement; 
or
    ii. The radioactive material in the course of transportation and 
also arising out of such properties of other material defined in any 
other agreement entered into by the Commission pursuant to subsection 
170(c) or (k) of the Act as the radioactive material and which is in the 
course of transportation shall be deemed to be a common occurrence. A 
common occurrence shall be deemed to constitute a single nuclear 
incident.
    4. Extraordinary nuclear occurrence means an event which the 
Commission has determined to be an extraordinary nuclear occurrence as 
defined in the Atomic Energy Act of 1954, as amended.
    5. In the course of transportation means in the course of 
transportation within the United States, or in the course of 
transportation outside the United States and any other nation, and 
moving from one person licensed by the Commission to another person 
licensed by the Commission, including handling or temporary storage 
incidental thereto, of the radioactive material to the location or from 
the location provided that:
    (a) With respect to transportation of the radioactive material to 
the location, such transportation is not by pre-determination to be 
interrupted by the removal of the material from the transporting 
conveyance for any purpose other than the continuation of such 
transportation to the location or temporary storage incidental thereto;
    (b) The transportation of the radioactive material from the location 
shall be deemed to end when the radioactive material is removed from the 
transporting conveyance for any purpose other than the continuation of 
transportation or temporary storage incidental thereto;
    (c) In the course of transportation as used in this agreement shall 
not include transportation of the radioactive material to the location 
if the material is also in the course of transportation from any other 
location as defined in any other agreement entered into by the 
Commission pursuant to subsection 170(c) or (k) of the Act.
    6. Person indemnified means the licensee and any other person who 
may be liable for public liability.
    7. Public liability means any legal liability arising out of or 
resulting from a nuclear incident or precautionary evacuation (including 
all reasonable additional costs incurred by a State, or a political 
sudivision of a State, in the course of responding to a nuclear incident 
or precautionary evacuation), except (1) claims under State or Federal 
Workmen's Compensation Acts of employees of persons indemnified who are 
employed (a) at the location or, if the nuclear incident occurs in the 
course of transportation of the

[[Page 667]]

radioactive material, on the transporting vehicle, and (b) in connection 
with the licensee's possession, use, or transfer of the radioactive 
material; (2) claims arising out of an act of war; and (3) claims for 
loss of, or damage to, or loss of use of (a) property which is located 
at the location and used in connection with the licensee's possession, 
use or transfer of the radioactive material, and (b), if the nuclear 
incident occurs in the course of transportation of the radioactive 
material, the transporting vehicle, containers used in such 
transportation, and the radioactive material.
    8. The location means the location described in Item 4 of the 
Attachment hereto.
    9. The radioactive material means source, special nuclear, and 
byproduct material which (1) is used or to be used in, or is irradiated 
or to be irradiated by, the nuclear reactor or reactors subject to the 
license or licenses designated in the Attachment hereto, or (2) which is 
produced as the result of operation of said reactor(s).
    10. United States when used in a geographical sense includes Puerto 
Rico and all territories and possessions of the United States.

                               Article II

    1. The licensee undertakes and agrees to indemnify and hold harmless 
all persons indemnified, as their interest may appear, from public 
liability.
    2. With respect to damage caused by a nuclear incident to property 
of any person legally liable for the incident, the licensee agrees to 
pay to such person those sums which such person would have been 
obligated to pay if such property had belonged to another, provided, 
that the obligation of the licensee under this paragraph 2 does not 
apply with respect to:
    (a) Property which is located at the location and used in connection 
with the licensee's possession, use or transfer of the radioactive 
material;
    (b) Property damage due to neglect of the person indemnified to use 
all reasonable means to save and preserve the property after knowledge 
of a nuclear incident;
    (c) If the nuclear incident occurs in the course of transportation 
of the radioactive material, the transporting vehicle and containers 
used in such transportation; and
    (d) The radioactive material.
    3. Any obligations of the licensee under paragraphs 1 and 2 of this 
Article, and under subsection 53e(8) of the Act to indemnify the United 
States and the Commission from public liability shall not in the 
aggregate exceed the amount of financial protection with respect to any 
nuclear incident, including the reasonable costs of investigating and 
settling claims and defending suits for damage.
    4. With respect to any extraordinary nuclear occurrence to which 
this agreement applies, the Commission, and the licensee on behalf of 
itself and other persons indemnified, insofar as their interests appear, 
each agree to waive:
    (a) Any issue or defense as to the conduct of the claimant or fault 
of persons indemnified, including, but not limited to:
    (1) Negligence;
    (2) Contributory negligence;
    (3) Assumption of the risk;
    (4) Unforeseeable intervening causes, whether involving the conduct 
of a third person or an act of God.

As used herein, conduct of the claimant includes conduct of persons 
through whom the claimant derives his cause of action;
    (b) Any issue or defense as to charitable or governmental immunity;
    (c) Any issue or defense based on any statute of limitations if suit 
is instituted within 3 years from the date on which the claimant first 
knew, or reasonably could have known, of his injury or damage and the 
cause thereof.
    The waiver of any such issue or defense shall be effective 
regardless of whether such issue or defense may otherwise be deemed 
jurisdictional or relating to an element in the cause of action. The 
waivers shall be judicially enforceable in accordance with their terms 
by the claimant against the person indemnified.
    5. The waivers set forth in paragraph 4, of this article:
    (a) Shall not preclude a defense based upon a failure to take 
reasonable steps to mitigate damages;
    (b) Shall not apply to injury or damage to a claimant or to a 
claimant's property which is intentionally sustained by the claimant or 
which results from a nuclear incident intentionally and wrongfully 
caused by the claimant;
    (c) Shall not apply to injury to a claimant who is employed at the 
site of and in connection with the activity where the extraordinary 
nuclear occurrence takes place if benefits therefor are either payable 
or required to be provided under any workmen's compensation or 
occupational disease law: Provided, however, That with respect to an 
extraordinary nuclear occurrence occurring at the facility, a claimant 
who is employed at the facility in connection with the construction of a 
nuclear reactor with respect to which no operating license has been 
issued by the Nuclear Regulatory Commission shall not be considered as 
employed in connection with the activity where the extraordinary nuclear 
occurrence takes place if:
    (1) The claimant is employed exclusively in connection with the 
construction of a nuclear reactor, including all related equipment and 
installations at the facility, and
    (2) No operating license has been issued by the NRC with respect to 
the nuclear reactor, and

[[Page 668]]

    (3) The claimant is not employed in connection with the possession, 
storage, use or transfer of nuclear material at the facility;
    (d) Shall not apply to any claim for punitive or exemplary damages, 
provided, with respect to any claim for wrongful death under any State 
law which provides for damages only punitive in nature, this exclusion 
does not apply to the extent that the claimant has sustained actual 
damages, measured by the pecuniary injuries resulting from such death 
but not to exceed the maximum amount otherwise recoverable under such 
law;
    (e) Shall be effective only with respect to those obligations set 
forth in this agreement and in contracts or other proof of financial 
protection;
    (f) Shall not apply to, or prejudice the prosecution or defense of, 
any claim or portion of claim which is not within the protection 
afforded under (1) the limit of liability provisions under subsection 
170(e), of the Atomic Energy Act of 1954, as amended, and (2) the terms 
of this agreement and the terms of contracts or other proof of financial 
protection.
    6. The obligations of the licensee under this agreement shall apply 
only with respect to nuclear incidents occurring during the term of this 
agreement.
    7. Upon the expiration or revocation of any license designated in 
Item 3 of the Attachment, the Commission will enter into an appropriate 
amendment of this agreement with the licensee reducing the amount of 
financial protection required under this Article; provided, that the 
licensee is then entitled to a reduction in the amount of financial 
protection under applicable Commission regulations and orders.
    8. With respect to a common occurrence, if the sum of the amount of 
financial protection established under this agreement and the amount of 
financial protection established under all other applicable agreements 
exceeds an amount equal to the sum of $200,000,000 and the amount 
available as secondary financial protection, the obligations of the 
licensee described in paragraph 3 of this Article shall not exceed a 
greater proportion of an amount equal to the sum of $200,000,000 and the 
amount available as secondary financial protection than the amount of 
financial protection established under this agreement bears to the sum 
of such amount and the amounts of financial protection established under 
all other applicable agreements. As used in this paragraph, and in 
Article III, other applicable agreements means each other agreement 
entered into by the Commission pursuant to subsection 170(c) or (k) of 
the Act in which agreement the nuclear incident is defined as a common 
occurrence.
    9. The obligations of the licensee under this Article shall not be 
affected by any failure or default on the part of the Commission or the 
Government of the United States to fulfill any or all of its obligations 
under this agreement. Bankruptcy or insolvency of any person indemnified 
other than the licensee, or the estate of any person indemnified other 
than the licensee, shall not relieve the licensee of any of his 
obligations hereunder.

                               Article III

    1. The Commission undertakes and agrees to indemnify and hold 
harmless the licensee and other persons indemnified, as their interest 
may appear, from public liability.
    2. With respect to damage caused by a nuclear incident to property 
of any person legally liable for the nuclear incident, the Commission 
agrees to pay to such person those sums which such person would have 
been obligated to pay if such property had belonged to another; 
provided, that the obligation of the Commission under this paragraph 2 
does not apply with respect to:
    (a) Property which is located at the location and used in connection 
with the licensee's possession, use or transfer of the radioactive 
material;
    (b) Property damage due to the neglect of the person indemnified to 
use all reasonable means to save and preserve the property after 
knowledge of a nuclear incident;
    (c) If the nuclear incident occurs in the course of transportation 
of the radioactive material, the transporting vehicle and containers 
used in such transportation;
    (d) The radioactive material.
    3. [Reserved]
    4. (a) The obligations of the Commission under this agreement shall 
apply only with respect to such public liability and such damage to 
property of persons legally liable for the nuclear incident (other than 
such property described in the proviso to paragraph 2 of this Article) 
as in the aggregate exceed the amount of financial protection.
    (b) With respect to a common occurrence, the obligations of the 
Commission under this agreement shall apply only with respect to such 
public liability and such damage to property of persons legally liable 
for the nuclear incident (other than such property described in the 
proviso to Paragraph 2 of this Article) as in the aggregate exceed 
whichever of the following is lower: (1) The sum of the amount of 
financial protection established under this agreement and to all other 
applicable agreements; or (2) an amount equal to the sum of $200,000,000 
and the amount available as secondary financial protection.
    5. The obligations of the Commission under this agreement shall 
apply only with respect to nuclear incidents occurring during the term 
of this agreement.
    6. The obligations of the Commission under this and all other 
agreements and contracts to which the Commission is a party shall not

[[Page 669]]

with respect to any nuclear incident, in the aggregate exceed whichever 
of the following is the lowest: (a) $500,000,000; (b) $560,000,000 less 
the amount of financial protection required under this agreement; or (c) 
with respect to a common occurrence, $560,000,000 less the sum of the 
amounts of financial protection established under this agreement and all 
other applicable agreements.
    7. The obligations of the Commission under this agreement, except to 
the licensee for damage to property of the licensee, shall not be 
affected by any failure on the part of the licensee to fulfill its 
obligations under this agreement. Bankruptcy or insolvency of the 
licensee or any other person indemnified shall not relieve the 
Commission of any of its obligations hereunder.

                               Article IV

    1. When the Commission determines that the United States will 
probably be required to make indemnity payments under the provisions of 
this agreement, the Commission shall have the right to collaborate with 
the licensee and other persons indemnified in the settlement and defense 
of any claim (provided that no government indemnity that would otherwise 
be available to pay public liability claims is used for these purposes) 
and shall have the right (a) to require the prior approval of the 
Commission for the settlement or payment of any claim or action asserted 
against the licensee or other person indemnified for public liability or 
damage to property of persons legally liable for the nuclear incident 
which claim or action the licensee or the Commission may be required to 
indemnify under this agreement; and (b) to appear through the Attorney 
General of the United States on behalf of the licensee or other person 
indemnified, take charge of such action and settle or defend any such 
action. If the settlement or defense of any such action or claim is 
undertaken by the Commission, the licensee shall furnish all reasonable 
assistance in effecting a settlement or asserting a defense.
    2. Neither this agreement nor any interest therein nor claim 
thereunder may be assigned or transferred without the approval of the 
Commission.

                                Article V

    The parties agree that they will enter into appropriate amendments 
of this agreement to the extent that such amendments are required 
pursuant to the Atomic Energy Act of 1954, as amended, or licenses, 
regulations or orders of the Commission.

                               Article VI

    The licensee agrees to pay to the Commission such fees as are 
established by the Commission pursuant to regulations or orders of the 
Commission.

                               Article VII

    The term of this agreement shall commence as of the date and time 
specified in Item 6 of the attachment and shall terminate at the time of 
expiration of that license specified in Item 3 of the attachment, which 
is last to expire; provided that, except as may otherwise be provided in 
applicable regulations or orders of the Commission, the term of this 
agreement shall not terminate until all the radioactive material has 
been removed from the location and transportation of the radioactive 
material from the location has ended as defined in subparagraph 5(b), 
Article I. Termination of the term of this agreement shall not affect 
any obligation of the licensee or any obligation of the Commission under 
this agreement with respect to any nuclear incident occurring during the 
term of this agreement.

                              Article VIII

    The following provisions are applicable to each licensee operating a 
facility designed for producing substantial amounts of electricity and 
having a rated capacity of 100,000 electrical kilowatts or more:
    1. Each licensee is required to have and maintain financial 
protection in an amount specified in Item 2 annexed hereto, and the 
amount available as secondary financial protection (in the form of 
private liability insurance available under an industry retrospective 
rating plan providing for deferred premium charges): Provided, however, 
That under such a plan for deferred premium charges, such charges for 
each nuclear reactor which is licensed to operate shall not exceed 
$63,000,000 with respect to any single nuclear incident (plus any 
surcharge assessed under subsection 170o.(1)(E) of the Act) nor exceed 
$10,000,000 per incident within one calendar year. If the licensee fails 
to pay assessed deferred premiums, the Commission reserves the right to 
pay those premiums on behalf of the licensee and to recover the amount 
of such premiums from the licensee.
    2. The Commission shall require the immediate submission of 
financial statements by those licensees who indicate, after an 
assessment of the restrospective premium by the insurance pools, that 
they will not pay the assessment. Such financial statements shall 
include, as a minimum, exhibits indicating internally generated funds 
from operations and accumulated retained earnings. Subsequent submission 
of financial statements by such licensees may be requested by the 
Commission, as required.
    3. If premiums are paid by the Commission as provided in paragraph 
1, payment by the Commission shall create a lien in the amount paid in 
favor of the United States upon all property and rights to property, 
whether real or personal, belonging to such

[[Page 670]]

licensee. The lien shall arise at the time payment is made by the 
Commission and shall continue until the liability for the amount (or a 
judgment against the licensee arising out of such liability) is 
satisfied or becomes unenforceable. The Commission will issue a 
certificate of release of any such lien if it finds that the liability 
for the amount has been fully satisfied or has become legally 
unenforceable.
    4. If the Commission determines that the licensee is financially 
able to reimburse the Commission for a deferred premium payment made in 
its behalf, and the licensee, after notice of such determination by the 
Commission fails to make such reimbursement within 120 days, the 
Commission will take appropriate steps to suspend the license for 30 
days. The Commission may take any further action as necessary if 
reimbursement is not made within the 30-day suspension period including, 
but not limited to, termination of the operating license.

               United States Nuclear Regulatory Commission

                                          Indemnity Agreement No. ------

                               Attachment

Item 1--Licensee________________________________________________________
Address_________________________________________________________________
Item 2--Amount of financial protection__________________________________
Item 3--License number or numbers_______________________________________
Item 4--Location________________________________________________________

Item 5--The Indemnity Agreement designated above, of which this 
Attachment is a part, is effective as of ------M., on the ------ day of 
----------, 19--.

    For the United States Nuclear Regulatory Commission.
                                             By ------------------------
                                        For the ------------------------
                                                      (Name of licensee)
                                             By ------------------------
    Dated at Bethesda, MD, the ------ day of ----------, 19--.

[26 FR 3459, Apr. 22, 1961]

    Editorial Note: For Federal Register citations affecting 
Sec. 140.93, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 140.94  Appendix D--Form of indemnity agreement with Federal agencies.

    This indemnity agreement No. D------ is entered into by and between 
the -------- (hereinafter referred to as the licensee) and the United 
States Nuclear Regulatory Commission (hereinafter referred to as the 
Commission) pursuant to subsection 170(c) of the Atomic Energy Act of 
1954, as amended (hereinafter referred to as the Act).

                                Article I

    As used in this agreement,
    1. Nuclear reactor, byproduct material, person, source material, 
special nuclear material, and precautionary evacuation shall have the 
meanings given them in the Atomic Energy Act of 1954, as amended, and 
the regulations issued by the Commission.
    2. (a) Nuclear incident means any occurrence including an 
extraordinary nuclear occurrence or series of occurrences at the 
location or in the course of transportation causing bodily injury, 
sickness, disease, or death, or loss of or damage to property, or loss 
of use of property, arising out of or resulting from the radioactive, 
toxic, explosive, or other hazardous properties of the radioactive 
material.
    (b) Any occurrence including an extraordinary nuclear occurrence or 
series of occurrences causing bodily injury, sickness, disease, or 
death, or loss of or damage to property, or loss of use of property, 
arising out of or resulting from the radioactive, toxic, explosive or 
other hazardous properties of
    (i) The radioactive material discharged or dispersed from the 
location over a period of days, weeks, months or longer and also arising 
out of such properties of other material defined as the radioactive 
material in any other agreement or agreements entered into by the 
Commission under subsection 170(c) or (k) of the Act and so discharged 
or dispersed from the location as defined in any such other agreement, 
or
    (ii) The radioactive material in the course of transportation and 
also arising out of such properties of other material defined in any 
other agreement entered into by the Commission pursuant to subsection 
170(c) or (k) of the Act as the radioactive material and which is in the 
course of transportation shall be deemed to be a common occurrence. A 
common occurrence shall be deemed to constitute a single nuclear 
incident.
    3. Extraordinary nuclear occurrence means an event which the 
Commission has determined to be an extraordinary nuclear occurrence as 
defined in the Atomic Energy Act of 1954, as amended.
    4. In the course of transportation means in the course of 
transportation within the United States, or in the course of 
transportation outside the United States and any other nation, and 
moving from one person licensed by the Commission to another person 
licensed by the Commission, including handling or temporary storage 
incidental thereto, of the radioactive material to the location or from 
the location provided that:
    (a) With respect to transportation of the radioactive material to 
the location, such transportation is not by predetermination to

[[Page 671]]

be interrupted by the removal of the material from the transporting 
conveyance for any purpose other than the continuation of such 
transportation to the location or temporary storage incidental thereto;
    (b) The transportation of the radioactive material from the location 
shall be deemed to end when the radioactive material is removed from the 
transporting conveyance for any purpose other than the continuation of 
transportation or temporary storage incidental thereto;
    (c) In the course of transportation as used in this agreement shall 
not include transportation of the radioactive material to the location 
if the material is also in the course of transportation from any other 
location as defined in any other agreement entered into by the 
Commission pursuant to subsection 170(c) or (k) of the Act.
    5. Person indemnified means the licensee and any other person who 
may be liable for public liability.
    6. Public liability means any legal liability arising out of or 
resulting from a nuclear incident or precautionary evacuation (including 
all reasonable additional costs incurred by a State, or a political 
subdivision of a State, in the course of responding to a nuclear 
incident or precautionary evacuation), except (1) claims under State of 
Federal Workmen's Compensation Acts of employees of persons indemnified 
who are employed (a) at the location or, if the nuclear incident occurs 
in the course of transportation of the radioactive material, on the 
transporting vehicle, and (b) in connection with the licensee's 
possession, use, or transfer of the radioactive material; (2) claims 
arising out of an act of war; and (3) claims for loss of, or damage to, 
or loss of use of (a) property which is located at the location and used 
in connection with the licensee's possession, use, or transfer of the 
radioactive material, and (b) if the nuclear incident occurs in the 
course of transportation of the radioactive material, the transporting 
vehicle, containers used in such transportation, and the radioactive 
material.
    7. The location means the location described in Item 3 of the 
Attachment hereto.
    8. The radioactive material means source, special nuclear, and 
byproduct material which (1) is used or to be used in, or is irradiated 
or to be irradiated by, the nuclear reactor or reactors subject to the 
license or licenses designated in the Attachment hereto, or (2) is 
produced as the result of operation of said reactor(s).
    9. United States when used in a geographical sense includes Puerto 
Rico and all territories and possessions of the United States.

                               Article II

    1. The Commission undertakes and agrees to indemnify and hold 
harmless the licensee and other persons indemnified, as their interest 
may appear, from public liability.
    2. With respect to damage caused by a nuclear incident to property 
of any person legally liable for the nuclear incident, the Commission 
agrees to pay to such person those sums which such person would have 
been obligated to pay if such property had belonged to another; 
provided, that the obligation of the Commission under this paragraph 2 
does not apply with respect to:
    (a) Property which is located at the location and used in connection 
with the licensee's possession, use or transfer of the radioactive 
material;
    (b) Property damage due to the neglect of the person indemnified to 
use all reasonable means to save and preserve the property after 
knowledge of a nuclear incident;
    (c) If the nuclear incident occurs in the course of transportation 
of the radioactive material, the transporting vehicle and containers 
used in such transportation;
    (d) The radioactive material.
    3. [Reserved]
    4. With respect to any extraordinary nuclear occurrence to which 
this agreement applies, the Commission, and the licensee on behalf of 
itself and other persons indemnified, insofar as their interests appear, 
each agree to waive:
    (a) Any issue or defense as to the conduct of the claimant or fault 
of persons indemnified, including, but not limited to:
    (1) Negligence;
    (2) Contributory negligence;
    (3) Assumption of the risk;
    (4) Unforeseeable intervening causes, whether involving the conduct 
of a third person or an act of God.

As used herein, conduct of the claimant includes conduct of persons 
through whom the claimant derives his cause of action;
    (b) Any issue or defense as to charitable or governmental immunity;
    (c) Any issue or defense based on any statute of limitations if suit 
is instituted within 3 years from the date on which the claimant first 
knew, or reasonably could have known, of his injury or damage and the 
cause thereof.
    The waiver of any such issue or defense shall be effective 
regardless of whether such issue or defense may otherwise be deemed 
jurisdictional or relating to an element in the cause of action. The 
waivers shall be judicially enforceable in accordance with their terms 
by the claimant against the person indemnified.
    5. The waivers set forth in paragraph 4 of this article:
    (a) Shall not preclude a defense based upon a failure to take 
reasonable steps to mitigate damages;
    (b) Shall not apply to injury or damage to a claimant or to a 
claimant's property which is intentionally sustained by the claimant or

[[Page 672]]

which results from a nuclear incident intentionally and wrongfully 
caused by the claimant;
    (c) Shall not apply to injury to a claimant who is employed at the 
site of and in connection with the activity where the extraordinary 
nuclear occurrence takes place if benefits therefor are either payable 
or required to be provided under any workmen's compensation or 
occupational disease law: Provided, however, That with respect to an 
extraordinary nuclear occurrence occurring at the facility, a claimant 
who is employed at the facility in connection with the construction of a 
nuclear reactor with respect to which no operating license has been 
issued by the Nuclear Regulatory Commission shall not be considered as 
employed in connection with the activity where the extraordinary nuclear 
occurrence takes place if:
    (1) The claimant is employed exclusively in connection with the 
construction of a nuclear reactor, including all related equipment and 
installations at the facility, and
    (2) No operating license has been issued by the NRC with respect to 
the nuclear reactor, and
    (3) The claimant is not employed in connection with the possession, 
storage, use or transfer of nuclear material at the facility;
    (d) Shall not apply to any claim for punitive or exemplary damages, 
provided, with respect to any claim for wrongful death under any State 
law which provides for damages only punitive in nature, this exclusion 
does not apply to the extent that the claimant has sustained actual 
damages, measured by the pecuniary injuries resulting from such death 
but not to exceed the maximum amount otherwise recoverable under such 
law;
    (e) Shall be effective only with respect to those obligations set 
forth in this agreement;
    (f) Shall not apply to, or prejudice the prosecution or defense of, 
any claim or portion of claim which is not within the protection 
afforded under (1) the limit of liability provisions under subsection 
170(e), of the Atomic Energy Act of 1954, as amended, and (2) the terms 
of this agreement.
    6. With respect to a common occurrence, the obligations of the 
Commission under this Article shall apply only with respect to such 
public liability and such damage to property of persons legally liable 
for the nuclear incident (other than such property described in the 
proviso to paragraph 2 of this Article) as in the aggregate exceed 
whichever of the following is lower: (1) The sum of the amount of 
financial protection established under all applicable agreements; or (2) 
an amount equal to the sum of $200,000,000 and the amount available as 
secondary financial protection. As used in this Article applicable 
agreements means each agreement entered into by the Commission pursuant 
to subsection 170(c) or (k) of the Act in which agreement the nuclear 
incident is defined as common occurrence.
    7. The obligations of the Commission under this agreement shall 
apply only with respect to nuclear incidents occurring during the term 
of this agreement.
    8. The obligations of the Commission under this and all other 
agreements and contracts to which the Commission is a party shall not 
with respect to any nuclear incident, in the aggregate exceed whichever 
of the following is the lower: (a) $500,000,000 or (b) with respect to a 
common occurrence, $560,000,000 less the sum of the amounts of financial 
protection established under all applicable agreements.
    9. Bankruptcy or insolvency of any person indemnified or of the 
estate of any person indemnified shall not relieve the Commission of any 
of its obligations hereunder.

                               Article III

    1. When the Commission determines that the United States will 
probably be required to make indemnity payments under the provisions of 
this agreement, the Commission shall have the right to collaborate with 
the licensee and other persons indemnified in the settlement and defense 
of any claim (provided that no government indemnity that would otherwise 
be available to pay public liability claims is used for these purposes) 
and shall have the right (a) to require the prior approval of the 
Commission for the settlement or payment of any claim or action asserted 
against the licensee or other persons indemnified for public liability 
or damage to property of persons legally liable for the nuclear incident 
which claim or action the licensee or the Commission may be required to 
indemnify under this agreement; and (b) to appear through the Attorney 
General of the United States on behalf of the licensee or other person 
indemnified, take charge of such action and settle or defend any such 
action. If the settlement or defense of any such action or claim is 
undertaken by the Commission, the licensee shall furnish all reasonable 
assistance in effecting a settlement or asserting a defense.
    2. Neither this agreement nor any interest therein nor claim 
thereunder may be assigned or transferred without the approval of the 
Commission.

                               Article IV

    The parties agree that they will enter into appropriate amendments 
of this agreement to the extent that such amendments are required 
pursuant to the Atomic Energy Act of 1954, as amended, or licenses, 
regulations or orders of the Commission.

[[Page 673]]

                                Article V

    The licensee agrees to pay to the Commission such fees as are 
established by the Commission pursuant to regulations or orders of the 
Commission.

                               Article VI

    The term of this agreement shall commence as of the date and time 
specified in Item 4 of the attachment and shall terminate at the time of 
expiration of that license specified in Item 2 of the Attachment, which 
is the last to expire; provided that, except as may otherwise be 
provided in applicable regulations or orders of the Commission, the term 
of this agreement shall not terminate until all the radioactive material 
has been removed from the location and transportation of the radioactive 
material from the location has ended as defined in paragraph 4(b), 
Article I of this section. Termination of the term of this agreement 
shall not affect any obligation of the licensee or any obligation of the 
Commission under this agreement with respect to any nuclear incident 
occurring during the term of this agreement.

               United States Nuclear Regulatory Commission

                                        Indemnity Agreement No. D-------

                               attachment

Item 1--Licensee________________________________________________________
Address_________________________________________________________________
Item 2--License number or numbers_______________________________________
Item 3--Location________________________________________________________

Item 4--The indemnity agreement designated above, of which this 
Attachment is a part, is effective as of ------ m., on the ------ day of 
----------, 19--.

    For the United States Nuclear Regulatory Commission.
                                             By ------------------------
                                        For the ------------------------
                                                      (Name of licensee)
                                             By ------------------------
    Dated at Bethesda, MD, the ---- day of ----------, 19--.

[27 FR 2886, Mar. 29, 1962]

    Editorial Note: For Federal Register citations affecting 
Sec. 140.94, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 140.95  Appendix E--Form of indemnity agreement with nonprofit educational institutions.

    This indemnity agreement No. E------- is entered into by and between 
the -------- (hereinafter referred to as the licensee) and the United 
States Nuclear Regulatory Commission (hereinafter referred to as the 
Commission) pursuant to subsection 170(k) of the Atomic Energy Act of 
1954, as amended (hereinafter referred to as the Act).

                                Article I

    As used in this agreement,
    1. Nuclear reactor, byproduct material, person, source material, 
special nuclear material, and precautionary evacuation shall have the 
meanings given them in the Atomic Energy Act of 1954, as amended, and 
the regulations issued by the Commission.
    2. (a) Nuclear incident means any occurrence including an 
extraordinary nuclear occurrence or series of occurrences at the 
location or in the course of transportation causing bodily injury, 
sickness, disease, or death, or loss of use of property, arising out of 
or resulting from the radioactive, toxic, explosive, or other hazardous 
properties of the radioactive material.
    (b) Any occurrence including an extraordinary nuclear occurrence or 
series of occurrences causing bodily injury, sickness, disease or death, 
or loss of or damage to property, or loss of use of property, arising 
out of or resulting from the radioactive, toxic, explosive, or other 
hazardous properties of
    i. The radioactive material discharged or dispersed from the 
location over a period of days, weeks, months or longer and also arising 
out of such properties of other material defined as the radioactive 
material in any other agreement or agreements entered into by the 
Commission under subsection 170(c) or (k) of the Act and so discharged 
or dispersed from the location as defined in any such other agreement; 
or
    ii. The radioactive material in the course of transportation and 
also arising out of such properties of other material defined in any 
other agreement entered into by the Commission pursuant to subsection 
170(c) or (k) of the Act as the radioactive material and which is in the 
course of transportation shall be deemed to be a common occurrence. A 
common occurrence shall be deemed to constitute a single nuclear 
incident.
    3. Extraordinary nuclear occurrence means an event which the 
Commission has determined to be an extraordinary nuclear occurrence as 
defined in the Atomic Energy Act of 1954, as amended.
    4. In the course of transportation means in the course of 
transportation within the United States, or in the course of 
transportation outside the United States and any other nation, and 
moving from one person licensed by the Commission to another person 
licensed by the Commission, including handling or temporary storage 
incidental thereto, of the radioactive material to the location or from 
the location provided that:
    (a) With respect to transportation of the radioactive material to 
the location, such transportation is not by predetermination to

[[Page 674]]

be interrupted by the removal of the material from the transporting 
conveyance for any purpose other than the continuation of such 
transportation to the location or temporary storage incidental thereto;
    (b) The transportation of the radioactive material from the location 
shall be deemed to end when the radioactive material is removed from the 
transporting conveyance for any purpose other than the continuation of 
transportation or temporary storage incidental thereto;
    (c) In the course of transportation as used in this agreement shall 
not include transportation of the radioactive material to the location 
if the material is also in the course of transportation from any other 
location as defined in any other agreement entered into by the 
Commission pursuant to subsection 170(c) or (k) of the Act.
    5. Person indemnified means the licensee and any other person who 
may be liable for public liability.
    6. Public liability means are legal liability arising out of or 
resulting from a nuclear incident or precautionary evacuation (including 
all reasonable additional costs incurred by a State, or a political 
subdivision of a State, in the course of responding to a nuclear 
incident or precautionary evacuation), except (1) claims under State or 
Federal Workmen's Compensation Act of employees of persons indemnified 
who are employed (a) at the location or, if the nuclear incident occurs 
in the course of transportation of the radioactive material, or the 
transporting vehicle, and (b) in connection with the licensee's 
possession, use, or transfer of the radioactive material; (2) claims 
arising out of an act of war; and (3) claims for loss of, or damage to, 
or loss of use of (a) property which is located at the location and used 
in connection with the licensee's possession, use, or transfer of the 
radioactive material, and (b) if the nuclear incident occurs in the 
course of transportation of the radioactive material, the transporting 
vehicle, containers used in such transportation, and the radioactive 
material.
    7. The location means the location described in Item 3 of the 
Attachment hereto.
    8. The radioactive material means source, special nuclear, and 
byproduct material which (1) is used or to be used in, or is irradiated 
or to be irradiated by, the nuclear reactor or reactors subject to the 
license or licenses designated in the Attachment hereto, or (2) which is 
produced as the result of operation of said reactor(s).
    9. United States when used in a geographical sense includes Puerto 
Rico and all territories and possessions of the United States.

                               Article II

    1. Any obligations of the licensee under subsection 53e(8) of the 
Act to indemnify the United States and the Commission from public 
liability shall not in the aggregate exceed $250,000 with respect to any 
nuclear incident.
    2. With respect to any extraordinary nuclear occurrence to which 
this agreement applies, the Commission, and the licensee on behalf of 
itself and other persons indemnified, insofar as their interests appear, 
each agree to waive:
    (a) Any issue or defense as to the conduct of the claimant or fault 
of persons indemnified, including, but not limited to
    (1) Negligence;
    (2) Contributory negligence;
    (3) Assumption of the risk;
    (4) Unforeseeable intervening causes, whether involving the conduct 
of a third person or an act of God.

As used herein, conduct of the claimant includes conduct of persons 
through whom the claimant derives his cause of action;
    (b) Any issue or defense as to charitable or governmental immunity:
    (c) Any issue or defense based on any statute of limitations if suit 
is instituted within 3 years from the date on which the claimant first 
knew, or reasonably could have known, of his injury or damage and the 
cause thereof.
    The waiver of any such issue or defense shall be effective 
regardless of whether such issue or defense may otherwise be deemed 
jurisdictional or relating to an element in the cause of action. The 
waivers shall be judicially enforceable in accordance with their terms 
by the claimant against the person indemnified.
    3. The waivers set forth in paragraph 2 of this article:
    (a) Shall not preclude a defense based upon a failure to take 
reasonable steps to mitigate damages;
    (b) Shall not apply to injury or damage to a claimant or to a 
claimant's property which is intentionally sustained by the claimant or 
which results from a nuclear incident intentionally and wrongfully 
caused by the claimant;
    (c) Shall not apply to injury to a claimant who is employed at the 
site of and in connection with the activity where the extraordinary 
nuclear occurrence takes place if benefits therefor are either payable 
or required to be provided under any workmen's compensation or 
occupational disease law: Provided, however, That with respect to an 
extraordinary nuclear occurrence occurring at the facility, a claimant 
who is employed at the facility in connection with the construction of a 
nuclear reactor with respect to which no operating license has been 
issued by the Nuclear Regulatory Commission shall not be considered as 
employed in connection with the activity where the extraordinary nuclear 
occurrence takes place if:

[[Page 675]]

    (1) The claimant is employed exclusively in connection with the 
construction of a nuclear reactor, including all related equipment and 
installations at the facility, and
    (2) No operating license has been issued by the NRC with respect to 
the nuclear reactor, and
    (3) The claimant is not employed in connection with the possession, 
storage, use, or transfer of nuclear material at the facility;
    (d) Shall not apply to any claim for punitive or exemplary damages, 
provided, with respect to any claim for wrongful death under any State 
law which provides for damages only punitive in nature, this exclusion 
does not apply to the extent that the claimant has sustained actual 
damages, measured by the pecuniary injuries resulting from such death 
but not to exceed the maximum amount otherwise recoverable under such 
law;
    (e) Shall be effective only with respect to those obligations set 
forth in this agreement;
    (f) Shall not apply to, or prejudice the prosecution or defense of, 
any claim or portion of claim which is not within the protection 
afforded under (1) the limit of liability provisions under subsection 
170(e) of the Atomic Energy Act of 1954, as amended, and (b) the terms 
of this agreement.

                               Article III

    1. The Commission undertakes and agrees to indemnify and hold 
harmless the licensee and other persons indemnified, as their interest 
may appear, from public liability.
    2. With respect to damage caused by a nuclear incident to property 
of any person legally liable for the nuclear incident, the Commission 
agrees to pay to such person those sums which such person would have 
been obligated to pay if such property had belonged to another; 
provided, that the obligation of the Commission under this paragraph 2 
does not apply with respect to:
    (a) Property which is located at the location and used in connection 
with the licensee's possession, use or transfer of the radioactive 
material;
    (b) Property damage due to the neglect of the person indemnified to 
use all reasonable means to save and preserve the property after 
knowledge of a nuclear incident;
    (c) If the nuclear incident occurs in the course of transportation 
of the radioactive material, the transporting vehicle and containers 
used in such transportation;
    (d) The radioactive material.
    3. [Reserved]
    4. (a) The obligations of the Commission under this agreement shall 
apply only with respect to such public liability and such damage to 
property of persons legally liable for the nuclear incident (other than 
such property described in the proviso to paragraph 2 of this Article) 
as in the aggregate exceed $250,000.
    (b) With respect to a common occurrence, the obligations of the 
Commission under this agreement shall apply only with respect to such 
public liability and such damage to property of persons legally liable 
for the nuclear incident (other than such property described in the 
proviso to paragraph 2 of this Article) as in the aggregate exceed 
whichever of the following is lower: (1) The sum of the amounts of 
financial protection established under all applicable agreements; or (2) 
an amount equal to the sum of $200,000,000 and the amount available as 
secondary financial protection. As used in this Article applicable 
agreements means each agreement entered into by the Commission pursuant 
to subsection 170(c) or (k) of the Act in which agreement the nuclear 
incident is defined as a common occurrence.
    5. The obligations of the Commission under this agreement shall 
apply only with respect to nuclear incidents occurring during the term 
of this agreement.
    6. The obligations of the Commission under this and all other 
agreements and contracts to which the Commission is a party shall not 
with respect to any nuclear incident, in the aggregate exceed which ever 
of the following is the lower: (a) $500,000,000 or (b) with respect to a 
common occurrence, $560,000,000 less the sum of the amounts of financial 
protection established under all applicable agreements.
    7. If the licensee is immune from public liability because it is a 
state agency, the Commission shall make payments under the agreement in 
the same manner and to the same extent as the Commission would be 
required to do if the licensee were not such a state agency.
    8. The obligations of the Commission under this agreement, except to 
the licensee for damage to property of the licensee, shall not be 
affected by any failure on the part of the licensee to fulfill its 
obligations under this agreement. Bankruptcy or insolvency of the 
licensee or any other person indemnified or of the estate of the 
licensee or any other person indemnified shall not relieve the 
Commission of any of its obligations hereunder.

                               Article IV

    1. When the Commission determines that the United States will 
probably be required to make indemnity payments under the provisions of 
this agreement, the Commission shall have the right to collaborate with 
the licensee and other persons indemnified in the settlement and defense 
of any claim including such legal costs of the licensee as are approved 
by the Commission and shall have the right (a) to require the prior 
approval of the Commission for the settlement or payment of any claim or 
action asserted against the

[[Page 676]]

licensee or other person indemnified for public liability or damage to 
property of persons legally liable for the nuclear incident which claim 
or action the licensee or the Commission may be required to indemnify 
under this agreement; and (b) to appear through the Attorney General of 
the United States on behalf of the licensee or other person indemnified, 
take charge of such action or defend any such action. If the settlement 
or defense of any such action or claim is undertaken by the Commission, 
the licensee shall furnish all reasonable assistance in effecting a 
settlement or asserting a defense.
    2. Neither this agreement nor any interest therein nor claim 
thereunder may be assigned or transferred without the approval of the 
Commission.

                                Article V

    The parties agree that they will enter into appropriate amendments 
of this agreement to the extent that such amendments are required 
pursuant to the Atomic Energy Act of 1954, as amended, or licenses, 
regulations or orders of the Commission.

                               Article VI

    The licensee agrees to pay to the Commission such fees as are 
established by the Commission pursuant to regulations or orders of the 
Commission.

                               Article VII

    The term of this agreement shall commence as of the date and time 
specified in Item 4 of the Attachment and shall terminate at the time of 
expiration of that license specified in Item 2 of the Attachment, which 
is the last to expire; provided that, except as may otherwise be 
provided in applicable regulations or orders of the Commission, the term 
of this agreement shall not terminate until all the radioactive material 
has been removed from the location and transportation of the radioactive 
material from the location has ended as defined in subparagraph 4(b), 
Article I. Termination of the term of this agreement shall not affect 
any obligation of the licensee or any obligation of the Commission under 
this agreement with respect to any nuclear incident occurring during the 
term of this agreement.

               United States Nuclear Regulatory Commission

          Indemnity Agreement No. E-----________________________________

                               attachment

Item 1--Licensee --------------------------_____________________________
Address --------------------------______________________________________
Item 2--License number or numbers ------________________________________
Item 3--Location --------------------------_____________________________

Item 4--The indemnity agreement designated above, of which this 
Attachment is a part, is effective as of ------ m., on the ------ day of 
--------------------, 19--.
    For the United States Nuclear Regulatory Commission.
                                         By ----------------------------
                                    For the ----------------------------
                                         By ----------------------------
                                                    (Name of licensee)  
    Dated at Bethesda, MD, the ---- day of ----------------, 19--.

[27 FR 2887, Mar. 29, 1962]

    Editorial Note: For Federal Register citations affecting 
Sec. 140.95, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 140.96  Appendix F--Indemnity locations.

    (a) Geographical boundaries of indemnity locations. (1) In every 
indemnity agreement between the Commission and a licensee which affords 
indemnity protection for the preoperational storage of fuel at the site 
of a nuclear power reactor under construction, the geographical 
boundaries of the indemnity location will include the entire 
construction area of the nuclear power reactor, as determined by the 
Commission. Such area will not necessarily be coextensive with the 
indemnity location which will be established at the time an operating 
license is issued for such additional nuclear power reactors.
    (2) In every indemnity agreement between the Commission and a 
licensee which affords indemnity protection for an existing nuclear 
power reactor, the geographical boundaries of the indemnity location 
shall include the entire construction area of any additional nuclear 
power reactor as determined by the Commission, built as part of the same 
power station by the same licensee. Such area will not necessarily be 
coextensive with the indemnity location which will be established at the 
time an operating license is issued for such additional nuclear power 
reactors.
    (3) This section is effective May 1, 1973, as to construction 
permits issued prior to March 2, 1973, and, as to construction permits 
issued on or after March 2, 1973, the provisions of this section will 
apply no later than such time as a construction permit is issued 
authorizing construction of any additional nuclear power reactor.

[38 FR 2984, Jan. 31, 1973]

[[Page 677]]



Sec. 140.107  Appendix G--Form of indemnity agreement with licensees processing plutonium for use in plutonium processing and fuel fabrication plants and 
          furnishing insurance policies as proof of financial 
          protection.

    This Indemnity Agreement No. ------ is entered into by and between 
-------------- (hereinafter referred to as the licensee) and the United 
States Nuclear Regulatory Commission (hereinafter referred to as the 
Commission) pursuant to subsection 170(c) of the Atomic Energy Act of 
1954, as amended (hereinafter referred to as the Act), and section 201 
of the Energy Reoganization Act of 1974, as amended.

                                Article I

    As used in this agreement:
    1. By product material, person, source material, special nuclear 
material, precautionary evacuation, and extraordinary nuclear occurrence 
shall have the meaning given them in the Atomic Energy Act of 1954, as 
amended, and the regulations issued by the Commission.
    2. Except where otherwise specifically provided, amount of financial 
protection means the amount specified in Item 2a and b, of the 
Attachment annexed hereto as modified by paragraph 6, Article II, with 
respect to common occurrences.
    3. (a) Nuclear incident means any occurrence including an 
extraordinary nuclear occurrence, or series of occurrences at the 
location or in the course of transportation causing bodily injury, 
sickness, disease, or death, or loss of or damage to property, or loss 
of use of property, arising out of or resulting from the radioactive, 
toxic, explosive, or other hazardous properties of the radioactive 
material.
    (b) Any occurrence, including an extraordinary nuclear occurrence, 
or series of occurrences causing bodily injury, sickness, disease or 
death, or loss of or damage to property, or loss of use of property, 
arising out of or resulting from the radioactive, toxic, explosive, or 
other hazardous properties of:
    (i) The radioactive material discharged or dispersed from the 
location over a period of days, weeks, months or longer and also arising 
out of such properties of other material defined as the radioactive 
material in any other agreement or agreements entered into by the 
Commission under subsection 170(c) or (k) of the Act and so discharged 
or dispersed from the location as defined in any such other agreement, 
or
    (ii) The radioactive material in the course of transportation and 
also arising out of such properties of other material defined in any 
other agreement entered into by the Commission pursuant to subsection 
170(c) or (k) of the Act as the radioactive material and which is in the 
course of transportation shall be deemed to be a common occurrence. A 
common occurrence shall be deemed to constitute a single nuclear 
incident.
    4. In the course of transportation means in the course of 
transportation within the United States, or in the course of 
transportation outside the United States and any other nation, and 
moving from one person licensed by the Commission to another person 
licensed by the Commission, including handling or temporary storage 
incidental thereto, of the radioactive material to the location or from 
the location provided that:
    (a) With respect to transportation of the radioactive material to 
the location, such transportation is not by predetermination to be 
interrupted by the removal of the material from the transporting 
conveyance for any purpose other than the continuation of such 
transportation to the location or temporary storage incidental thereto;
    (b) The transportation of the radioactive material from the location 
shall be deemed to end when the radioactive material is removed from the 
transporting conveyance for any purpose other than the continuation of 
transportation or temporary storage incidental thereto;
    (c) In the course of transportation as used in this agreement shall 
not include transportation of the radioactive material to the location 
if the material is also in the course of transportation from any other 
location as defined in any other agreement entered into by the 
Commission pursuant to subsection 170(c) or (k) of the Act.
    5. Person indemnified means the licensee and any other person who 
may be liable for public liability.
    6. Public liability means any legal liability arising out of or 
resulting from a nuclear incident or precautionary evacuation (including 
all reasonable additional costs incurred by a State, or a political 
subdivision of a State, in the course of responding to a nuclear 
incident or precautionary evacuation), except (1) claims under State or 
Federal Workmen's Compensation Acts of employees of persons indemnified 
who are employed (a) at the location or, if the nuclear incident occurs 
in the course of transportation of the radioactive material, on the 
transporting vehicle, and (b) in connection with the licensee's 
possession, use or transfer of the radioactive material; (2) claims 
arising out of an act of war; and (3) claims for loss of or damage to, 
or loss of use of (a) property which is located at the location and used 
in connection with the licensee's possession, use, or transfer of the 
radioactive material, and (b) if the nuclear incident occurs in the 
course of transportation of the radioactive material, the transporting 
vehicle, containers used in such transportation, and the radioactive 
material.

[[Page 678]]

    7. The location means the location described in Item 4 of the 
Attachment hereto.
    8. The radioactive material means (a) any source, special nuclear, 
or byproduct material which (1) is both used or to be used in, or is 
processed or to be processed by, the licensee's plutonium processing and 
fuel fabrication plant or plants and is subject to the license or 
licenses designated in the Attachment hereto, or (2) is produces as the 
result of the operation of said plant or plants or (b) any source, 
special nuclear, or byproduct material which is waste or contamination 
from material described in paragraph 8(a). The words used or to be used 
and processed or to be processed in this paragraph cover source, special 
nuclear or byproduct material which is in the course of transportation 
as used in the agreement or is received at the plant for use or 
processing in the plant but which is, in fact, for any reason, not so 
used or processed.
    9. United States when used in a geographical sense includes Puerto 
Rico and all territories and possessions of the United States.

                               Article II

    1. At all times during the term of the license or licenses 
designated in Item 3 of the Attachment hereto, the licensee will 
maintain financial protection in the amount specified in Item 2 of the 
Attachment and in the form of the nuclear energy liability insurance 
policy designated in the Attachment. If more than one license is 
designated in Item 3 of the Attachment, the licensee agrees to maintain 
such financial protection until the end of the term of that license 
which will be the last to expire. The licensee shall, notwithstanding 
the expiration, termination, modification, amendment, suspension of 
revocation of any license or licenses designated in Item 3 of the 
Attachment, maintain such financial protection in effect until all the 
radioactive material has been removed from the location and 
transportation of the radioactive material from the location has ended 
as defined in subparagraph 4(b), Article I, or until the Commission 
authorizes the termination or the modification of such financial 
protection. The Commission will not unreasonably withhold such 
authorization.
    2. In the event of any payment by the insurer or insurers under a 
policy or policies specified in Item 5 of the Attachment hereto which 
reduces the aggregate limit of such policy or policies below the amount 
of financial protection, the licensee will promptly apply to his 
insurers for reinstatement of the amount specified in Item 2a of the 
Attachment (without reference to paragraph b of Item 2) and will make 
all reasonable efforts to obtain such reinstatement. In the event that 
the licensee has not obtained reinstatement of such amount within ninety 
days after the date of such reduction, and in the absence of good cause 
shown to the contrary, the Commission may issue an order requiring the 
licensee to furnish financial protection for such amount in another 
form.
    3. Any obligations of the licensee under subsection 53e(8) of the 
Act to indemnify the United States and the Commission from public 
liability, together with any public liability satisfied by the insurers 
under the policy or policies designated in the Attachment hereto, shall 
not in the aggregate exceed the amount of financial protection with 
respect to any nuclear incident, including the reasonable costs of 
investigating and settling claims and defending suits for damage.
    4. The obligations of the licensee under this agreement shall apply 
only with respect to nuclear incidents occurring during the term of this 
agreement.
    5. Upon the expiration or revocation of any license designated in 
Item 3 of the Attachment, the Commission will enter into an appropriate 
amendment of this agreement with the licensee reducing the amount of 
financial protection required under this Article: provided, that the 
licensee is then entitled to a reduction in the amount of financial 
protection under applicable Commission regulations and orders.
    6. With respect to any common occurrence,
    (a) If the sum of the limit of liability of any Nuclear Energy 
Liability-Property Insurance Association policy designated in Item 5 of 
the Attachment and the limits of liability of all other nuclear energy 
liability insurance policies (facility form) applicable to such common 
occurrence and issued by Nuclear Energy Liability-Property Insurance 
Association exceeds $155,000,000, the amount of financial protection 
specified in Item 2 a and b of the Attachment shall be deemed to be 
reduced by that proportion of the difference between said sum and 
$155,000,000 as the limit of liability of the Nuclear Energy Liability-
Property Insurance Association policy designated in Item 5 of the 
Attachment bears to the sum of the limits of liability of all nuclear 
energy liability insurance policies (facility form) applicable to such 
common occurrence and issued by Nuclear Energy Liability-Property 
Insurance Association;
    (b) If the sum of the limit of liability of any Mutual Atomic Energy 
Liability Underwriters policy designated in Item 5 of the Attachment and 
the limits of liability of all other nuclear energy liability insurance 
policies (facility form) applicable to such common occurrence and issued 
by Mutual Atomic Energy Liability Underwriters exceeds $45,000,000, the 
amount of financial protection specified in Item 2 a and b of the 
Attachment shall be deemed to be reduced by that proportion of the 
difference between said sum and $45,000,000 as the limit of liability of 
the Mutual Atomic Energy Liability Underwriters policy designated in 
Item 5 of

[[Page 679]]

the Attachment bears to the sum of the limits of liability of all 
nuclear energy liability insurance policies (facility form) applicable 
to such common occurrence and issued by Mutual Atomic Energy Liability 
Underwriters;
    (c) If any of the other applicable agreements is with a person who 
has furnished financial protection in a form other than a nuclear energy 
liability insurance policy (facility form) issued by Nuclear Energy 
Liability-Property Insurance Association or Mutual Atomic Energy 
Liability Underwriters, and if also the sum of the amount of financial 
protection established under this agreement and the amounts of financial 
protection established under all other applicable agreements exceeds an 
amount equal to the sum of $200,000,000 and the amount available as 
secondary financial protection, the obligations of the licensee shall 
not exceed a greater proportion of an amount equal to the sum of 
$200,000,000 and the amount available as secondary financial protection 
than the amount of financial protection established under this agreement 
bears to the sum of such amount and the amounts of financial protection 
established under all other applicable agreements.
    (d) As used in this paragraph 6., Article II and in Article III, 
other applicable agreements means each other agreement entered into by 
the Commission pursuant to subsection 170(c). of the Act in which 
agreement the nuclear incident is defined as a common occurrence. As 
used in this paragraph 6., Article II, the obligations of the licensee 
means the obligations of the licensee under subsection 53e(8) of the Act 
to indemnify the United States and the Commission from public liability, 
together with any public liability satisfied by the insurers under the 
policy or policies designated in the Attachment, and the reasonable 
costs incurred by the insurers in investigating and settling claims and 
defending suits for damage.
    7. The obligations of the licensee under this Article shall not be 
affected by any failure or default on the part of the Commission or the 
Government of the United States to fulfill any or all of its obligations 
under this agreement. Bankruptcy or insolvency of any person indemnified 
other than the licensee, or of the estate of any person indemnified 
other than the licensee, shall not relieve the licensee of any of its 
obligations hereunder.

                               Article III

    1. The Commission undertakes and agrees to indemnify and hold 
harmless the licensee and other persons indemnified, as their interest 
may appear, from public liability.
    2. With respect to damage caused by a nuclear incident to property 
of any person legally liable for the nuclear incident, the Commission 
agrees to pay to such person those sums which such person would have 
been obligated to pay if such property had belonged to another; 
provided, that the obligation of the Commission under this paragraph 2 
does not apply with respect to:
    (a) Property which is located at the location described in Item 4 of 
the Attachment or at the location described in Item 3 of the 
declarations attached to any nuclear energy liability insurance policy 
designated in Item 5 of the Attachment;
    (b) Property damage due to the neglect of the person indemnified to 
use all reasonable means to save and preserve the property after 
knowledge of a nuclear incident;
    (c) If the nuclear incident occurs in the course of transportation 
of the raidoactive material, the transporting vehicle and containers 
used in such transportation;
    (d) The radioactive material.
    3. [Reserved]
    4. (a) The obligations of the Commission under this agreement shall 
apply only with respect to such public liability and such damage to 
property of persons legally liable for the nuclear incident (other than 
such property described in the proviso to paragraph 2 of this Article) 
as in the aggregate exceed the amount of financial protection.
    (b) With respect to a common occurrence, the obligations of the 
Commission under this agreement shall apply only with respect to such 
public liability and such damage to property of persons legally liable 
for the nuclear incident (other than such property described in the 
proviso to paragraph 2 of this Article) as in the aggregate exceed 
$200,000,000.
    5. The obligations of the Commission under this agreement shall 
apply only with respect to nuclear incidents occurring during the term 
of this agreement.
    6. The obligations of the Commission under this and all other 
agreements and contracts to which the Commission is a party shall not, 
with respect to any nuclear incident, in the aggregate exceed whichever 
of the following is the lowest: (a) $500,000,000; (b) $560,000,000 less 
the amount of financial protection required under this agreement; or (c) 
with respect to a common occurrence, $560,000,000 less the sum of the 
amounts of financial protection established under this agreement and all 
other applicable agreements.
    7. The obligations of the Commission under this agreement, except to 
the licensee for damage to property of the licensee, shall not be 
affected by any failure on the part of the licensee to fulfill its 
obligations under this agreement. Bankruptcy or insolvency of the 
licensee or any other person indemnified, or of the estate of the 
licensee or any other person indemnified, shall not relieve the 
Commission of any of its obligations hereunder.

[[Page 680]]

                               Article IV

    1. When the Commission determines that the United States will 
probably be required to make indemnity payments under the provisions of 
this agreement, the Commission shall have the right to collaborate with 
the licensee and other persons indemnified in the settlement and defense 
of any claim (provided that no government indemnity that would otherwise 
be available to pay public liability claims is used for these purposes) 
and shall have the right (a) to require the prior approval of the 
Commission for the settlement or payment of any claim or action asserted 
against the licensee or other person indemnified for public liability or 
damage to property of persons legally liable for the nuclear incident 
which claim or action the licensee or the Commission may be required to 
indemnify under this agreement; and (b) to appear through the Attorney 
General of the United States on behalf of the licensee or other person 
indemnified, take charge of such action and settle or defend any such 
action. If the settlement or defense of any such action or claim is 
undertaken by the Commission, the licensee shall furnish all reasonable 
assistance in effecting a settlement or asserting a defense.
    2. Neither this agreement nor any interest therein nor claim 
thereunder may be assigned or transferred without the approval of the 
Commission.

                                Article V

    The parties agree that they will enter into appropriate amendments 
of this agreement to the extent that such amendments are required 
pursuant to the Atomic Energy Act of 1954, as amended, or licenses, 
regulations or orders of the Commission.

                               Article VI

    The licensee agrees to pay the Commission such fees as are 
established by the Commission pursuant to regulations or others of the 
Commission.

                               Article VII

    The term of this agreement shall commence as of the date and time 
specified in Item 6 of the Attachment and shall terminate at the time of 
expiration of that license specified in Item 3 of the Attachment, which 
is the last to expire; provided that, except as may otherwise be 
provided in applicable regulations or orders of the Commission, the term 
of this agreement shall not terminate until all the radioactive material 
has been removed from the location and transportation of the radioactive 
material from the location has ended as defined in paragraph 4(b), 
Article I. Termination of the term of this agreement shall not affect 
any obligation of the licensee or the Commission under this agreement 
with respect to any nuclear incident occurring during the term of this 
agreement.

               United States Nuclear Regulatory Commission

                               attachment

    Indemnity Agreement No. ----------------
    Item 1--Licensee. --------------------------
    Item 2--
    a. Amount of financial protection --------
    b. With respect to any nuclear incident, the amount specified in 
Item 2a of this Attachment shall be deemed to be (i) reduced to the 
extent that any payment made by the insurer or insurers under a policy 
or policies specified in Item 5 of this Attachment reduces the aggregate 
amount of such insurance policies below the amount specified in Item 2a 
and (ii) restored to the extent that, following such reduction, the 
aggregate amount of such insurance polices is reinstated.
    Item 3--License number or numbers------

    Item 4--Location --------------------------

    Item 5--Insurance Policy No.(s)------------

    Item 6--The indemnity agreement designated above, of which this 
Attachment is a part, is effective as of 12:01 a.m., on the ------ day 
of --, 19--.
    For the U.S. Nuclear Regulatory Commission.

    For_________________________________________________________________
    By__________________________________________________________________
    Dated at Bethesda, MD, the --------

day of------ 19--.

[42 FR 51, Jan. 3, 1977, as amended at 42 FR 20141, Apr. 18, 1977; 44 FR 
20633, Apr. 6, 1979; 44 FR 24045, Apr. 24, 1979; 45 FR 37410, June 3, 
1980; 49 FR 11152, Mar. 26, 1984; 54 FR 24160, June 6, 1989]



Sec. 140.108  Appendix H--Form of indemnity agreement with licensees possessing plutonium for use in plutonium processing and fuel fabrication plants and 
          furnishing proof of financial protection in the form of the 
          licensee's resources.

    This Indemnity Agreement No. ------ is entered into by and between 
------ (hereinafter referred to as the licensee) and the United States 
Nuclear Regulatory Commission (hereinafter referred to as the 
Commission) pursuant to subsection 170(c) of the Atomic Energy Act of 
1954, as amended (hereinafter referred to as the Act), and Section 201 
of the Energy Reorganization Act of 1974, as amended.

                                Article I

    As used in this agreement:

[[Page 681]]

    1. Byproduct material, person, source material, special nuclear 
material, precautionary evacuation, and extraordinary nuclear occurrence 
shall have the meaning given them in the Atomic Energy Act of 1954, as 
amended, and the regulations issued by the Commission.
    2. Amount of financial protection means the amount specified in Item 
2 or the Attachment annexed hereto.
    3. Nuclear incident means any occurrence including an extraordinary 
nuclear occurrence, or series of occurrences at the location or in the 
course of transportation causing bodily injury, sickness, disease, or 
death, or loss of or damage to property, or loss of use of property, 
arising out of or resulting from the radioactive, toxic, explosive, or 
other hazardous properties of the radioactive material.
    (b) Any occurrence, including an extraordinary nuclear occurrence of 
series of occurrences causing bodily injury, sickness, disease or death, 
or loss or damage to property, or loss of use of property, arising out 
of or resulting from the radioactive, toxic, explosive, or other 
hazardous properties of
    i. The radioactive material discharged or dispersed from the 
location over a period of days, weeks, months or longer and also arising 
out of such properties of other material defined as the radioactive 
material in any other agreement or agreements entered into by the 
Commission under subsection 170(c) or (k) of the Act and so discharged 
or dispersed from the location as defined in any such other agreement, 
or
    ii. The radioactive material in the course of transportation and 
also arising out of such properties of other material defined in any 
other agreement entered into the Commission pursuant to subsection 
170(c) or (k) of the Act as the radioactive material and which is in the 
course of transportation shall be deemed to be a common occurrence. A 
common occurrence whall be deemed to constitute a single nuclear 
incident.
    4. In the course of transportation means in the course of 
transportation within the United States, or in the course of 
transportation outside the United States and any other nation, and 
moving from one person licensed by the Commission to another person 
licensed by the Commission, including handling or temporary storage 
incidental thereto, of the radioactive material to the location or from 
the location provided that:
    (a) With respect to transportation of the radioactive material to 
the location, such transportation is not be predetermination to be 
interrupted by the removal of the material from the transporting 
conveyance for any purpose other than the continuation of such 
transportation to the location or temporary storage incidental thereto:
    (b) The transportation of the radioactive material from the location 
shall be deemed to end when the radioactive material is removed from the 
transporting conveyance for any purpose other than the continuation of 
transportation or temporary storage incidental thereto:
    (c) In the course of transportation as used in this agreement shall 
not include transportation of the radioactive material to the location 
if the material is also in the course of transportaton from any other 
location as defined in any other agreement entered into by the 
Commission pursuant to subsection 170(c) or (k) of the Act.
    5. Person indemnified means the licensee and any other person who 
may be liable for public liability.
    6. Public liability means any legal liability arising out of or 
resulting from a nuclear incident or precautionary evacuation (including 
all reasonable additional costs incurred by a State, or a political 
subdivision of a State, in the course of responding to a nuclear 
incident or precautionary evacuation), except (1) claims under State or 
Federal Workmen's Compensation Acts of employees of persons indemnified 
who are employed (a) at the location or, if the nuclear incident occurs 
in the course of transportation of the radioactive material, on the 
transporting vehicle, and (b) in connection with the licensee's 
possession, use or transfer of the radioactive material; (2) claims 
arising out of an act of war; and (3) claims for loss of, or damage to, 
or loss of use of (a) property which is located at the location and used 
in connection with the licensee's possession, use, or transfer of the 
radioactive material, and (b) if the nuclear incident occurs in the 
course of transportation of the radioactive material, the transporting 
vehicle, containers used in such transportation, and the radioactive 
material.
    7. The location means the location described in Item 4 of the 
Attachment hereto.
    8. The radioactive material means (a) any source, special nuclear, 
or byproduct material which (1) is both used or to be used in, or is 
processed or to be processed by, the licensee's plutonium processing and 
fuel fabrication plant or plants and is subject to the license or 
licenses designated in the Attachment hereto, or (2) is produced as the 
result of the operation of said plant or plants or (b) any source 
special nuclear, or byproduct material which is waste or contamination 
from material described in paragraph 8(a). The words used or to be used 
and processed or to be processed in this paragraph cover source, special 
nuclear or byproduct material which is in the course of transportation 
as used in the agreement or is received at the plant for use or 
processing in the plant but which is, in fact, for any reason, not so 
used or processed.
    9. United States when used in a geographical sense includes Puerto 
Rico and all territories and possessions of the United States.

[[Page 682]]

                               Article II

    1. The licensee undertakes and agrees to indemnify and hold harmless 
all persons indemnified, as their interest may appear, from public 
liability.
    2. With respect to damage caused by a nuclear incident to property 
of any person legally liable for the incident, the licensee agrees to 
pay to such person those sums which such person would have been 
obligated to pay if such property had belonged to another; provided, 
that the obligation of the licensee under this paragraph 2 does not 
apply with respect to:
    (a) Property which is located at the location and used in connection 
with the licensee's possession, use or transfer of the radioactive 
material;
    (b) Property damage due to neglect of the person indemnified to use 
all reasonable means to save and preserve the property after knowledge 
of a nuclear incident;
    (c) If the nuclear incident occurs in the course of transportation 
of the radioactive material, the transporting vehicle and containers 
used in such transportation; and
    (d) The radioactive material.
    3. Any obligations of the licensee under paragraphs 1 and 2 of this 
Article, and subsection 53e(8) of the Act to indemnify the United States 
and the Commission from public liability shall not in the aggregate 
exceed the amount of financial protection with respect to any nuclear 
incident.
    4. The obligations of the licensee under this agreement shall apply 
only with respect to nuclear incidents occurring during the term of this 
agreement.
    5. Upon the expiration or revocation of any license designated in 
Item 3 of the Attachment, the Commission will enter into an appropriate 
amendment of this agreement with the licensee reducing the amount of 
financial protection required under this Article; provided, that the 
licensee is then entitled to a reduction in the amount of financial 
protection under applicable Commission regulations and orders.
    6. With respect to any common occurrence, if the sum of the amount 
of financial protection established under this agreement and the amount 
of financial protection established under all other applicable 
agreements exceeds an amount equal to the sum of $200,000,000 and the 
amount available as secondary financial protection, the obligations of 
the licensee described in paragraph 3 of this Article shall not exceed a 
greater proportion of an amount equal to the sum of $200,000,000 and the 
amount available as secondary financial protection than the amount of 
financial protection established under this agreement bears to the sum 
of such amount and the amounts of financial protection established under 
all other applicable agreements. As used in this paragraph, and in 
Article III, other applicable agreements means each other agreement 
entered into by the Commission pursuant to subsection 170(c) or (k) of 
the Act in which agreement the nuclear incident is defined as a common 
occurrence.
    7. The obligations of the licensee under this Article shall not be 
affected by any failure or default on the part of the Commission or the 
Government or the United States to fulfill any or all of its obligations 
under this agreement. Bankruptcy or insolvency of any person indemnified 
other than the licensee, or of the estate of any person indemnified 
other than the licensee shall not relieve the licensee of any of its 
obligations hereunder.

                               Article III

    1. The Commission undertakes and agrees to indemnify and hold 
harmless the licensee and other persons indemnified, as their interest 
may appear, from public liability.
    2. With respect to damage caused by a nuclear incident to property 
of any person legally liable for the nuclear incident, the Commission 
agrees to pay to such person those sums which such person would have 
been obligated to pay if such property had belonged to another; 
provided, that the obligation of the Commission under this paragraph 2 
does not apply with respect to:
    (a) Property which is located at the location and used in connection 
with the licensee's possession, use or transfer of the radioactive 
material;
    (b) Property damage due to the neglect of the person indemnified to 
use all reasonable means to save and preserve the property after 
knowledge of a nuclear incident;
    (c) If the nuclear incident occurs in the course of transportation 
of the radioactive material, the transporting vehicle and containers 
used in such transportation;
    (d) The radioactive material.
    3. [Reserved]
    4. (a) The obligations of the Commission under this agreement shall 
apply only with respect to such public liability and such damage to 
property of persons legally liable for the nuclear incident (other than 
such property described in the proviso to paragraph 2 of this Article) 
as in the aggregate exceed the amount of financial protection.
    (b) With respect to a common occurrence, the obligations of the 
Commission under this agreement shall apply only with respect to such 
public liability and such damage to property of persons legally liable 
for the nuclear incident (other than such property described in the 
proviso to paragraph 2 of this Article) as in the aggregate exceed 
$200,000,000.
    5. The obligations of the Commission under this agreement shall 
apply only with respect to nuclear incidents occurring during the term 
of this agreement.

[[Page 683]]

    6. The obligations of the Commission under this and all other 
agreements and contracts to which the Commission is a party shall not, 
with respect to any nuclear incident, in the aggregate exceed whichever 
of the following is the lowest; (a) $500,000,000; (b) $560,000,000 less 
the amount of financial protection required under this agreement; or (c) 
with respect to a common occurrence, $560,000,000 less the sum of the 
amounts of financial protection established under this agreement and all 
other applicable agreements.
    7. The obligations of the Commission under this agreement, except to 
the licensee for damage to property of the licensee, shall not be 
affected by any failure on the part of the licensee to fulfill its 
obligations under this agreement. Bankruptcy or insolvency of the 
licensee or any other person indemnified, or of the estate of the 
licensee or any other person indemnified shall not relieve the 
Commission of any of its obligations hereunder.

                               Article IV

    1. When the Commission determines that the United States will 
probably be required to make indemnity payments under the provisions of 
this agreement, the Commission shall have the right to collaborate with 
the licensee and other persons indemnified in the settlement and defense 
of any claim (provided that no government indemnity that would otherwise 
be available to pay public liability claims is used for these purposes) 
and shall have the right (a) to require the prior approval of the 
Commission for the settlement or payment of any claim or action asserted 
against the licensee or other persons indemnified for public liability 
or damage to property of persons legally liable for the nuclear incident 
which claim or action the licensee or the Commission may be required to 
indemnify under this agreement; and (b) to appear through the Attorney 
General of the United States on behalf of the licensee or other person 
indemnified, take charge of such action and settle or defend any such 
action. If the settlement or defense of any such action or claim is 
undertaken by the Commission, the licensee shall furnish all reasonable 
assistance in effecting a settlement or asserting defense.
    2. Neither this agreement nor any interest therein nor claim 
thereunder may be assigned or transferred without the approval of the 
Commission.

                                Article V

    The parties agree that they will enter into appropriate amendments 
of this agreement to the extent that such amendments are required 
pursuant to the Atomic Energy Act of 1954, as amended, or licenses, 
regulations or orders of the Commission.

                               Article VI

    The licensee agrees to pay the Commission such fees as are 
established by the Commission pursuant to regulations or orders of the 
Commission.

                               Article VII

    The term of this agreement shall commence as of the date and time 
specified in Item 5 of the Attachment and shall terminate at the time of 
expiration of that license specified in Item 3 of the Attachment, which 
is the last to expire; provided that, except as may otherwise be 
provided in applicable regulations or orders of the Commission, the term 
of this agreement shall not terminate until all the radioactive material 
has been removed from the location and transportation of the radioactive 
material from the location has ended as defined in paragraph 4(b), 
Article I. Termination of the term of this agreement shall not affect 
any obligation of the licensee or the Commission under this agreement 
with respect to any nuclear incident occurring during the term of this 
agreement.

               United States Nuclear Regulatory Commission

                               Attachment

    Indemnity Agreement No. ----------------
    Item 1--Licensee --------------------------
    Item 2--Amount of financial protection--
    Item 3--License number or numbers------
    Item 4--Location --------------------------
    Item 5--The indemnity agreement designated above, of which this 
Attachment is a part, is effective as of 12:01 a.m., on the
------ day of ------ 19--.
    Dated at Bethesda, MD, the ------ day of ------ 19--.
For the U.S. Nuclear Regulatory Commission.
    For_________________________________________________________________
    By__________________________________________________________________

[42 FR 53, Jan. 3, 1977, as amended at 42 FR 20142, Apr. 18, 1977; 42 FR 
23501, May 9, 1977; 44 FR 20633, Apr. 6, 1979; 44 FR 24045, Apr. 24, 
1979; 45 FR 37410, June 3, 1980; 49 FR 11152, Mar. 26, 1984; 54 FR 
24161, June 6, 1989]



Sec. 140.109  Appendix I.

             Nuclear Energy Liability Insurance Association

                         master policy no. ----

                   Nuclear Energy Liability Insurance

                    (Secondary Financial Protection)

    Named Insured: Each person or organization designated in Item 1 of a 
certificate.

[[Page 684]]

    Policy Period: Beginning on the first day of August, 1977, and 
continuing to the effective date and time of the cancellation or other 
termination of this policy, eastern standard time.
    Limits of Liability: The amount of retrospective premium actually 
received by the companies plus the amount of the companies' contingent 
liability, if any, pursuant to Conditions 2, 3, and 4.
Date of Issue___________________________________________________________
Authorized Representative_______________________________________________
    In consideration of the payment of the annual premium, in reliance 
upon the statements in the certificates and subject to the limits of 
liability, conditions and other terms of this Master Policy, the 
undersigned members of Nuclear Energy Liability Insurance Association 
(hereinafter called the companies), each for itself, severally and not 
jointly, and in the respective proportions herein set forth, and the 
insureds named in the certificates, agree as follows:

                           Insuring Agreements

                  i. nuclear energy liability insurance

                    (Secondary Financial Protection)

    To pay on behalf of or to the insured or to the insured's workers' 
compensation carrier all sums payable as excess losses to which this 
Master Policy applies.

                             ii. definitions

    Bodily injury means bodily injury, sickness or disease, including 
death resulting therefrom, sustained by any person.
    Certificate means a Certificate of Insurance, including Declarations 
and Bond for Payment of Retrospective Premiums, issued to be a part of 
this Master Policy.
    Common nuclear occurrence means any occurrence or series of 
occurrences causing bodily injury or property damage arising out of the 
radioactive, toxic, explosive, or other hazardous properties of nuclear 
material
    (a) Discharged or dispersed from a nuclear reactor described in Item 
3 of a certificate over a period of days, weeks, months, or longer, or
    (b) Discharged or dispersed from a nuclear reactor described in Item 
3 of a certificate over a period of days, weeks, months or longer and 
also arising out of such properties of nuclear material so discharged or 
dispersed from one or more other nuclear reactors described in Item 3 of 
other certificates, or
    (c) In the course of transportation for which protection is afforded 
(or would be afforded but for exhaustion of its limit of liability) 
under the primary financial protection described in Item 4 of a 
certificate and also arising out of such properties of nuclear material 
in the course of transportation for which protection is afforded (or 
would be afforded but for exhaustion of its limit of liability) under 
the primary financial protection described in Item 4 of one or more 
other certificates.
    Damages and claim expenses includes sums estimated by the companies 
to be payable under this policy and payments made by the companies under 
this Master Policy:
    (a) In settlement of claims and in satisfaction of judgments against 
the insureds for damages because of bodily injury or property damage;
    (b) For (1) costs taxed against an insured in any suit against the 
insured seeking damages payable under the terms of this Master Policy 
and interest on any judgment therein, (2) premiums on appeal bonds and 
bonds to release attachments in any such suit and (3) reasonable 
expenses, other than loss of earnings, incurred by the insured at the 
companies' request;
    (c) For expenses incurred in the investigation, negotiation, 
settlement and defense of any claim or suit including, but not limited 
to, the cost of such services by salaried employees of the companies, 
fees and expenses of independent adjusters, attorneys' fees and 
disbursements, expenses for expert testimony, inspection and appraisal 
of property, examination, X-ray or autopsy or medical expenses of any 
kind;
    (d) For expenses incurred by the companies in investigating a 
nuclear incident or in minimizing its effects;
    (e) For all other expenses of the companies in fulfilling their 
obligations under this Master Policy, provided that such expenses are 
reasonable and necessary.
    Excess losses means all damages and claim expenses
    (a) Because of bodily injury or property damage to which a 
certificate applies, and
    (b) Which are excess of all sums paid or payable as estimated by the 
companies under all applicable primary financial protection.
    Extraordinary nuclear occurrence has the meaning given it in the 
Atomic Energy Act of 1954, or in any law amendatory thereof.
    Insured means any person or organization identified in Item 1 or 2 
of a certificate.
    Nuclear incident means
    (a) An extraordinary nuclear occurrence, or
    (b) A common nuclear occurrence, or if neither of these,
    (c) An occurrence or series of occurrences, including continuous or 
repeated exposure to substantially the same general conditions, causing 
bodily injury or property damage arising out of the radioactive, toxic, 
explosive, or other hazardous properties of nuclear material.
    Nuclear material means source material, special nuclear material or 
byproduct material.
    Primary financial protection means the insurance policies or other 
contracts identified in Item 4 of a certificate and includes any 
amendment thereto which is consented to by

[[Page 685]]

the companies pursuant to Condition 6 of this Master Policy.
    Property damage means physical injury to or destruction or 
radioactive contamination of property, and loss of use of property so 
injured, destroyed or contaminated, and loss of use of property while 
evacuated or withdrawn from use because possibly so contaminated or 
because of imminent danger of such contamination.
    Source material, special nuclear material, and byproduct material 
have the meanings given them in the Atomic Energy Act of 1954, or in any 
law amendatory thereof.

                       iii. application of policy

    Insurance is provided by this Master Policy only through a 
certificate. No insurance is afforded with respect to bodily injury or 
property damage caused prior to August 1, 1977 by a nuclear incident.

                               Conditions

                            1. annual premium

    The named insureds designated in a certificate shall pay to the 
companies the annual premium for each calendar year or part thereof.
    Such annual premium shall be determined by the companies and stated 
in a written notice mailed to the first named insured shown in Item 1 of 
a certificate, and shall be due and payable as stated in such notice.

                        2. retrospective premium

    The named insureds designated in a certificate shall pay to the 
companies retrospective premium in the event of excess losses due to 
bodily injury or property damage caused during their certificate period 
by a nuclear incident arising out of or in connection with a nuclear 
reactor described in Item 3 of the certificate or in Item 3 of any other 
certificate. The amount of retrospective premium-due under each 
certificate shall be determined by multiplying such excess losses by the 
ratio of the maximum retrospective premium payable with respect to the 
nuclear incident under the certificate to the total of the maximum 
retrospective premiums payable with respect to the nuclear incident 
under all such certificates.
    If any portion of the bodily injury or property damage to which this 
Master Policy applies is caused during any portion of a certificate 
period by a nuclear incident, the retrospective premium the named 
insureds designated in such certificate are obligated to pay shall be 
determined as if all bodily injury or property damage to which this 
Master Policy applies caused by the nuclear incident had been caused 
during the certificate period of such certificate.
    The maximum retrospective premium that the named insureds designated 
in a certificate shall pay to the companies for all excess losses 
arising out of any one nuclear incident is the amount stated in Item 7 
of their certificate.
    In the event of two more nuclear incidents, the maximum amount of 
retrospective premium that shall be due from and payable by the named 
insureds in one calendar year shall not exceed twice the amount stated 
in Item 7 of their certificate. Any amount in excess thereof shall be 
paid in subsequent calendar years as billed by the companies.
    In addition, an allowance for applicable premium taxes shall be 
determined by the companies and paid to them by the named insureds at 
the time retrospective premiums are due and payable.
    After a nuclear incident resulting in excess losses, the companies 
shall mail to the first named insured designated in Item 1 of a 
certificate written notice of the retrospective premium and allowance 
for premium taxes then due under such certificate. Such notice shall 
also constitute notice to all other named insureds designated in such 
certificate. The named insureds shall pay directly to the Nuclear Energy 
Liability Insurance Association the retrospective premium and allowance 
for premium taxes stated in the notice. The notice shall specify a date 
no earlier than 60 days after mailing by which time payment is to be 
received by the Nuclear Energy Liability Insurance Association.
    The companies shall at least annually review their estimate of 
excess losses arising out of the nuclear incident and shall adjust the 
retrospective premium and allowance for premium taxes accordingly. If 
the amount due from the named insureds is increased, written notice 
shall be mailed to the first named insured in accordance with the 
foregoing paragraph; if deceased the companies shall return the excess 
to the first named insured.
    The obligation of the named insureds to pay retrospective premium 
and the allowance for premium taxes for excess losses arising out of a 
nuclear incident shall continue until the named insureds have paid the 
maximum retrospective premium stated in Item 7 of their certificate plus 
allowance for premium taxes.
    The companies shall send to the Nuclear Regulatory Commission 
summaries of their estimates of excess losses arising out of the nuclear 
incident and their computations of retrospective premium and the 
allowance for premium taxes due.
    All retrospective premium (but not the allowance for premium taxes) 
received by the companies is to be held by the companies separate from 
the companies' other assets and is to be used by the companies only for 
the purpose of paying excess losses. Any investment income received by 
the companies from such retrospective premium shall accrue to the 
benefit of the named insureds.

[[Page 686]]

This paragraph shall not apply to any retrospective premium received by 
the companies as reimbursement for any funds expended pursuant to 
Condition 4.
    No commission will be paid with respect to retrospective premium and 
allowance for premium taxes.

                          3. limit of liability

    Regardless of the number of
    (a) Persons or organizations who are insureds under this Master 
Policy, or
    (b) Claims made and suits brought against any and all insureds, or
    (c) Policies or contracts of primary financial protection or 
certificates which apply to the nuclear incident, or
    (d) Years this Master Policy and any certificate shall continue in 
force,

The total liability of the companies under this Master Policy for all 
excess losses arising out of any nuclear incident shall not exceed the 
amount of retrospective premium actually received by the companies 
pursuant to Condition 2 with respect to such nuclear incident plus the 
companies' contingent liability, if any, as determined by Condition 4. 
Reimbursement of the companies for funds expended pursuant to Condition 
4 shall not operate to increase the total liability of the companies.

                4. contingent liability of the companies

    The companies have a contingent liability under this Master Policy 
for payment of excess losses but only if, and to the extent that, the 
retrospective premium due under one or more certificates is not paid. In 
the event of any such failure to pay retrospective premiums, the 
companies' obligations under this Condition 4 are limited as follows:
    Regardless of the number of nuclear incidents which cause bodily 
injury or property damage to which this Master Policy applies, the 
number of years this Master Policy is in force, the number of 
certificates issued or in effect, or the number of annual premiums paid 
or payable.
    (a) The total contingent liability of the companies for all excess 
losses arising out of two or more nuclear incidents shall not exceed 
$46,500,000;
    (b) Subject to the above provision (a), the total contingent 
liability of the companies for all excess losses arising out of any one 
nuclear incident shall not exceed $23,250,000;
    (c) Subject to the above provisions (a) and (b), the maximum amount 
to be paid by the companies in any one calendar year because of 
contingent liability for excess losses shall not exceed $23,250,000.
    If a named insured designated in a certificate shall become 
insolvent or be adjudged bankrupt, the companies' obligation under this 
Condition 4 shall not apply to the failure of any named insured 
designated in such certificate to pay retrospective premium with respect 
to excess losses because of bodily injury or property damage caused 
after the date of such insolvency or bankruptcy.

       5. investigation, defense or settlement of claims or suits

    Subject to the provisions of any written agreement between the 
companies and the Nuclear Regulatory Commission, the companies shall 
defend any claim or suit alleging bodily injury or property damage 
caused by a nuclear incident and seeking damages which are payable under 
this Master Policy, and may make such investigation and settlement of 
any claim or suit as they deem expedient. In no event shall the 
companies be obligated to pay any claim or judgment or to defend any 
claim or suit after the companies have paid the amount of retrospective 
premium actually received for excess losses arising out of the nuclear 
incident plus the amount of their contingent liability, if any.

                     6. primary financial protection

    Regardless of the number of policies or contracts of primary 
financial protection applicable to a nuclear incident, the limit of 
liability of all such policies or contracts shall be deemed to be 
exhausted when the sums paid under all such policies or contracts are 
equal to the lesser of (1) the sum of the limits of liability available 
under all such primary financial protection or (2) one hundred forty 
million dollars.
    The named insured designated in a certificate shall maintain in full 
effect during the currency of such certificate the primary financial 
protection described therein, except for any reduction of the limit of 
liability of such primary financial protection solely as the result of 
sums paid thereunder. Failure of the named insureds to comply with the 
foregoing shall not invalidate this Master Policy, but in the event of 
such failure the companies shall be liable only to the extent that they 
would have been liable and the named insureds complied therewith.
    In the event that the limit of liability of the primary financial 
protection is reduced, such names insureds shall immediately inform the 
companies thereof and make all reasonable efforts to reinstate such 
limit.
    Upon the companies' request the named insureds shall provide the 
companies with a certified copy of any policy or other contract of 
primary financial protection. No amendment of the primary financial 
protection shall increase, extend or broaden the insurance provided by 
this Master Policy unless the companies agree to the amendment by an 
endorsement issued to form a part of this Master Policy.

[[Page 687]]

  7. interest to be paid by named insured on retrospective premium and 
                 allowance for premium taxes in default

    If retrospective premium or allowance for premium taxes is not paid 
when due by the named insureds designated in Item 1 of a certificate, 
such named insureds shall be obligated to pay, in addition to the amount 
in default, interest thereon during the period of default. Such interest 
shall be computed at an annual rate equal to the sum of (a) three 
percent plus (b) a rate of interest equal to Moody's Average Public 
Utility Bond Yield described in the issue of Moody's Bond Survey current 
on the date that the retrospective premium and allowance for premium 
taxes were due. The annual rate of interest shall be adjusted monthly 
during the period of default to reflect any revisions of Moody's Average 
Public Utility Bond Yield described in the issue of Moody's Bond Survey 
current on the first business day of each such month.
    The interest so received shall be used to pay to the companies 
interest at the annual rate described above for any funds the companies 
have paid pursuant to Condition 4. Any balance remaining shall accrue to 
the benefit of named insureds not in default as if it were investment 
income on retrospective premium.

              8. notice of nuclear incident, claim or suit

    In the event of bodily injury or property damage to which this 
Master Policy applies or of a nuclear incident which may give rise to 
claims therefor, written notice containing particulars sufficient to 
identify the insured and also reasonably obtainable information with 
respect to the time, place and circumstances thereof, and the names and 
addresses of the injured and of available witnesses, shall be given by 
or for the insured to Nuclear Energy Liability Insurance Association or 
the companies as soon as practicable. If claim is made or suit is 
brought against the insured, the insured shall immediately forward to 
Nuclear Energy Liability Insurance Association or the companies every 
demand, notice, summons or other process received by or on behalf of the 
insured.

              9. assistance and cooperation of the insured

    The insured shall cooperate with the companies and, upon the 
companies' request, attend hearings and trials and assist in making 
settlements, in securing and giving evidence, in obtaining the 
attendance of witnesses and in the conduct of any legal proceedings in 
connection with the subject matter of this insurance. The insured shall 
not, except at the insured's own cost, make any payment, assume any 
obligation or incur any expense.

                      10. action against companies

    No action shall lie against the companies or any of them unless, as 
a condition precedent thereto, the insured shall have fully complied 
with all the terms of this Master Policy, nor until the amount of the 
insured's obligation to pay shall have been finally determined either by 
judgment against the insured after actual trial or by written agreement 
of the insured, the claimant and the companies.
    Any person or organization or the legal representative thereof who 
has secured such judgment or written agreement shall thereafter be 
entitled to recover under this Master Policy to the extent of the 
insurance afforded by this Master Policy. No person or organization 
shall have any right under this Master Policy to join the companies or 
any of them as parties to any action against the insured to determine 
the insured's liability, nor shall the companies or any of them be 
impleaded by the insured or the insured's legal representative. Except 
as provided in Condition 4, bankruptcy or insolvency of the insured or 
of the insured's estate shall not relieve the companies of any of their 
obligations hereunder.

                             11. subrogation

    In the event of any payment under this Master Policy, the companies 
may participate with the insured and any underlying insurer in the 
exercise of all the insured's rights of recovery against any person or 
organization liable therefor. Prior to knowledge of bodiliy injury or 
property damage to which this Master Policy applies or of a nuclear 
incident which may give rise to claims therefor, the insured may waive 
in writing any right of recovery against any person or organization. 
After such knowledge, the insured shall not waive or otherwise prejudice 
any such right of recovery but shall do everything necessary to secure 
such rights. Recoveries shall be applied first to reimburse any person 
or organization (including the insured) that may have paid any amount 
with respect to liability in excess of the limit of the companies' 
liability hereunder; then to reimburse the companies up to the amount 
paid hereunder; and lastly to reimburse anyone entitiled to claim the 
residue, if any. A different apportionment maybe made by agreement 
signed by all parties affected.
    Reasonable expenses incurred in the exercise of rights of recovery 
shall be apportioned in the ratio of the respective losses for which 
recovery is sought. The companies shall, after deducting all of their 
expenses in securing recovery, apply the net amount of recoveries made 
by the companies as a credit in determining the amount of excess losses.

[[Page 688]]

                           12. other insurance

    This insurance shall be excess insurance over primary financial 
protection.
    This insurance is concurrent with insurance afforded by a Master 
Policy--Nuclear Energy Liability Insurance (Secondary Financial 
Protection) issued to the named insured by Mutual Atomic Energy 
Liability Underwriters, hereinafter called concurrent insurance. The 
companies shall not be liable under this Master Policy for a greater 
proportion of excess losses than the applicable limit of liability 
described in Condition 3 bears to the sum of (a) such limit plus (b) the 
applicable limit of liability of such concurrent insurance.
    If the insured has other valid and collectible insurance (other than 
primary financial protection or concurrent insurance) applicable to 
excess losses covered by this Master Policy, the insurance afforded by 
this Master Policy shall be primary insurance under such other 
insurance.

                               13. changes

    Notice to any agent or knowledge possessed by any agent or by any 
other person shall not effect a waiver or a change in any part of this 
Master Policy or estop the companies from asserting any right under the 
terms of this Master Policy; nor shall the terms of this Master Policy 
be waived or changed, except by endorsement executed by Nuclear Energy 
Liability Insurance Association on behalf of the companies and issued to 
form a part of this Master Policy.

                             14. assignment

    Assignment of interest by the named insured shall not bind the 
companies until their consent is endorsed hereon; if, however, the named 
insured shall die or be declared bankrupt or insolvent, this Master 
Policy shall cover such named insured's legal representative, receiver 
or trustee as an insured under this Master Policy, but only with respect 
to such legal representative's, receiver's or trustee's liability as 
such, and then only provided written notice of the legal 
representative's, receiver's or trustee's appointment as such is given 
to the companies within ten days after such appointment.

       15. custodian of the policy--nuclear regulatory commission

    The named insureds have designated the Nuclear Regulatory Commission 
as the custodian of this Master Policy and any endorsements thereto.

                            16. cancellation

    The first named insured designated in Item 1 of a certificate may 
cancel such certificate by mailing to the companies and the Nuclear 
Regulatory Commission written notice stating when, not less than thirty 
days thereafter, such cancellation shall be effective.
    The companies may cancel any certificate by mailing to the first 
named insured designated in Item 1 of such certificate written notice 
stating when, not less than ninety days thereafter, such cancellation 
shall be effective; provided that in the event of non-payment of any 
annual premium, retrospective premium or allowance for premium taxes due 
under a certificate, such certificate may be canceled by the companies 
by mailing to the first named insured designated therein written notice 
stating when, not less than thirty days thereafter, such cancellation 
shall be effective.
    The mailing of notice as aforesaid shall be sufficient proof of 
notice. The effective date and time of cancellation stated in the notice 
shall become the end of the certificate period. Delivery of such written 
notice, either by the first named insured designated in Item 1 of a 
certificate or by the companies, shall be equivalent to mailing.
    A copy of the companies' cancellation notice shall be mailed to the 
Nuclear Regulatory Commission, but mailing such copy is not a condition 
of cancellation.
    If a certificate is canceled, the earned portion of the annual 
premium shall be computed pro-rata. Adjustment of the annual premium, if 
any, may be made either at the time cancellation is effective or as soon 
as practicable after cancellation becomes effective, but payment or 
tender of unearned premium is not a condition of cancellation.
    Cancellation or termination of any certificate shall not terminate 
the obligation of a named insured to pay retrospective premium and the 
allowance for premium taxes as provided in such named insured's 
certificate and Condition 2 of this Master Policy.
    This Master Policy shall terminate automatically on the effective 
date and time of cancellation or termination of the last certificate in 
effect.

                       17. company representation

    (a) Any notice, sworn statement or proof of loss which may be 
required by the provisions of this Master Policy may be given to any one 
of the companies, and such notice, statement or proof of loss so given 
shall be valid and binding as to all companies.
    (b) In any action or suit against the companies, service of process 
may be made on any one of them and such service shall be deemed valid 
and binding service on all companies.
    (c) Nuclear Energy Liability Insurance Association is the agent of 
the companies with respect to all matters pertaining to this insurance. 
All notices or other communications required by this Master Policy to be 
given to the companies may be given to such agent, at its office at The 
Exchange, Suite 245, 270 Farmington Avenue, Farmington,

[[Page 689]]

Connecticut--06032 with the same force and effect as if given directly 
to the companies. Any requests, demands or agreements made by such agent 
shall be deemed to have been made directly by the companies.

                18. authorization of first named insured

    Except with respect to compliance with the obligations imposed on 
the insured by Conditions 8, 9, 10 and 11 of this Master Policy, the 
first named insured designated in Item 1 of a certificate is authorized 
to act for every other person and organization insured under such 
certificate in all matters pertaining to this insurance.

    19. changes in subscribing companies and in their proportionate 
                                liability

    The members of Nuclear Energy Liability Insurance Association 
subscribing this Master Policy, and the proportionate liability of each, 
may change from time to time.
    Each company subscribing this Master Policy upon its issuance shall 
be liable only for its stated proportion of any obligation assumed or 
expense incurred under this Master Policy because of bodily injury or 
property damage caused during the period from the effective date of this 
Master Policy to the close of December 31 next following. For each 
subsequent calendar year, beginning January 1 next following the 
effective date of this Master Policy, the subscribing companies and the 
proportionate liability of each such company shall be stated in an 
endorsement issued to form a part of this Master Policy, duly executed 
by the President of Nuclear Energy Liability Insurance Association on 
behalf of each such company, and mailed or delivered to the Nuclear 
Regulatory Commission.

                            20. declarations

    By acceptance of this Master Policy, the named insureds designated 
in a certificate agree that the statements in such certificate are their 
agreements and representations, that this Master Policy and such 
certificate are issued in reliance upon the truth of such 
representations and that this Master Policy and such certificate embody 
all agreements between such named insureds and the companies or any of 
their agents relating to this insurance.
    In witness whereof each of the subscribing companies has caused this 
Master Policy to be executed on its behalf by the Nuclear Energy 
Liability Insurance Association and duly countersigned on the first page 
by an authorized representative.
    For the Subscribing Companies of NUCLEAR ENERGY LIABILITY INSURANCE 
ASSOCIATION
By:

Burt C. Proom,
President.

             Nuclear Energy Liability Insurance Association

Certificate No._________________________________________________________
Forming Part of Master Policy No._______________________________________
________________________________________________________________________

     certificate of insurance declarations and bond for payment of 
                         retrospective premiums

                        Certificate of Insurance

    This is to certify that the persons and organizations designated in 
Item 1 of the Declarations are named insureds under the Master Policy--
Nuclear Energy Liability Insurance (Secondary Financial Protection), 
herein called the Master Policy, issued by Nuclear Energy Liability 
Insurance Association.
    Such insurance as is provided by the Master Policy applies, through 
this certificate, only:
    (a) to the insureds identified in Items 1 and 2 of the Declarations,
    (b) for the certificate period stated in Item 6 of the Declarations,
    (c) to bodily injury or property damage
    (1) with respect to which the primary financial protection described 
in Item 4 of the Declarations would apply but for exhaustion of its 
limit of liability as described in Condition 6 of the Master Policy, and
    (2) which is caused during the certificate period stated in Item 6 
of the Declarations by a nuclear incident arising out of or in 
connection with the nuclear reactor described in Item 3 of the 
Declarations, and
    (3) which is discovered and for which written claim is made against 
the injured not later than ten years after the end of the certificate 
period stated in Item 6 of the Declarations. However, with respect to 
bodily injury or property damage caused by an extraordinary nuclear 
occurrence this subparagraph (3) shall not operate to bar coverage for 
bodily injury or property damage which is discovered and for which 
written claim is made against the insured not later than twenty years 
after the date of the extraordinary nuclear occurrence.

                              declarations

    Item 1. Named insureds and addresses:
    (a)
    (b)
    Item 2. Additional insureds:
    Any other person or organization who would be insured under the 
primary financial protection identified in Item 4 of the Declarations 
but for exhaustion of the limit of liability of such primary financial 
protection.
    Item 3. Description and location of nuclear reactor:
    Item 4. (a) Identification of primary financial protection 
applicable to the nuclear reactor and limit(s) of liability thereof:
Nuclear Energy Liability Insurance Association's Policy NF-     
$108,500,000

[[Page 690]]

Mutual Atomic Energy Liability Underwriters' Policy MF-     $31,500,000
    (b) The following endorsements, attached to the primary financial 
protection policies listed in Item 4(a) also apply to the insurance 
afforded by the Master Policy through this certificate as though they 
were attached hereto:
    (1) Waiver of Defense Endorsement (Extraordinary Nuclear Occurrence) 
and
    (2) Supplementary Endorsement--Waiver of Defenses--Reactor 
Construction at the Facility,
    (c) The limits of liability provided under the primary financial 
protection specified in Item 4(a) above are not shared with any other 
reactor except as follows:
    Item 5. Limits of Liability: The amount of retrospective premium 
actually received by the companies plus the amount of the companies' 
contingent liability, if any, pursuant to Conditions 2, 3, and 4 of the 
Master Policy.
    Item 6. Certificate Period: Beginning at 12:01 a.m. on ------------ 
and continuing to the effective date and time of cancellation or 
termination of the Master Policy or this certificate, whichever first 
occurs, eastern standard time.
    Item 7. Maximum retrospective premium (exclusive of allowance for 
premium taxes) payable pursuant to Condition 2 of the Master Policy with 
respect to each nuclear incident: $3,875,000.
    Item 8. Premium payable pursuant to Condition 1 of the Master Policy 
for the period from ------------ through December 31 following: $------.

               Bond for Payment of Retrospective Premiums

    Know All Men By These Presents, that the undersigned do hereby 
acknowledge that they are named insureds under the Master Policy 
described in the above Certificate of Insurance and Declarations. The 
named insureds do hereby convenant with and are held and are firmly 
bound to the members of Nuclear Energy Liability Insurance Association 
subscribing the Master Policy (hereinafter called the companies) to pay 
the companies all retrospective premiums and allowances for premium 
taxes which shall become due and payable in accordance with the Master 
Policy, as it may be changed from time to time, with interest on such 
premiums and allowances for taxes to be computed at the rate provided in 
the Master Policy from the date payment thereof is specified to be due 
the companies in written notice to the first named insured as provided 
in Condition 2 of the Master Policy until paid;
    And it is hereby expressly agreed that copies of written notices of 
retrospective premiums and allowances for premium taxes due and payable 
or other evidence of such amounts due and payable sworn to by a duly 
authorized representative of the companies shall be prima facie evidence 
of the fact and extent of the liability of the named insureds for such 
amounts;
    And it is further expressly agreed that the named insureds will 
indemnify the companies against any and all liability, losses and 
expenses of whatsoever kind or nature (including but not limited to 
interest, court cost, and counsel fees) which the companies may sustain 
or incur (1) by reason of the failure of the named insureds to comply 
with the convenants and provisions of this Bond and (2) in enforcing any 
of the convenants or provisions of this Bond, or any provisions of the 
Master Policy relating to such convenants or provisions;
    For the purpose of recording this agreement, a photocopy 
acknowledged before a Notary Public to be a true copy hereof shall be 
regarded as an original.
    The preceding Certificate of Insurance, Declarations and Bond form a 
part of the Master Policy. Cancellation or termination of the Master 
Policy or the Certificate of Insurance shall not affect the named 
insured's obligations under the policy or the Bond to pay the 
retrospective premiums and allowances for premium taxes, as provided in 
this Certificate and Condition 2 of the Master Policy.
    In witness whereof, the named insureds have caused the Declaration 
and the Bond for Payment of Retrospective Premiums to be signed and 
sealed by a duly authorized officer, to be effective ------------ 
eastern standard time.
Attest or Witness
Named Insureds:
By______________________________________________________________________
(Seal)
(Signature of Officer)
________________________________________________________________________
(type or print Name & Title of Officer)
Date:___________________________________________________________________
    In witness whereof, the companies subscribing the Master Policy have 
caused the Certificate of Insurance and the Declarations to be signed on 
their behalf by the President of Nuclear Energy Liability Insurance 
Association to be effective ---------- eastern standard time, and 
countersigned below by a duly authorized representative.
    For the Subscribing Companies of Nuclear Energy Liability Insurance 
Association.
By: President___________________________________________________________
Countersigned by________________________________________________________
(Authorized Representative)

[49 FR 11153, Mar. 26, 1984]

[[Page 691]]



PART 150--EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274--Table of Contents




                           General Provisions

Sec.
150.1  Purpose.
150.2  Scope.
150.3  Definitions.
150.4  Communications.
150.5  Interpretations.

      Continued Commission Regulatory Authority in Offshore Waters

150.7  Persons in offshore waters not exempt.
150.8  Information collection requirements: OMB approval.

                     Exemptions in Agreement States

150.10  Persons exempt.
150.11  Critical mass.

      Continued Commission Regulatory Authority in Agreement States

150.14  Commission regulatory authority for physical protection.
150.15  Persons not exempt.
150.15a  Continued Commission authority pertaining to byproduct 
          material.

           Continued Commission Authority in Agreement States

150.16  Submission to Commission of nuclear material transfer reports.
150.17  Submission to Commission of source material reports.
150.17a  Compliance with requirements of US/IAEA safeguards agreement.
150.19  Submission to Commission of tritium reports.

                               Reciprocity

150.20  Recognition of Agreement State licenses.
150.21  Transportation of special nuclear material by aircraft.

                               Enforcement

150.30  Violations.
150.31  Requirements for Agreement State regulation of byproduct 
          material.
150.32  Funds for reclamation or maintenance of byproduct material.
150.33  Criminal penalties.

    Authority: Sec. 161, 68 Stat. 948, as amended, sec. 274, 73 Stat. 
688 (42 U.S.C. 2201, 2021); sec. 201, 88 Stat. 1242, as amended (42 
U.S.C. 5841).
    Sections 150.3, 150.15, 150.15a, 150.31, 150.32 also issued under 
secs. 11e(2), 81, 68 Stat. 923, 935, as amended, secs. 83, 84, 92 Stat. 
3033, 3039 (42 U.S.C. 2014e(2), 2111, 2113, 2114). Section 150.14 also 
issued under sec. 53, 68 Stat. 930, as amended (42 U.S.C. 2073). Section 
150.15 also issued under secs. 135, 141, Pub. L. 97-425, 96 Stat. 2232, 
2241 (42 U.S.C. 10155, 10161). Section 150.17a also issued under sec. 
122, 68 Stat. 939 (42 U.S.C. 2152). Section 150.30 also issued under 
sec. 234, 83 Stat. 444 (42 U.S.C. 2282).

    Source: 27 FR 1352, Feb. 14, 1962, unless otherwise noted.

                           General Provisions



Sec. 150.1  Purpose.

    The regulations in this part provide certain exemptions to persons 
in Agreement States from the licensing requirements contained in 
chapters 6, 7, and 8 of the Act and from the regulations of the 
Commission imposing requirements upon persons who receive, possess, use 
or transfer byproduct material, source, or special nuclear material in 
quantities not sufficient to form a critical mass; and to define 
activities in Agreement States and in offshore waters over which the 
regulatory authority of the Commission continues. The provisions of the 
Act, and regulations of the Commission apply to all persons in Agreement 
States and in offshore waters engaging in activities over which the 
regulatory authority of the Commission continues.

[46 FR 44151, Sept. 3, 1981]



Sec. 150.2  Scope.

    The regulations in this part apply to all States that have entered 
into agreements with the Commission or the Atomic Energy Commission 
pursuant to subsection 274b of the Act. This part also gives notice to 
all persons who knowingly provide to any licensee, applicant for a 
license or certificate or quality assurance program approval, holder of 
a certificate or quality assurance program approval, contractor, or 
subcontractor, any components, equipment, materials, or other goods or 
services that relate to a licensee's, certificate holder's, quality 
assurance program approval holder's or applicant's activities subject to 
this part, that they may be individually subject to NRC enforcement 
action for violation of Secs. 30.10, 40.10, 70.10 and 71.11.

[63 FR 1901, Jan. 13, 1998]

[[Page 692]]



Sec. 150.3  Definitions.

    As used in this part:
    (a) Act means the Atomic Energy Act of 1954 (68 Stat. 919) including 
any amendments thereto;
    (b) 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 Act. Nonagreement State means any other State.
    (c) 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; or (2) 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 solution extraction processes. Underground ore 
bodies depleted by such solution extraction operations do not constitute 
byproduct material within the definition.
    (d) Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives;
    (e) 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.
    (f) Offshore waters means that area of land and water, beyond 
Agreement States' Submerged Lands Act jurisdiction, on or above the U.S. 
Outer Continental Shelf.
    (g) Person means: (1) Any individual, corporation, partnership, 
firm, association, trust, estate, public or private institution, group, 
agency, and State or any political subdivision of any political entity 
within a State, and any legal successor, representative, agent, or 
agency of the foregoing other than Government agencies;
    (h) Production facility means:
    (1) Any equipment or device determined by rule of the Commission to 
be capable of the production of special nuclear material in such 
quantity as to be of significance to the common defense and security, or 
in such manner as to affect the health and safety of the public, 
including a uranium enrichment facility; or
    (2) Any important component part especially designed for such 
equipment or device as determined by the Commission.
    (i) Source material means: (1) Uranium, thorium, or any other 
material which is determined by the Commission pursuant to the 
provisions of section 61 of the Act to be source material; or (2) ores 
containing one or more of the foregoing materials, in such concentration 
as the Commission may by regulation determine from time to time;
    (j) 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;
    (k) State means any State, the District of Columbia, Puerto Rico, 
and any territory or possession of the United States; and
    (l) Utilization facility means: (1) Any equipment or device, except 
an atomic weapon, determined by rule of the Commission to be capable of 
making use of special nuclear material in such quantity as to be of 
significance to the common defense and security, or in such manner as to 
affect the health and safety of the public, or peculiarly adapted for 
making use of atomic energy in such quantity as to be of significance to 
the common defense and security, or in such manner as to affect the 
health and safety of the public; or (2) any important component part 
especially designed for such equipment or device as determined by the 
Commission.
    (m) 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

[[Page 693]]

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.

[27 FR 1352, Feb. 14, 1962, as amended at 31 FR 15145, Dec. 2, 1966; 40 
FR 8794, Mar. 3, 1975; 44 FR 55327, Sept. 26, 1979; 45 FR 18906, Mar. 
24, 1980; 46 FR 44152, Sept. 3, 1981; 57 FR 18394, Apr. 30, 1992]



Sec. 150.4  Communications.

    Except where otherwise specified in this part, all communications 
and reports concerning the regulations in this part should be addressed 
to the Executive Director for Operations, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555. Communications and reports may be 
delivered in person at the Commission's offices at 2120 L Street NW., 
Washington, DC, or at 11555 Rockville Pike, Rockville, MD.

[53 FR 6140, Mar. 1, 1988, as amended at 53 FR 43422, Oct. 27, 1988]



Sec. 150.5  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 to be binding 
upon the Commission.

      Continued Commission Regulatory Authority in Offshore Waters



Sec. 150.7  Persons in offshore waters not exempt.

    Persons in offshore waters are not exempt from the Commission's 
licensing and regulatory requirements with respect to byproduct, source, 
and special nuclear materials.

[46 FR 44152, Sept. 3, 1981]



Sec. 150.8  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 (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0032.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 150.16, 150.17, 150.17a, 150.19, 150.20, and 
150.31.
    (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. 150.16 and 150.17, DOE/NRC Form 741 is approved under 
control number 3150-0003.
    (2) In Sec. 150.20, NRC Form 241 is approved under control number 
3150-0013.

[49 FR 19629, May 9, 1984, as amended at 62 FR 52190, Oct. 6, 1997]

                     Exemptions in Agreement States



Sec. 150.10  Persons exempt.

    Except as provided in Secs. 150.15, 150.16, 150.17, 150.17a, 150.18, 
and 150.19, any person in an Agreement State who manufactures, produces, 
receives, possesses, uses, or transfers byproduct material, source 
material, or special nuclear material in quantities not sufficient to 
form a critical mass is exempt from the requirements for a license 
contained in Chapters 6, 7, and 8 of the Act, regulations of the 
Commission imposing licensing requirements upon persons who manufacture, 
produce, receive, possess, use, or transfer such materials, and from 
regulations of the Commission applicable to licensees. The exemptions in 
this section do not apply to agencies of the Federal government as 
defined in Sec. 150.3.

[37 FR 9208, May 6, 1972, as amended at 45 FR 50718, July 31, 1980]



Sec. 150.11  Critical mass.

    (a) For the purposes of this part, special nuclear material in 
quantities not sufficient to form a critical mass

[[Page 694]]

means uranium enriched in the isotope U-235 in quantities not exceeding 
350 grams of contained U-235; uranium-233 in quantities not exceeding 
200 grams; plutonium in quantities not exceeding 200 grams; or any 
combination of them in accordance with the following formula: For each 
kind of special nuclear material, determine the ratio between the 
quantity of that special nuclear material and the quantity specified 
above for the same kind of special nuclear material. The sum of such 
ratios for all kinds of special nuclear materials in combination shall 
not exceed unity. For example, the following quantities in combination 
would not exceed the limitation and are within the formula, as follows:

(175 (grams contained U-235/350)+(50 grams U-233)/200)+(50 grams Pu/
200)=1

    (b) To determine whether the exemption granted in Sec. 150.10 
applies to the receipt, possession or use of special nuclear material at 
any particular plant or other authorized location of use, a person shall 
include in the quantity computed according to paragraph (a) of this 
section the total quantity of special nuclear material which he is 
authorized to receive, possess or use at the plant or other location of 
use at any one time.

[27 FR 1352, Feb. 14, 1962, as amended at 30 FR 12069, Sept. 22, 1965]

      Continued Commission Regulatory Authority in Agreement States



Sec. 150.14  Commission regulatory authority for physical protection.

    Persons in Agreement States possessing, using or transporting 
special nuclear material of low strategic significance in quantities 
greater than 15 grams of plutonium or uranium-233 or uranium-235 
(enriched to 20 percent or more in the U-235 isotope) or any combination 
greater than 15 grams when computed by the equation grams=grams uranium-
235+grams plutonium+grams uranium-233 shall meet the physical protection 
requirements of Sec. 73.67 of 10 CFR part 73.

[44 FR 43285, July 24, 1979, as amended at 44 FR 68199, Nov. 28, 1979]



Sec. 150.15  Persons not exempt.

    (a) Persons in agreement States are not exempt from the Commission's 
licensing and regulatory requirements with respect to the following 
activities:
    (1) The construction and operation of any production or utilization 
facility. As used in this subparagraph, operation of a facility 
includes, but is not limited to (i) the storage and handling of 
radioactive wastes at the facility site by the person licensed to 
operate the facility, and (ii) the discharge of radioactive effluents 
from the facility site.
    (2) The export from or import into the United States of byproduct, 
source, or special nuclear material, or of any production or utilization 
facility.
    (3) The disposal into the ocean or sea of byproduct, source, or 
special nuclear waste materials, as defined in regulations or orders of 
the Commission. For purposes of this part, ocean or sea means any part 
of the territorial waters of the United States and any part of the 
international waters.
    (4) The transfer, storage or disposal of radioactive waste material 
resulting from the separation in a production facility of special 
nuclear material from irradiated nuclear reactor fuel. This subparagraph 
does not apply to the transfer, storage or disposal of contaminated 
equipment.
    (5) The disposal of such other byproduct, source, or special nuclear 
material as the Commission determines by regulation or order should, 
because of the hazards or potential hazards thereof, not be so disposed 
of without a license from the Commission.
    (6) The transfer of possession or control by the manufacturer, 
processor, or producer of any equipment, device, commodity, or other 
product containing source material or byproduct material whose 
subsequent possession, use, transfer, and disposal by all other persons 
are exempted from licensing and regulatory requirements of the 
Commission under Parts 30 and 40 of this chapter.
    (7) The storage of:
    (i) Spent fuel in an independent spent fuel storage installation 
(ISFSI) licensed under part 72 of this chapter,
    (ii) Spent fuel and high-level radioactive waste in a monitored 
retrievable

[[Page 695]]

storage installation (MRS) licensed under part 72 of this chapter, or
    (iii) Greater than Class C waste, as defined in part 72 of this 
chapter, in an ISFSI or an MRS licensed under part 72 of this chapter; 
the GTCC waste must originate in, or be used by, a facility licensed 
under part 50 of this chapter.
    (8) Greater than Class C waste, as defined in part 72 of this 
chapter, that originates in, or is used by, a facility licensed under 
part 50 of this chapter and is licensed under part 30 and/or part 70 of 
this chapter.
    (b) Notwithstanding any exemptions provided in this part, the 
Commission may from time to time by rule, regulation, or order, require 
that the manufacturer, processor, or producer of any equipment, device, 
commodity, or other product containing source, byproduct, or special 
nuclear material shall not transfer possession or control of such 
product except pursuant to a license or an exemption from licensing 
issued by the Commission.

[27 FR 1352, Feb. 14, 1962, as amended at 34 FR 7369, May 7, 1969; 53 FR 
31683, Aug. 19, 1988; 66 FR 51843, Oct. 11, 2001]



Sec. 150.15a  Continued Commission authority pertaining to byproduct material.

    (a) Prior to the termination of any Agreement State license for 
byproduct material as defined in Sec. 150.3(c)(2) of this part, or for 
any activity that results in the production of such material, the 
Commission shall have made a determination that all applicable standards 
and requirements pertaining to such material have been met.
    (b) After November 8, 1981, the Commission reserves the authority to 
establish minimum standards regarding reclamation, long term 
surveillance (i.e., continued site observation, monitoring and, where 
necessary, maintenance), and ownership of byproduct material as defined 
in Sec. 150.3(c)(2) of this part and of land used as a disposal site for 
such material. Such reserved authority includes:
    (1) Authority to establish such terms and conditions as the 
Commission determines necessary to assure that, prior to termination of 
any license for byproduct material as defined in Sec. 150.3(c)(2) of 
this part, or for any activity that results in the production of such 
material, the licensee shall comply with decontamination, 
decommissioning, and reclamation standards prescribed by the Commission; 
and with ownership requirements for such materials and its disposal 
site;
    (2) The authority to require that prior to termination of any 
license for byproduct material as defined in Sec. 150.3(c)(2) of this 
part, or for any activity that results in the production of such 
material, that title to such byproduct material and its disposal site be 
transferred to the United States or the State in which such material and 
land is located, at the option of the State (provided such option is 
exercised prior to termination of the license);
    (3) The authority to permit use of the surface or subsurface 
estates, or both, of the land transferred to the United States or a 
State pursuant to paragraph (b)(2) of this section in a manner 
consistent with the provisions of the Uranium Mill Tailings Radiation 
Control Act of 1978, provided that the Commission determines that such 
use would not endanger the public health, safety, welfare, or the 
environment;
    (4) The authority to require, in the case of a license for any 
activity that produces such byproduct material (which license was in 
effect on November 8, 1981) transfer of land and material pursuant to 
paragraph (b)(2), of this section, taking into consideration the status 
of such material and land and interests therein, and the ability of the 
licensee to transfer title and custody thereof to the United States or a 
State.
    (5) The authority to require the Secretary of the Department of 
Energy, other Federal agency, or State, whichever has custody of such 
property and materials, to undertake such monitoring, maintenance and 
emergency measures as are necessary to protect the public health and 
safety and other actions at the Commission deems necessary to comply 
with the standards promulgated pursuant to the Uranium Mill Tailings 
Radiation Control Act of 1978; and
    (6) The authority to enter into arrangements as may be appropriate 
to assure Federal long term surveillance

[[Page 696]]

(i.e., continued site observation, monitoring, and where necessary, 
maintenance) of such disposal sites on land held in trust by the United 
States for any Indian tribe or land owned by an Indian tribe and subject 
to a restriction against alienation imposed by the United States.

[45 FR 65536, Oct. 3, 1980]

           Continued Commission Authority in Agreement States



Sec. 150.16  Submission to Commission of nuclear material transfer reports.

    (a) Each person who transfers and each person who receives special 
nuclear material pursuant to an Agreement State license shall complete 
and submit in computer-readable format Nuclear Material Transaction 
Reports in accordance with instructions (NUREG/BR-0006 and NMMSS Report 
D-24 ``Personal Computer Data Input for NRC Licensees'') whenever 
transferring or receiving a quantity of special nuclear material of 1 
gram or more of contained uranium-235, uranium-233, or plutonium. Each 
person who transfers this material shall submit in accordance with 
instructions the computer-readable format promptly after the transfer 
takes place. Each person who receives special nuclear material shall 
submit in accordance with instructions the computer-readable format 
within ten (10) days after the special nuclear material is received. 
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. These prescribed computer-readable formats 
replace the DOE/NRC Form 741 which have been previously submitted in 
paper form.
    (b)(1) Each person who, pursuant to an Agreement State License, 
possesses 1 gram or more of contained uranium-235, uranium-233, or 
plutonium shall report immediately to the Regional Administrator of the 
appropriate NRC Regional Office listed in appendix A of part 73 of this 
chapter, by telephone, any theft or other unlawful diversion of special 
nuclear material which the licensee is licensed to possess or any 
incident in which an attempt has been made, or is believed to have been 
made, to commit a theft or unlawful diversion of special nuclear 
material.
    (2) The licensee shall follow the initial report within a period of 
15 days with a written report submitted to the appropriate NRC Regional 
Office, shown in Appendix A of part 73 of this chapter, which sets forth 
the details of the incident. The licensee shall send copies of this 
report to the Director, Office of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555.
    (3) Subsequent to the submission of the written report required by 
this paragraph, each licensee shall promptly inform the Regional 
Administrator of the appropriate NRC Regional Office 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 special nuclear material.

[39 FR 39559, Nov. 8, 1974, as amended at 41 FR 16447, Apr. 19, 1976; 52 
FR 31613, Aug. 21, 1987; 59 FR 35622, July 13, 1994]



Sec. 150.17  Submission to Commission of source material reports.

    (a) Except as specified in paragraph (d) of this section and 
Sec. 150.17a, each person who, pursuant to an Agreement State specific 
license, transfers or receives or adjusts the inventory in any manner by 
1 kilogram or more of uranium or thorium source material of foreign 
origin or who imports 1 kilogram or more of uranium or thorium source 
material of any origin shall complete and submit in computer-readable 
format Nuclear Material Transaction Reports in accordance 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 person who 
receives the material shall submit in accordance with instructions the 
computer-readable format within ten (10) days after the material is 
received.
    (b) Except as specified in paragraph (d) of this section and 
Sec. 150.17a, each person authorized to possess at any one time and 
location, under an Agreement

[[Page 697]]

State license, 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 the licensee's 
foreign origin source material inventory. This statement must be 
submitted to the address specified in the printed instructions (NUREG/
BR-0007) and must include the Reporting Identification Symbol (RIS) 
assigned by the Commission to the licensee. Copies of the reporting 
instructions may be obtained by writing to U.S. Nuclear Regulatory 
Commission, Division of Industrial and Medical Nuclear Safety, 
Washington, DC 20555.
    (c) Except as specified in paragraph (d) of this section, each 
person who is authorized to possess uranium or thorium pursuant to a 
specific license from an Agreement State shall report promptly to the 
appropriate NRC Regional Office shown 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. Copies of such written report shall be sent to the U.S. 
Nuclear Regulatory Commission, Division of Industrial and Medical 
Nuclear Safety, Washington, DC 20555. Subsequent to the submission of 
the written report required by this paragraph, each person subject to 
the provisions of this paragraph, shall promptly inform the appropriate 
NRC Regional Office by means of a written report of any substantive 
additional information, which becomes available to such person, 
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 and 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.

[35 FR 12196, July 30, 1970, as amended at 36 FR 10938, June 5, 1971; 41 
FR 16448, Apr. 19, 1976; 49 FR 24708, June 15, 1984; 51 FR 9767, Mar. 
21, 1986; 52 FR 31613, Aug. 21, 1987; 59 FR 35622, July 13, 1994; 60 FR 
24553, May 9, 1995]



Sec. 150.17a  Compliance with requirements of US/IAEA safeguards agreement.

    (a) For purposes of this section, the terms effective kilogram, ore 
processing, installation, and United States eligible list have the 
meaning set forth in Sec. 75.4 of this chapter.
    (b) Each person who, pursuant to an Agreement State License, is 
authorized to possess source material in amounts greater than one 
effective kilogram (except in ore processing) is subject to the 
provisions of part 75 of this chapter and shall comply with its 
applicable provisions. However, with respect to such persons, the 
Commission will issue orders under section 274m. of the Act instead of 
making license amendments; and, to the extent part 75 refers to license 
amendments and license conditions, such references shall be deemed, for 
purposes of this paragraph, to refer to orders under section 274m. of 
the Act.
    (c) An applicant for an Agreement State License authorizing 
possession of source material in amounts greater than one effective 
kilogram (except in ore processing) shall notify the Commission at least 
9 months prior to the date when the applicant desires to receive the 
source material.
    (d) In response to a written request by the Commission, an applicant 
for an Agreement State License authorizing

[[Page 698]]

possession of source material in amounts greater than one effective 
kilogram (except in ore processing) shall file with the Commission the 
installation information described in Sec. 75.11 of this chapter. The 
applicant shall also permit verification of such installation 
information 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 Sec. 75.6 and Secs. 75.11 through 
75.14 of this chapter.

[45 FR 50718, July 31, 1980, as amended at 47 FR 9, Jan. 4, 1982]



Sec. 150.19  Submission to Commission of tritium reports.

    (a)-(b) [Reserved]
    (c) Except as specified in paragraph (d) of this section, each 
person who, pursuant to an Agreement State license, is authorized to 
possess tritium shall report promptly to the appropriate NRC Regional 
Office as shown 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 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, each person subject to the provisions of 
this paragraph shall promptly inform the appropriate NRC Regional Office 
by means of a written report of any substantive additional information, 
which becomes available to such person, 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 issued pursuant to 
regulations of an Agreement State equivalent to part 31 of this chapter 
or for tritium in spent fuel.

[37 FR 9208, May 6, 1972, as amended at 41 FR 16448, Apr. 19, 1976; 46 
FR 55085, Nov. 6, 1981; 49 FR 24708, June 15, 1984; 52 FR 31613, Aug. 
21, 1987]

                               Reciprocity



Sec. 150.20  Recognition of Agreement State licenses.

    (a)(1) Provided that the provisions of paragraph (b) of this section 
have been met, any person who holds a specific license from an Agreement 
State, where the licensee maintains an office for directing the licensed 
activity and retaining radiation safety records, is granted a general 
license to conduct the same activity in--
    (i) Non-Agreement States;
    (ii) Areas of Exclusive Federal jurisdiction within Agreement 
States; and
    (iii) Offshore waters.
    (2) The provisions of paragraph (a)(1) of this section do not apply 
if the specific Agreement State license limits the authorized activity 
to a specific installation or location.
    (b) Notwithstanding any provisions to the contrary in any specific 
license issued by an Agreement State to a person engaging in activities 
in a non-Agreement State, in an area of exclusive Federal jurisdiction 
within an Agreement State, or in offshore waters under the general 
licenses provided in this section, the general licenses provided in this 
section are subject to all the provisions of the Act, now or hereafter 
in effect, and to all applicable rules, regulations, and orders of the 
Commission including the provisions of Secs. 30.7 (a) through (f), 30.9, 
30.10, 30.14(d), 30.34, 30.41, and 30.51 to 30.63, inclusive, of part 30 
of this chapter; Secs. 40.7 (a) through (f), 40.9, 40.10, 40.41, 40.51, 
40.61, 40.63 inclusive, 40.71 and 40.81 of part 40 of this chapter; 
Secs. 70.7 (a) through (f), 70.9, 70.10, 70.32, 70.42, 70.51 to 70.56, 
inclusive, 70.60 to 70.62, inclusive, and to the provisions of 10 CFR 
parts 19, 20, and 71 and subparts C through H of part 34, Secs. 39.15 
and 39.31 through 39.77, inclusive of part 39 of this chapter. In 
addition, any person engaging in activities in non-Agreement States, in 
areas of

[[Page 699]]

exclusive Federal jurisdiction within Agreement States, or in offshore 
waters under the general licenses provided in this section:
    (1) Shall, at least 3 days before engaging in each activity for the 
first time in a calendar year, file a submittal containing an NRC Form 
241, ``Report of Proposed Activities in Non-Agreement States,'' 4 copies 
of its Agreement State specific license, and the appropriate fee as 
prescribed in Sec. 170.31 of this chapter with the regional 
Administrator of the U.S. Nuclear Regulatory Commission Regional Office 
listed in the NRC Form 241 and in appendix D to part 20 of this chapter 
for the Region in which the Agreement State that issued the license is 
located. If a submittal cannot be filed 3 days before engaging in 
activities under reciprocity, because of an emergency or other reason, 
the Regional Administrator may waive the 3-day time requirement provided 
the licensee:
    (i) Informs the Region by telephone, facsimile, an NRC Form 241, or 
a letter of initial activities or revisions to the information submitted 
on the initial NRC Form 241;
    (ii) Receives oral or written authorization for the activity from 
the region; and
    (iii) Within 3 days after the notification, files an NRC Form 241, 4 
copies of the Agreement State license, and the fee payment.
    (2) Shall file an amended NRC Form 241 or letter with the Regional 
Administrator to request approval for changes in work locations, 
radioactive material, or work activities different from the information 
contained on the initial NRC Form 241.
    (3) Shall not, in any non-Agreement State, in an area of exclusive 
Federal jurisdiction within an Agreement State, or in offshore waters, 
transfer or dispose of radioactive material possessed or used under the 
general licenses provided in this section, except by transfer to a 
person who is--
    (i) Specifically licensed by the Commission to receive this 
material; or
    (ii) Exempt from the requirements for a license for such material 
under Sec. 30.14 of this chapter.
    (4) Shall not, under the general license concerning activities in 
non-Agreement States or in areas of exclusive Federal jurisdiction 
within Agreement States, possess or use radioactive materials, or engage 
in the activities authorized in paragraph (a) of this section, for more 
than 180 days in any calendar year, except that the general license in 
paragraph (a) of this section concerning activities in offshore waters 
authorizes that person to possess or use radioactive materials, or 
engage in the activities authorized, for an unlimited period of time.
    (5) Shall comply with all terms and conditions of the specific 
license issued by an Agreement State except such terms or conditions as 
are contrary to the requirements of this section.

[35 FR 7725, May 20, 1970, as amended at 38 FR 1273, Jan. 11, 1973; 46 
FR 44152, Sept. 3, 1981; 46 FR 50781, Oct. 15, 1981; 52 FR 41700, Oct. 
30, 1987; 55 FR 10406, Mar. 21, 1990; 56 FR 54779, Oct. 23, 1991; 58 FR 
52414, Oct. 8, 1993; 62 FR 1665, Jan. 13, 1997; 62 FR 28973, May 28, 
1997; 66 FR 5443, Jan. 19, 2001; 66 FR 32469, June 14, 2001]

    Effective Date Note: At 67 FR 78149, Dec. 23, 2002, Sec. 150.20 was 
amended by revising the introductory text of paragraph (b), effective 
Mar. 24, 2003. For the convenience of the user, the revised text is set 
forth as follows:

Sec. 150.20  Recognition of Agreement State licenses.

                                * * * * *

    (b) Notwithstanding any provision to the contrary in any specific 
license issued by an Agreement State to a person engaging in activities 
in a non-Agreement State, in an area of exclusive Federal jurisdiction 
within an Agreement State, or in offshore waters under the general 
licenses provided in this section, the general licenses provided in this 
section are subject to all the provisions of the Act, now or hereafter 
in effect, and to all applicable rules, regulations, and orders of the 
Commission including the provisions of Secs. 30.7 (a) through (f), 30.9, 
30.10, 30.14(d), 30.34, 30.41, and 30.51 to 30.63, inclusive, of part 30 
of this chapter; Secs. 40.7 (a) through (f), 40.9, 40.10, 40.41, 40.51, 
40.61, 40.63 inclusive, 40.71 and 40.81 of part 40 of this chapter; 
Secs. 70.7 (a) through (f), 70.9, 70.10, 70.32, 70.42, 70.52, 70.55, 
70.56, 70.60 to 70.62 of part 70 of this chapter; Secs. 74.11, 74.15, 
and 74.19 of part 74 of this chapter; and to the provisions of 10 CFR 
parts 19, 20 and 71 and subparts C through H of part 34, Secs. 39.15 and 
39.31 through 39.77, inclusive, of part 39 of this chapter. In addition, 
any person engaging in activities in non-Agreement States, in areas of 
exclusive Federal jurisdiction within Agreement States, or in offshore

[[Page 700]]

waters under the general licenses provided in this section:

                                * * * * *



Sec. 150.21  Transportation of special nuclear material by aircraft.

    Except as specifically approved by the Commission no shipment of 
special nuclear material in excess of 20 grams or 20 curies whichever is 
less of plutonium or uranium-233 shall be made by a licensee of an 
Agreement State in passenger aircraft.

[38 FR 3039, Feb. 1, 1973]

                               Enforcement



Sec. 150.30  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 55081, Nov. 24, 1992]



Sec. 150.31  Requirements for Agreement State regulation of byproduct material.

    (a) Prior to November 8, 1981, in the licensing and regulation of 
byproduct material, as defined in Sec. 150.3(c)(2) of this part, or of 
any activity which results in the production of such byproduct material, 
an Agreement State shall require compliance with the requirements in 
appendix A of 10 CFR part 40 of this chapter to the maximum extent 
practicable.
    (b) After November 8, 1981, in the licensing and regulation of 
byproduct material, as defined in Sec. 150.3(c)(2) of this part, or of 
any activity which results in the production of such byproduct material, 
an Agreement State shall require:
    (1) Compliance with requirements in appendix A of 10 CFR part 40 of 
this chapter established by the Commission pertaining to ownership of 
such byproduct material and disposal sites for such material; and
    (2) Compliance with standards which shall be adopted by the 
Agreement State for the protection of the public health, safety, and the 
environment from hazards associated with such material which are 
equivalent, to the extent practicable, or more stringent than, standards 
in appendix A of 10 CFR part 40 of this chapter adopted and enforced by 
the Commission for the same purposes, including requirements and 
standards subsequently promulgated by the Commission and the 
Administrator of the Environmental Protection Agency pursuant to the 
Uranium Mill Tailing Radiation Control Act of 1978; and
    (3) Compliance with procedures which:
    (i) In the case of licenses, under State law include:
    (A) An opportunity, after public notice, for written comments and a 
public hearing, with a transcript;
    (B) An opportunity for cross examination; and
    (C) A written determination by the appropriate State official which 
is based upon findings included in such determination and upon the 
evidence presented during the public comment period and which is subject 
to judicial review;
    (ii) In the case of rulemaking, provide an opportunity for public 
participation through written comments or a public hearing and provide 
for judicial review of the rule;
    (iii) Require for each licensing action which has a significant 
impact on the

[[Page 701]]

human environment a written analysis by the appropriate State agency 
(which shall be available to the public before the commencement of any 
such proceedings) of the impact of such licensing action, including any 
activities conducted pursuant thereto, on the environment. Such analysis 
shall include:
    (A) An assessment of the radiological and nonradiological impacts to 
the public health of the activities to be conducted pursuant to such 
licenses;
    (B) An assessment of any impact on any waterway and groundwater 
resulting from such activities;
    (C) Consideration of alternatives, including alternative sites and 
engineering methods, to the activities to be conducted pursuant to such 
license; and
    (D) Consideration of the long term impacts, including 
decommissioning, decontamination, and reclamation impacts associated 
with activities to be conducted pursuant to such license, including the 
management of any byproduct material, as defined in Sec. 150.3(c)(2) of 
this part; and
    (iv) Prohibit any major construction activity with respect to such 
material prior to complying with the provisions of paragraph (c)(3) of 
this section. As used in this paragraph the term major construction 
activity 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.
    (c) No Agreement State shall be required under paragraph (b) to 
conduct proceedings concerning any license or regulation which would 
duplicate proceedings conducted by the Commission.
    (d) In adopting requirements pursuant to paragraph (b)(2) of this 
section, the State may adopt alternatives (including, where appropriate, 
site-specific alternatives) to the requirements adopted and enforced by 
the Commission for the same purpose if, after notice and opportunity for 
public hearing, the Commission determines that 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 standards and requirements 
adopted and enforced by the Commission for the same purpose and any 
final standards promulgated by the Administrator of the Environmental 
Protection Agency in accordance with section 275. Alternative State 
requirements may take into account local or regional conditions, 
including geology, topography, hydrology and meteorology.

[45 FR 65537, Oct. 3, 1980, and 50 FR 41866, Oct. 16, 1985]



Sec. 150.32  Funds for reclamation or maintenance of byproduct material.

    (a) The total amount of funds an Agreement State collects, pursuant 
to a license for byproduct material as defined in Sec. 150.3(c)(2) of 
this part or for any activity that results in the production of such 
material, for reclamation or long term maintenance and monitoring of 
such material, shall after November 8, 1981, be transferred to the 
United States if title and custody of such material and its disposal 
site is transferred to the United States upon termination of such 
license. Such funds include, but are not limited to, sums collected for 
long term surveillance (i.e., continued site observation, monitoring 
and, where necessary, maintenance). Such funds do not however, include 
monies held as surety where no default has occurred and the reclamation 
or other bonded activity has been performed.
    (b) If an Agreement State requires such payments for reclamation or 
long term surveillance (i.e., continued site observation, monitoring 
and, where necessary, maintenance), the payments must, after November 8, 
1981, be sufficient to ensure compliance with those standards 
established by the Commission pertaining to bonds, sureties, and

[[Page 702]]

financial arrangements to ensure adequate reclamation and long term 
management of such byproduct material and its disposal site.

[45 FR 65537, Oct. 3, 1980; 48 FR 40882, Sept. 12, 1983]



Sec. 150.33  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 150 are issued under one or more of sections 
161b, 161i, or 161o, except for sections listed in paragraph (b) of this 
section.
    (b) The regulations in part 150 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Sec. Sec. 150.1, 150.2, 150.3, 150.4, 150.5, 150.7, 150.8, 150.10, 
150.11, 150.15, 150.15a, 150.30, 150.31, 150.32, and 150.33.

[57 FR 55081, Nov. 24, 1992]



PART 160--TRESPASSING ON COMMISSION PROPERTY--Table of Contents




Sec.
160.1  Purpose.
160.2  Scope.
160.3  Trespass.
160.4  Unauthorized introduction of weapons or dangerous materials.
160.5  Violations and penalties.
160.6  Posting.
160.7  Effective date of prohibition on designated locations.
160.8  Applicability of other laws.

    Authority: Sec. 161, 68 Stat. 948, sec. 229, 70 Stat. 1070; 42 
U.S.C. 2201, 2278a. Sec. 201(f) 88 Stat. 93-438, 88 Stat. 1243 (42 
U.S.C. 5841).

    Source: 28 FR 8400, Aug. 16, 1963, unless otherwise noted.



Sec. 160.1  Purpose.

    The regulations in this part are issued for the protection and 
security of facilities, installations and real property subject to the 
proprietory jurisdiction or administration, or in the custody of, the 
Nuclear Regulatory Commission.

[28 FR 8400, Aug. 16, 1963, as amended at 40 FR 8794, Mar. 3, 1975]



Sec. 160.2  Scope.

    The regulations in this part apply to all facilities, installations, 
and real property subject to the jurisdiction or administration of the 
Nuclear Regulatory Commission or in its custody which have been posted 
with a notice of the prohibitions and penalties set forth in this part.

[40 FR 8794, Mar. 3, 1975]



Sec. 160.3  Trespass.

    Unauthorized entry upon any facility, installation or real property 
subject to this part is prohibited.



Sec. 160.4  Unauthorized introduction of weapons or dangerous materials.

    Unauthorized carrying, transporting, or otherwise introducing or 
causing to be introduced any dangerous weapon, explosive, or other 
dangerous instrument or material likely to produce substantial injury or 
damage to persons or property, into or upon any facility, installation 
or real property subject to this part, is prohibited.



Sec. 160.5  Violations and penalties.

    (a) Whoever willfully violates either Secs. 160.3 or 160.4 shall, 
upon conviction, be punishable by a fine of not more than $1,000.
    (b) Whoever willfully violates either Secs. 160.3 or 160.4 with 
respect to any facility, installation or real property enclosed by a 
fence, wall, floor, roof, or other structural barrier shall be guilty of 
a misdemeanor and, upon conviction, shall be punished by a fine of not 
to exceed $5,000 or imprisonment for not more than one year, or both.



Sec. 160.6  Posting.

    Notices stating the pertinent prohibitions of Secs. 160.3 and 160.4 
and penalties of Sec. 160.5 will be conspicuously posted at all 
entrances of each designated facility, installation or parcel of real 
property and at such intervals along the perimeter as will provide 
reasonable assurance of notice to persons about to enter.

[[Page 703]]



Sec. 160.7  Effective date of prohibition on designated locations.

    The prohibitions in Secs. 160.3 and 160.4 shall take effect as to 
any facility, installation or real property on publication in the 
Federal Register of the notice designating the facility, installation or 
real property and posting in accordance with Sec. 160.6.



Sec. 160.8  Applicability of other laws.

    Nothing in this part shall be construed to affect the applicability 
of the provisions of State or other Federal laws.



PART 170--FEES FOR FACILITIES, MATERIALS, IMPORT AND EXPORT LICENSES, AND OTHER REGULATORY SERVICES UNDER THE ATOMIC ENERGY ACT OF 1954, AS AMENDED--Table of Contents




                           General Provisions

Sec.
170.1  Purpose.
170.2  Scope.
170.3  Definitions.
170.4  Interpretations.
170.5  Communications.
170.8  Information collection requirements: OMB approval.
170.11  Exemptions.
170.12  Payment of fees.
170.20  Average cost per professional staff-hour.

                            Schedule of Fees

170.21  Schedule of fees for production and utilization facilities, 
          review of standard referenced design approvals, special 
          projects, inspections and import and export licenses.
170.31  Schedule of fees for materials licenses and other regulatory 
          services, including inspections, and import and export 
          licenses.
170.32  Schedule of fees for health and safety, and safeguards 
          inspections for materials licenses.

                               Enforcement

170.41  Failure by applicant or licensee to pay prescribed fees.
170.51  Right to review and appeal of prescribed fees.

    Authority: sec. 9701, Pub. L. 97-258, 96 Stat. 1051 (31 U.S.C. 
9701); sec. 301, Pub. L. 92-314, 86 Stat. 227 (42 U.S.C. 2201w); sec. 
201, Pub. L. 93-438, 88 Stat. 1242, as amended (42 U.S.C. 5841); sec. 
205a, Pub. L. 101-576, 104 Stat. 2842, as amended (31 U.S.C. 901, 902).

    Source: 33 FR 10924, Aug. 1, 1968; 33 FR 11587, Aug. 15, 1968, 
unless otherwise noted.

                           General Provisions



Sec. 170.1  Purpose.

    The regulations in this part set out fees charged for licensing 
services rendered by the Nuclear Regulatory Commission as authorized 
under title V of the Independent Offices Appropriation Act of 1952 (65 
Stat. 290; 31 U.S.C. 483a) and provisions regarding their payment.

[33 FR 10924, Aug. 1, 1968; 33 FR 11587, Aug. 15, 1968, as amended at 40 
FR 8794, Mar. 3, 1975]



Sec. 170.2  Scope.

    Except for persons who apply for or hold the permits, licenses, or 
approvals exempted in Sec. 170.11, the regulations in this part apply to 
a person who is:
    (a) An applicant for or holder of a specific byproduct material 
license issued pursuant to parts 30 and 32 through 36 and 39 of this 
chapter;
    (b) An applicant for or holder of a specific source material license 
issued pursuant to part 40 of this chapter;
    (c) An applicant for or holder of a specific special nuclear 
material license issued pursuant to part 70 of this chapter;
    (d) An applicant for or holder of specific approval of spent fuel 
casks and shipping containers issued pursuant to part 71 of this 
chapter;
    (e) An applicant for or holder of a specific license to possess 
power reactor spent fuel and other radioactive materials associated with 
spent fuel storage in an independent spent fuel storage installation 
issued pursuant to part 72 of this chapter;
    (f) An applicant for or holder of a specific approval of sealed 
sources and devices containing byproduct material, source material, or 
special nuclear material;
    (g) An applicant for or holder of a production or utilization 
facility construction permit, operating license, or manufacturing 
license issued pursuant to part 50 of this chapter, or an early site 
permit, standard design certification, or combined license issued 
pursuant to part 52 of this chapter;

[[Page 704]]

    (h) Required to have examinations and tests performed to qualify or 
requalify individuals as part 55 reactor operators;
    (i) Required to have routine and non-routine safety and safeguards 
inspections of activities licensed pursuant to the requirements of this 
chapter;
    (j) Applying for or is holder of an approval of a standard reference 
design for a nuclear steam supply system of balance of plant;
    (k) Applying for or already has applied for review, under 10 CFR 
part 52, appendix Q, of a facility site prior to the submission of an 
application for a construction permit;
    (l) Applying for or already has applied for review of a standardized 
spent fuel facility design; or
    (m) Applying for or has applied for since March 23, 1978, review of 
an item under the category of special projects in this chapter that the 
Commission completes or makes whether or not in conjunction with a 
license application on file or that may be filed.
    (n) An applicant for or holder of a license, approval, 
determination, or other authorization issued by the Commission pursuant 
to 10 CFR part 61.
    (o) Requesting preapplication/licensing review assistance by 
consulting with the NRC and/or by filing preliminary analyses, 
documents, or reports.
    (p) An applicant for or a holder of a specific import or export 
license issued pursuant to 10 CFR part 110.
    (q) An Agreement State licensee who files for or is holder of a 
general license under the reciprocity provisions of 10 CFR 150.20.
    (r) An applicant for or a holder of a certificate of compliance 
issued under 10 CFR Part 76.
    (s) A holder of a general license granted by 10 CFR Part 31 who is 
required to register a device(s).

[49 FR 21301, May 21, 1984, as amended at 52 FR 8242, Mar. 17, 1987; 54 
FR 15399, Apr. 18, 1989; 56 FR 31499, July 10, 1991; 58 FR 7737, Feb. 9, 
1993; 64 FR 31469, June 10, 1999; 66 FR 32469, June 14, 2001]



Sec. 170.3  Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954 (68 Stat. 919) including any 
amendments thereto;
    Advanced reactor means any nuclear reactor concept other than light 
water reactors and high temperature gas cooled reactors.
    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 Act. ``Nonagreement State'' means any other 
State.
    Application means any request filed with the Commission for a 
permit, license, approval, exemption, certificate, other permission, or 
for any other service.
    Balance of plant consists of the remaining systems, components, and 
structures that comprise a complete nuclear power plant and are not 
included in the nuclear steam supply system.
    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.
    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.
    Greater Than Class C Waste or GTCC Waste means low-level radioactive 
waste that exceeds the concentration limits of radionuclides established 
for Class C waste in 10 CFR 61.55.
    High Enriched Uranium means uranium enriched to 20 percent or 
greater in the isotope uranium-235.
    Human use means the internal or external administration of 
byproduct, source, or special nuclear material, or the radiation 
therefrom, to human beings.
    Indian organization means any commercial group, association, 
partnership, or corporation wholly owned or controlled by an Indian 
tribe.
    Indian tribe means any Indian tribe, band, nation, or other 
organized group or community of Indians recognized as eligible for the 
services provided by the

[[Page 705]]

Secretary of the Interior because of their status as Indians.
    Inspections means:
    (1) Routine inspections designed to evaluate the licensee's 
activities within the context of the licensee having primary 
responsibility for protection of the public and environment;
    (2) Non-routine inspections in response or reaction to an incident, 
allegation, follow up to inspection deficiencies or inspections to 
determine implementation of safety issues. A non-routine or reactive 
inspection has the same purpose as the routine inspection;
    (3) Reviews and assessments of licensee performance;
    (4) Evaluations, such as those performed by Diagnostic Evaluation 
Teams; or
    (5) Incident investigations.
    Low Enriched Uranium means uranium enriched below 20 percent in the 
isotope uranium-235.
    Manufacturing license means a license pursuant to Appendix M of part 
52 of this chapter to manufacture a nuclear power reactor(s) to be 
operated at sites not identified in the license application.
    Materials license means a license, certificate, approval, 
registration, or other form of permission issued or granted by the NRC 
under the regulations in 10 CFR Parts 30, 31 through 36, 39, 40, 61, 70, 
72, and 76.
    Nonprofit educational institution means a public or nonprofit 
educational institution whose primary function is education, whose 
programs are accredited by a nationally recognized accrediting agency or 
association, who is legally authorized to provide a program of organized 
instruction or study, who provides an educational program for which it 
awards academic degrees, and whose educational programs are available to 
the public.
    Nuclear reactor means an apparatus, other than an atomic weapon, 
designed or used to sustain nuclear fission in a self-supporting chain 
reaction.
    Nuclear Steam Supply System consists of the reactor core, reactor 
coolant system, and related auxiliary systems including the emergency 
core cooling system; decay heat removal system; and chemical volume and 
control system.
    Other production or utilization facility means a facility other than 
a nuclear reactor licensed by the Commission under the authority of 
section 103 or 104 of the Atomic Energy Act of 1954, as amended (the 
Act), and pursuant to the provisions of part 50 of this chapter.
    Part 55 Reviews as used in this part means those services provided 
by the Commission to administer requalification and replacement 
examinations and tests for reactor operators licensed pursuant to 10 CFR 
part 55 of the Commission's regulations and employed by part 50 
licensees. These services also include related items such as the 
preparation, review, and grading of the examinations and tests.
    Person as used in this part has the same meaning as found in parts 
30, 40, 50, and 70 of title 10 of the Code of Federal Regulations.
    Power reactor means a nuclear reactor designed to produce electrical 
or heat energy licensed by the Commission under the authority of section 
103 or subsection 104b of the Act and pursuant to the provisions of 
Sec. 50.21(b) or Sec. 50.22 of this chapter.
    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 millicurie of fission products 
per gram of U\235\; and

[[Page 706]]

    (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.
    Reference systems concept means a concept that involves the review 
of an entire facility design or major fraction of a facility design 
outside of the context of a license application. The standard design 
would be referenced in subsequent license applications.
    Research reactor means a nuclear reactor licensed by the Commission 
under the authority of subsection 104c of the Act and pursuant to the 
provisions of Sec. 50.21(c) of this chapter for operation at a thermal 
power level of 10 megawatts or less, and which is not a testing facility 
as defined by paragraph (m) of this section.
    The phrase review is completed as used in this part means that the 
review has been brought to an end, whether by reason of issuance of a 
permit, license, approval, certificate, exemption, or other form of 
permission, or whether the application is denied, withdrawn, suspended, 
or action on the application is postponed by the applicant.
    Sealed source means any byproduct material that is encased in a 
capsule designed to prevent leakage or escape of the byproduct material.
    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 but does not include source material; or
    (2) Any material artificially enriched by any of the foregoing, but 
does not include source material.
    Special projects means those requests submitted to the Commission 
for review for which fees are not otherwise specified in this chapter 
and contested hearings on licensing actions directly related to U.S. 
Government national security initiatives, as determined by the NRC. 
Examples of special projects include, but are not limited to, contested 
hearings on licensing actions directly related to Presidentially-
directed national security programs, topical report reviews, early site 
reviews, waste solidification facilities, route approvals for shipment 
of radioactive materials, services provided to certify licensee, vendor, 
or other private industry personnel as instructors for part 55 reactor 
operators, reviews of financial assurance submittals that do not require 
a license amendment, reviews of responses to Confirmatory Action 
Letters, reviews of uranium recovery licensees' land-use survey reports, 
and reviews of 10 CFR 50.71 final safety analysis reports. Special 
Projects does not include those contested hearings for which a fee 
exemption is granted in Sec. 170.11(a)(2), including those related to 
individual plant security modifications.
    Testing facility means a nuclear reactor licensed by the Commission 
under the authority of subsection 104c of the Act and pursuant to the 
provisions of Sec. 50.21(c) of this chapter for 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.
    Uranium enrichment facility means:

[[Page 707]]

    (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 this equipment or device, capable of separating the 
isotopes of uranium or enriching uranium in the isotope 235.
    Utilization facility means any nuclear reactor other than one 
designed or used primarily for the formation of plutonium or U\235\ and 
any other equipment or device determined by rule of the Commission to be 
a utilization facility within the purview of subsection 11cc of the Act.

[33 FR 10924, Aug. 1, 1968, as amended at 36 FR 146, Jan. 6, 1971; 38 FR 
30254, Nov. 2, 1973; 40 FR 8794, Mar. 3, 1975; 43 FR 7218, Feb. 21, 
1978; 46 FR 58284, Dec. 1, 1981; 49 FR 21302, May 21, 1984; 54 FR 15399, 
Apr. 18, 1989; 55 FR 21179, May 23, 1990; 56 FR 31499, July 10, 199; 57 
FR 18394, Apr. 30, 1992; 57 FR 32707, July 23, 1992; 58 FR 38690, July 
20, 1993; 59 FR 36917, July 20, 1994; 64 FR 31469, June 10, 1999; 66 FR 
32469, June 14, 2001; 67 FR 42629, June 24, 2002; 67 FR 64036, Oct. 17, 
2002]



Sec. 170.4  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. 170.5  Communications.

    All communications concerning the regulations in this part should be 
addressed to the Chief Financial Officer, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001. Communications may be delivered 
in person at the Commission's offices at 11555 Rockville Pike, 
Rockville, MD.

[64 FR 31469, June 10, 1999]



Sec. 170.8  Information collection requirements: OMB approval

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

[62 FR 52191, Oct. 6, 1997]



Sec. 170.11  Exemptions.

    (a) No application fees, license fees, renewal fees, inspection 
fees, or special project fees shall be required for:
    (1) A special project that is a request/report submitted to the NRC-
-
    (i) In response to a Generic Letter or NRC Bulletin that does not 
result in an amendment to the license, does not result in the review of 
an alternate method or reanalysis to meet the requirements of the 
Generic Letter, or does not involve an unreviewed safety issue;
    (ii) In response to an NRC request (at the Associate Office Director 
level or above) to resolve an identified safety, safeguards, or 
environmental issue, or to assist NRC in developing a rule, regulatory 
guide, policy statement, generic letter, or bulletin; or
    (iii) As a means of exchanging information between industry 
organizations and the NRC for the specific purpose of supporting the 
NRC's generic regulatory improvements or efforts.
    (A) This fee exemption applies only when:
    (1) It has been demonstrated that the report/request has been 
submitted to the NRC specifically for the purpose of supporting NRC's 
development of generic guidance and regulations (e.g., rules, 
regulations, guides and policy statements); and
    (2) The NRC, at the time the document is submitted, plans to use it 
for one of the purposes given in paragraph (a)(1)(iii)(A)(1) of this 
section. In this case, the exemption applies even if ultimately the NRC 
does not use the document as planned.
    (B) An example of the type of document that meets the fee exemption 
criteria is a topical report that is submitted to the NRC for the 
specific purpose of supporting the NRC's development of a Regulatory 
Guide, and which the NRC plans to use in the development of that 
Regulatory Guide.
    (C) Fees will not be waived for reports/requests that are not 
submitted specifically for the purpose of supporting the NRC's generic 
regulatory improvements or efforts, because the

[[Page 708]]

primary beneficiary of the NRC's review and approval of such documents 
is the requesting organization. In this case, the waiver provision does 
not apply even though the NRC may realize some benefits from its review 
and approval of the document.
    (D) An example of the type of document that does not meet the fee 
waiver criteria is a topical report submitted for the purpose of 
obtaining NRC approval so that the report can be used by the industry in 
the future to address licensing or safety issues.
    (2) A contested hearing conducted by the NRC on a specific 
application or the authorizations and conditions of a specific NRC 
license, certificate, or other authorization, including those involving 
individual plant security modifications. This exemption does not apply 
to a contested hearing on a licensing action that the NRC determines 
directly involves a U.S. Government national security-related 
initiative, including those specifically associated with Presidentially-
directed national security programs.
    (3) [Reserved]
    (4) A construction permit or license applied for by, or issued to, a 
non-profit educational institution for a production or utilization 
facility, other than a power reactor, or for the possession and use of 
byproduct material, source material, or special nuclear material. This 
exemption does not apply to those byproduct, source or special nuclear 
material licenses which authorize:
    (i) Human use;
    (ii) Remunerated services to other persons;
    (iii) Distribution of byproduct material, source material, or 
special nuclear material or products containing byproduct material, 
source material, or special nuclear material; and
    (iv) Activities performed under a Government agency contract.
    (5) A construction permit, license, certificate of compliance, or 
other approval applied for by, or issued to, a Government agency, except 
where the Commission is authorized by statute to charge such fees.
    (6)-(8) [Reserved]
    (9) State-owned research reactors used primarily for educational 
training and academic research purposes. For purposes of this exemption, 
the term research reactor means a nuclear reactor that--
    (i) Is licensed by the Nuclear Regulatory Commission under section 
104c. of the Atomic Energy Act of 1954 (42 U.S.C. 2134(c)) for operation 
at a thermal power level of 10 megawatts or less; and
    (ii) If so licensed for operation at a thermal power level or more 
than 1 megawatt, does not contain--
    (A) A circulating loop through the core in which the licensee 
conducts fuel experiments;
    (B) A liquid fuel loading; or
    (C) An experimental facility in the core in excess of 16 square 
inches in cross-section.
    (10) Activities of the Commission undertaken, pursuant to part 75 of 
this chapter, solely for the purpose of implementation of the US/IAEA 
Safeguards Agreement.
    (11) [Reserved]
    (12) A performance assessment or evaluation for which the licensee 
volunteers at the NRC's request and which is selected by the NRC.
    (b)(1) The Commission may, upon application by an interested person, 
or upon its own initiative, grant such exemptions from the requirements 
of this part as it determines are authorized by law and are otherwise in 
the public interest.
    (2) Applications for exemption under this paragraph may include 
activities such as, but not limited to, the use of licensed materials 
for educational or noncommercial public displays or scientific 
collections.

[33 FR 10924, Aug. 1, 1968, as amended at 36 FR 146, Jan. 6, 1971; 36 FR 
18173, Sept. 10, 1971; 37 FR 24029, Nov. 11, 1972; 38 FR 18443, July 11, 
1973; 43 FR 7218, Feb. 21, 1978; 45 FR 50718, July 31, 1980; 49 FR 
21302, May 21, 1984; 55 FR 21179, May 23, 1990; 56 FR 31499, July 10, 
1991; 59 FR 36917, July 20, 1994; 60 FR 32238, June 20, 1995; 62 FR 
29207, May 29, 1997; 64 FR 31469, June 10, 1999; 67 FR 42629, June 24, 
2002; 67 FR 64037, Oct. 17, 2002]



Sec. 170.12  Payment of fees.

    (a) Application and registration fees. Each application or 
registration for which a fee is prescribed must be accompanied by a 
remittance for the full amount of the fee. The NRC will not issue a new 
license or an amendment

[[Page 709]]

increasing the scope of an existing license to a higher fee category 
before receiving the prescribed application fee. The application or 
registration fee(s) is charged whether the Commission approves the 
application or not. The application or registration fee(s) is also 
charged if the applicant withdraws the application or registration.
    (b) Licensing fees. (1) Licensing fees will be assessed to recover 
full costs for--
    (i) The review of applications for new licenses and approvals;
    (ii) The review of applications for amendments to and renewal of 
existing licenses or approvals;
    (iii) Preapplication consultations and reviews; and
    (iv) The full cost for project managers assigned to a specific plant 
or facility, excluding leave time and time spent on generic activities 
(such as rulemaking).
    (2) Full cost fees will be determined based on the professional 
staff time and appropriate contractual support services expended. The 
full cost fees for professional staff time will be determined at the 
professional hourly rates in effect the time the service was provided. 
The full cost fees are payable upon notification by the Commission.
    (3) The NRC intends to bill each applicant or licensee at quarterly 
intervals for all accumulated costs for each application the applicant 
or licensee has on file for NRC review, until the review is completed, 
except for costs that were deferred before August 9, 1991. The deferred 
costs will be billed as described in paragraphs (b)(5), (b)(6) and 
(b)(7) of this section. Each bill will identify the applications and 
documents submitted for review and the costs related to each.
    (4) The NRC intends to bill each applicant or licensee for costs 
related to project manager time on a quarterly basis. Each bill will 
identify the costs related to project manager time.
    (5) Costs for review of an application for renewal of a standard 
design certification which have been deferred prior to the effective 
date of this rule must be paid as follows: The full cost of review for a 
renewed standard design certification must be paid by the applicant for 
renewal or other entity supplying the design to an applicant for a 
construction permit, combined license issued under 10 CFR Part 52, or 
operating license, as appropriate, in five (5) equal installments. An 
installment is payable each of the first five times the renewed 
certification is referenced in an application for a construction permit, 
combined license, or operating license. The applicant for renewal shall 
pay the installment, unless another entity is supplying the design to 
the applicant for the construction permit, combined license, or 
operating license, in which case the entity shall pay the installment. 
If the design is not referenced, or if all of the costs are not 
recovered, within fifteen years after the date of renewal of the 
certification, the applicant for renewal shall pay the costs for the 
renewal, or remainder of those costs, at that time.
    (6) Costs for the review of an application for renewal of an early 
site permit which have been deferred prior to the effective date of this 
rule will continue to be deferred as follows: The holder of the renewed 
permit shall pay the applicable fees for the renewed permit at the time 
an application for a construction permit or combined license referencing 
the permit is filed. If, at the end of the renewal period of the permit, 
no facility application referencing the early site permit has been 
docketed, the permit holder shall pay any outstanding fees for the 
permit.
    (7)(i) The full cost of review for a standardized design approval or 
certification that has been deferred prior to the effective date of the 
rule must be paid by the holder of the design approval, the applicant 
for certification, or other entity supplying the design to an applicant 
for a construction permit, combined license issued under 10 CFR Part 52, 
or operating license, as appropriate, in five (5) equal installments. An 
installment is payable each of the first five times the approved/
certified design is referenced in an application for a construction 
permit, combined license issued under 10 CFR Part 52, or operating 
license. In the case of a standard design certification, the applicant 
for certification shall pay the installment, unless another entity is 
supplying the design to the applicant for the construction permit, 
combined

[[Page 710]]

license, or operating license, in which case the other entity shall pay 
the installment.
    (ii)(A) In the case of a design which has been approved but not 
certified and for which no application is pending, if the design is not 
referenced, or if all costs are not recovered within five years after 
the date of the preliminary design approval (PDA), or the final design 
approval (FDA), the applicant shall pay the costs, or the remainder of 
those costs, or remainder of those costs, at that time.
    (B) In the case of a design which has been approved and for which an 
application for certification is pending, no fees are due until after 
the certification is granted. If the design is not referenced, or if all 
costs are not recovered, within fifteen years after the date of 
certification, the applicant shall pay the costs, or remainder of those, 
at the time.
    (C) In the case of a design for which a certification has been 
granted, if the design is not referenced, or if all costs are not 
recovered, within fifteen years after the date of the certification, the 
applicant shall pay the costs for the review of the application, or 
remainder of those costs, at that time.
    (c) Inspection fees. (1) Inspection fees will be assessed to recover 
full cost for each resident inspector (including the senior resident 
inspector), assigned to a specific plant or facility. The fees assessed 
will be based on the number of hours that each inspector assigned to the 
plant or facility is in an official duty status (i.e., all time in a 
non-leave status), excluding time spent by a resident inspector in 
support of activities at another site. The hours will be billed at the 
appropriate hourly rate established in 10 CFR 170.20. Resident 
inspectors' time related to a specific inspection will be included in 
the fee assessed for the specific inspection in accordance with 
paragraph (c)(2) of this section.
    (2) Inspection fees will be assessed to recover the full cost for 
each specific inspection, including plant- or licensee-specific 
performance reviews and assessments, evaluations, and incident 
investigations. For inspections that result in the issuance of an 
inspection report, fees will be assessed for costs incurred up to 
approximately 30 days after the inspection report is issued. The costs 
for these inspections include preparation time, time on site, 
documentation time, and follow-up activities and any associated 
contractual service costs, but exclude the time involved in the 
processing and issuance of a notice of violation or civil penalty.
    (3) The NRC intends to bill for resident inspectors' time and for 
specific inspections subject to full cost recovery on a quarterly basis. 
The fees are payable upon notification by the Commission.
    (d) Special project fees. (1) Fees for special projects are based on 
the full cost of the review or contested hearing. Special projects 
include activities such as--
    (i) Topical reports;
    (ii) Financial assurance submittals that do not require a license 
amendment;
    (iii) Responses to Confirmatory Action Letters;
    (iv) Uranium recovery licensees' land-use survey reports;
    (v) 10 CFR 50.71 final safety analysis reports; and
    (vi) Contested hearings on licensing actions directly involving U.S. 
Government national security initiatives, as determined by the NRC.
    (2) The NRC intends to bill each applicant or licensee at quarterly 
intervals until the review or contested hearing is completed. Each bill 
will identify the documents submitted for review or the specific 
contested hearing and the costs related to each. The fees are payable 
upon notification by the Commission.
    (e) Part 55 review fees. Fees for Part 55 review services are based 
on NRC time spent in administering the examinations and tests and any 
related contractual costs. The fees assessed will also include related 
activities such as preparing, reviewing, and grading of the examinations 
and tests. The NRC intends to bill the costs at quarterly intervals to 
the licensee employing the operators.
    (f) Method of payment. All license fee payments are to be made 
payable to the U.S. Nuclear Regulatory Commission. The payments are to 
be made in U.S. funds by electronic funds transfer

[[Page 711]]

such as ACH (Automated Clearing House) using E.D.I. (Electronic Data 
Interchange), check, draft, money order, or credit card. Payment of 
invoices of $5,000 or more should be paid via ACH through NRC's Lockbox 
Bank at the address indicated on the invoice. Credit card payments 
should be made up to the limit established by the credit card bank at 
the address indicated on the invoice. Specific written instructions for 
making electronic payments and credit card payments may be obtained by 
contacting the License Fee and Accounts Receivable Branch at 301-415-
7554. In accordance with Department of the Treasury requirements, 
refunds will only be made upon receipt of information on the payee's 
financial institution and bank accounts.

[64 FR 31469, June 10, 1999, as amended at 65 FR 11204, Mar. 2, 2000; 65 
FR 36959, June 12, 2000; 66 FR 32469, June 14, 2001; 67 FR 64037, Oct. 
17, 2002]



Sec. 170.20  Average cost per professional staff-hour.

    Fees for permits, licenses, amendments, renewals, special projects, 
part 55 re-qualification and replacement examinations and tests, other 
required reviews, approvals, and inspections under Secs. 170.21 and 
170.31 will be calculated using the following applicable professional 
staff-hour rates:

(a) Reactor Program (Sec.  170.21         $156 per hour.
 Activities).
(b) Nuclear Materials and Nuclear Waste   $152 per hour.
 Program (Sec.  170.31 Activities).
 


[67 FR 42630, June 24, 2002]

                            Schedule of Fees



Sec. 170.21  Schedule of fees for production and utilization facilities, review of standard referenced design approvals, special projects, inspections and 
          import and export licenses.

    Applicants for construction permits, manufacturing licenses, 
operating licenses, import and export licenses, approvals of facility 
standard reference designs, re-qualification and replacement 
examinations for reactor operators, and special projects and holders of 
construction permits, licenses, and other approvals shall pay fees for 
the following categories of services:

                        Schedule of Facility Fees
                     [See footnotes at end of table]
------------------------------------------------------------------------
    Facility categories and type of fees              Fees 1, 2
------------------------------------------------------------------------
         A. Nuclear Power Reactors
 
Application for Construction Permit........  $125,000.
Early Site Permit, Construction Permit,      Full cost.
 Combined License, Operating License.
Amendment, Renewal, Dismantling-             Full cost.
 Decommissioning and Termination, Other
 Approvals.
Inspections \3\............................  Full cost.
 
    B. Standard Reference Design Review
 
Preliminary Design Approvals, Final Design   Full cost.
 Approvals, Certification.
Amendment, Renewal, Other Approvals........  Full cost.
 
 C. Test Facility/Research Reactor/Critical
                  Facility
 
Application for Construction Permit........  $5,000.
Construction Permit, Operating License.....  Full cost.
Amendment, Renewal, Dismantling-             Full cost.
 Decommissioning and Termination, Other
 Approvals.
Inspections \3\............................  Full cost.
 
          D. Manufacturing License
 
Application................................  $125,000.
Preliminary Design Approval, Final Design    Full cost.
 Approval.
Amendment, Renewal, Other Approvals........  Full cost.
Inspections \3\............................  Full cost.
 
               E. [Reserved]
 
            F. Advanced Reactors
 
Application for Construction Permit........  $125,000.
Early Site Permit, Construction Permit,      Full cost.
 Combined License, Operating License.
Amendment, Renewal, Other Approvals........  Full cost.
Inspections \3\............................  Full cost.
 
    G. Other Production and Utilization
                  Facility
 
Application for Construction Permit........  $125,000.
Construction Permit, Operating License.....  Full cost.
Amendment, Renewal, Other Approvals........  Full cost.
Inspections \3\............................  Full cost.
 
   H. Production or Utilization Facility
          Permanently Closed Down
 
Inspections \3\............................  Full cost.
 
             I. Part 55 Reviews
 
Requalification and Replacement              Full cost.
 Examinations for Reactor Operators.
 
            J. Special projects:
 
Approvals and preapplication/licensing       Full cost.
 activities.
Inspections \3\............................  Full cost.
Contested hearings on licensing actions      Full cost.
 directly related to U.S. Government
 national security initiatives.
 
K. Import and export licenses:

[[Page 712]]

 
    Licenses for the import and export only
     of production and utilization
     facilities or the export only of
     components for production and
     utilization facilities issued under 10
     CFR part 110.
        1. Application for import or export
         of reactors and other facilities
         and exports of components which
         must be reviewed by the
         Commissioners and the Executive
         Branch, for example, actions under
         10 CFR 110.40(b)
            Application--new license.......  $9,900
            Amendment......................  $9,900
        2. Application for export of
         reactor and other components
         requiring Executive Branch review
         only, for example, those actions
         under 10 CFR 110.41(a)(1)-(8)
            Application--new license.......  $5,800
            Amendment......................  $5,800
        3. Application for export of
         components requiring foreign
         government assurances only
            Application--new license.......  $1,800
            Amendment......................  $1,800
        4. Application for export of
         facility components and equipment
         not requiring Commissioner review,
         Executive Branch review, or
         foreign government assurances
            Application--new license.......  $1,200
            Amendment......................  $1,200
        5. Minor amendment of any export or
         import license to extend the
         expiration date, change domestic
         information, or make other
         revisions which do not require in-
         depth analysis or review
            Amendment......................  $230
------------------------------------------------------------------------
\1\ Fees will not be charged for orders issued by the Commission under
  Sec.  2.202 of this chapter or for amendments resulting specifically
  from the requirements of these types of Commission orders. Fees will
  be charged for approvals issued under a specific exemption provision
  of the Commission's regulations under Title 10 of the Code of Federal
  Regulations (e.g., 10 CFR 50.12, 73.5) and any other sections in
  effect now or in the future, regardless of whether the approval is in
  the form of a license amendment, letter of approval, safety evaluation
  report, or other form. Fees for licenses in this schedule that are
  initially issued for less than full power are based on review through
  the issuance of a full power license (generally full power is
  considered 100 percent of the facility's full rated power). Thus, if a
  licensee received a low power license or a temporary license for less
  than full power and subsequently receives full power authority (by way
  of license amendment or otherwise), the total costs for the license
  will be determined through that period when authority is granted for
  full power operation. If a situation arises in which the Commission
  determines that full operating power for a particular facility should
  be less than 100 percent of full rated power, the total costs for the
  license will be at that determined lower operating power level and not
  at the 100 percent capacity.
\2\ Full cost fees will be determined based on the professional staff
  time and appropriate contractual support services expended. For
  applications currently on file and for which fees are determined based
  on the full cost expended for the review, the professional staff hours
  expended for the review of the application up to the effective date of
  the final rule will be determined at the professional rates in effect
  at the time the service was provided. For those applications currently
  on file for which review costs have reached an applicable fee ceiling
  established by the June 20, 1984, and July 2, 1990, rules but are
  still pending completion of the review, the cost incurred after any
  applicable ceiling was reached through January 29, 1989, will not be
  billed to the applicant. Any professional staff-hours expended above
  those ceilings on or after January 30, 1989, will be assessed at the
  applicable rates established by Sec.  170.20, as appropriate, except
  for topical reports whose costs exceed $50,000. Costs which exceed
  $50,000 for any topical report, amendment, revision or supplement to a
  topical report completed or under review from January 30, 1989,
  through August 8, 1991, will not be billed to the applicant. Any
  professional hours expended on or after August 9, 1991, will be
  assessed at the applicable rate established in Sec.  170.20.
\3\ Inspections covered by this schedule are both routine and non-
  routine safety and safeguards inspections performed by NRC for the
  purpose of review or follow-up of a licensed program. Inspections are
  performed through the full term of the license to ensure that the
  authorized activities are being conducted in accordance with the
  Atomic Energy Act of 1954, as amended, other legislation, Commission
  regulations or orders, and the terms and conditions of the license.
  Non-routine inspections that result from third-party allegations will
  not be subject to fees.


[53 FR 52648, Dec. 29, 1988, as amended at 54 FR 15400, Apr. 18, 1989; 
54 FR 25658, June 16, 1989; 55 FR 21180, May 23, 1990; 56 FR 31500, July 
10, 1991; 57 FR 18395, Apr. 30, 1992; 57 FR 32707, July 23, 1992; 58 FR 
38690, July 20, 1993; 59 FR 36917, July 20, 1994; 60 FR 32239, June 20, 
1995; 61 FR 16214, Apr. 12, 1996; 62 FR 29207, May 29, 1997; 63 FR 
31851, June 10, 1998; 64 FR 31470, June 10, 1999; 65 FR 36960, June 12, 
2000; 66 FR 32469, June 14, 2001; 67 FR 42630, June 24, 2002; 67 FR 
64037, Oct. 17, 2002]



Sec. 170.31  Schedule of fees for materials licenses and other regulatory services, including inspections, and import and export licenses.

    Applicants for materials licenses, import and export licenses, and 
other regulatory services, and holders of materials licenses or import 
and export licenses shall pay fees for the following categories of 
services. The following schedule includes fees for health and safety and 
safeguards inspections where applicable:

                       Schedule of Materials Fees
                     [See footnotes at end of table]
------------------------------------------------------------------------
Category of materials licenses and type of fees
                      \1\                              Fees \2\ \3\
------------------------------------------------------------------------
1. Special nuclear material:
    A. Licenses for possession and use of 200
     grams or more of plutonium in unsealed
     form or 350 grams or more of contained U-
     235 in unsealed form or 200 grams or more
     of U-233 in unsealed form. This includes
     applications to terminate licenses as well
     as licenses authorizing possession only:

[[Page 713]]

 
        Licensing and Inspection...............  Full cost.
    B. Licenses for receipt and storage of
     spent fuel and/or reactor-related Greater
     than Class C (GTCC) waste at an
     independent spent fuel storage
     installation (ISFSI):
        Licensing and inspection...............  Full cost.
    C. Licenses for possession and use of
     special nuclear material in sealed sources
     contained in devices used in industrial
     measuring systems, including x-ray
     fluorescence analyzers: \4\
        Application............................  $700
    D. All other special nuclear material
     licenses, except licenses authorizing
     special nuclear material in unsealed form
     in combination that would constitute a
     critical quantity, as defined in Sec.
     150.11 of this chapter, for which the
     licensee shall pay the same fees as those
     for Category 1A: \4\
        Application............................  $1,400
    E. Licenses or certificates for
     construction and operation of a uranium
     enrichment facility:
        Licensing and inspection...............  Full cost.
2. Source material:
    A.(1) Licenses for possession and use of
     source material in recovery operations
     such as milling, in-situ leaching, heap-
     leaching, refining uranium mill
     concentrates to uranium hexafluoride, ore
     buying stations, and ion exchange
     facilities, and in processing of ores
     containing source material for extraction
     of metals other than uranium or thorium,
     including licenses authorizing the
     possession of byproduct waste material
     (tailings) from source material recovery
     operations, as well as licenses
     authorizing the possession and maintenance
     of a facility in a standby mode:
        Licensing and inspection...............  Full cost.
    (2) Licenses that authorize the receipt of
     byproduct material, as defined in Section
     11e(2) of the Atomic Energy Act, from
     other persons for possession and disposal
     except those licenses subject to fees in
     Category 2A(1):
        Licensing and inspection...............  Full cost.
    (3) Licenses that authorize the receipt of
     byproduct material, as defined in Section
     11e.(2) of the Atomic Energy Act, from
     other persons for possession and disposal
     incidental to the disposal of the uranium
     waste tailings generated by the licensee's
     milling operations, except those licenses
     subject to the fees in Category 2A(1):
        Licensing and inspection...............  Full cost.
    B. Licenses which authorize the possession,
     use, and/or installation of source
     material for shielding:
        Application............................  $170
    C. All other source material licenses:
        Application............................  $6,000
3. Byproduct material:
    A. Licenses of broad scope for the
     possession and use of byproduct material
     issued under parts 30 and 33 of this
     chapter for processing or manufacturing of
     items containing byproduct material for
     commercial distribution:
        Application............................  $7,100
    B. Other licenses for possession and use of
     byproduct material issued under part 30 of
     this chapter for processing or
     manufacturing of items containing
     byproduct material for commercial
     distribution:
        Application............................  $2,300
    C. Licenses issued under Secs.  32.72,
     32.73, and/or 32.74 of this chapter that
     authorize the processing or manufacturing
     and distribution or redistribution of
     radiopharmaceuticals, generators, reagent
     kits, and/or sources and devices
     containing byproduct material. This
     category does not apply to licenses issued
     to nonprofit educational institutions
     whose processing or manufacturing is
     exempt under Sec.  170.11(a)(4). These
     licenses are covered by fee Category 3D.
        Application............................  $9,200
    D. Licenses and approvals issued under
     Secs.  32.72, 32.73, and/or 32.74 of this
     chapter authorizing distribution or
     redistribution of radiopharmaceuticals,
     generators, reagent kits, and/or sources
     or devices not involving processing of
     byproduct material. This category includes
     licenses issued under Secs.  32.72, 32.73,
     and/or 32.74 of this chapter to nonprofit
     educational institutions whose processing
     or manufacturing is exempt under Sec.
     170.11(a)(4).
        Application............................  $2,600
    E. Licenses for possession and use of
     byproduct material in sealed sources for
     irradiation of materials in which the
     source is not removed from its shield
     (self-shielded units):
        Application............................  $1,800
    F. Licenses for possession and use of less
     than 10,000 curies of byproduct material
     in sealed sources for irradiation of
     materials in which the source is exposed
     for irradiation purposes. This category
     also includes underwater irradiators for
     irradiation of materials where the source
     is not exposed for irradiation purposes.
        Application............................  $3,600
    G. Licenses for possession and use of
     10,000 curies or more of byproduct
     material in sealed sources for irradiation
     of materials in which the source is
     exposed for irradiation purposes. This
     category also includes underwater
     irradiators for irradiation of materials
     where the source is not exposed for
     irradiation purposes.
        Application............................  $8,500

[[Page 714]]

 
    H. Licenses issued under Subpart A of part
     32 of this chapter to distribute items
     containing byproduct material that require
     device review to persons exempt from the
     licensing requirements of part 30 of this
     chapter. The category does not include
     specific licenses authorizing
     redistribution of items that have been
     authorized for distribution to persons
     exempt from the licensing requirements of
     part 30 of this chapter:
        Application............................  $2,400
    I. Licenses issued under Subpart A of part
     32 of this chapter to distribute items
     containing byproduct material or
     quantities of byproduct material that do
     not require device evaluation to persons
     exempt from the licensing requirements of
     part 30 of this chapter. This category
     does not include specific licenses
     authorizing redistribution of items that
     have been authorized for distribution to
     persons exempt from the licensing
     requirements of part 30 of this chapter:
        Application............................  $3,600
    J. Licenses issued under Subpart B of part
     32 of this chapter to distribute items
     containing byproduct material that require
     sealed source and/or device review to
     persons generally licensed under part 31
     of this chapter. This category does not
     include specific licenses authorizing
     redistribution of items that have been
     authorized for distribution to persons
     generally licensed under part 31 of this
     chapter:
        Application............................  $1,100
    K. Licenses issued under Subpart B of part
     32 of this chapter to distribute items
     containing byproduct material or
     quantities of byproduct material that do
     not require sealed source and/or device
     review to persons generally licensed under
     part 31 of this chapter. This category
     does not include specific licenses
     authorizing redistribution of items that
     have been authorized for distribution to
     persons generally licensed under part 31
     of this chapter:
        Application............................  $620
    L. Licenses of broad scope for possession
     and use of byproduct material issued under
     parts 30 and 33 of this chapter for
     research and development that do not
     authorize commercial distribution:
        Application............................  $6,000
    M. Other licenses for possession and use of
     byproduct material issued under part 30 of
     this chapter for research and development
     that do not authorize commercial
     distribution:
        Application............................  $2,600
    N. Licenses that authorize services for
     other licensees, except:
        (1) Licenses that authorize only
         calibration and/or leak testing
         services are subject to the fees
         specified in fee Category 3P; and
        (2) Licenses that authorize waste
         disposal services are subject to the
         fees specified in fee Categories 4A,
         4B, and 4C:
            Application........................  $2,700
    O. Licenses for possession and use of
     byproduct material issued under part 34 of
     this chapter for industrial radiography
     operations:
        Application............................  $4,400
    P. All other specific byproduct material
     licenses, except those in Categories 4A
     through 9D:
        Application............................  $1,400
    Q. Registration of a device(s) generally
     licensed under part 31 of this chapter:
        Registration                             $450
4. Waste disposal and processing:
    A. Licenses specifically authorizing the
     receipt of waste byproduct material,
     source material, or special nuclear
     material from other persons for the
     purpose of contingency storage or
     commercial land disposal by the licensee;
     or licenses authorizing contingency
     storage of low-level radioactive waste at
     the site of nuclear power reactors; or
     licenses for receipt of waste from other
     persons for incineration or other
     treatment, packaging of resulting waste
     and residues, and transfer of packages to
     another person authorized to receive or
     dispose of waste material:
        Licensing and inspection...............  Full cost.
    B. Licenses specifically authorizing the
     receipt of waste byproduct material,
     source material, or special nuclear
     material from other persons for the
     purpose of packaging or repackaging the
     material. The licensee will dispose of the
     material by transfer to another person
     authorized to receive or dispose of the
     material:
        Application............................  $1,800
    C. Licenses specifically authorizing the
     receipt of prepackaged waste byproduct
     material, source material, or special
     nuclear material from other persons. The
     licensee will dispose of the material by
     transfer to another person authorized to
     receive or dispose of the material:
        Application............................  $2,700
5. Well logging:
    A. Licenses for possession and use of
     byproduct material, source material, and/
     or special nuclear material for well
     logging, well surveys, and tracer studies
     other than field flooding tracer studies:
        Application............................  $5,900
    B. Licenses for possession and use of
     byproduct material for field flooding
     tracer studies:
        Licensing..............................  Full cost.
6. Nuclear laundries:
    A. Licenses for commercial collection and
     laundry of items contaminated with
     byproduct material, source material, or
     special nuclear material:
        Application............................  $12,100
7. Medical licenses:

[[Page 715]]

 
    A. Licenses issued under parts 30, 35, 40,
     and 70 of this chapter for human use of
     byproduct material, source material, or
     special nuclear material in sealed sources
     contained in teletherapy devices:
        Application............................  $6,600
    B. Licenses of broad scope issued to
     medical institutions or two or more
     physicians under parts 30, 33, 35, 40, and
     70 of this chapter authorizing research
     and development, including human use of
     byproduct material, except licenses for
     byproduct material, source material, or
     special nuclear material in sealed sources
     contained in teletherapy devices:
        Application............................  $4,700
    C. Other licenses issued under parts 30,
     35, 40, and 70 of this chapter for human
     use of byproduct material, source
     material, and/or special nuclear material,
     except licenses for byproduct material,
     source material, or special nuclear
     material in sealed sources contained in
     teletherapy devices:
        Application............................  $2,300
8. Civil defense:
    A. Licenses for possession and use of
     byproduct material, source material, or
     special nuclear material for civil defense
     activities:
        Application............................  $350
9. Device, product, or sealed source safety
 evaluation:
    A. Safety evaluation of devices or products
     containing byproduct material, source
     material, or special nuclear material,
     except reactor fuel devices, for
     commercial distribution:
        Application--each device...............  $5,600
    B. Safety evaluation of devices or products
     containing byproduct material, source
     material, or special nuclear material
     manufactured in accordance with the unique
     specifications of, and for use by, a
     single applicant, except reactor fuel
     devices:
        Application--each device...............  $5,600
    C. Safety evaluation of sealed sources
     containing byproduct material, source
     material, or special nuclear material,
     except reactor fuel, for commercial
     distribution:
        Application--each source...............  $1,700
    D. Safety evaluation of sealed sources
     containing byproduct material, source
     material, or special nuclear material,
     manufactured in accordance with the unique
     specifications of, and for use by, a
     single applicant, except reactor fuel:
        Application--each source...............  $580
10. Transportation of radioactive material:
    A. Evaluation of casks, packages, and
     shipping containers:
        Licensing and inspections..............  Full cost.
    B. Evaluation of 10 CFR part 71 quality
     assurance programs:
        Application............................  $680
        Inspections............................  Full cost.
11. Review of standardized spent fuel
 facilities:
    Licensing and inspection...................  Full cost.
12. Special projects:
    Approvals and preapplication/licensing       Full cost.
     activities.
    Inspections................................  Full cost.
    Contested hearings on licensing actions      Full cost.
     directly related to U.S. Government
     national security initiatives.
13. A. Spent fuel storage cask Certificate of    Full cost.
 Compliance: Licensing.
    B. Inspections related to spent fuel         Full cost.
     storage cask Certificate of Compliance.
    C. Inspections related to storage of spent   Full cost.
     fuel under Sec.  72.210 of this chapter.
14. Byproduct, source, or special nuclear
 material licenses and other approvals
 authorizing decommissioning, decontamination,
 reclamation, or site restoration activities
 under parts 30, 40, 70, 72, and 76 of this
 chapter:
    Licensing and inspection...................  Full cost.
15. Import and Export licenses:
    Licenses issued under part 110 of this
     chapter for the import and export only of
     special nuclear material, source material,
     tritium and other byproduct material,
     heavy water, or nuclear grade graphite.
    A. Application for export or import of high
     enriched uranium and other materials,
     including radioactive waste, which must be
     reviewed by the Commissioners and the
     Executive Branch, for example, those
     actions under 10 CFR 110.40(b). This
     category includes application for export
     or import of radioactive wastes in
     multiple forms from multiple generators or
     brokers in the exporting country and/or
     going to multiple treatment, storage or
     disposal facilities in one or more
     receiving countries.
        Application--new license...............  $9,900
        Amendment..............................  $9,900
    B. Application for export or import of
     special nuclear material, source material,
     tritium and other byproduct material,
     heavy water, or nuclear grade graphite,
     including radioactive waste, requiring
     Executive Branch review but not
     Commissioner review. This category
     includes application for the export or
     import of radioactive waste involving a
     single form of waste from a single class
     of generator in the exporting country to a
     single treatment, storage and/or disposal
     facility in the receiving country.
        Application--new license...............  $5,800
        Amendment..............................  $5,800
    C. Application for export of routine
     reloads of low enriched uranium reactor
     fuel and exports of source material
     requiring only foreign government
     assurances under the Atomic Energy Act.
        Application--new license...............  $1,800
        Amendment..............................  $1,800

[[Page 716]]

 
    D. Application for export or import of
     other materials, including radioactive
     waste, not requiring Commissioner review,
     Executive Branch review, or foreign
     government assurances under the Atomic
     Energy Act. This category includes
     application for export or import of
     radioactive waste where the NRC has
     previously authorized the export or import
     of the same form of waste to or from the
     same or similar parties, requiring only
     confirmation from the receiving facility
     and licensing authorities that the
     shipments may proceed according to
     previously agreed understandings and
     procedures.
        Application--new license...............  $1,200
        Amendment..............................  $1,200
    E. Minor amendment of any export or import
     license to extend the expiration date,
     change domestic information, or make other
     revisions which do not require in-depth
     analysis, review, or consultations with
     other agencies or foreign governments.
        Amendment..............................  $230
16. Reciprocity:
    Agreement State licensees who conduct
     activities under the reciprocity
     provisions of 10 CFR 150.20.
        Application............................  $1,400
------------------------------------------------------------------------
\1\ Types of fees--Separate charges, as shown in the schedule, will be
  assessed for pre-application consultations and reviews and
  applications for new licenses and approvals, issuance of new licenses
  and approvals, certain amendments and renewals to existing licenses
  and approvals, safety evaluations of sealed sources and devices,
  generally licensed device registrations, and certain inspections. The
  following guidelines apply to these charges:
(a) Application and registration fees. Applications for new materials
  licenses and export and import licenses; applications to reinstate
  expired, terminated, or inactive licenses except those subject to fees
  assessed at full costs; applications filed by Agreement State
  licensees to register under the general license provisions of 10 CFR
  150.20; and applications for amendments to materials licenses that
  would place the license in a higher fee category or add a new fee
  category must be accompanied by the prescribed application fee for
  each category.
(1) Applications for licenses covering more than one fee category of
  special nuclear material or source material must be accompanied by the
  prescribed application fee for the highest fee category.
(2) Applications for new licenses that cover both byproduct material and
  special nuclear material in sealed sources for use in gauging devices
  will pay the appropriate application fee for fee Category 1C only.
(b) Licensing fees. Fees for reviews of applications for new licenses
  and for renewals and amendments to existing licenses, for pre-
  application consultations and for reviews of other documents submitted
  to NRC for review, and for project manager time for fee categories
  subject to full cost fees (fee Categories 1A, 1B, 1E, 2A, 4A, 5B, 10A,
  11, 12, 13A, and 14) are due upon notification by the Commission in
  accordance with Sec.  170.12(b).
(c) Amendment fees. Applications for amendments to export and import
  licenses must be accompanied by the prescribed amendment fee for each
  license affected. An application for an amendment to a license or
  approval classified in more than one fee category must be accompanied
  by the prescribed amendment fee for the category affected by the
  amendment unless the amendment is applicable to two or more fee
  categories, in which case the amendment fee for the highest fee
  category would apply.
(d) Inspection fees. Inspections resulting from investigations conducted
  by the Office of Investigations and non-routine inspections that
  result from third-party allegations are not subject to fees.
  Inspection fees are due upon notification by the Commission in
  accordance with Sec.  170.12(c).
(e) Generally licensed device registrations under 10 CFR 31.5.
  Submittals of registration information must be accompanied by the
  prescribed fee.
\2\ Fees will not be charged for orders issued by the Commission under
  10 CFR 2.202 or for amendments resulting specifically from the
  requirements of these types of Commission orders. However, fees will
  be charged for approvals issued under a specific exemption provision
  of the Commission's regulations under Title 10 of the Code of Federal
  Regulations (e.g., 10 CFR 30.11, 40.14, 70.14, 73.5, and any other
  sections in effect now or in the future), regardless of whether the
  approval is in the form of a license amendment, letter of approval,
  safety evaluation report, or other form. In addition to the fee shown,
  an applicant may be assessed an additional fee for sealed source and
  device evaluations as shown in Categories 9A through 9D.
\3\ Full cost fees will be determined based on the professional staff
  time multiplied by the appropriate professional hourly rate
  established in Sec.  170.20 in effect at the time the service is
  provided, and the appropriate contractual support services expended.
  For applications currently on file for which review costs have reached
  an applicable fee ceiling established by the June 20, 1984, and July
  2, 1990, rules, but are still pending completion of the review, the
  cost incurred after any applicable ceiling was reached through January
  29, 1989, will not be billed to the applicant. Any professional staff-
  hours expended above those ceilings on or after January 30, 1989, will
  be assessed at the applicable rates established by Sec.  170.20, as
  appropriate, except for topical reports whose costs exceed $50,000.
  Costs which exceed $50,000 for each topical report, amendment,
  revision, or supplement to a topical report completed or under review
  from January 30, 1989, through August 8, 1991, will not be billed to
  the applicant. Any professional hours expended on or after August 9,
  1991, will be assessed at the applicable rate established in Sec.
  170.20.
\4\ Licensees paying fees under Categories 1A, 1B, and 1E are not
  subject to fees under Categories 1C and 1D for sealed sources
  authorized in the same license except for an application that deals
  only with the sealed sources authorized by the license.


[67 FR 42631, June 24, 2002, as amended at 67 FR 64038, Oct. 17, 2002]



Sec. 170.32  Schedule of fees for health and safety, and safeguards inspections for materials licenses.

    Materials licensees shall pay inspection fees as set forth in 
Sec. 170.31.

[53 FR 52652, Dec. 29, 1988]

                               Enforcement



Sec. 170.41  Failure by applicant or licensee to pay prescribed fees.

    If the Commission determines that an applicant or a licensee has 
failed to pay a prescribed fee required in this part, the Commission 
will not process

[[Page 717]]

any application and may suspend or revoke any license or approval issued 
to the applicant or licensee. The Commission may issue an order with 
respect to licensed activities that the Commission determines to be 
appropriate or necessary to carry out the provisions of this part, parts 
30, 31, 32 through 35, 40, 50, 61, 70, 71, 72, 73, and 76 of this 
chapter, and of the act.

[66 FR 32474, June 14, 2001]



Sec. 170.51  Right to review and appeal of prescribed fees.

    All debtors' requests for review of the fees assessed and appeal or 
disagreement with the prescribed fee (staff hours and contractual) must 
be submitted in accordance with the provisions of 10 CFR 15.31, 
``Disputed Debts,'' of this title.

[49 FR 21309, May 21, 1984; 49 FR 24113, June 12, 1984]



 PART 171--ANNUAL FEES FOR REACTOR LICENSES AND FUEL CYCLE LICENSES AND
 
MATERIALS LICENSES, INCLUDING HOLDERS OF CERTIFICATES OF COMPLIANCE, REGISTRATIONS, AND 
QUALITY ASSURANCE PROGRAM APPROVALS AND GOVERNMENT AGENCIES LICENSED BY THE NRC--Table of Contents




Sec.
171.1  Purpose.
171.3  Scope.
171.5  Definitions.
171.7  Interpretations.
171.8  Information collection requirements: OMB approval.
171.9  Communications.
171.11  Exemptions.
171.13  Notice.
171.15  Annual Fees: Reactor licenses and independent spent fuel storage 
          licenses.
171.16  Annual Fees: Materials Licensees, Holders of Certificates of 
          Compliance, Holders of Sealed Source and Device Registrations, 
          Holders of Quality Assurance Program Approvals and Government 
          Agencies Licensed by the NRC.
171.17  Proration.
171.19  Payment.
171.21  [Reserved]
171.23  Enforcement.
171.25  Collection, interest, penalties, and administrative costs.

    Authority: Sec. 7601, Pub. L. 99-272, 100 Stat. 146, as amended by 
sec. 5601, Pub. L. 100-203, 101 Stat. 1330, as amended by sec. 3201, 
Pub. L. 101-239, 103 Stat. 2132, as amended by sec. 6101, Pub. L. 101-
508, 104 Stat. 1388, as amended by sec. 2903a, Pub. L. 102-486, 106 
Stat. 3125 (42 U.S.C. 2213, 2214); sec. 301, Pub. L. 92-314, 86 Stat. 
227 (42 U.S.C. 2201w); sec. 201, Pub. L. 93-438, 88 Stat. 1242, as 
amended (42 U.S.C. 5841).

    Source: 51 FR 33230, Sept. 18, 1986, unless otherwise noted.



Sec. 171.1  Purpose.

    The regulations in this part set out the annual fees charged to 
persons who hold licenses, Certificates of Compliance, sealed source and 
device registrations, and quality assurance program approvals issued by 
the United States Nuclear Regulatory Commission, including licenses, 
registrations, approvals, and certificates issued to a Government 
agency.

[56 FR 31504, July 10, 1991]



Sec. 171.3  Scope.

    The regulations in this part apply to any person holding a license 
for a power reactor, test reactor or research reactor issued under part 
50 of this chapter and to any person holding a combined license issued 
under part 52 of this chapter that authorizes operation of a power 
reactor. The regulations in this part also apply to any person holding a 
materials license as defined in this part, a Certificate of Compliance, 
a sealed source or device registration, a quality assurance program 
approval, and to a Government agency as defined in this part.

[67 FR 42634, June 24, 2002]



Sec. 171.5  Definitions.

    Budget means the funds appropriated by Congress for the NRC for each 
fiscal year, and if that appropriation is not passed on or before 
September 1 for that fiscal year, the funds most recently appropriated 
by Congress for the most recent fiscal year.
    Budget authority means the authority, in the form of appropriations, 
provided by law and becoming available during the year, to enter into 
obligations that will result in immediate or future outlays involving 
Federal government funds. The appropriation is an authorization by an 
Act of Congress

[[Page 718]]

that permits the NRC to incur obligations and to make payments out of 
the Treasury for specified purposes. Fees assessed pursuant to Public 
Law 101-508 are based on NRC budget authority.
    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.
    Certificate holder means a person who holds a certificate of 
compliance, or other package approval issued by the Commission.
    Commission means the U.S. Nuclear Regulatory Commission or its duly 
authorized representatives.
    Federal fiscal year means a year that begins on October 1 of each 
calendar year and ends on September 30 of the following calendar year. 
Federal fiscal years are identified by the year in which they end (e.g., 
fiscal year 1987 begins in 1986 and ends in 1987).
    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.
    Greater Than Class C Waste or GTCC Waste means low-level radioactive 
waste that exceeds the concentration limits of radionuclides established 
for Class C waste in 10 CFR 61.55.
    High enriched uranium fuel means uranium enriched to 20 percent or 
greater in the isotope uranium-235.
    Low enriched uranium fuel means uranium enriched below 20 percent in 
the isotope uranium-235.
    Materials license means a license, certificate, approval, 
registration or other form of permission issued or granted by the NRC 
under the regulations in 10 CFR parts 30, 31 through 36, 39, 40, 61, 70, 
71, 72, and 76.
    Nonprofit educational institution means a public or nonprofit 
educational institution whose primary function is education, whose 
programs are accredited by a nationally recognized accrediting agency or 
association, who is legally authorized to provide a program of organized 
instruction or study, who provides an educational program for which it 
awards academic degrees, and whose educational programs are available to 
the public.
    Nuclear reactor means an apparatus, other than an atomic weapon, 
used to sustain fission in a self-supporting chain reaction.
    Operating license means having a license issued pursuant to 
Sec. 50.57 of this chapter. It does not include licenses that only 
authorize possession of special nuclear material after the Commission 
has received a request from the licensee to amend its licensee to 
permanently withdraw its authority to operate or the Commission has 
permanently revoked such authority.
    Overhead and general and administrative costs means:
    (1) The Government benefits for each employee such as leave and 
holidays, retirement and disability benefits, health and life insurance 
costs, and social security costs;
    (2) Travel costs;
    (3) Direct overhead, e.g., supervision and support staff that 
directly support the NRC safety mission areas (administrative support 
costs, e.g., rental of space, equipment, telecommunications and 
supplies); and
    (4) Indirect costs that would include, but not be limited to, NRC 
central policy direction, legal and executive management services for 
the Commission and special and independent reviews, investigations, and 
enforcement and appraisal of NRC programs and operations.

Some of the organizations included are the Commissioners, Secretary, 
Executive Director for Operations, General Counsel, Government and 
Public Affairs (except for international safety and safeguards 
programs), Inspector General, Investigations, Enforcement, Small and 
Disadvantaged Business Utilization and Civil Rights, the Technical 
Training Center, Advisory Committees on Nuclear Waste and Reactor 
Safeguards, and the Atomic Safety and Licensing Board Panel and Appeal 
Panel. The Commission views these budgeted costs as support for all its 
regulatory services provided to applicants, licensees, and certificate 
holders, and these

[[Page 719]]

costs must be recovered pursuant to Public Law 101-508.
    Person means: (1) Any individual, corporation, partnership, firm, 
association, trust, estate, public or private institution, group, 
Government agency other than the Commission; 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.
    Power reactor means a nuclear reactor designed to produce electrical 
or heat energy and licensed by the Commission under the authority of 
section 103 or subsection 104b of the Atomic Energy Act of 1954, as 
amended, and pursuant to the provisions of Sec. 50.21(b) or Sec. 50.22 
of this chapter.
    Quality assurance program approval is the document issued by the NRC 
to approve the quality assurance program submitted to the NRC as meeting 
the requirements of Sec. 71.101 of this chapter. Activities covered by 
the quality assurance program may be divided into two major groups: 
those activities including design, fabrication and use of packaging and 
those activities for use only of packaging.
    Registration holder as used in this part means any manufacturer or 
initial distributor of a sealed source or device containing a sealed 
source that holds a certificate of registration issued by the NRC or a 
holder of a registration for a sealed source or device manufactured in 
accordance with the unique specifications of, and for use by, a single 
applicant.
    Research reactor means a nuclear reactor licensed by the Commission 
under the authority of subsection 104c of the Act and pursuant to the 
provisions of Sec. 50.21(c) of this chapter for operation at a thermal 
power level of 10 megawatts or less, and which is not a testing facility 
as defined in this section.
    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 Atomic Energy Act of 
1954, as amended, 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.
    Testing facility means a nuclear reactor licensed by the Commission 
under the authority of subsection 104c of the Act and pursuant to the 
provisions of Sec. 50.21(c) of this chapter for 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.

[51 FR 33230, Sept. 18, 1986, as amended at 53 FR 52652, Dec. 29, 1988; 
56 FR 31505, July 10, 1991; 57 FR 32714, July 23, 1992; 58 FR 38695, 
July 20, 1993; 65 FR 36964, June 12, 2000; 66 FR 32474, June 14, 2001; 
67 FR 42634, June 24, 2002]



Sec. 171.7  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation 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 on the Commission.



Sec. 171.8  Information collection requirements: OMB approval

    This part contains no information collection requirements and 
therefore is not subject to the requirements of

[[Page 720]]

the Paperwork Reduction Act (44 U.S.C. 3501 et seq.).

[62 FR 52191, Oct. 6, 1997]



Sec. 171.9  Communications.

    All communications concerning the regulations in this part should be 
addressed to the Chief Financial Officer, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001. Communications may be delivered 
in person at the Commission's offices at 11555 Rockville Pike, 
Rockville, MD.

[64 FR 31475, June 10, 1999]



Sec. 171.11  Exemptions.

    (a) An annual fee is not required for:
    (1) A construction permit or license applied for by, or issued to, a 
nonprofit educational institution for a production or utilization 
facility, other than a power reactor, or for the possession and use of 
byproduct material, source material, or special nuclear material. This 
exemption does not apply to those byproduct, source, or special nuclear 
material licenses which authorize:
    (i) Human use;
    (ii) Remunerated services to other persons;
    (iii) Distribution of byproduct material, source material, or 
special nuclear material or products containing byproduct material, 
source material, or special nuclear material; or
    (iv) Activities performed under a Government contract.
    (2) Federally-owned and State-owned research reactors used primarily 
for educational training and academic research purposes. For purposes of 
this exemption, the term research reactor means a nuclear reactor that--
    (i) Is licensed by the Nuclear Regulatory Commission under section 
104c. of the Atomic Energy Act of 1954 (42 U.S.C. 2134(c)) for operation 
at a thermal power level of 10 megawatts or less; and
    (ii) If so licensed for operation at a thermal power level of more 
than 1 megawatt, does not contain--
    (A) A circulating loop through the core in which the licensee 
conducts fuel experiments;
    (B) A liquid fuel loading; or
    (C) An experimental facility in the core in excess of 16 square 
inches in cross-section.
    (b) The Commission may, upon application by an interested person or 
on its own initiative, grant an exemption from the requirements of this 
part that it determines is authorized by law or otherwise in the public 
interest. Requests for exemption must be filed with the NRC within 90 
days from the effective date of the final rule establishing the annual 
fees for which the exemption is sought in order to be considered. Absent 
extraordinary circumstances, any exemption requests filed beyond that 
date will not be considered. The filing of an exemption request does not 
extend the date on which the bill is payable. Only timely payment in 
full ensures avoidance of interest and penalty charges. If a partial or 
full exemption is granted, any overpayment will be refunded. Requests 
for clarification of or questions relating to an annual fee bill must 
also be filed within 90 days from the date of the initial invoice to be 
considered.
    (c) An exemption for reactors licensed to operate may be granted by 
the Commission taking into consideration each of the following factors:
    (1) Age of the reactor;
    (2) Size of the reactor;
    (3) Number of customers in rate base;
    (4) Net increase in KWh cost for each customer directly related to 
the annual fee assessed under this part; and
    (5) Any other relevant matter which the licensee believes justifies 
the reduction of the annual fee.
    (d) The Commission may grant a materials licensee an exemption from 
the annual fee if it determines that the annual fee is not based on a 
fair and equitable allocation of the NRC costs. The following factors 
must be fulfilled as determined by the Commission for an exemption to be 
granted:
    (1) There are data specifically indicating that the assessment of 
the annual fee will result in a significantly disproportionate 
allocation of costs to the licensee, or class of licensees; or
    (2) There is clear and convincing evidence that the budgeted generic 
costs attributable to the class of licensees are neither directly or 
indirectly related to the specific class of licensee

[[Page 721]]

nor explicitly allocated to the licensee by Commission policy decisions; 
or
    (3) Any other relevant matter that the licensee believes shows that 
the annual fee was not based on a fair and equitable allocation of NRC 
costs.

[56 FR 31505, July 10, 1991, as amended at 57 FR 32714, July 23, 1992; 
58 FR 38695, July 20, 1993; 59 FR 12543, Mar. 17, 1994; 59 FR 36924, 
July 20, 1994; 67 FR 42634, June 24, 2002]



Sec. 171.13  Notice.

    The annual fees applicable to any NRC licensee subject to this part 
and calculated in accordance with Secs. 171.15 and 171.16, will be 
published as a notice in the Federal Register as soon as possible but no 
later than the third quarter of the fiscal year. The annual fees will 
become due and payable to the NRC as indicated in Sec. 171.19. Quarterly 
payments of the annual fee of $100,000 or more will continue during the 
fiscal year and be based on the applicable annual fees as shown in 
Secs. 171.15 and 171.16 until a notice concerning the revised amount of 
the fees for the fiscal year is published by the NRC. If the NRC is 
unable to publish a final fee rule that becomes effective during the 
current fiscal year, fees would be assessed based on the rates in effect 
for the previous fiscal year.

[64 FR 31475, June 10, 1999]



Sec. 171.15  Annual Fees: Reactor licenses and independent spent fuel storage licenses.

    (a) Each person licensed to operate a power, test, or research 
reactor; each person holding a part 50 power reactor license that is in 
decommissioning or possession only status, except those that have no 
spent fuel on-site; and each person holding a part 72 license who does 
not hold a part 50 license shall pay the annual fee for each license 
held at any time during the Federal FY in which the fee is due. This 
paragraph does not apply to test and research reactors exempted under 
Sec. 171.11(a).
    (b)(1) The FY 2002 annual fee for power reactors licensed to operate 
is $2,849,000.
    (2) The FY 2002 annual fee is comprised of a base annual fee for 
power reactors licensed to operate, a base spent fuel storage/reactor 
decommissioning annual fee, and associated additional charges 
(surcharges). The activities comprising the FY 2002 spent storage/
reactor decommissioning base annual fee are shown in paragraph (c)(2)(i) 
and (ii) of this section. The activities comprising the FY 2002 
surcharge are shown in paragraph (d)(1) of this section. The activities 
comprising the FY 2002 base annual fee for operating power reactors are 
as follows:
    (i) Power reactor safety and safeguards regulation except licensing 
and inspection activities recovered under part 170 of this chapter and 
generic reactor decommissioning activities.
    (ii) Research activities directly related to the regulation of power 
reactors, except those activities specifically related to reactor 
decommissioning.
    (iii) Generic activities required largely for NRC to regulate power 
reactors, e.g., updating part 50 of this chapter, or operating the 
Incident Response Center. The base annual fee for operating power 
reactors does not include generic activities specifically related to 
reactor decommissioning.
    (c)(1) The FY 2002 annual fee for each power reactor holding a part 
50 license that is in a decommissioning or possession only status and 
has spent fuel on-site and each independent spent fuel storage part 72 
licensee who does not hold a part 50 license is $239,000.
    (2) The FY 2002 annual fee is comprised of a base spent fuel 
storage/reactor decommissioning annual fee (which is also included in 
the operating power reactor annual fee shown in paragraph (b) of this 
section), and an additional charge (surcharge). The activities 
comprising the FY 2002 surcharge are shown in paragraph (d)(1) of this 
section. The activities comprising the FY 2002 spent fuel storage/
reactor decommissioning rebaselined annual fee are:
    (i) Generic and other research activities directly related to 
reactor decommissioning and spent fuel storage; and
    (ii) Other safety, environmental, and safeguards activities related 
to reactor decommissioning and spent fuel storage, except costs for 
licensing and inspection activities that are recovered under part 170 of 
this chapter.
    (d)(1) The activities comprising the FY 2002 surcharge are as 
follows:

[[Page 722]]

    (i) Low level waste disposal generic activities;
    (ii) Activities not attributable to an existing NRC licensee or 
class of licenses (e.g., international cooperative safety program and 
international safeguards activities, support for the Agreement State 
program, and site decommissioning management plan (SDMP) activities); 
and
    (iii) Activities not currently subject to 10 CFR part 170 licensing 
and inspection fees based on existing law or Commission policy, e.g., 
reviews and inspections conducted of nonprofit educational institutions, 
licensing actions for Federal agencies, and costs that would not be 
collected from small entities based on Commission policy in accordance 
with the Regulatory Flexibility Act, 5 U.S.C. 601 et seq.
    (2) The total FY 2002 surcharge allocated to the operating power 
reactor class of licenses is approximately $35.3 million, not including 
the amount allocated to the spent fuel storage/reactor decommissioning 
class. The FY 2002 operating power reactor surcharge to be assessed to 
each power reactor licensed to operate is approximately $339,400. This 
amount is calculated by dividing the total operating power reactor 
surcharge ($35.3 million) by the number of power reactors licensed to 
operate (104).
    (3) The FY 2002 surcharge allocated to the spent fuel storage/
reactor decommissioning class of licenses is approximately $3.3 million. 
The FY 2002 spent fuel storage/reactor decommissioning surcharge to be 
assessed to each power reactor licensed to operate, each power reactor 
in decommissioning or possession only status that has spent fuel onsite, 
and to each independent spent fuel storage part 72 licensee who does not 
hold a part 50 license is $27,300. This amount is calculated by dividing 
the total surcharge costs allocated to this class by the total number of 
power reactor licenses (except those that permanently ceased operations 
and have no fuel on site) and part 72 licensees who do not hold a part 
50 license.
    (e) The FY 2002 annual fees for licensees authorized to operate a 
non-power (test and research) reactor licensed under part 50 of this 
chapter, unless the reactor is exempted from fees under Sec. 171.11(a), 
are as follows:

 
 
 
Research reactor.............................................    $71,400
Test reactor.................................................     71,400
 


[67 FR 42634, June 24, 2002]



Sec. 171.16  Annual Fees: Materials Licensees, Holders of Certificates of Compliance, Holders of Sealed Source and Device Registrations, Holders of Quality 
          Assurance Program Approvals and Government Agencies Licensed 
          by the NRC.

    (a)(1) The provisions of this section apply to person(s) who are 
authorized to conduct activities under--
    (i) 10 CFR part 30 for byproduct material;
    (ii) 10 CFR part 40 for source material;
    (iii) 10 CFR part 70 for special nuclear material;
    (iv) 10 CFR part 71 for packaging and transportation of radioactive 
material; and
    (v) 10 CFR part 76 for uranium enrichment.
    (2) Each person identified in paragraph (a)(1) of this section shall 
pay an annual fee for each license the person holds at any time during 
the first six months of the Federal fiscal year (October 1 through March 
31). Annual fees will be prorated for new licenses issued and for 
licenses for which termination is requested and activities permanently 
ceased during the period October 1 through March 31 of the fiscal year 
as provided in Sec. 171.17 of this section. If a single license 
authorizes more than one activity (e.g., human use and irradiator 
activities), annual fees will be assessed for each fee category 
applicable to the license. If you hold more than one license, the total 
annual fee you will be assessed will be the cumulative total of the 
annual fees applicable to the licenses you hold.
    (b) The annual fee is comprised of a base annual fee and an 
additional charge (surcharge). The activities comprising the surcharge 
are shown in paragraph (e) of this section. The activities comprising 
the base annual fee is the sum of the NRC budgeted costs for:
    (1) Generic and other research activities directly related to the 
regulation

[[Page 723]]

of materials licenses as defined in this part; and
    (2) Other safety, environmental, and safeguards activities for 
materials licenses, except costs for licensing and inspection activities 
that are recovered under Part 170 of this chapter.
    (c) A licensee who is required to pay an annual fee under this 
section may qualify as a small entity. If a licensee qualifies as a 
small entity and provides the Commission with the proper certification 
along with its annual fee payment, the licensee may pay reduced annual 
fees as shown in the following table. Failure to file a small entity 
certification in a timely manner could result in the denial of any 
refund that might otherwise be due. The small entity fees are as 
follows:

------------------------------------------------------------------------
                                                               Maximum
                                                             annual  fee
                                                                 per
                                                               licensed
                                                               category
------------------------------------------------------------------------
Small businesses not engaged in manufacturing and small not-
 for-profit organizations (gross annual receipts):
    $350,000 to $5 million.................................       $2,300
    Less than $350,000.....................................          500
Manufacturing entities that have an average of 500
 employees or less:
    35 to 500 employees....................................        2,300
    Less than 35 employees.................................          500
Small governmental jurisdictions (including publicly
 supported educational institutions) (population):
    20,000 to 50,000.......................................        2,300
    Less than 20,000.......................................          500
Educational institutions that are not State or publicly
 supported, and have 500 employees or less:
    35 to 500 employees....................................        2,300
    Less than 35 employees.................................          500
------------------------------------------------------------------------

    (1) A licensee qualifies as a small entity if it meets the size 
standards established by the NRC (See 10 CFR 2.810).
    (2) A licensee who seeks to establish status as a small entity for 
the purpose of paying the annual fees required under this section must 
file a certification statement with the NRC. The licensee must file the 
required certification on NRC Form 526 for each license under which it 
is billed. NRC Form 526 can be accessed through the NRC's web site at 
http://www.nrc.gov. For licensees who cannot access the NRC's web site, 
NRC Form 526 may be obtained through the local point of contact listed 
in the NRC's ``Materials Annual Fee Billing Handbook,'' NUREG/BR-0238, 
which is enclosed with each annual fee billing. The form can also be 
obtained by calling the fee staff at 301-415-7554, or by e-mailing the 
fee staff at 
    (3) For purposes of this section, the licensee must submit a new 
certification with its annual fee payment each year.
    (4) The maximum annual fee a small entity is required to pay is 
$2,300 for each category applicable to the license(s).
    (d) The FY 2002 annual fees are comprised of a base annual fee and 
an additional charge (surcharge). The activities comprising the FY 2002 
surcharge are shown for convenience in paragraph (e) of this section. 
The FY 2002 annual fees for materials licensees and holders of 
certificates, registrations or approvals subject to fees under this 
section are shown in the following table:

   Schedule of Materials Annual Fees and Fees for Government Agencies
                             Licensed by NRC
                     [See footnotes at end of table]
------------------------------------------------------------------------
                                                           Annual fees 1
             Category of materials licenses                     2 3
------------------------------------------------------------------------
1. Special nuclear material:
    A. (1) Licenses for possession and use of U-235 or
     plutonium for fuel fabrication activities.
        (a) Strategic Special Nuclear Material:
            Babcock & Wilcox SNM-42.....................      $3,834,000
            Nuclear Fuel Services SNM-124...............       3,834,000
        (b) Low Enriched Uranium in Dispersible Form
         Used for Fabrication of Power Reactor Fuel:
            General Electric Company SNM-1097...........       1,286,000
            Siemens Nuclear Power SNM-1227..............       1,286,000
            Westinghouse Electric Company SNM-1107......       1,286,000
    (2) All other special nuclear materials licenses not
     included in Category 1.A.(1) which are licensed for
     fuel cycle activities.
        (a) Facilities with limited operations:                  505,000
         Framatome ANP SNM-1168.........................
        (b) All Others: General Electric SNM-960........         367,000
    B. Licenses for receipt and storage of spent fuel           \11\ N/A
     and reactor-related Greater than Class C (GTCC)
     waste at an independent spent fuel storage
     installation (ISFSI)...............................

[[Page 724]]

 
    C. Licenses for possession and use of special                  1,500
     nuclear material in sealed sources contained in
     devices used in industrial measuring systems,
     including x-ray fluorescence analyzers.............
    D. All other special nuclear material licenses,                3,600
     except licenses authorizing special nuclear
     material in unsealed form in combination that would
     constitute a critical quantity, as defined in Sec.
     150.11 of this chapter, for which the licensee
     shall pay the same fees as those for Category
     1.A.(2)............................................
    E. Licenses or certificates for the operation of a         2,387,000
     uranium enrichment facility........................
2. Source material:
    A. (1) Licenses for possession and use of source             551,000
     material for refining uranium mill concentrates to
     uranium hexafluoride...............................
    (2) Licenses for possession and use of source
     material in recovery operations such as milling, in-
     situ leaching, heap-leaching, ore buying stations,
     ion exchange facilities and in processing of ores
     containing source material for extraction of metals
     other than uranium or thorium, including licenses
     authorizing the possession of byproduct waste
     material (tailings) from source material recovery
     operations, as well as licenses authorizing the
     possession and maintenance of a facility in a
     standby mode.
        Class I facilities \4\..........................          77,900
        Class II facilities \4\.........................          65,200
        Other facilities \4\............................          68,600
    (3) Licenses that authorize the receipt of byproduct          48,000
     material, as defined in Section 11e.(2) of the
     Atomic Energy Act, from other persons for
     possession and disposal, except those licenses
     subject to the fees in Category 2A(2) or Category
     2A(4)..............................................
    (4) Licenses that authorize the receipt of byproduct           7,600
     material, as defined in Section 11e.(2) of the
     Atomic Energy Act, from other persons for
     possession and disposal incidental to the disposal
     of the uranium waste tailings generated by the
     licensee's milling operations, except those
     licenses subject to the fees in Category 2A(2).....
    B. Licenses that authorize only the possession, use              750
     and/or installation of source material for
     shielding..........................................
    C. All other source material licenses...............          12,200
3. Byproduct material:
    A. Licenses of broad scope for possession and use of          22,400
     byproduct material issued under parts 30 and 33 of
     this chapter for processing or manufacturing of
     items containing byproduct material for commercial
     distribution.......................................
    B. Other licenses for possession and use of                    5,700
     byproduct material issued under part 30 of this
     chapter for processing or manufacturing of items
     containing byproduct material for commercial
     distribution.......................................
    C. Licenses issued under Secs.  32.72, 32.73, and/or          14,000
     32.74 of this chapter authorizing the processing or
     manufacturing and distribution or redistribution of
     radiopharmaceuticals, generators, reagent kits and/
     or sources and devices containing byproduct
     material. This category also includes the
     possession and use of source material for shielding
     authorized under part 40 of this chapter when
     included on the same license. This category does
     not apply to licenses issued to nonprofit
     educational institutions whose processing or
     manufacturing is exempt under Sec.  171.11(a)(1).
     These licenses are covered by fee Category 3D......
    D. Licenses and approvals issued under Secs.  32.72,           4,500
     32.73, and/or 32.74 of this chapter authorizing
     distribution or redistribution of
     radiopharmaceuticals, generators, reagent kits and/
     or sources or devices not involving processing of
     byproduct material. This category includes licenses
     issued under Secs.  32.72, 32.73 and 32.74 of this
     chapter to nonprofit educational institutions whose
     processing or manufacturing is exempt under Sec.
     171.11(a)(1). This category also includes the
     possession and use of source material for shielding
     authorized under part 40 of this chapter when
     included on the same license.......................
    E. Licenses for possession and use of byproduct                3,600
     material in sealed sources for irradiation of
     materials in which the source is not removed from
     its shield (self-shielded units)...................
    F. Licenses for possession and use of less than                6,500
     10,000 curies of byproduct material in sealed
     sources for irradiation of materials in which the
     source is exposed for irradiation purposes. This
     category also includes underwater irradiators for
     irradiation of materials in which the source is not
     exposed for irradiation purposes...................
    G. Licenses for possession and use of 10,000 curies           23,100
     or more of byproduct material in sealed sources for
     irradiation of materials in which the source is
     exposed for irradiation purposes. This category
     also includes underwater irradiators for
     irradiation of materials in which the source is not
     exposed for irradiation purposes...................
    H. Licenses issued under Subpart A of part 32 of               3,700
     this chapter to distribute items containing
     byproduct material that require device review to
     persons exempt from the licensing requirements of
     part 30 of this chapter, except specific licenses
     authorizing redistribution of items that have been
     authorized for distribution to persons exempt from
     the licensing requirements of part 30 of this
     chapter............................................
    I. Licenses issued under Subpart A of part 32 of               5,200
     this chapter to distribute items containing
     byproduct material or quantities of byproduct
     material that do not require device evaluation to
     persons exempt from the licensing requirements of
     part 30 of this chapter, except for specific
     licenses authorizing redistribution of items that
     have been authorized for distribution to persons
     exempt from the licensing requirements of part 30
     of this chapter....................................
    J. Licenses issued under Subpart B of part 32 of               2,400
     this chapter to distribute items containing
     byproduct material that require sealed source and/
     or device review to persons generally licensed
     under part 31 of this chapter, except specific
     licenses authorizing redistribution of items that
     have been authorized for distribution to persons
     generally licensed under part 31 of this chapter...

[[Page 725]]

 
    K. Licenses issued under Subpart B of part 31 of               1,600
     this chapter to distribute items containing
     byproduct material or quantities of byproduct
     material that do not require sealed source and/or
     device review to persons generally licensed under
     part 31 of this chapter, except specific licenses
     authorizing redistribution of items that have been
     authorized for distribution to persons generally
     licensed under part 31 of this chapter.............
    L. Licenses of broad scope for possession and use of          11,200
     byproduct material issued under parts 30 and 33 of
     this chapter for research and development that do
     not authorize commercial distribution..............
    M. Other licenses for possession and use of                    4,800
     byproduct material issued under part 30 of this
     chapter for research and development that do not
     authorize commercial distribution..................
    N. Licenses that authorize services for other
     licensees, except:
        (1) Licenses that authorize only calibration and/
         or leak testing services are subject to the
         fees specified in fee Category 3P; and
        (2) Licenses that authorize waste disposal                 5,300
         services are subject to the fees specified in
         fee Categories 4A, 4B, and 4C..................
    O. Licenses for possession and use of byproduct               13,700
     material issued under part 34 of this chapter for
     industrial radiography operations. This category
     also includes the possession and use of source
     material for shielding authorized under part 40 of
     this chapter when authorized on the same license...
    P. All other specific byproduct material licenses,             2,700
     except those in Categories 4A through 9D...........
    Q. Registration of devices generally licensed               \13\ N/A
     pursuant to part 31 of this chapter................
4. Waste disposal and processing:
    A. Licenses specifically authorizing the receipt of          \5\ N/A
     waste byproduct material, source material, or
     special nuclear material from other persons for the
     purpose of contingency storage or commercial land
     disposal by the licensee; or licenses authorizing
     contingency storage of low-level radioactive waste
     at the site of nuclear power reactors; or licenses
     for receipt of waste from other persons for
     incineration or other treatment, packaging of
     resulting waste and residues, and transfer of
     packages to another person authorized to receive or
     dispose of waste material..........................
    B. Licenses specifically authorizing the receipt of           10,300
     waste byproduct material, source material, or
     special nuclear material from other persons for the
     purpose of packaging or repackaging the material.
     The licensee will dispose of the material by
     transfer to another person authorized to receive or
     dispose of the material............................
    C. Licenses specifically authorizing the receipt of
     prepackaged waste byproduct material, source
     material, or special nuclear material from other
     persons............................................
    The licensee will dispose of the material by                   8,000
     transfer to another person authorized to receive or
     dispose of the material............................
5. Well logging:
    A. Licenses for possession and use of byproduct               10,000
     material, source material, and/or special nuclear
     material for well logging, well surveys, and tracer
     studies other than field flooding tracer studies...
    B. Licenses for possession and use of byproduct              \5\ N/A
     material for field flooding tracer studies.........
6. Nuclear laundries:
    A. Licenses for commercial collection and laundry of          19,100
     items contaminated with byproduct material, source
     material, or special nuclear material..............
7. Medical licenses:
    A. Licenses issued under parts 30, 35, 40, and 70 of          15,400
     this chapter for human use of byproduct material,
     source material, or special nuclear material in
     sealed sources contained in teletherapy devices.
     This category also includes the possession and use
     of source material for shielding when authorized on
     the same license...................................
    B. Licenses of broad scope issued to medical                  26,100
     institutions or two or more physicians under parts
     30, 33, 35, 40, and 70 of this chapter authorizing
     research and development, including human use of
     byproduct material except licenses for byproduct
     material, source material, or special nuclear
     material in sealed sources contained in teletherapy
     devices. This category also includes the possession
     and use of source material for shielding when
     authorized on the same license\9\..................
    C. Other licenses issued under parts 30, 35, 40, and           5,100
     70 of this chapter for human use of byproduct
     material, source material, and/or special nuclear
     material except licenses for byproduct material,
     source material, or special nuclear material in
     sealed sources contained in teletherapy devices.
     This category also includes the possession and use
     of source material for shielding when authorized on
     the same license\9\................................
8. Civil defense:
    A. Licenses for possession and use of byproduct                1,200
     material, source material, or special nuclear
     material for civil defense activities..............
9. Device, product, or sealed source safety evaluation:
    A. Registrations issued for the safety evaluation of           6,700
     devices or products containing byproduct material,
     source material, or special nuclear material,
     except reactor fuel devices, for commercial
     distribution.......................................
    B. Registrations issued for the safety evaluation of           6,700
     devices or products containing byproduct material,
     source material, or special nuclear material
     manufactured in accordance with the unique
     specifications of, and for use by, a single
     applicant, except reactor fuel devices.............
    C. Registrations issued for the safety evaluation of           2,000
     sealed sources containing byproduct material,
     source material, or special nuclear material,
     except reactor fuel, for commercial distribution...
    D. Registrations issued for the safety evaluation of             690
     sealed sources containing byproduct material,
     source material, or special nuclear material,
     manufactured in accordance with the unique
     specifications of, and for use by, a single
     applicant, except reactor fuel.....................
10. Transportation of radioactive material:

[[Page 726]]

 
    A. Certificates of Compliance or other package
     approvals issued for design of casks, packages, and
     shipping containers.
        Spent Fuel, High-Level Waste, and plutonium air          \6\ N/A
         packages.......................................
        Other Casks.....................................         \6\ N/A
    B. Quality assurance program approvals issued under
     part 71 of this chapter.
        Users and Fabricators...........................          72,900
        Users...........................................           7,300
11. Standardized spent fuel facilities..................         \6\ N/A
12. Special Projects....................................         \6\ N/A
13. A. Spent fuel storage cask Certificate of Compliance         \6\ N/A
    B. General licenses for storage of spent fuel under         \12\ N/A
     10 CFR 72.210......................................
14. Byproduct, source, or special nuclear material               \7\ N/A
 licenses and other approvals authorizing
 decommissioning, decontamination, reclamation, or site
 restoration activities under parts 30, 40, 70, 72, and
 76 of this chapter.....................................
15. Import and Export licenses..........................         \8\ N/A
16. Reciprocity.........................................         \8\ N/A
17. Master materials licenses of broad scope issued to           283,000
 Government agencies....................................
18. Department of Energy:
    A. Certificates of Compliance.......................  \10\ 1,370,000
    B. Uranium Mill Tailing Radiation Control Act              1,058,000
     (UMTRCA) activities................................
------------------------------------------------------------------------
\1\ Annual fees will be assessed based on whether a licensee held a
  valid license with the NRC authorizing possession and use of
  radioactive material during the current fiscal year. However, the
  annual fee is waived for those materials licenses and holders of
  certificates, registrations, and approvals who either filed for
  termination of their licenses or approvals or filed for possession
  only/storage licenses prior to October 1, 2001, and permanently ceased
  licensed activities entirely by September 30, 2001. Annual fees for
  licensees who filed for termination of a license, downgrade of a
  license, or for a possession only license during the fiscal year and
  for new licenses issued during the fiscal year will be prorated in
  accordance with the provisions of Sec.  171.17. If a person holds more
  than one license, certificate, registration, or approval, the annual
  fee(s) will be assessed for each license, certificate, registration,
  or approval held by that person. For licenses that authorize more than
  one activity on a single license (e.g., human use and irradiator
  activities), annual fees will be assessed for each category applicable
  to the license. Licensees paying annual fees under Category 1A(1) are
  not subject to the annual fees for Category 1C and 1D for sealed
  sources authorized in the license.
\2\ Payment of the prescribed annual fee does not automatically renew
  the license, certificate, registration, or approval for which the fee
  is paid. Renewal applications must be filed in accordance with the
  requirements of parts 30, 40, 70, 71, 72, or 76 of this chapter.
\3\ Each fiscal year, fees for these materials licenses will be
  calculated and assessed in accordance with Sec.  171.13 and will be
  published in the Federal Register for notice and comment.
\4\ A Class I license includes mill licenses issued for the extraction
  of uranium from uranium ore. A Class II license includes solution
  mining licenses (in-situ and heap leach) issued for the extraction of
  uranium from uranium ores including research and development licenses.
  An ``other'' license includes licenses for extraction of metals, heavy
  metals, and rare earths.
\5\ There are no existing NRC licenses in these fee categories. If NRC
  issues a license for these categories, the Commission will consider
  establishing an annual fee for this type of license.
\6\ Standardized spent fuel facilities, 10 CFR parts 71 and 72
  Certificates of Compliance, and special reviews, such as topical
  reports, are not assessed an annual fee because the generic costs of
  regulating these activities are primarily attributable to users of the
  designs, certificates, and topical reports.
\7\ Licensees in this category are not assessed an annual fee because
  they are charged an annual fee in other categories while they are
  licensed to operate.
\8\ No annual fee is charged because it is not practical to administer
  due to the relatively short life or temporary nature of the license.
\9\ Separate annual fees will not be assessed for pacemaker licenses
  issued to medical institutions who also hold nuclear medicine licenses
  under Categories 7B or 7C.
\10\ This includes Certificates of Compliance issued to DOE that are not
  under the Nuclear Waste Fund.
\11\ See Sec.  171.15(c).
\12\ See Sec.  171.15(c).
\13\ No annual fee is charged for this category because the cost of the
  general license registration program will be recovered through 10 CFR
  part 170 fees.

    (e) The activities comprising the surcharge are as follows:
    (1) LLW disposal generic activities;
    (2) Activities not directly attributable to an existing NRC licensee 
or class(es) of licenses; e.g., international cooperative safety program 
and international safeguards activities; support for the Agreement State 
program; Site Decommissioning Management Plan (SDMP) activities; and
    (3) Activities not currently assessed licensing and inspection fees 
under 10 CFR part 170 based on existing law or Commission policy (e.g., 
reviews and inspections of nonprofit educational institutions and 
reviews for Federal agencies; activities related to decommissioning and 
reclamation; and costs that would not be collected from small entities 
based on Commission policy in

[[Page 727]]

accordance with the Regulatory Flexibility Act, 5 U.S.C. 601 et seq.).

[64 FR 31476, June 10, 1999; 64 FR 38816, July 20, 1999, as amended at 
65 FR 36965, June 12, 2000; 65 FR 44573, July 18, 2000; 66 FR 32474, 
June 14, 2001; 67 FR 42635, June 24, 2002]



Sec. 171.17  Proration.

    Annual fees will be prorated for NRC licensees as follows:
    (a) Reactors and Part 72 licensees who do not hold Part 50 licenses. 
The annual fees for power and nonpower reactors and those Part 72 
licensees who do not hold a Part 50 license that are subject to fees 
under this part and are granted a license to operate on or after October 
1 of a Fiscal Year is prorated on the basis of the number of days 
remaining in the fiscal year. Thereafter, the full annual fee is due and 
payable each subsequent fiscal year. The base operating power reactor 
annual fee for operating reactor licensees who have requested amendment 
to withdraw operating authority permanently during the fiscal year will 
be prorated based on the number of days during the fiscal year the 
license was in effect before 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 
cease operations has come into effect. The spent fuel storage/reactor 
decommissioning annual fee for reactor licensees who permanently cease 
operations and have permanently removed fuel from the site during the 
fiscal year will be prorated on the basis of the number of days 
remaining in the fiscal year after docketing of both the certifications 
of permanent cessation of operations and permanent removal of fuel from 
the site. The spent fuel storage/reactor decommissioning annual fee will 
be prorated for those Part 72 licensees who do not hold a Part 50 
license who request termination of the Part 72 license and permanently 
cease activities authorized by the license during the fiscal year based 
on the number of days the license was in effect prior to receipt of the 
termination request.
    (b) Materials licenses (excluding Part 72 licenses included in 
Sec. 171.17(a)). (1) New licenses and terminations. The annual fee for a 
materials license that is subject to fees under this part and issued on 
or after October 1 of the FY is prorated on the basis of when the NRC 
issues the new license. New licenses issued during the period October 1 
through March 31 of the FY will be assessed one-half the annual fee for 
that FY. New licenses issued on or after April 1 of the FY will not be 
assessed an annual fee for that FY. Thereafter, the full fee is due and 
payable each subsequent FY. The annual fee will be prorated for licenses 
for which a termination request or a request for a POL has been received 
on or after October 1 of a FY on the basis of when the application for 
termination or POL is received by the NRC provided the licensee 
permanently ceased licensed activities during the specified period. 
Licenses for which applications for termination or POL are filed during 
the period October 1 through March 31 of the FY are assessed one-half 
the annual fee for the applicable category(ies) for that FY. Licenses 
for which applications for termination or POL are filed on or after 
April 1 of the FY are assessed the full annual fee for that FY. 
Materials licenses transferred to a new Agreement State during the FY 
are considered terminated by the NRC, for annual fee purposes, on the 
date that the Agreement with the State becomes effective; therefore, the 
same proration provisions will apply as if the licenses were terminated.
    (2) Downgraded licenses. (i) The annual fee for a materials license 
that is subject to fees under this part and downgraded on or after 
October 1 of a FY is prorated upon request by the licensee on the basis 
of when the application for downgrade is received by the NRC provided 
the licensee permanently ceased the stated activities during the 
specified period. Requests for proration must be filed with the NRC 
within 90 days from the effective date of the final rule establishing 
the annual fees for which a proration is sought. Absent extraordinary 
circumstances, any request for proration of the annual fee for a 
downgraded license filed beyond that date will not be considered.
    (ii) Annual fees for licenses for which applications to downgrade 
are filed during the period October 1 through

[[Page 728]]

March 31 of the FY will be prorated as follows:
    (A) Licenses for which applications have been filed to reduce the 
scope of the license from a higher fee category(ies) to a lower fee 
category(ies) will be assessed one-half the annual fee for the higher 
fee category and one-half the annual fee for the lower fee 
category(ies), and, if applicable, the full annual fee for fee 
categories not afftected by the downgrade; and
    (B) Licenses with multiple fee categories for which applications 
have been filed to downgrade by deleting a fee category will be assessed 
one-half the annual fee for the fee category being deleted and the full 
annual fee for the remaining categories.
    (iii) Licenses for which applications to downgrade are filed on or 
after April 1 of the FY are assessed the full fee for that FY.

[64 FR 31480, June 10, 1999]



Sec. 171.19  Payment.

    (a) Method of payment. Annual fee payments, made payable to the U.S. 
Nuclear Regulatory Commission, are to be made in U.S. funds by 
electronic funds transfer such as ACH (Automated Clearing House) using 
EDI (Electronic Data Interchange), check, draft, money order, or credit 
card. Federal agencies may also make payment by the On-line Payment and 
Collection System (OPAC's). Where specific payment instructions are 
provided on the invoices to applicants and licensees, payment should be 
made accordingly, e.g. invoices of $5,000 or more should be paid via ACH 
through NRC's Lockbox Bank at the address indicated on the invoice. 
Credit card payments should be made up to the limit established by the 
credit card bank, in accordance with specific instructions provided with 
the invoices, to the Lockbox Bank designated for credit card payments. 
In accordance with Department of the Treasury requirements, refunds will 
only be made upon receipt of information on the payee's financial 
institution and bank accounts.
    (b) Annual fees in the amount of $100,000 or more and described in 
the Federal Register document issued under Sec. 171.13, and annual fees 
for Class I and Class II uranium recovery licensees must be paid in 
quarterly installments of 25 percent as billed by the NRC. The quarters 
begin on October 1, January 1, April 1, and July 1 of each fiscal year. 
The NRC will adjust the fourth quarterly invoice to recover the full 
amount of the revised annual fee. If the amounts collected in the first 
three quarters exceed the amount of the revised annual fee, the 
overpayment will be refunded. Licensees whose annual fee for the 
previous fiscal year was less than $100,000 (billed on the anniversary 
date of the license), and whose revised annual fee for the current 
fiscal year is $100,000 or greater (subject to quarterly billing), will 
be issued a bill upon publication of the final rule for the full amount 
of the revised annual fee for the current fiscal year, less any payments 
received for the current fiscal year based on the anniversary date 
billing process.
    (c) Annual fees that are less than $100,000 are billed on the 
anniversary date of the license. For annual fee purposes, the 
anniversary date of the license is considered to be the first day of the 
month in which the original license was issued by the NRC. Licensees 
that are billed on the license anniversary date will be assessed the 
annual fee in effect on the anniversary date of the license. Materials 
licenses subject to the annual fee that are terminated during the fiscal 
year but before the anniversary month of the license will be billed upon 
termination for the fee in effect at the time of the billing. New 
materials licenses subject to the annual fee will be billed in the month 
the license is issued or in the next available monthly billing for the 
fee in effect on the anniversary date of the license. Thereafter, annual 
fees for new licenses will be assessed in the anniversary month of the 
license.
    (d) Annual fees of less than $100,000 must be paid as billed by the 
NRC. Materials license annual fees that are less than $100,000, except 
those for Class I and Class II uranium recovery licensees, are billed on 
the anniversary date of the license. The materials licensees that are 
billed on the anniversary date of the license are those covered by fee 
categories 1C, 1D, 2A(2) Other Facilities, 2A(3), 2A(4), 2B, 2C, 3A 
through 3P, 4B through 9D, 10A, and 10B.

[[Page 729]]

    (e) Payment is due on the invoice date and interest accrues from the 
date of the invoice. However, interest will be waived if payment is 
received within 30 days from the invoice date.

[65 FR 36968, June 12, 2000, as amended at 66 FR 32478, June 14, 2001]



Sec. 171.21  [Reserved]



Sec. 171.23  Enforcement.

    If any person required to pay the annual fee fails to pay when the 
fee is due, or files a false certification with respect to qualifying as 
a small entity under the Regulatory Flexibility Criteria, the Commission 
may refuse to process any application submitted by or on behalf of the 
person with respect to any license issued to the person and may suspend 
or revoke any licenses held by the person. The filing of a false 
certification to qualify as a small entity under Sec. 171.16(c) of this 
part may also result in punitive action pursuant to 18 U.S.C. 1001.

[56 FR 31510, July 10, 1991]



Sec. 171.25  Collection, interest, penalties, and administrative costs.

    All annual fees in Secs. 171.15 and 171.16 will be collected 
pursuant to the procedures of 10 CFR part 15. Interest, penalties and 
administrative costs for late payments will be assessed in accordance 
with 10 CFR part 15, of this chapter, 4 CFR part 102, and other relevant 
regulations of the United States Government, as appropriate. In the 
event a quarterly installment is not made by the appropriate due date 
specified in Sec. 171.19, the full fee becomes due and payable, with 
interest, penalties, and administrative costs of collection calculated 
from the date that quarterly installment was due.

[56 FR 31511, July 10, 1991]

                        PARTS 172-199 [RESERVED]


[[Page 731]]



                              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 733]]

            Material Approved for Incorporation by Reference

                     (Revised as of January 1, 2003)

  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 (PARTS 51-199)

NUCLEAR REGULATORY COMMISSION
  Each of the following documents is available for 
  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.


10 CFR


American National Standards Institute

  25 West 43rd Street, Fourth floor, New York, NY 
  10036 Telephone: (212) 642-4900
ANSI MH5.1-1971 Basic Requirements for Cargo                       73.26
  Containers (1971).
ANSI S3.6-1969 (R 1973) Specifications for             Part 73, App. B, 
  Audiometers.                                                  I.B.b(2)


American Society of Mechanical Engineers

  Three Park Avenue, New York, NY 10016-5990; 
  Telephone: (800) THE-ASME
ASME Boiler and Pressure Code, Section VIII,                 71.63(b)(3)
  editions through the 1995 Edition.


Combustion Engineering, Inc. (ABB-CE)

  Available from: National Technical Information 
  Service, 5285 Port Royal Road, Springfield, VA 
  22161
ABB-CE System 80+Design Control Document,              Part 52, App. B, 
  (January, 1997).                                                 III.A


Department of Defense

  DODSSP Standardization Document Order Desk, 700 
  Robbins Ave., Bldg. 4D, Philadelphia, PA 19111-
  5098

  Federal specifications:
GSA Interim Federal Specification W-A-00450B (GSA-                 73.50
  FSS): Alarm Systems, Interior, Security, 
  Components For.


3GE Nuclear Energy

  Available from: National Technical Information 
  Service, 5285 Port Royal Road, Springfield, VA 
  22161
ABWR (Advanced Boiler Reactor) Design Control          Part 52, App. A, 
  Document, Rev. 4, (March 1997).                                  III.A


International Atomic Energy Agency

  Available from: Assistant Director, Security 
  Office of Governmental and Public Affairs, 
  Nuclear Regulatory Commission, Washington, DC 
  20555

[[Page 734]]

IAEA INFCIRC/225 Rev. 2, The Physical Protection            110.43(a)(1)
  of Nuclear Material, December 1989.
INFCIRC/225/Rev. 4 (corrected), June 1999, ``The                  110.44
  Physical Protection of Nuclear Material and 
  Nuclear Facilities ''.


International Standards Organization

  Case Postale 56, CH-1211, Geneve 20, 
  Switzerland; also available from ANSI, 1430 
  Broadway, New York, NY 10018
ISO 1496-1978 General Cargo Containers............                 73.26
ISO 389-1975 Standard Reference Zero for the           Part 73, App. B, 
  Calibration of Puretone Audiometer.                           I.B.b(2)


National Rifle Association

  Competitions & Training Division, 1600 Rhode 
  Island Ave., NW., Washington, DC 20036
NRA Target Manufacturers Index, Dec. 1976.........     Part 73, App. B, 
                                                                IV.C-n.2


Westinghouse Electric Company

  Advanced Plant Safety and Licensing, P.O. Box 
  355, Pittsburgh, PA 15230-0355 (ATTN: Brian A. 
  McIntyre, Manager)
AP600 Design Control Document (September 1999          Part 52, App. C, 
  revision).                                                       III.A



[[Page 735]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2003)

                      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)

                   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)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      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 3201)
     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)

[[Page 736]]

    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)
       LXI  National Labor Relations Board (Part 7101)
      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)
    LXXIII  Department of Agriculture (Part 8301)
     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)

[[Page 737]]

        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        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)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
      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 the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)

[[Page 738]]

     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)
    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--599)

                 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, 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)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

                      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)

[[Page 739]]

        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)
        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  Department of the Treasury (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)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    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)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 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)

[[Page 740]]

        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, 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
        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)

[[Page 741]]

                     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)
        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 (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (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)
       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)

[[Page 742]]

                          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)

                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)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         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, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         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)

[[Page 743]]

                           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 (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--899)

           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)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            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 Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)

[[Page 744]]

        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)
       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)
       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)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

[[Page 745]]

                      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)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       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)

               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)
        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)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

[[Page 746]]

                        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)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Part 1501)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        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)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)

[[Page 747]]

       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          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 Service, 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)
       102  Federal Management Regulation (Parts 102-1--102-299)
       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
       300  General (Parts 300-1--300.99)
       301  Temporary Duty (TDY) 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 (Part 303-70)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, 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)

[[Page 748]]

                   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 
                (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  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       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)

[[Page 749]]

     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)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Transportation (Parts 400--499)
        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  United States 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)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)

[[Page 750]]

        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 Motor Carrier Safety 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)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)

[[Page 751]]

        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)
       XII  Transportation Security Administration, Department of 
                Transportation (Parts 1500--1599)

                   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
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 753]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2003)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  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
  Food and Nutrition 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
  Procurement and Property Management, Office of  7, XXXII
  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
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII

[[Page 754]]

Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
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
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
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
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  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, United States      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
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 755]]

  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  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 Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
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
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
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
Environmental Protection Agency                   5, LIV; 40, I, IV, VII
  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                5, III, LXXVII; 14, VI; 
                                                  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-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II

[[Page 756]]

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
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
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
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
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 Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
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
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 Nutrition 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
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F

[[Page 757]]

  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) 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
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  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
  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
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
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  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
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
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
Industry and Security, Bureau of                  15, VII
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
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  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

[[Page 758]]

  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
  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, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
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, XI; 40, 
                                                  IV
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  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 Standards, Office of           29, II, 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 Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II

[[Page 759]]

Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
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 and Community Service, Corporation for   45, XII, XXV
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 Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
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 Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
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
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
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
Oklahoma City National Memorial Trust             36, XV
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, United States        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
[[Page 760]]

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
  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 Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
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; 28, XI
  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 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
  Coast Guard (Great Lakes Pilotage)              46, III
  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

[[Page 761]]

  Federal Motor Carrier Safety Administration     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
  Transportation Security Administration          49, XII
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  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
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the 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 763]]



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, 
2001, 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, 2001, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, 1973-1985, and 1986-2000,'' published in 
11 separate volumes.

                                  2001

10 CFR
                                                                   66 FR
                                                                    Page
Chapter I
51.20  (b)(13) revised.............................................55790
51.22  (c)(3) introductory text, (10), (12) and (d) revised........55790
51.26  (c) revised.................................................55791
51.67  (a) and (b) revised.........................................55791
51.10--51.125 (Subpart A)  Appendix B amended...............39278, 64738
55.4  Amended......................................................52667
55.8  (c)(3) and (4) removed; (b) revised..........................52667
55.31  (a)(5) revised..............................................52667
55.45  (b) revised.................................................52667
55.46  Added.......................................................52667
55.59  (c)(4)(iv) revised..........................................52668
60.1  Revised......................................................55791
61.1  (b) revised..................................................55791
61.2  Amended......................................................55792
61.55  (a)(2)(iv) revised..........................................55792
63  Added..........................................................55792
70.1  (c)(1) and (2) revised.......................................51838
70.17  (c) revised.................................................55815
70.38  (e) introductory text revised...............................24049
72  Effective date confirmations.......1573, 10569, 23537, 27440, 28641, 
                                              47380, 55559, 58059, 67073
    Technical corrections...................................33013, 38528
    Heading revised................................................51838
72.1  Revised......................................................51838
72.2  (a) and (c) revised..........................................51838
72.3  Amended......................................................51839
72.6  Revised......................................................51839
72.8  Revised......................................................51839
72.16  (d) revised.................................................51839
72.22  (e)(3) revised..............................................51839
72.24  Introductory text and (i) revised...........................51839
72.28  (d) revised.................................................51840
72.30  (a) revised.................................................51840
72.40  (b) revised.................................................51840
72.44  (b)(4), (c)(3)(i), (5), (d) introductory text and (g)(2) 
        revised....................................................51840
    (g)(1) and (3) revised.........................................55815
72.48  (c)(2)(iii) and (vii) revised...............................11527
72.52  (b)(2), (c) and (e) revised.................................51840
72.54  (c)(1) revised..............................................51840
72.60  (c) revised.................................................51841
72.72  (a), (b) and (d) revised....................................51841
72.75  (b) introductory text, (2), (3), (6), (c) introductory 
        text, (d)(1)(iv) and (2)(ii)(L) revised....................51841
72.76  (a) revised.................................................51841
72.78  (a) revised.................................................51841
72.80  (g) revised.................................................51841
72.82  (a) and (b) revised.........................................51842
72.106  (b) revised................................................51842
72.108  Revised....................................................51842
72.120  Revised....................................................51842
72.122  (b)(2), (h)(2), (5), (i) and (l) revised...................51842
72.128  Heading and (a) introductory text revised..................51843
72.140  (c)(2) revised.............................................51843
72.214  Amended....3448, 12437, 13409, 14486, 34525, 43763, 45752, 52489
    Corrected.......................................................8150
    Amended; eff. 1-28-02..........................................56985
    Amended; eff. 2-12-02..........................................59534
73.1  (b)(6) revised...............................................55816
73.51  (a) revised.................................................55816

[[Page 764]]

75.4  (k)(5) revised...............................................55816
150  Technical correction..........................................35529
150.15  (a)(7) revised; (a)(8) added...............................51843
150.20  (b)(1) amended..............................................5443
    (b)(2) revised.................................................32469
170  Authority citation revised....................................32469
170.2  (s) added...................................................32469
170.3  Amended.....................................................32469
170.12  (a) revised................................................32469
170.20  Revised....................................................32469
170.21  Introductory text and table amended........................32469
    Table corrected................................................35529
170.31  Revised....................................................32470
170.41  Revised....................................................32474
171  Authority citation revised....................................32474
    Technical correction...........................................35529
171.5  Amended.....................................................32474
171.15  (b) through (e) revised....................................32474
171.16  (c), (d) and (e) revised...................................32474
171.19  (b) and (d) revised........................................32478

                                  2002

10 CFR
                                                                   67 FR
                                                                    Page
Chapter I
51  Technical correction............................................3263
    Authority citation revised.....................................57099
    Regulation at 67 FR 57099 withdrawn............................72091
51.17  (b) revised; (OMB numbers)..................................67100
51.22  (c)(12) revised; eff. 3-24-03...............................78141
51.40  (c) revised.................................................57099
    Regulation at 67 FR 57099 withdrawn............................72091
51.51  Table S-3 amended...........................................77652
51.55  Revised.....................................................57099
    Regulation at 67 FR 57099 withdrawn............................72091
51.66  Revised.....................................................57100
    Regulation at 67 FR 57100 withdrawn............................72091
51.121  Revised....................................................57100
    Regulation at 67 FR 57100 withdrawn............................72091
51.123  (a) and (b) amended........................................57100
    Regulation at 67 FR 57100 withdrawn............................72091
52  Authority citation revised.....................................57100
    Regulation at 67 FR 57100 withdrawn............................72091
52.8  (b) revised; (OMB numbers)...................................67100
52  Appendixes A and B amended.....................................57100
    Appendix C  amended............................................57101
    Regulation at 67 FR 57101 withdrawn............................72091
54.9  (b) revised; (OMB numbers)...................................67100
55  Authority citation revised.....................................57101
    Regulation at 67 FR 57101 withdrawn............................72091
55.5  (a)(2), (b)(2) and (3) revised; (a)(3) added.................57101
    Regulation at 67 FR 57101 withdrawn............................72091
    (b)(2)(ii) amended.............................................77653
55.8  (b) revised; (OMB numbers)...................................67100
55.23  Introductory text revised...................................57101
    Regulation at 67 FR 57101 withdrawn............................72091
55.31  (a)(1) revised..............................................57101
    Regulation at 67 FR 57101 withdrawn............................72091
60  Technical correction............................................3263
    Authority citation revised.....................................57102
    Regulation at 67 FR 57102 withdrawn............................72091
60.4  (a) revised..................................................57102
    Regulation at 67 FR 57102 withdrawn............................72091
60.9  (e)(2) revised...............................................57102
    Regulation at 67 FR 57102 withdrawn............................72091
60.22  (a) and (b) revised.........................................57102
    Regulation at 67 FR 57102 withdrawn............................72091
60.44  (b) amended.................................................57102
    Regulation at 67 FR 57102 withdrawn............................72091
61  Technical correction............................................3263
    Authority citation revised.....................................57102
    Regulation at 67 FR 57102 withdrawn............................72091
61.4  Revised......................................................57102
    Regulation at 67 FR 57102 withdrawn............................72091
61.9  (e)(2) revised...............................................57102
    Regulation at 67 FR 57102 withdrawn............................72091
61.20  (a) and (b) revised.........................................57102
    Regulation at 67 FR 57102 withdrawn............................72091
61.80  (i)(1) amended..............................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
    (g) revised; eff. 3-24-03......................................78141

[[Page 765]]

62  Authority citation revised.....................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
62.3  Revised......................................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
63  Technical correction............................................3263
    Authority citation revised.....................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
63.2  Amended......................................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
63.4  (a) revised..................................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
63.9  (e)(2) revised...............................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
63.16  (f) revised.................................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
63.22  (b) revised.................................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
63.44  (c)(2) revised..............................................57103
    Regulation at 67 FR 57103 withdrawn............................72091
63.61  (c) revised.................................................57104
    Regulation at 67 FR 57104 withdrawn............................72091
63.63  (f) revised.................................................57104
    Regulation at 67 FR 57104 withdrawn............................72091
63.73  (d) revised.................................................57104
    Regulation at 67 FR 57104 withdrawn............................72091
63.144  (b)(1) revised.............................................57104
    Regulation at 67 FR 57104 withdrawn............................72091
63.342  Revised....................................................62634
70  Technical correction............................................3263
    Authority citation revised.....................................57104
    Regulation at 67 FR 57104 withdrawn............................72091
70.5  (a)(1), (2) and (b) introductory text revised; (b)(2)(i) 
        through (iv) amended; (a)(3) added.........................57104
    Regulation at 67 FR 57104 withdrawn............................72091
70.7  (e)(3) revised...............................................57105
    Regulation at 67 FR 57105 withdrawn............................72091
70.8  (b) and (c) revised; eff. 3-24-03............................78142
70.19  (c) introductory text revised; eff. 3-24-03.................78142
70.20a  (a) revised; eff. 3-24-03..................................78142
70.20b  (f)(1), (2)(ii), (iii) and (g)(1) amended...................3585
    (f)(1), (2)(ii), (iii) and (g)(1) revised......................57105
    Regulation at 67 FR 57105 withdrawn............................72091
70.21  (a)(1) and (2) revised......................................57105
    Regulation at 67 FR 57105 withdrawn............................72091
70.22  (b) revised; eff. 3-24-03...................................78142
70.23  (a)(6) revised; eff. 3-24-03................................78142
70.32  (c)(2) introductory text, (d), (e), (g) and (i) amended.....57105
    Regulation at 67 FR 57105 withdrawn............................72091
    (c)(1)(i), (ii) and (iii) revised; eff. 3-24-03................78142
70.50  (c)(2) introductory text amended............................57105
    Regulation at 67 FR 57105 withdrawn............................72091
70.51  Revised; eff. 3-24-03.......................................78142
70.52  Revised; eff. 3-24-03.......................................78143
70.53  Removed; eff. 3-24-03.......................................78143
70.54  Removed; eff. 3-24-03.......................................78143
70.57  Removed; eff. 3-24-03.......................................78143
70.58  Removed; eff. 3-24-03.......................................78143
70.59  Revised.....................................................57105
    Regulation at 67 FR 57105 withdrawn............................72091
71  Authority citation revised.....................................57106
    Regulation at 67 FR 57106 withdrawn............................72091
71.1  (a) amended...................................................3585
    (a) revised....................................................57106
    Regulation at 67 FR 57106 withdrawn............................72091
71.5  (b) amended...................................................3585
71.6  (b) revised; (OMB numbers)...................................67100
71.12  (c)(3) amended...............................................3585
    (c)(3) revised.................................................57106
    Regulation at 67 FR 57106 withdrawn............................72091
71.93  (c) amended..................................................3585
71.95  Introductory text amended....................................3585
    Introductory text revised......................................57106
    Regulation at 67 FR 57106 withdrawn............................72091
71.97  (c)(1) and (f)(1) amended....................................3586
    (c)(3) introductory text revised...............................57106

[[Page 766]]

    Regulation at 67 FR 57106 withdrawn............................72091
71.101  (c) and (f) amended.........................................3586
    (c) amended....................................................57106
    Regulation at 67 FR 57106 withdrawn............................72091
72  Technical correction............................................3263
    Regulation at 66 FR 56982 eff. date confirmed...................3431
    Regulation at 66 FR 59531 eff. date confirmed...................5934
    Regulation at 67 FR 11566 eff. date confirmed..................31938
    Authority citation revised.....................................57106
    Regulation at 67 FR 57106 withdrawn............................72091
72.4  Revised......................................................57106
    Regulation at 67 FR 57106 withdrawn............................72091
72.9  (b) revised; (OMB numbers)...................................67101
72.10  (e)(2) revised..............................................57107
    Regulation at 67 FR 57107 withdrawn............................72091
72.16  (a) amended..................................................3586
    (a) and (c) revised............................................57107
    Regulation at 67 FR 57107 withdrawn............................72091
72.30  (c)(5) revised; eff. 12-24-03...............................78350
72.44  (f) amended...........................................3586, 57107
    Regulation at 67 FR 57107 withdrawn............................72091
72.70  (c)(1), (2) and (3) revised.................................57107
    Regulation at 67 FR 57107 withdrawn............................72091
72.76  (a) amended.................................................57107
    Regulation at 67 FR 57107 withdrawn............................72091
    (a) revised; eff. 3-24-03......................................78143
72.78  (a) amended.................................................57107
    Regulation at 67 FR 57107 withdrawn............................72091
72.186  (b) amended..........................................3586, 57107
    Regulation at 67 FR 57107 withdrawn............................72091
72.214  Amended......................................11569, 14630, 46372
    Regulation at 67 FR 14630 withdrawn............................39261
    Amended; eff. 2-3-03...........................................69989
    Regulation at 67 FR 69989 eff. date corrected to 2-3-03........70638
72.248  (c)(1), (2) and (3) revised................................57107
    Regulation at 67 FR 57107 withdrawn............................72091
73  Technical correction............................................3263
    Authority citation revised.....................................57107
    Regulation at 67 FR 57107 and 57108 withdrawn..................72091
73.4  Revised......................................................57107
    Regulation at 67 FR 57107 withdrawn............................72091
73.8  (b) revised; (OMB numbers)...................................67101
73.26  (i)(6) amended...............................................3586
73.27  (b) amended..................................................3586
73.57  (a)(2), (d)(4) and (f)(5) revised; (d)(1), (2) and (3) 
        amended....................................................57108
    Regulation at 67 FR 57108 withdrawn............................72091
73.67  (e)(7)(ii) amended...........................................3586
    (e)(2)(ii) revised; eff. 3-24-03...............................78143
73.71  (a)(4) amended...............................................3586
    (a)(4) amended.................................................57108
    Regulation at 67 FR 57108 withdrawn............................72091
73.72  (a)(1), (4) and (5) amended..................................3586
    (a)(1), (4) and (5) revised....................................57108
    Regulation at 67 FR 57108 withdrawn............................72091
73.73  (a)(1) and (b) amended.......................................3586
    (a)(1) and (b) revised.........................................57108
    Regulation at 67 FR 57108 withdrawn............................72091
73.74  (a)(1) and (b) amended.......................................3586
    (a)(1) and (b) revised.........................................57108
    Regulation at 67 FR 57108 withdrawn............................72091
73  Appendix A amended.......................................3586, 77653
    Appendix A revised.............................................57108
    Regulation at 67 FR 57108 withdrawn............................72091
74  Authority citation revised.....................................57109
    Regulation at 67 FR 57109 withdrawn............................72091
74.1  (a) revised; eff. 3-24-03....................................78144
74.2.  Revised; eff. 3-24-03.......................................78144
74.4  Amended; eff. 3-24-03........................................78144
74.6  (a) and (b) revised; (c) added...............................57109
    Regulation at 67 FR 57109 withdrawn............................72091
74.8  (b) revised; eff. 3-24-03....................................78144
74.11--74.33 (Subpart B)  Heading revised; eff. 3-24-03............78144
74.13  Revised; eff. 3-24-03.......................................78144
74.15  (a) amended.................................................57109
    Regulation at 67 FR 57109 withdrawn............................72091
74.17  (a) and (b) amended.........................................57109
    Regulation at 67 FR 57109 withdrawn............................72091

[[Page 767]]

    Revised; eff. 3-24-03..........................................78145
74.19  Added; eff. 3-24-03.........................................78145
74.31  (b) and (c)(4) revised; eff. 3-24-03........................78145
74.41  Added; eff. 3-24-03.........................................78146
74.43  Added; eff. 3-24-03.........................................78146
74.45  Added; eff. 3-24-03.........................................78146
74.51  (c) and (d) revised; eff. 3-24-03...........................78148
74.57  (c) introductory text amended; (f)(2) revised...............57109
    Regulation at 67 FR 57109 withdrawn............................72091
    (c) introductory text and (f)(2) revised; eff. 3-24-03.........78148
74.59  (f)(1)(iii) revised.........................................57109
    Regulation at 67 FR 57109 withdrawn............................72091
    (d)(1), (f)(1)(i), (iii) and (h)(2)(ii) revised; eff. 3-24-03 
                                                                   78148
75  Technical correction............................................3263
    Authority citation revised.....................................57109
    Regulation at 67 FR 57109 withdrawn............................72091
75.6  (c) revised..................................................57109
    Regulation at 67 FR 57109 withdrawn............................72091
75.9  (c)(4) revised; (OMB numbers)................................67101
75.21  (c)(2) revised; eff. 3-24-03................................78149
76  Authority citation revised.....................................57110
    Regulation at 67 FR 57110 withdrawn............................72091
76.5  Revised......................................................57110
    Regulation at 67 FR 57110 withdrawn............................72091
76.7  (e)(3) revised...............................................57110
    Regulation at 67 FR 57110 withdrawn............................72091
76.33  (a)(1) revised..............................................57110
    Regulation at 67 FR 57110 withdrawn............................72091
76.113  (a) revised; eff. 3-24-03..................................78149
76.115  (a) revised; eff. 3-24-03..................................78149
76.117  (a) revised; eff. 3-24-03..................................78149
76.120  (d)(2) introductory text amended...........................57110
    Regulation at 67 FR 57110 withdrawn............................72091
81  Authority citation revised.....................................57110
    Regulation at 67 FR 57110 withdrawn............................72091
81.3  Revised......................................................57110
    Regulation at 67 FR 57110 withdrawn............................72091
81.8  Heading revised..............................................77653
95  Authority citation revised.....................................57110
    Regulation at 67 FR 57110 withdrawn............................72091
95.9  Revised......................................................57110
    Regulation at 67 FR 57110 withdrawn............................72091
95.19  (a) introductory text amended...............................57111
    Regulation at 67 FR 57111 withdrawn............................72091
95.45  (a) amended.................................................57111
    Regulation at 67 FR 57111 withdrawn............................72091
100  Authority citation revised....................................57111
    Regulation at 67 FR 57111 withdrawn............................72091
100.4  Revised.....................................................57111
    Regulation at 67 FR 57111 withdrawn............................72091
100.8  (b) revised; (OMB numbers)..................................67101
100.11  (c) removed................................................67101
110  Authority citation revised....................................57111
    Regulation at 67 FR 57111 withdrawn............................72091
110.2  Amended.....................................................67101
    Corrected......................................................70835
110.4  Revised.....................................................57111
    Regulation at 67 FR 57111 withdrawn............................72091
110.7  (c) revised; (OMB numbers)..................................67101
110.31  (a) revised................................................57111
    Regulation at 67 FR 57111 withdrawn............................72091
110.131  (a) revised...............................................57111
    Regulation at 67 FR 57111 withdrawn............................72091
140  Authority citation revised....................................57111
    Regulation at 67 FR 57111 withdrawn............................72091
140.5  Revised.....................................................57112
    Regulation at 67 FR 57112 withdrawn............................72091
140.6  (a) amended.................................................57112
    Regulation at 67 FR 57112 withdrawn............................72091
150  Authority citation revised....................................57112
    Regulation at 67 FR 57112 withdrawn............................72091
150.4  Revised.....................................................57112
    Regulation at 67 FR 57112 withdrawn............................72091
150.16  (a) amended; (b)(2) revised................................57112

[[Page 768]]

    Regulation at 67 FR 57112 withdrawn............................72091
150.17  (a), (b) and (c) amended...................................57112
    Regulation at 67 FR 57112 withdrawn............................72091
150.19  (c) amended................................................57112
    Regulation at 67 FR 57112 withdrawn............................72091
150.20  (b) introductory text revised; eff. 3-24-03................78149
170  Authority citation revised....................................57113
    Regulation at 67 FR 57113 withdrawn............................72091
170.3  Amended..............................................42629, 64036
170.5  Revised.....................................................57113
    Regulation at 67 FR 57113 withdrawn............................72091
170.11  (a)(1) added...............................................42629
    (a) introductory text revised; (a)(2) added....................64037
170.12  (d) revised................................................64037
170.20  Revised....................................................42630
170.21  Introductory text revised; table amended...................42630
    Table amended..................................................64037
170.31  Revised....................................................42631
    Table amended..................................................64038
171  Authority citation revised....................................57113
    Regulation at 67 FR 57113 withdrawn............................72091
171.3  Revised.....................................................42634
171.5  Amended.....................................................42634
171.9  Revised.....................................................57113
    Regulation at 67 FR 57113 withdrawn............................72091
171.11  (c) revised................................................42634
171.15  Revised....................................................42634
171.16  (c), (d) and (e) revised...................................42635


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